| Opinions of the General Office of the China Banking Regulatory Commission on Promoting the Work of Categorized Handling of Complaints by Letters and Visits by Statutory Means | | 中国银监会办公厅关于推进通过法定途径分类处理信访投诉请求工作的意见 |
| (No. 184 [2015] of the General Office of the China Banking Regulatory Commission) | | （银监办发[2015]184号） |
| In accordance with the spirit of the 18th National Congress of the Communist Party of China (CPC) and the Third and Fourth Plenary Sessions of the 18th CPC Central Committee, for purposes of further clarifying the responsibility boundary of acceptance of complaints by letters and visits and conducting rational divergence and legal handling of issues reflected by the complainants by “statutory means” as prescribed in the relevant laws and regulations, the following opinions on promoting the work of categorized handling of complaints by letters and visits by statutory means are hereby raised: | | 根据党的十八大和十八届三中、四中全会精神，为了进一步厘清信访投诉请求受理工作职责边界，对信访投诉人反映的问题通过相关法律法规规定的“法定途径”进行合理分流、依法处理，现就推进通过法定途径分类处理信访投诉请求工作提出如下意见。 |
| I. Strengthening the conscientiousness of the rule of law and comprehending the significance of the work of categorized handling of complaints by letters and visits | | 一、增强法治意识，认清分类处理信访投诉请求工作的重要意义 |
| 1. The work of categorized handling of complaints by letters and visits is a specific measure for deepening the reform of complaints by letters and visits. The Third and Fourth Plenary Sessions of the 18th CPC Central Committee have made the strategic deployment of comprehensively promoting the rule of law, put forward specific requirements for promoting the reform of the work system of complaints by letters and visits, and incorporated complaints by letters and visits into the track of legalization. The categorized handling of complaints by letters and visits by statutory means is a specific embodiment of comprehensively promoting the rule of law and a specific measure for constantly deepening the reform of complaints by letters and visits; and is a supporting measure for the reform of the regulatory framework of the China Banking Regulatory Commission (“CBRC”), a beneficial supplement for optimizing the supervision procedure, an important support for increasing the supervision efficiency, and a strong guarantee for preventing legal risks. | | （一）通过法定途径分类处理信访投诉请求工作是深化信访改革的具体措施。党的十八届三中、四中全会作出了全面深化改革和全面推进依法治国的战略部署，明确要求推进信访工作制度改革，把信访纳入法治化轨道。通过法定途径分类处理信访投诉请求，是全面推进依法治国的具体体现，是持续深化信访改革的具体措施；是银监会监管架构改革的配套措施，是对优化监管流程的有益补充，是提高监管效率的重要支撑，是防范法律风险的有力保障。 |
| 2. The work of categorized handling of complaints by letters and visits is a practical need for clarifying the responsibility boundary of complaints by letters and visits. Currently, the phenomena of having faith in “complaints by letters and visits” rather than “laws” are prominent. Some claims that should be resolved by statutory means enter channels for complaints by letters and visits, having blurred the responsibility boundary of complaints by letters and visits. The Fourth Plenary Session of the 18th CPC Central Committee has specified that statutory responsibilities must be performed and government departments must not do anything unless it is ordained by the law. Article 14 of the Regulation on Complaints by Letters and Visits provides for that “for a complaint matter that shall be resolved by such statutory means as litigation, arbitration, or administrative reconsideration, the complainant shall file it with the relevant organ according to the procedure as prescribed in the relevant laws and administrative regulations.” The effective categorized handling of complaints by letters and visits by statutory means is conducive to clarifying the responsibility boundary of complaints by letters and visits, strengthening the building of complaints by letters and visits ruled by law and complaints by letters and visits in a more open and transparent manner, and improving the standardization and scientification of complaints by letters and visits. | | （二）通过法定途径分类处理信访投诉请求工作是厘清信访职责边界的现实需要。当前，信“访”不信“法”现象还比较突出，一些应当通过法定途径解决的请求进入了信访渠道，模糊了信访职责边界。党的十八届四中全会明确提出，法定职责必须为、法无授权不可为。《信访条例》第十四条规定，“对依法应当通过诉讼、仲裁、行政复议等法定途径解决的投诉请求，信访人应当依照有关法律、行政法规规定的程序向有关机关提出”。做好通过法定途径分类处理信访投诉请求工作，有利于厘清信访职责边界，有利于加强法治信访、阳光信访建设，有利于提升信访工作规范化、科学化水平。 |
| 3. The categorized handling of complaints by letters and visits by statutory means is an inevitable path for ensuring that the legitimate and reasonable claims of complainants be resolved in a legitimate and reasonable manner. It is stated on the Fourth Plenary Session of the 18th CPC Central Committee that the rule of law must be upheld, with the protection of the people's fundamental rights and interests as the starting point and foothold, the people must be guaranteed in legally enjoying extensive rights and freedom and bearing the bounded duties, and the social fairness and justice must be safeguarded, so as to promote collective prosperity. The categorized handling of complaints by letters and visits by statutory means shall be promoted so that complaints by letters and visits enter the statutory handling procedure. In this way, the efficiency in the resolution of complaints by letters and visits is to be obviously raised, the work order of complaints by letters and visits is to be distinctly improved, the people's lawful rights and interests are to be strongly guaranteed, the contact between the regulatory authority and the people is to be closer, and the requirements of supervision for the people is to be more effectively fulfilled. | | （三）通过法定途径分类处理信访投诉请求是保障信访人合法合理诉求得到合法合理解决的必然途径。党的十八届四中全会指出，必须坚持法治建设以保障人民根本权益为出发点和落脚点，保证人民依法享有广泛的权利和自由、承担应尽的义务，维护社会公平正义，促进共同富裕。推动通过法定途径分类处理信访投诉请求工作，使信访诉求进入法定处理程序，将会明显提高解决信访问题的效率，明显改善信访工作秩序，有力保障人民合法权益，更加密切监管机构与人民群众的联系，更好践行为民监管要求。 |
| II. Grasping the basis for categorization and specifying the statutory means for categorized handling of complaints by letters and visits | | 二、把握分类依据，明确分类处理信访投诉请求工作的法定途径 |
| 1. Matters that are handled by the statutory business means of the CBRC shall be accurately grasped. First, where the complaint matter should be handled upon application by administrative licensing and other statutory means, the complainant shall be guided in resolving the complaint matter by means of administrative licensing in accordance with the statutory responsibilities of any CBRC offices at all levels and the list of powers. Second, where the complainant requires any CBRC offices at all levels to make a supervision punishment against the banking financial institution and the personnel thereof or order them to make a decision on administrative sanction, the complainant shall be guided in resolving the complaint matter by means of making supervision punishment or ordering the sanction. Third, where the complainant requires any CBRC offices at all levels to transfer personnel of the banking financial institution to the judicial authority, the complaint shall be guided in resolving the complaint matter by means of judicial transfer. Fourth, where the complainant applies for the disclosure of government information to any CBRC offices at all levels, the complainant shall be guided in resolving the complaint matter by means of applying for the disclosure of government information. Fifth, for any general policy consultation matters, the complainant shall be guided in resolving the complaint matter by means of government affairs consultation. | | （一）准确把握按银监会法定业务途径办理的事项。一是对应当通过行政许可等法定途径申请办理的，按照银监会各级机构法定职责和权力清单，引导通过行政许可途径办理。二是对要求银监会各级机构对银行业金融机构及其工作人员作出监管处罚、责成作出行政处分决定的，引导通过监管处罚、责成处分途径办理。三是对要求银监会各级机构向司法机关移送银行业金融机构工作人员的，引导通过司法移送途径办理。四是对向银监会各级机构申请政府信息公开的，引导通过依申请政府信息公开途径办理。五是对一般性政策咨询事项，引导通过政务咨询途径办理。 |
| 2. Complaint matters that are handled by judicial and other statutory means shall be accurately grasped. First, where the complainant refuses to accept the specific administrative action made by any CBRC offices at all levels, the complainant shall be guided in resolving the complaint matter by administrative reconsideration, administrative litigation, or other statutory means. Second, Where the complaint matter is an accusation or disclosure of violations of laws and regulations committed by the banking financial institution subject to the supervision of the CBRC, but the complainant has filed a lawsuit, arbitration, or administrative reconsideration for the same matter, the complainant may be guided in continuing to resolve the complaint matter through litigation, arbitration, or administrative reconsideration. Third, for any complaint matter that is not within the responsibility scope of the CBRC offices at all levels, the complainant shall be guided in reporting to the competent handling department. Where the complaint matter is within the jurisdiction of the judicial authority, the complainant shall be guided in resolving such complaint matter through judicial means. Fourth, for any business or service disputes, the complainant shall be guided in filing a civil lawsuit with the court, filing an application for arbitration with the arbitration department, filing a complaint with the department of protection of consumers' rights and interests, or filing an application for mediation with the relevant organization. | | （二）准确把握按司法及其他法定途径办理的事项。一是对不服银监会各级机构作出的具体行政行为的，引导通过行政复议、行政诉讼等法定途径处理。二是对虽属检举、揭发银监会所监管银行业金融机构的违法违规行为，但信访人就同一事项已提起诉讼、仲裁、行政复议的，可引导其继续通过诉讼、仲裁、行政复议解决。三是对不属于银监会各级机构职责范围的信访事项，引导信访人向有权办理部门反映，对其中属于司法机关管辖的，引导通过司法途径处理。四是对业务纠纷、服务纠纷等，引导其向法院提起民事诉讼、向仲裁部门申请仲裁、向消费者权益保护部门投诉或向有关组织申请调解。 |
| 3. Matters within the responsibility scope of complaints by letters and visits shall be accurately grasped. Complaints by letters and visits that are within the scope of functions of the CBRC offices at all levels but fail to be handled by other statutory means shall be handled in strict accordance with the Regulation on Complaints by Letters and Visits and the relevant provisions and requirements of the CBRC for complaints by letters and visits. | | （三）准确把握在信访职责范围内的事项。对属于银监会各级机构职权范围，无法按其他法定途径处理的信访投诉请求，要严格依照《信访条例》及银监会信访工作相关规定和要求办理。 |
| III. Strengthening coordination and interaction and improving the quality and efficiency of categorized handling of complaints by letters and visits | | 三、加强协调联动，提高分类处理信访投诉请求工作的质效 |
| 1. Work responsibilities shall be specified and coordination and interaction shall be intensified. The CBRC offices at all levels shall treat the categorized handling of complaints by letters and visits by statutory means as a supporting measure for the reform of the regulatory framework and actually conduct it in an effective and solid manner. All relevant departments shall perform their responsibilities in strict accordance with the authority and procedure, unblock paths for handling affairs according to the law, strengthen the connection and cooperation between all links, and prevent the internal idling of complaints by letters and visits within organs. The departments of complaints by letters and visits at all levels shall be responsible for conducting the divergence and guidance work and other departments shall be responsible for effectively conducting the work of determining and handling statutory means for business function-related complaints by letters and visits. In particular, the front-line departments and basic-level institutions shall intensify their responsibility consciousness and implement the first-handling responsibilities by starting with first complaints by letters and visits. For any difficult and complicated complaints by letters and visits, the departments of complaints by letters and visits, the regulatory departments, and the regulation departments shall jointly and effectively conducting the work of determination, guidance, and corresponding handling. | | （一）明确工作职责，强化协调联动。银监会各级机构要把通过法定途径分类处理信访事项作为监管架构改革的配套措施，真正抓实、抓好。各有关部门要严格按照权限和程序履行职责，畅通依法办事的路径，加强各环节之间衔接配合，防止信访投诉请求在机关内部空转。各级信访工作部门要负责做好分流、引导工作，其他部门要负责做好与业务职能相关信访投诉请求法定途径的判定及处理工作。特别是一线部门、基层机构要强化责任意识，从初信、初访入手，落实好首办责任。对于疑难复杂的信访投诉请求，信访工作部门、监管部门和法规部门要共同做好判定、引导和相关处理工作。 |
| 2. Publicity approaches shall be increased and public opinion guidance shall be strengthened. The CBRC offices at all levels shall strengthen publicity and training by taking various measures, promote the cadres of the whole system to enhance their consciousness by holding lectures on special topics, holding tutorship and training, and preparing operation manuals, and learn to resolve contradictions and problems reflected in complaints by letters and visits by applying the thought of rule of law and the manner of rule of law. The CBRC offices at all levels shall strengthen publicity and guidance for people who raises complaints by letters and visits; by means of putting up the workflow chart and making policy presentation, make the people be aware of the proper statutory means for various complaints and the laws and regulations it takes as basis, guide the people in learning and applying laws, developing the self-consciousness of handling affairs according to the law, turning to the law when encountering troubles, and resolving problems by depending on law, and safeguard their rights and interests according to the law. | | （二）扩大宣传途径，加强舆论引导。银监会各级机构要采取多种方式加强宣传培训，通过开展专题讲座、举办辅导培训、编写操作手册等，促进全系统干部提高认识，学会运用法治思维和法治方式处理信访反映的矛盾和问题。要加强对信访群众的宣传引导，通过张贴工作流程图、开展政策宣讲等方式，让群众知晓各类投诉请求的正确法定途径、依据的法律规定等，引导群众学法、用法，养成办事依法、遇事找法、处理问题靠法的自觉，依法维护自身权益。 |
| 3. The follow-up promotion shall be continued and supervision, examination and guidance shall be strengthened. The departments of complaints by letters and visits under the CBRC shall strengthen supervision and guidance and in appropriate time, carry out supervision and examination on the implementation of categorized handling of complaints by letters and visits by statutory means. They shall carry out appraisal in a timely manner, follow up, learn, and study any new situation or problem encountered in the work of categorized handling, put forward improvement proposals, and promote the orderly and efficient implementation of the work of categorized handling. | | （三）持续跟进推动，加强督查指导。银监会各级信访工作部门要加强督促指导，适时对落实通过法定途径分类处理信访投诉请求情况开展督查。要及时开展评估，跟进了解研究分类处理工作中出现的新情况、新问题，提出改进和完善的建议，推动分类处理工作有序、有效地开展。 |
| Annex: Checklist of Complaints by Letters and Visits Handled by the China Banking Regulatory Commission by Statutory Means (Omitted) | | 附件：银监会通过法定途径处理信访投诉请求清单 |
| December 15, 2015 | | 2015年12月15日 |
| | 附件 |
| | 银监会通过法定途径处理信访投诉请求清单 |
| | 一、申诉求决类请求 |
| | 主要是指：信访人与银行业金融机构产生的劳务纠纷、业务纠纷和服务纠纷；银监会各级机构干部员工要求维护自己合法权益的信访投诉请求；银行业金融机构及员工不服监管部门作出的具体行政行为。 |
| | （一）劳务纠纷 |
| | 1.银行业金融机构相关信访投诉请求 |
| | 序号
| 主要内容
| 类别
| 1
| 劳动纠纷
| 银行业金融机构员工
| 2
| 工资与福利纠纷
| 3
| 社会保障纠纷
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