The content of the final report on the investigation of the case, the principle of discussion, the writing of its standardized recommendations. This article is the final report of the case investigation model, for reference only.
Case investigation final report model:
Case:
(fill in the parties, the violation of the law, the construction project)
First, the party profile and the project
1, the party:
Legal representative:
Legal representative ID card number:
Unit address:
2, commissioned by:
ID card number:
Contact information: commissioned by the time:
3, the project:
1, (project approval documents, including the approval of the contents of the)
2, (to obtain the time of the investigation of the case-related formalities, the situation, in order of time )
3, (the content of the construction project planning permit)
4, (project start, completion time)
5, (project contract signing, contract price)
Second, the investigation process:
The law enforcement officers involved in the investigation of the case Law Enforcement Officer License No.: ( ), ( ).
1, January, by the Municipal Housing Security and Urban-Rural Development Administration Bureau Leader
Leader approval, approved to file an investigation, and tasked with specific contractors;
2,
3,
4,
5,
6,
7, (fill in the investigators and investigated units investigated)
2,
3,
4,
5,
6,
7, (fill in the investigators and investigated units investigated)
5, (filled in the investigators and investigated units investigated)
5, (fill in the content of the investigated unit to provide formalities)
Third, the behavior of the investigation results. After the investigation, the project exists
1, (the project, if there is over-planning and construction behavior, should explain the planning approval, as well as the actual construction);
2, (the project, if there is a formalities have been constructed prior to processing, should explain the progress of the construction prior to the processing)
4, the evidence of the description of the following:
1,
2,
3,
4,
5,
6, (fill in the evidence obtained to illustrate the violation of the law)
Fifth, the legal basis:
1, violation of the legal basis:
The Chinese People's Republic of China *** and the State of Urban and Rural Planning Law, Article 40: in the city, town planning area for the construction of buildings, structures, roads, pipelines and other construction, the construction unit or individual shall apply to the department in charge of urban and rural planning of the people's government of the city or county or the people's government of the town as determined by the people's government of the province, autonomous region or municipality directly under the Central Government for a construction project planning permit. The application for the construction project planning permit shall be submitted with the relevant documents certifying the use of land, the construction project design plan and other materials. Construction projects that require construction units to prepare detailed construction plans shall also submit detailed construction plans. If the construction project conforms to the detailed controlling plan and the planning conditions, the construction project planning permit shall be issued by the department in charge of urban and rural planning of the people's government of the city or county, or by the people's government of the town determined by the people's government of the province, autonomous region or municipality directly under the central government. City, county people's government department of urban and rural planning or provinces, autonomous regions, municipalities directly under the Central People's Government to determine the township people's government shall, in accordance with the law, will be validated by the construction of the detailed planning, construction engineering design plan to be published in the general plan.
"Chinese People's *** and the State Urban and Rural Planning Law" Article 43: The construction unit should be built in accordance with the planning conditions; determine the change, must be to the city, county people's government department in charge of urban and rural planning to submit an application. Where changes are determined to be necessary, an application must be made to the department in charge of urban and rural planning of the people's government of the city or county. Changes are not in line with the detailed control planning, urban and rural planning department shall not be approved. The urban and rural planning department of the people's government of the city or county shall promptly notify the land department at the same level of the planning conditions that have been changed in accordance with the law and publicize them. Article 3 of the "Chinese People's *** and State Bidding Law": in the Chinese People's *** and State for the following engineering and construction projects, including project investigation, design, construction, supervision, and engineering and construction related to the procurement of important equipment, materials, etc., must be carried out bidding: (1) large-scale infrastructure, public utilities, and other related to the interests of the community public interest, public safety projects
"Construction Engineering Quality Management Regulations" Article 13: The construction unit in the construction license or before the report of the commencement of work, shall, in accordance with the relevant provisions of the State for the supervision of the quality of the project.
Article 7 of the Construction Law of the People's Republic of China: Before the commencement of a construction project, the construction unit shall, in accordance with state regulations, apply to the competent administrative department for construction of the people's government at or above the county level where the project is located for a construction permit; however, except for minor works below the limit determined by the competent administrative department for construction under the State Council.
"Construction Quality Management Regulations" Article 11: The construction unit shall be reported to the people's government at or above the county level construction administrative department or other relevant departments for review. Specific measures for the review of construction drawings and design documents, by the State Council administrative department of construction, in conjunction with other relevant departments of the State Council to develop. Construction drawings without review and approval of the design documents, shall not be used.
2, the legal basis for punishment:
"Chinese People's Republic of China **** and the State Urban and Rural Planning Law" Article 64: not obtaining a construction project planning permit or not in accordance with the provisions of the construction project planning permit for the construction of the people's government of the county level
above the competent department of town and countryside planning and order to stop the construction; can still be taken to eliminate the impact of the implementation of the plan of corrective measures
The People's Republic of China *** and the State Bidding Law, Article 49: Violation of the provisions of this law, the project must be bidding for the project is not bidding, the project must be bidding for the project into zero or in any other way to avoid the bidding, and ordered to make corrections, and can be sentenced to a fine of 5 ‰-10 ‰ of the contract amount of the project.
"Construction Engineering Quality Management Regulations" Article 56, paragraph 6: not in accordance with state regulations
The project quality supervision procedures ordered to correct, a fine of 200,000-500,000 yuan.
"Construction Engineering Quality Management Regulations" Article 57: Violation of the provisions of this article, the construction unit has not obtained a construction permit or commencement report without approval of the unauthorized construction, a deadline for correction, and impose a fine of 1% -2% of the contract price of the project. People's Republic of China *** and the State Construction Law, Article 64: violation of the provisions of this law, without obtaining a construction permit or commencement of construction without approval of the report, and ordered to make corrections, do not meet the conditions for the commencement of construction ordered to stop construction, and may be subject to a fine.
VI. Discretionary reasons and disputes:
(fill in the case processing problems, case processing from light, heavy punishment reasons, etc.)
VII. The matter
The facts are clear, the evidence is conclusive, to form the following processing recommendations:
1, the item
2, the item
3, the item
4, the item
5, the item
6, the item
Note:
1, (the item illegal, bold font)
2, (list the basis for punishment)
3, (list the basis for discretionary benchmarks)
4, (involving the cost of the square meter, should indicate the cost of the square meter source or method )
Example: the project construction without bidding in accordance with the provisions of the unauthorized construction, according to the "People's Republic of China **** and the State" Article 49 of the provisions of the project shall be subject to a project contract amount of 5‰ -10‰ of the fine. Discretionary benchmark system: (investment amount estimated at 2 million -5 million, imposed a fine of 7 ‰ -8 ‰ of the total cost of the project;) proposed to be punished by the total cost of the project ( ten thousand yuan) of 7 ‰ ( );
Signature of the case officer:
The investigation was completed at:
Case Investigation Closing Report Sample II:
Investigation final report on the use of commercial bribery to promote insurance
Municipal Bureau:
In May 2012, we found in the market inspection that the Huaihai Branch of China Life Insurance Company (now renamed as Huaihai Branch of China Life Insurance Company Limited) had paid property to the insured units under the pretense of agent's handling fee in the course of its business activities of promoting insurance. (now renamed as China Life Insurance Company Huaihai Branch), in its business activities of selling insurance, has paid property to the insured units in the name of agent's handling fee, which is suspected to be unfair competition of giving others commercial bribes. In order to find out the facts, to protect the city's insurance industry, fair competition, to stop unfair competition, I squadron on May 20, 2012, submitted to the leadership of the brigade approved the formal filing, and designated dynasty, Ma Han for the case contractor. We based on the "Chinese people's *** and the State Anti-Unfair Competition Law", Chapter III of the unfair competition supervision and inspection of the relevant provisions, inquiries, investigations, operators, powerful relations, references, extracted the supporting materials, information; query, copying and unfair competition related to the agreement, books, documents, documents and other materials. To November 5, 2012 this case has been fully investigated and concluded, the facts of the case, the reasons for punishment, the legal basis and the punishment of the views reported as follows:
First, the basic information of the parties concerned
China Life Insurance Company Limited Huaihai Branch (hereinafter referred to as the Huaihai Branch), place of business: Haima District, No. 88, Shayu Road; the person in charge: Ma Daha; business scope: Life insurance, health insurance, accidental injury insurance and other types of life insurance, life insurance reinsurance, all types of life insurance consulting, agency, the national insurance supervision and management department approved other businesses.
Second, the main illegal facts
After investigation, in June 2011, Huaihai Branch and the Fifth Construction Company Limited negotiated and reached a verbal agreement: the company purchased insurance in Huaihai Branch, and Huaihai Branch paid a "handling fee" of 8% of the premiums received. 2011, the company purchased insurance in Huaihai Branch in July, the company purchased insurance in Huaihai Branch, and Huaihai Branch paid a "handling fee" of 8% of the premiums received. In July 2011, the company took out a group life insurance policy with a premium of RMB 410,000 with Huaihai Branch. On November 23, 2011, Huaihai Branch paid the company a handling fee of RMB32,800 in the form of transferring funds. In September 2011, Huaihai Branch negotiated and reached a verbal agreement with China Fifth Construction Group Company Limited: the company purchased an insurance policy from Huaihai Branch, and Huaihai Branch paid a handling fee of 5% of the premiums received. "In October 2011, the company took out a group life insurance policy with a premium of 100,000 RMB with Huaihai Branch. On November 22, 2011, Huaihai Branch paid a handling fee of RMB5,000 by transferring funds. In September 2010, Huaihai Branch reached a verbal agreement with Huaihai Bearing Group Company Limited after negotiation: the company purchased an insurance policy from Huaihai Branch, and Huaihai Branch paid a handling fee of 5% of the premiums received for the company. "In October 2011, the company took out a group life insurance policy with a premium of RMB130,000 with Huaihai Branch. On September 21, 2011, Huaihai Branch paid a handling fee of RMB6,500 in the form of transferring funds. In January 2012, Huaihai Branch negotiated with China Construction Bank Huaihai Branch and reached an oral agreement: the company purchased an insurance policy from Huaihai Branch, and Huaihai Branch paid a handling fee of 10% of the premiums received for the company. "In February 2012, the company insured State Life group life insurance and group hospitalization medical insurance in Huaihai Branch, respectively, and the premiums were 211,689 RMB. On June 28, 2012, the Huaihai Branch paid a "handling fee" of RMB 2,004.61 by transferring funds to the company. In August 2012, the Huaihai Branch and Huaihai University negotiated a verbal agreement that the company would act as the agent of the Huaihai Branch for the National Life Student and Children's Peace and Safety Insurance, and that the Huaihai Branch would pay a "handling fee" for the company in accordance with 8% of the premiums received. In September 2012, the university paid RMB 124,740 for the insurance premium for Huaihai Branch. On June 10, 2012, the Huaihai Branch paid a handling fee of RMB10,000 by transferring money to the school. In November 2011, the Huaihai Branch and the Experimental Primary School of Huaihai City reached a verbal agreement after negotiation: the school would handle the insurance for the Huaihai Branch on behalf of the National Life Student and Child Safety Insurance, and the Huaihai Branch would pay the handling fee of RMB8% of the premiums received. On November 7, 2011, the school paid 36,800 RMB for the insurance premium for Huaihai Branch. On November 16, 2011, the Huaihai Branch paid the "handling fee" of RMB 2,944 in cash to the school, and in January 2012, the Huaihai Branch and the education team of Chengguan Township in Heyin County reached a verbal agreement after negotiation: the school would handle the insurance for the Huaihai Branch on behalf of the Guoshou Student and Child Safety Insurance, and the Huaihai Branch would pay the "handling fee" of RMB 2,944 in accordance with 5% of the premiums received. In February 2012, the unit paid 80,210 RMB to the Huaihai Branch for the insurance premium.
After investigation and verification, Huaihai University, Huaihai Experimental Primary School, and the education group of Chengguan Township in Heyin County did not have the "insurance agency license" issued by the China Insurance Regulatory Commission, and were not qualified to engage in the insurance agency business without the qualification of legal insurance agency; the Fifth Construction Tractor Co. Ltd., China Fifth Construction Group, Huaihai Bearing Group, China Construction Bank Huaihai Branch and other units have purchased insurance for themselves, which are insured units, and have not given Huaihai Branch any insurance agency. In order to sell more insurance, Huaihai Branch, knowing that the above seven units did not have "insurance agency license" or were purchasing insurance for themselves, avoided supervision and inspection by paying "handling fee" to insurance agents under the pretense of "handling fee" in the company's accounts. In order to avoid supervision and inspection, the company made a "business approval order" in the name of paying "handling fee" to the insurance agent in the company's accounts, and put the expense under the name of "handling fee" in the company's financial vouchers. "The Huaihai branch handles this expense in its accounts.
We believe that the Huaihai branch, in order to sell insurance, gave property to those who did not have the qualification of legal insurance agency and who purchased insurance on their own under the pretext of agent's handling fee to increase the chance of transaction. Its behavior prevented fair competition among insurance companies, harmed the legitimate rights and interests of other insurance companies, and disturbed the competitive order of the insurance market, and its behavior has constituted commercial bribery (the illegal behavior of the above seven units is dealt with in a separate case).
It was verified that Huaihai Branch collected premiums of 1093,439 RMB in the above business. With regard to the calculation of illegal income, according to the State Administration for Industry and Commerce public word [1998] No. 240 "on the insurance company illegal operation of insurance cases illegal income calculation method of the issue of the petition" replied: "the actor has paid taxes and has been paid to the state treasury of the laws and regulations provide for the expenditure of the expenses can be deducted from the proceeds of the violation of the law, the costs that do not belong to the state treasury, should not be deducted from the proceeds of the violation of the law". The provisions of the "shall be deducted from the illegal income", taking into account the actual situation of the parties, due to the insurance premium business income in the details of too many items, so some of the cost items in accordance with the average value of all the business income and expenditure calculation (see Huaihai branch of the profits provided by the detailed table), is now deducted from the following three items of expenses:
1, the payment of taxes and surcharges: 78250.49 yuan ;
2, compensation expenses: 600,190.55 yuan;
3, the actual payment of fees: 81,259.11 yuan;
Total: 1 + 2 + 3 = 75,970,700.15 yuan
The illegal proceeds of: 1093,439 - 75,970,700.15 = 333,738.85 yuan
Three, The main evidence of the parties involved in the use of commercial bribery to promote insurance behavior China Life Insurance Company Limited Huaihai Branch of the above violations are evidenced by the following evidence:
1, Huaihai Branch, a statement;
2, Huaihai Branch, the power of attorney, 1;
3, Huaihai Branch, the entrusted interrogation transcripts;
4, Huaihai Branch, the business of 1;
3, Huaihai Branch, the entrusted inquiry notes;
3, Huaihai Branch, the entrusted inquiry notes 28 copies;
10, the other 7 units 7 copies of information;
11, the other 4 units 4 copies of business license;
4, the state of the insurance industry on the handling fee expenses related policies and documents
China Life Insurance Company Limited Huaihai Branch in order to promote the sale of insurance, the payment of fees to the above units, are in violation of the following relevant provisions.
Direct insurance business refers to the insurance business that the company operates directly without going through an insurance agent".
2. The CIRC promulgated and implemented the "Regulations on Insurance Companies" in 2000, Article 61: "Insurance companies and their employees shall not provide rebates on insurance premiums or other illegal or irregular benefits to policyholders, insured persons or beneficiaries; nor shall they pay commissions or fees to insurance agents in excess of the scope and standards. ".
3. Article 23 of the Interim Measures for the Administration of Insurance Agents promulgated and implemented by the China Insurance Regulatory Commission (CIRC) in 2000: "Insurance agents shall not withdraw agency fees from insurance agents who insure their own property or life insurance with insurance companies as if they were directly underwritten by insurance companies. ".
V. Reasons for Punishment, Legal Basis and Punishment Opinions
The implementation of commercial bribery by Huaihai Branch of China Life Insurance Company Limited disturbed the order of competition in the insurance market, violated the principle of equality and fairness, and contravened the first paragraph of Article 8 of the Law of the People's Republic of China on Combating Unfair Competition: "
Operators shall not use property or other means to bribe in order to sell or purchase goods. Off the books secretly give the other unit or individual kickbacks, to bribery; the other unit or individual off the books secretly accept kickbacks, to bribery" provisions. Provisional Provisions on the Prohibition of Commercial Bribery, Article 2, paragraph 2, "the provisions referred to commercial bribery, refers to the operator for the sale or purchase of goods and the use of property or other means to bribe the other unit or individual behavior," and paragraph 3, "the property referred to in the preceding paragraph, refers to the cash and in-kind, including the operator for the sale or purchase of goods, the other unit or individual secretly accepted kickbacks off the books, shall be punished by bribery. Including the operator for the sale or purchase of goods, under the guise of promotional fees, publicity, sponsorship, scientific research, labor, consulting fees, commissions, etc.
Or to reimburse the various expenses, etc., to pay the other unit or individual property" refers to the act of commercial bribery. According to the "Chinese people's *** and the State against unfair competition law" article 22 "operators using property or other means of bribery in order to sell or buy goods, constitutes a crime, shall be investigated for criminal responsibility; does not constitute a crime, supervision and inspection departments may, depending on the circumstances of the case, impose a fine of 10,000 yuan or more than 200,000 yuan, and there is unlawful income, shall be confiscated!
In view of the fact that the party concerned was able to cooperate actively during the inspection and had the will to repent, we suggest that China Life Insurance Company Limited Huaihai Branch be given the following administrative penalties:
1. Ordered to correct its illegal behavior of using commercial bribery to promote insurance.
2. A fine of RMB 20,000 was imposed on it for commercial bribery.
3. Confiscate its illegal income of 333,738.85 yuan.
Undertaker: Wang Chao Ma Han
November 5, 2012
Case investigation final report sample:
Case: __ Province __ Pharmaceuticals Co. >
Party: ___ Pharmaceutical Co., Ltd
Address: ___
Responsible person: ___ Male General Manager
Contact phone number: ___
The case, the facts of the violation of the law and the evidence:
On ___, ___ month, ___, received ___ Provincial Food and Drug Administration verification letter. The letter states that the compound danshen tablets labeled as produced by __ Pharmaceuticals Co. with batch number 080301 were tested by the __ Pharmaceutical Inspection Institute and the drug did not comply with the regulations. After careful and meticulous investigation, the person in charge of the enterprise, ___, admitted that the batch of the drug was produced by his company and provided the batch production records and sales records of the drug. After further verification, the batch of drugs *** produced ___ boxes, which have all been sold, and now there is no stock. The selling price of each box was ___ yuan, and the value of the goods amounted to ___ yuan. The general manager of the enterprise admitted the above facts, no objection to the test results, ___ ___ month ___ number of the investigation of this case is over. This case since the review of the case, the procedure is legal.
There are the following evidence: investigation transcripts, on-site inspection transcripts, batch production records, sales records, verification letters, drug test reports.
Violation of laws, rules or regulations specific provisions of the project:
The enterprise production and sales of substandard drugs in violation of the "Chinese People's Republic of China *** and the State Drug Administration Law," Article 49, paragraph 3, paragraph 6.
Penalty Recommendations:
Based on the provisions of Article 75 of the Drug Administration Law of the People's Republic of China*** and the State, the following penalties shall be imposed:
1. Confiscate the illegal income of ___ yuan.
2. And impose a fine of double the value of the illegal production of drugs ___ yuan.
Signature of the contractor:
Date:___Year___Month___
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