Audit Report of the China National Audit Office | | 审计署审计结果公告 |
| (No. 30 of 2015 October 8, 2015) | | （2015年第30号 2015年10月8日） |
| The Real-time Audit Results of the Implementation of Measures and Policies about Stabilizing Growth, Promoting Reform, Adjusting Structure, Improving People's Livelihood and Preventing Risks in August of 2015 | | 2015年8月稳增长促改革调结构惠民生防风险政策措施贯彻落实跟踪审计结果 |
| In August of 2015, the National Audit Office conducted tracking auditing on the implementation of measures and policies about stabilizing growth, promoting reform, adjusting structure, improving people's livelihood and preventing risks of 29 provinces, autonomous regions and municipalities directly under the central government (hereinafter generally referred to as province) and 29 central departments and 7 central enterprises. The auditing work focused on the implementation of people's livelihood policies such as the affordable housing projects, precise poverty alleviation and the old-age service industry and of the public entrepreneurship and innovation policies, on the advance of the major construction projects and on revitalization of the financial stock of the central departments. It examined 498 units and 815 projects, involving total project capital of RMB708.014. | | 2015年8月，审计署对29个省、自治区、直辖市（以下统称省）和29个中央部门、7个中央企业落实稳增长促改革调结构惠民生防风险政策措施情况进行了跟踪审计，重点审计了保障性安居工程、精准扶贫、养老服务业等民生政策和大众创业、万众创新政策的落实情况，以及重大建设项目推进、中央部门财政存量资金盘活等情况，抽查了498个单位、815个项目，涉及项目资金7080.14亿元。 |
| According to the auditing results, the relevant departments and regions formulated and improved related policies and measures to promote economic restructuring and to change economic development pattern and achieved positive results. For instance, Bozhou city of Anhui province explored the use of the Internet and big data technology and integrated the related electronic data of 44 departments such as Departments of Public Security, Industry and Commerce, Human Resources and Social Security etc. to build the basic database of population, legal person and electronic business licenses as well as to build the data exchanging and sharing platform, on the basis of which it developed the online business hall performing many functions including information disclosure, online business etc. As a result, it simplified the government work flow and improved the efficiency of administrative examination and approval. The enterprise registration time was shortened from 20 working days to within 5 working days. Chongqing actively established and improved the related system and promoted reforms of the PPP investment and financing and of other key areas. Since 2014, Chongqing has signed 39 PPP project cooperation agreements related to some traditional areas such as highway, municipal water supply and waste disposal as well as some new developed areas including the rail transit, first level land reclamation, public parking building, medical and health care, with a total investment of more than RMB2500 for signed projects. | | 从审计情况看，有关部门和地区通过制定、完善相关政策措施，推动经济结构调整和发展方式转变，取得了积极成效。如安徽省亳州市探索应用互联网和大数据技术，整合公安、工商、人力资源和社会保障等44个部门相关电子数据，构建人口、法人、电子证照等三大基础数据库和数据共享交换平台，在此基础上开发融信息公开、网上办事等功能于一体的网上办事大厅，简化政府办事流程，提高了行政审批效能，企业登记注册办理时间从20个工作日缩短到5个工作日以内。重庆市积极建立完善相关制度，推进PPP投融资等重点领域改革，2014年以来已签订39个PPP项目合作协议，涉及高速公路、市政供水、垃圾处理等传统领域和轨道交通、土地一级整治、公共停车楼、医疗卫生等新拓展领域，签约项目投资总额2500多亿元。 |
| But the audit also found that some departments and regions still had some problems in implementing the policy of the people's livelihood as well as public entrepreneurship and innovation policy. Some key construction projects progressed slowly, and some units did not clear up the activating existing stock funds in time. They mainly were: | | 但审计也发现，一些部门和地区还存在贯彻落实民生政策及大众创业、万众创新政策方面措施不到位，部分重点建设项目推进缓慢，一些单位清理盘活存量资金不及时等问题。主要是： |
| I. Some of the people's livelihood policies were not implemented thoroughly, and relevant projects progressed slowly. | | 一、一些民生政策贯彻落实不到位，有关项目推进缓慢 |
| (I) The operating rate of the renovation of rural dilapidated buildings was low. Some of already built affordable housings had been idle or been used for other purposes. In 2015, the central government arranged 4.32 million rural dilapidated building renovation tasks, of which 2.453 million(56.8%) had started construction by the end of August 2015. 10 provinces, due to inadequate preparation and delayed matching funds, had a lower operating rate than 50%; Some regions of three provinces made a false report about the operating tasks, and some already built affordable housings had been vacant for a long time or been used for other purposes. | | （一）农村危房改造任务开工率较低，部分已建成的安居房闲置或被挪作他用。截至2015年8月底，2015年中央安排的农村危房改造任务432万户已开工245.3万户（占56.8%），10个省因前期准备不充分、配套资金到位晚等开工率不足50%；3个省的部分地区虚报开工任务量、已建成安居房长期闲置或改变用途。 |
| (II) Some regions did not implement the precision poverty alleviation work properly. Funds were not allocated timely to the objects of poverty alleviation or allocated to those who were not designated as objects for poverty alleviation. | | （二）个别地区落实精准扶贫工作不到位；扶贫资金未及时拨付或违规认定扶贫对象。 |
| (III) Some regions failed to timely issue the program and related measures of developing health services and old-age services. Old-age services facilities' construction lagged behind, and complement departments lacked in supervision on carrying out the policy regarding rural doctors. | | （三）部分地区未及时出台发展健康服务业和养老服务业的实施方案及配套措施、养老服务设施建设进度滞后，主管部门对落实乡村医生政策缺乏督导。 |
| II. The implementation of public entrepreneurship and innovation policy was not carried out thoroughly in some regions and under some competent authorities. | | 二、大众创业、万众创新政策在有些地区和主管部门落实不到位 |
| (I) Small and micro enterprises still had common difficulties in financing. They were still financing at a higher price. Problems were mainly the general high financing cost and long time for getting financing approval, some of which were attached with additional conditions; For small and micro enterprise loans, some of the commercial banks did not fulfill the service goal of "three-no-less-than" (small and micro enterprises' loan growth should not be less than the average loan growth, loaning number should not be less than that of the last year, and the loan obtaining rate should not be less than that of the same period last year). | | （一）小微企业融资贵、融资难问题依然较为普遍。主要是融资成本普遍偏高；融资审批时间长，有些带有附加条件；部分商业银行未落实对小微企业贷款“三个不低于”（小微企业贷款增速不低于各项贷款平均增速、贷款户数不低于上年同期户数、申贷获得率不低于上年同期水平）的服务目标。 |
| (II) The construction of the national university science park of five universities deviated from the policy objectives, and the use of the park sites and the number of enterprises occupying the park did not conform to the standard. | | （二）5所高校的国家大学科技园建设偏离政策目标，园区场地使用和入驻企业数量等不符合标准。 |
| III. The construction of some key projects progressed slowly | | 三、部分重点项目建设推进缓慢 |
| 193 out of all the audited construction projects (accounted for 23.7%) apparently progressed behind schedules, involving an investment of RMB286.862 billion. | | 审计的建设项目中有193个（占23.7%）的实施进度明显滞后，涉及投资2868.62亿元。 |
| (I) By the end of August 2015, among the 333 railway projects under construction, the completion rates of 99 projects' annual investment plan were less than 50%, involving an investment of RMB173.724 billion, of which the completion rates of 20 projects' annual investment plan were less than 10%, one completed project was idle for 19 months, and RMB1.175 billion investment was not effective. | | （一）截至2015年8月底，在建的333个铁路项目中，有99个项目年度投资计划完成率低于50%，涉及投资1737.24亿元，其中20个项目年度投资计划完成率不足10%，1个建成项目闲置19个月，11.75亿元投资未发挥效益。 |
| (II) In 2015, the central government invested RMB12.433 billion in major agricultural water-saving engineering in 29 provinces. By the end of July only RMB708 million was completed. The progress had been slow. | | （二）29个省2015年度重大农业节水工程中央投资124.33亿元，截至7月底仅完成7.08亿元，进展缓慢。 |
| (III) The “dead end highway” of seven national expressway networks of four provinces should have started work but have not; The progress of some of the highway construction projects of two province lagged behind. | | （三）4个省的7个国家高速公路网“断头路”应开工未开工；2个省部分公路建设项目进展滞后。 |
| (IV) China Southern Power Grid and three major telecom operators including China Mobile, China Unicom, China Telecom had some projects construction lag behind. | | （四）南方电网和中国移动、中国联通、中国电信三大电信运营商部分工程项目建设进度滞后。 |
| In addition, the audit also found that some projects approved by National Development and Reform Commission in the previous year had not been dealt with in time. | | 此外，审计还发现发展改革委以前年度受理的审批或核准项目办理不及时等问题。 |
| IV. Some departments and regions had not streamlined administration or delegated power to the lower levels. | | 四、个别部门和地区未按规定落实简政放权要求 |
| (I) Some subordinate units of central departments or local units, relying on administrative resources, operated illegal activities or charged fees without proper grounds. For instance, China National Institute of Standardization, a subordinate of AQSIQ (Administration of Quality Supervision，Inspection and Quarantine) gained RMB21.3483 million by making use of public resources and enlisting some self made standards. Land Resource Department in Zhejiang province and Ministry of Construction in Hubei province charged fees by conducting monopoly intermediary services and so on. | | （一）一些中央部门所属单位或地方单位依托行政资源，违规开展经营活动或无依据收费。如质检总局所属中国标准化研究院利用公共资源自定标准收费2134.83万元；浙江省国土部门和湖北省住建部门通过开展垄断性中介服务等方式收费。 |
| (II) Some regions did not commit enough effort in promoting commercial system reform and facilitating customs clearance. For example, Yunnan province still had some restrictive requests about registered capital to price assessment institutions who applied for registration; Nanning Customs and Inspection and Quarantine Bureau of Guangxi lacked adequate coordination in promoting clearance and inspection cooperation and in reforms of "three ones" ("one declaration, one inspection and one release"). The actual progress was slow. | | （二）部分地区在推进商事制度改革、通关便利化等方面力度不够。如云南省对申请注册的价格评估机构仍提出注册资本限制性要求；南宁海关和广西检验检疫局在推进关检合作“三个一”（“一次申报、一次查验、一次放行”）相关改革中，缺乏充分协调，实际进展缓慢。 |
| V. Some of the central government departments and regions failed to completely and timely clear up and liquidize remnant assets. | | 五、部分中央部门和地区清理盘活存量资金不彻底、不及时 |
| (I) Vehicle purchase tax subsidizing local construction project funds resulted in large amounts of transferred account balance; Approval of central governmental funds and some special transfer payment funds in general public budget were issued slowly. | | （一）车辆购置税补助地方建设项目资金大量结转结余；中央本级政府性基金及一般公共预算中部分专项转移支付资金批复下达较慢。 |
| (II) The National Tax System and the Civil Aviation Administration had failed to thoroughly clear or liquidize remnant assets. The previously recovered annual fiscal surplus funds failed to be transformed to the actual expenditure, resulting in secondary precipitation. | | （二）国税系统和民航局存量资金清理盘活不到位，以前年度结余资金收回后未及时形成实际支出，形成二次沉淀。 |
| (III) Inner Mongolia autonomous region had failed to thoroughly liquidize remnant assets, with RMB797 million balance remaining in departments. | | （三）内蒙古自治区存量资金盘活不到位，7.97亿元财政资金结余在部门。 |
| The audit inspected the reform and rectification of problems found in the tracking audit in earlier stage. According to the inspection results, relevant departments and local governments had earnestly reformed and rectified problems found in the tracking audit and achieved positive results. For example, on the problem of illegally delaying putting annual tax in storage, the National Tax Bureaus concerned, in accordance with the audit opinions, had already turned over RMB15.963 billion of taxes collected from 15 enterprises to the State Treasury; Shenzhen had already canceled the self-appointed professional qualification confirmation for supervisor and supervision engineer, etc. However, some individual regions and departments had failed to timely and roundly reform and rectify problems found in the audit. For instance, the Ministry of Culture had not cleaned up the carried-over fund of RMB47.173 million in projects of the Oriental Performing New Media and the Prospering Art and Culture Creation in 2012 and the year before; The Ministry of Civil Affairs had not taken timely and specific measures to improve and implement the supporting system for the extremely poor people; Health and Family Planning Commission of Shandong Province declared two projects of instrument installation of heavy metal pollution biological monitoring laboratory in 2011 albeit the projects has not been implemented by the end of August. | | 审计中对前期跟踪审计发现问题的整改情况进行了检查。从检查情况看，有关部门和地方认真整改跟踪审计发现的问题，取得积极成效，如相关国税局对违规推迟年度税款入库问题，已按审计意见将15户企业的159.63亿元税款全部收缴国库；深圳市按审计意见取消了自行设置的监理员、监理工程师职业资格认定等。但是，也有个别地区和部门未及时全面整改审计发现的问题，如文化部未按要求清理2012年及以前年度东方演艺新媒体、繁荣文艺创作等项目结转资金4717.3万元；民政部未及时出台完善实施特困人员供养制度的具体措施；山东省卫生和计划生育委员会2011年申报的两个重金属污染生物监测实验室仪器配置项目，至8月底仍未实施。 |
| Attachment: Main Problems Found in the Audit | | 附件：审计发现的主要问题 |
| | 附件 |
| I. Some of the people's livelihood policies had problems in their implementation. They mainly were: | | 审计发现的主要问题 |
| (I) Some of the affordable housing projects had low operation rates or made false reports about the operating tasks. Some of the already built affordable houses had been idle for a long time or been used for other purposes. Urban and Rural Housing Construction Ministry assigned a task of reforming 4.32 million rural dangerous buildings in 2015. By the end of August in 2015, 2.453 million (56.8%) buildings had started construction, among which 10 provinces had a operation rate lower than 50% because of inadequate preparation and delayed matching funds. | | 一、一些民生政策贯彻落实方面存在的问题。主要有： |
| The operation situation of rural dilapidated building renovation in 10 provinces are as follows: | | |
Number | Province | Number of households assigned by central government | Operation situation of tasks assigned by central government | Operated households number | Operation rate | 1 | Hunan Province | 208000 | 51555 | 24.8% | 2 | Guangxi Province | 297000 | 76911 | 25.9% | 3 | Jiangsu Province | 43000 | 12965 | 30.2% | 4 | Shanghai Province | 1000 | 305 | 30.5% | 5 | Shangdong Province | 92000 | 28466 | 30.9% | 6 | Yunnan Province | 460000 | 144171 | 31.3% | 7 | Henan Province | 262000 | 108000 | 41.2% | 8 | Hebei Province | 172000 | 75157 | 43.7% | 9 | Anhui Province | 176000 | 79238 | 45.0% | 10 | Hubei Province | 124000 | 60000 | 48.4% |
According to the audit, Datong city of Shanxi Province made false reports that 31,054 sets of rural affordable houses had been put into operation in 2015. By the end of July, Xiaoshan District of Hangzhou City, Zhejiang Province had not begun to carry out the work such as accepting public renting application of idle houses etc., resulting in 546 of the 626 sets of affordable houses being idle for more than 2 years, among which 448 sets being idle for more than 4 years. Fengjie County of Chongqing Province had been illegally using low-renting houses for other purposes since 2013. The County Finance Platform Company used fiscal capital of RMB25 million to buy 210 sets of low-renting houses and transformed them into the office buildings and rent those houses to the county party committee and county government organs.
| | （一）部分保障性安居工程开工率较低、虚报开工任务，已建成安居房长期闲置或改变用途。住房城乡建设部2015年共下达农村危房改造任务432万户，至2015年8月底已开工245.3万户（占56.8%），其中10个省因前期准备不充分、配套资金到位晚等开工率不足50%。 |
| (II) Mashan County of Guangxi Autonomous Region had failed to give strong promotion to the targeted poverty alleviation task. Firstly, by the end of July 2015, the special account of financial poverty alleviation fund of the county carried over a balance of RMB92.3414 million, accounting for 43.73% of the county's public finance income in 2014, among which the year before 2014 carried over a balance fund of RMB70.5614 million, resulting in slow advances of many poverty alleviating industries such as passion fruit planting industry and of infrastructure construction projects such as paving road with sand and pebbles in poor villages, which affected the implementation effect of some poverty alleviation policies such as the whole village promotion policy and the household industrial poverty alleviation policy etc. Secondly, among the targeted poor of Mashan County, 3119 people did not conform to the poverty alleviation filing standards, among which 343 people belonged to the fiscal support personnel, 2454 people bought 2645 cars and 43 people bought commercial houses in the county or built housing by themselves, 439 people were individual industrial and commercial households or ran a company. Thirdly, in order to fulfill the task assigned by the superior department, Mashan County assumed that 2272 people of 608 households, whose per capita net income were lower than the nation's poverty standard of RMB2736, had already overcome poverty, who accounted for 9.10% of households and 8.90% of people having been lifted from poverty. | | 10个省农村危房改造项目开工情况 |
| (III) Yunnan Province had failed to timely appropriate RMB1.425 billion of the central fiscal special poverty relief funds of 2015. In November 2014, the Financial Department of Yunnan province received in advance from the Ministry of Finance the central fiscal special poverty relief funds of RMB3.376 billion of 2015. By the end of July 2015, there were still RMB1.425 billion that had not yet been allocated to the county or to corresponding projects. | | 序号
| 省份
| 中央安排任务户数
| 中央安排任务开工情况
| 开工户数
| 开工率
| 1
| 湖南
| 208000
| 51555
| 24.8%
| 2
| 广西
| 297000
| 76911
| 25.9%
| 3
| 江苏
| 43000
| 12965
| 30.2%
| 4
| 上海
| 1000
| 305
| 30.5%
| 5
| 山东
| 92000
| 28466
| 30.9%
| 6
| 云南
| 460000
| 144171
| 31.3%
| 7
| 河南
| 262000
| 108000
| 41.2%
| 8
| 河北
| 172000
| 75157
| 43.7%
| 9
| 安徽
| 176000
| 79238
| 45.0%
| 10
| 湖北
| 124000
| 60000
| 48.4%
|
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