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Opinions of the Central Committee of the Communist Party of China and the State Council on Deepening the Reform of the Investment and Financing System | | 中共中央、国务院关于深化投融资体制改革的意见 |
(July 5, 2016) | | (2016年7月5日) |
Since the 18th National Congress of the Communist Party of China (CPC), the CPC Central Committee and the State Council have vigorously advanced the reform of the simplification of administrative procedures, decentralization of powers, combination of decentralization and control, optimization of services, made new breakthroughs in the reform of the investment and financing system, significantly reduced the scope of investment programs for approval, shifted the focus of the investment administration gradually from advance approval to the process services and interim and ex-post supervision, further implemented the autonomy of enterprises in investment, and motivated the private capital. Meanwhile, it should be noticed that, compared with the requirement of the transformation of governmental functions and social and economic development, there still exist some problems in the administration system for investment and financing, mainly including: the simplification of administrative procedures and the decentralization of powers are not coordinated or effective, and the position of enterprises as principal subjects remains to be further determined; the problems of difficulties and expensiveness in financing for investment and financing programs are relatively prominent, and financing channels are required to be further opened up; the government administration of investment is urgently required to be innovated on, and the guidance and motivation role remains to be further played; the decentralization of powers is out of pace with the development of supporting systems, and the interim and ex-post supervision and the process service is still required to be strengthened; and the development of investment laws is still lagged behind, and the legal level of the investment supervision urgently needs improved. For the purpose of deepening the reform of the investment and financing system, and making full use of the key role of investment in stabilizing growth, adjusting structure and benefiting the people, the following opinions are hereby offered. | | 党的十八大以来,党中央、国务院大力推进简政放权、放管结合、优化服务改革,投融资体制改革取得新的突破,投资项目审批范围大幅度缩减,投资管理工作重心逐步从事前审批转向过程服务和事中事后监管,企业投资自主权进一步落实,调动了社会资本积极性。同时也要看到,与政府职能转变和经济社会发展要求相比,投融资管理体制仍然存在一些问题,主要是:简政放权不协同、不到位,企业投资主体地位有待进一步确立;投资项目融资难融资贵问题较为突出,融资渠道需要进一步畅通;政府投资管理亟需创新,引导和带动作用有待进一步发挥;权力下放与配套制度建设不同步,事中事后监管和过程服务仍需加强;投资法制建设滞后,投资监管法治化水平亟待提高。为深化投融资体制改革,充分发挥投资对稳增长、调结构、惠民生的关键作用,现提出以下意见。 |
I. General requirements | | 一、总体要求 |
By comprehensively implementing the spirit of the 18th CPC National Congress and the Third, Fourth, and Fifth Plenary Sessions of the 18th CPC Central Committee, guided by the Deng Xiaoping Theory, the important thoughts of "Three Represents," and the Scientific Outlook on Development, studying and implementing in depth the spirit of a series of important speeches delivered by the General Secretary Xi Jinping, according to the overall layout for "economic, political, cultural, social, and ecological progress" and the strategic layout of "Four Comprehensives," firmly developing and implementing the new development concept of innovation, coordination, greenness, open and sharing, the structural reform, especially the structural reform of the supply side, shall be vigorously advanced, the market shall be allowed to play the decisive role in resource allocation, and the government shall be allowed to play a better role. The governmental functions shall be further transformed, the reform of the simplification of administrative procedures, decentralization of powers, combination of decentralization and control, and the optimization of services shall be advanced in depth, and a new-type investment and financing system featuring independent policy making by enterprises, unimpeded financing channels, effective transformation of functions, regulated government actions, effective macro-adjustment and control, and complete legal guarantee. | | 全面贯彻落实党的十八大和十八届三中、四中、五中全会精神,以邓小平理论、“三个代表”重要思想、科学发展观为指导,深入学习贯彻习近平总书记系列重要讲话精神,按照“五位一体”总体布局和“四个全面”战略布局,牢固树立和贯彻落实创新、协调、绿色、开放、共享的新发展理念,着力推进结构性改革尤其是供给侧结构性改革,充分发挥市场在资源配置中的决定性作用和更好发挥政府作用。进一步转变政府职能,深入推进简政放权、放管结合、优化服务改革,建立完善企业自主决策、融资渠道畅通,职能转变到位、政府行为规范,宏观调控有效、法治保障健全的新型投融资体制。 |
-- Enterprises as principals, and the government playing guiding role. The scope of government investment shall be scientifically defined and strictly controlled, all types of investing entities shall be equally treated, the position of enterprises as investing entities shall be determined, the private investment shall be relaxed and vitalized, the potential of private investment and the vigor of innovation shall be unleashed. The guiding role and amplifying effect of government improvement shall be made full use of, and the public-private partnership shall be improved. | | --企业为主,政府引导。科学界定并严格控制政府投资范围,平等对待各类投资主体,确立企业投资主体地位,放宽放活社会投资,激发民间投资潜力和创新活力。充分发挥政府投资的引导作用和放大效应,完善政府和社会资本合作模式。 |
-- Combining decentralization and control, and optimizing services. The administration of investment shall be based on the effective provision of services for the investment activities of enterprises, the administration shall be implemented in services, and the services shall be realized in administration. More attention shall be paid to the advance policy guidance, interim and ex-post supervision and restraint and process services, the service mode shall be innovated on, the service process shall be simplified, and the comprehensive ability shall be improved. | | --放管结合,优化服务。将投资管理工作的立足点放到为企业投资活动做好服务上,在服务中实施管理,在管理中实现服务。更加注重事前政策引导、事中事后监管约束和过程服务,创新服务方式,简化服务流程,提高综合服务能力。 |
-- Innovating on mechanism, and keeping channels unimpeded. The investment and financing channels shall be opened up, the source of funds for investment programs shall be expanded, and the potential of private funds shall be fully explored, so as to turn more savings to effective investment, and effectively ease the problems of difficulties and expensiveness in financing for investment programs. | | --创新机制,畅通渠道。打通投融资渠道,拓宽投资项目资金来源,充分挖掘社会资金潜力,让更多储蓄转化为有效投资,有效缓解投资项目融资难融资贵问题。 |
-- Making overall arrangements, giving equal consideration, and conducting coordination and advancement. The reform of the investment and financing system and the structural reform of the supply side and the reform in the fields of finance and tax, finance, state-owned enterprises, etc., shall be organically connected, and overall advanced, and a working mechanism featuring interactions between upper and lower levels and horizontal cooperation shall be established, so as to form a joint reform force. | | --统筹兼顾,协同推进。投融资体制改革要与供给侧结构性改革以及财税、金融、国有企业等领域改革有机衔接、整体推进,建立上下联动、横向协同工作机制,形成改革合力。 |
II. Improving the administration of enterprise investment, and fully triggering the motivation and vigor of private investment | | 二、改善企业投资管理,充分激发社会投资动力和活力 |
(1) Determining the positions of enterprises as investing entities The minimization of the scope of the approval of enterprise investment shall be adhered to, and enterprises shall, in principle, independently make decisions on investment in accordance with the laws and regulations. A commitment system for enterprise investment programs shall be piloted within certain fields and regions, and an administration mode with the guidance of policy conditions, enterprise credit commitment, and effective restraint by supervision as its core shall be explored and innovated on. If the government, from the perspective of maintaining social and public interests, indeed needs to review and control a tiny minority of programs relating to the national security, ecological safety, the distribution of national significant productivity, the development of strategic resources, and significant public interests, etc. it shall specify the relevant matters in the form of a list, and maximally reduce the matters subject to approval. | | (一)确立企业投资主体地位。坚持企业投资核准范围最小化,原则上由企业依法依规自主决策投资行为。在一定领域、区域内先行试点企业投资项目承诺制,探索创新以政策性条件引导、企业信用承诺、监管有效约束为核心的管理模式。对极少数关系国家安全和生态安全、涉及全国重大生产力布局、战略性资源开发和重大公共利益等项目,政府从维护社会公共利益角度确需依法进行审查把关的,应将相关事项以清单方式列明,最大限度缩减核准事项。 |
(2) Establishing a "three lists" administration system for investment programs. The catalog of investment programs subject to government approval shall, in a timely manner, be revised and issued, the negative list system for the administration of enterprise investment programs shall be implemented, and, save the items within the scope of the catalogs, all shall be governed by a recordation system, and enterprises shall, according to the relevant provisions, conduct recordation at recordation authorities. A power list system for the administration of enterprise investment programs shall be established to define the powers exercised by the departments of the governments at all levels to administer the enterprise investment programs in the form of a list, the principle of legal authority shall be strictly observed, the exercise of powers shall be regulated, and the administration process shall be optimized. A responsibility list system for the administration of enterprise investment programs shall be established to sort out the responsibility matters corresponding to powers for the departments of the governments at all levels to administer the enterprise investment programs, define responsible bodies, and improve the accountability mechanism. A "three lists" dynamical administration mechanism shall be established and improved, and adjustment shall, in good time, be made based on the change of circumstances. The lists shall, in a timely manner, be disclosed to accept social supervision, and ensure lawfulness, open and transparency. | | (二)建立投资项目“三个清单”管理制度。及时修订并公布政府核准的投资项目目录,实行企业投资项目管理负面清单制度,除目录范围内的项目外,一律实行备案制,由企业按照有关规定向备案机关备案。建立企业投资项目管理权力清单制度,将各级政府部门行使的企业投资项目管理职权以清单形式明确下来,严格遵循职权法定原则,规范职权行使,优化管理流程。建立企业投资项目管理责任清单制度,厘清各级政府部门企业投资项目管理职权所对应的责任事项,明确责任主体,健全问责机制。建立健全“三个清单”动态管理机制,根据情况变化适时调整。清单应及时向社会公布,接受社会监督,做到依法、公开、透明。 |
(3) Optimizing administration process. In the case of investment programs subject to the recordation, the recordation authorities shall, through the online investment program approval and regulatory platforms or government service halls, provide rapid and convenient recordation services, but shall not establish any precondition. In the case of investment programs subject to approval, government departments shall, depending on the online investment program approval and regulatory platforms or government service halls, implement parallel approval. The relevant formalities at the access phase of the investment programs shall be simplified, and only the proposal of location, preliminary review of land (sea) use, and the approval of environment impact assessment of major programs shall be reserved as precondition; and the relevant departments shall, according to the requirement for the parallel handling and joint appraisal and review, coordinate the decentralization of approval powers, and explore and establish a new mode featuring multiple appraisal in one, and uniform appraisal and review. The marketing process of the intermediary services shall be advanced, the industrial and regional barriers and departmental monopoly shall be broken, the interest association between intermediary service agencies and government departments shall be cut off, and an open and transparent intermediary service market shall be established. The formalities of the construction reporting of investment programs shall be further simplified and integrated, the approval formalities with regard to the technical review category at the construction reporting phase of the investment programs shall be canceled, and the administration mode of construction first and check later shall be researched and implemented. | | (三)优化管理流程。实行备案制的投资项目,备案机关要通过投资项目在线审批监管平台或政务服务大厅,提供快捷备案服务,不得设置任何前置条件。实行核准制的投资项目,政府部门要依托投资项目在线审批监管平台或政务服务大厅实行并联核准。精简投资项目准入阶段的相关手续,只保留选址意见、用地(用海)预审以及重特大项目的环评审批作为前置条件;按照并联办理、联合评审的要求,相关部门要协同下放审批权限,探索建立多评合一、统一评审的新模式。加快推进中介服务市场化进程,打破行业、地区壁垒和部门垄断,切断中介服务机构与政府部门间的利益关联,建立公开透明的中介服务市场。进一步简化、整合投资项目报建手续,取消投资项目报建阶段技术审查类的相关审批手续,探索实行先建后验的管理模式。 |
(4) Regulating enterprise investment. All types of enterprises shall strictly observe the laws and regulations in the aspects of urban and rural planning, land administration, environmental protection, work safety, etc., conscientiously implement the provisions of relevant policies and standards, implement in accordance with the law the program legal person responsibility system, the bidding system, the project supervision system, and the contract management system, practically strengthen the development of a credit system, and voluntarily regulate investment. In respect of a program which is constructed not according to the content of the approval, or of which the approval or recordation formalities were obtained by improper means, the approval or recordation authorities shall, depending on the seriousness of the case, in accordance with the law, give such punishment as warning, order to cease construction, or order to cease production; and in respect of a program which is constructed without handling other relevant formalities in accordance with the law, or the construction of which is in violation of the laws and regulations in the aspects of urban and rural planning, land administration, environmental protection, work safety, etc., relevant departments shall give a punishment in accordance with the law. If the relevant responsible person is suspected of any crime, the case shall be transferred to the judiciary. All types of investment intermediary service agencies shall adhere to the principle of good faith, strengthen self-regulation, raise the awareness of services and social responsibility, and build an honest, efficient, and socially reliable industrial image. The relevant industrial associations shall strengthen industrial self-regulation, improve industrial norms and standards, and improve service quality, but shall not conduct approval in disguise. ...... | | (四)规范企业投资行为。各类企业要严格遵守城乡规划、土地管理、环境保护、安全生产等方面的法律法规,认真执行相关政策和标准规定,依法落实项目法人责任制、招标投标制、工程监理制和合同管理制,切实加强信用体系建设,自觉规范投资行为。对于以不正当手段取得核准或备案手续以及未按照核准内容进行建设的项目,核准、备案机关应当根据情节轻重依法给予警告、责令停止建设、责令停产等处罚;对于未依法办理其他相关手续擅自开工建设,以及建设过程中违反城乡规划、土地管理、环境保护、安全生产等方面的法律法规的项目,相关部门应依法予以处罚。相关责任人员涉嫌犯罪的,依法移送司法机关处理。各类投资中介服务机构要坚持诚信原则,加强自我约束,增强服务意识和社会责任意识,塑造诚信高效、社会信赖的行业形象。有关行业协会要加强行业自律,健全行业规范和标准,提高服务质量,不得变相审批。 ...... |
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