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| Opinions of the Supreme People's Court on Several Issues Concerning Correctly Trying Enterprise Bankruptcy Cases to Provide Judicial Protection for Maintaining the Order of Market Economy | | 最高人民法院关于正确审理企业破产案件为维护市场经济秩序提供司法保障若干问题的意见 |
(No.36 [2009] of the Supreme People's Court) | |
（法发〔2009〕36号） |
The higher people's courts of all provinces, autonomous regions and municipalities directly under the Central Government, the Military Court of the PLA, and Xinjiang Production and Construction Corps Branch of the Higher People's Court of Xinjiang Uigur Autonomous Region: | |
各省、自治区、直辖市高级人民法院，解放军军事法院，新疆维吾尔自治区高级人民法院生产建设兵团分院： |
At present, with the further on-going and spreading of the current international financial crisis, China's economic development is still faced with severe challenges. The negative factors and potential risks which impede the normal functioning of the economy increase by a large margin, and many enterprises are faced with more and more systematic risks due to the disconnection of the capital chain. All these seriously disrupt the normal economic order and imperil the social stability. Under the current economic situation, it is of far-reaching importance to effectively coping with the international financial crisis and maintaining the rapid yet steady development of the national economy that we give full play to the judicial functions of the people's courts in trying cases about commercial affairs, correctly try enterprise bankruptcy cases, prevent and eliminate the debt risks of enterprises, save enterprises in difficulties, regulate the mechanism for market subjects to withdraw from the market and maintain the normal market order. We hereby give the following opinions for the people's courts to do a good job in the trial of enterprise bankruptcy cases: | |
当前，由于国际金融危机的不断发展和蔓延，我国经济发展仍然面临着严峻的考验。阻碍经济良性运行的负面因素和潜在风险明显增多，许多企业因资金链断裂引发的系统风险不断显现，严重影响了我国经济发展秩序良性运转和社会稳定。在当前经济形势下，充分发挥人民法院商事审判的职能作用，正确审理企业破产案件，防范和化解企业债务风险，挽救危困企业，规范市场主体退出机制，维护市场运行秩序，对于有效应对国际金融危机冲击，保障经济平稳较快发展，具有重要意义。现就人民法院做好企业破产案件审判工作，提出以下意见： |
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| I. Accepting enterprise bankruptcy cases according to law to provide judicial protection for establishing a good operational mechanism for the socialist market economy of China | | 一、依法受理企业破产案件，为建立我国社会主义市场经济良性运行机制提供司法保障 |
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| 1. The people's courts shall correctly understand the role of the Enterprise Bankruptcy Law in guaranteeing the fair and sequenced repayment of debts, improving the competition mechanism of selecting the superior and eliminating the inferior, optimizing the allocation of social resources, adjusting the industrial structure and saving enterprises in difficulties, accept enterprise bankruptcy liquidation cases, reorganization cases and conciliation cases according to law, comprehensively apply the procedures prescribed in the Enterprise Bankruptcy Law, give full play to its role in adjusting the market economy, and establish a good operational mechanism for incorporated enterprises to quit the market so as to promote the rapid yet healthy development of the economy and society. | | 1.人民法院要正确认识企业破产法保障债权公平有序受偿、完善优胜劣汰的竞争机制、优化社会资源配置、调整社会产业结构、拯救危困企业的作用，依法受理审理企业破产清算、重整、和解案件，综合利用企业破产法的多种程序，充分发挥其对市场经济的调整作用，建立企业法人规范退出市场的良性运行机制，努力推动经济社会又好又快发展。 |
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| 2. To guarantee the implementation of the state policies on adjusting the industrial structure, for enterprises which already have causes of bankruptcy, the people's courts shall accept the bankruptcy liquidation applications which meet the prescribed requirements according to law so that those enterprises can withdraw from the market in an orderly way through the bankruptcy liquidation procedure. A dishonest enterprise that satisfies the acceptance conditions for a bankruptcy liquidation application but might evade its debts by way of bankruptcy shall still be admitted to the statutory bankruptcy liquidation procedure, and the people's court which accepts its application shall revoke and deny its any improper disposal of property, and pursue the liability of the investors and other relevant entities so as to make it unable to evade debts by way of bankruptcy and deprive it of its status as a market subject. Where a creditor applies for subjecting a debtor to bankruptcy liquidation, the people's court shall, instead of simply rejecting the creditor's application under the pretext that the creditor cannot provide information about the debtor's financial position, find out whether the debtor is unable to pay off due debts. | | 2.为保障国家产业结构调整政策的落实，对于已经出现破产原因的企业，人民法院要依法受理符合条件的破产清算申请，通过破产清算程序使其从市场中有序退出。对于虽有借破产逃废债务可能但符合破产清算申请受理条件的非诚信企业，也要将其纳入到法定的破产清算程序中，通过撤销和否定其不当处置财产行为，以及追究出资人等相关主体责任的方式，使其借破产逃废债务的目的落空，剥夺其市场主体资格。对债权人申请债务人破产清算的，人民法院审查的重点是债务人是否不能清偿到期债务，而不能以债权人无法提交债务人财产状况说明等为由，不受理债权人的申请。 |
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| 3. For any enterprise which already has a cause of bankruptcy or is highly possible to become insolvent but meets the description in the state policies on adjusting the industrial structure and still has a future, the people's court shall give full play to the role of the bankruptcy reorganization procedure and the bankruptcy conciliation procedure to effectively save the enterprise. The bankruptcy reorganization system and the bankruptcy conciliation system provide an opportunity for enterprises in difficulties but are still worth saving to survive instead of winding up business in bankruptcy liquidation, are good for realizing a win-win situation between debtors and their creditors, investors, employees and related parties, and are favorable for comprehensively utilizing the social resources. Making efforts to realize the reorganization and conciliation of enterprises, increasing employment, optimizing resource allocation and reducing the adverse impact caused by the bankruptcy of enterprises are important targets of the people's courts in the trial of enterprise bankruptcy cases and are also necessary requirements for the commercial trial work of the people's courts to serve the fundamental purpose of maintaining growth, livelihood and stability. | | 3.对于虽然已经出现破产原因或者有明显丧失清偿能力可能，但符合国家产业结构调整政策、仍具发展前景的企业，人民法院要充分发挥破产重整和破产和解程序的作用，对其进行积极有效的挽救。破产重整和和解制度，为尚有挽救希望的危困企业提供了避免破产清算死亡、获得再生的机会，有利于债务人及其债权人、出资人、职工、关联企业等各方主体实现共赢，有利于社会资源的充分利用。努力推动企业重整和和解成功，促进就业、优化资源配置、减少企业破产给社会带来的不利影响，是人民法院审理企业破产案件的重要目标之一，也是人民法院商事审判工作服务于保增长、保民生、保稳定大局的必然要求。 |
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| II. Adhering to the leadership of the local Party committees and assisting the governments in maintaining stability in the trial of enterprise bankruptcy cases to provide judicial protection for building a harmonious society | | 二、坚持在当地党委的领导下，努力配合政府做好企业破产案件中的维稳工作，为构建和谐社会提供司法保障 |
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| 4. After debtors enter into the bankruptcy procedure, as it involves the interests of many parties including creditors, debtors, investors and employees, the contradictions among them are particularly prominent, improperly handling such contradictions would lead to mass incidents or unexpected events and sabotage social stability. Therefore, in the trial of enterprise bankruptcy cases, the people's courts shall adhere to the leadership of the local Party committees and give full play to the role of the risk warning mechanism, the cooperation mechanism, the capital guarantee mechanism and other coordination mechanisms established by the local governments so as to provide assistance for the governments to maintain stability in handling enterprise bankruptcy cases. | | 4.债务人进入破产程序后，因涉及债权人、债务人、出资人、企业职工等众多当事人的利益，各方矛盾极为集中和突出，处理不当，极易引发群体性、突发性事件，影响社会稳定。人民法院审理企业破产案件，一定要坚持在当地党委的领导下，充分发挥地方政府建立的风险预警机制、联动机制、资金保障机制等协调机制的作用，努力配合政府做好企业破产案件中的维稳工作。 |
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| 5. The sensitive bankruptcy cases which involve serious wage payment or employment problems, sharp contradictions between the creditors or the debtors' abandonment of enterprises for the purpose of evading paying debts shall be immediately reported to the local Party committees to seek for the government support. You need to, under the coordination of the government, strengthen communication and cooperation with the relevant departments, take effective measures, solve and eliminate contradictions and disputes, avoid encroaching upon the enterprise property or employees' appeal to the higher authorities for help, so as to remove the unstable factors in infancy. When conditions permit, the government can set up stability funds or encourage the third parties to make advance payments to settle the employees of insolvent enterprises at the first place. The advance payments made by the government or any third party can be firstly repaid in the bankruptcy procedure according to the repayment sequence of employees' claims. | | 5.对于职工欠薪和就业问题突出、债权人矛盾激化、债务人弃企逃债等敏感类破产案件，要及时向当地党委汇报，争取政府的支持。在政府协调下，加强与相关部门的沟通、配合，及时采取有力措施，积极疏导并化解各种矛盾纠纷，避免哄抢企业财产、职工集体上访的情况发生，将不稳定因素消除在萌芽状态。有条件的地方，可通过政府设立的维稳基金或鼓励第三方垫款等方式，优先解决破产企业职工的安置问题，政府或第三方就劳动债权的垫款，可以在破产程序中按照职工债权的受偿顺序优先获得清偿。 |
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| III. Giving full play to the role of the bankruptcy reorganization procedure and the bankruptcy conciliation procedure in saving enterprises in difficulties and realizing the sustainable operation of enterprises, and guaranteeing the effective utilization of social resources | | 三、充分发挥破产重整和和解程序挽救危困企业、实现企业持续经营的作用，保障社会资源有效利用 |
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6. The people's courts shall give full play to the role of judicial interactions, do a good job in explanation and coordination for the parties concerned and reasonably apply the bankruptcy reorganization procedure and the bankruptcy conciliation procedure. Where two or more parties apply for liquidation, reorganization or conciliation at the same time, the people's court shall, according to the actual situations of the debtor and the true wills of the parties concerned, accept the reorganization or conciliation applications if the actual conditions permit after organizing all parties concerned to sufficiently demonstrate their applications. For an application for the reorganization of a small-size enterprise which is worth saving but the reorganization cost is obviously larger than the reorganization income, and if any right holder disagrees with the reorganization, the people's court can guide the parties concerned to save the enterprise by way of conciliation. The people's courts shall make more efforts in reaching conciliation in the bankruptcy procedure and support all efforts legally made by debtors, trustees and new investors in saving enterprises so as to create a good legal environment for saving enterprises in difficulties.
．．．．．． | | 6.人民法院要充分发挥司法能动作用，注重做好当事人的释明和协调工作，合理适用破产重整和和解程序。对于当事人同时申请债务人清算、重整、和解的，人民法院要根据债务人的实际情况和各方当事人的意愿，在组织各方当事人充分论证的基础上，对于有重整或者和解可能的，应当依法受理重整或者和解申请。当事人申请重整，但因企业经营规模较小、虽有挽救必要但重整成本明显高于重整收益的困难企业，有关权利人不同意重整的，人民法院可引导当事人通过和解方式挽救企业。人民法院要加强破产程序中的调解工作，在法律允许的框架下，积极支持债务人、管理人和新出资人等为挽救企业所做的各项工作，为挽救困难企业创造良好的法律环境。
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