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| Several Issues of the Supreme People's Court that shall be Taken into Consideration in Current Economic Trials | | 当前经济审判工作应当注意的几个问题 |
(The deputy president of the Supreme People's Court: Li Guoguang November 23, 1998) | |
（最高人民法院副院长 李国光 １９９８年１１月２３日） |
Under the new situations, with a view to assuring that the economic trials are carried out surrounding the central target and the overall situation of the Party and the state, and sticking to the guiding thoughts of providing service for economic construction and providing judicial guard and service for the construction of socialist economic system, at present, the following issues shall be taken into consideration in the economic trial in the People's Court: | |
在新的形势下，为保证经济审判工作始终围绕着党和国家的中心任务和工作大局开展，坚持为经济建设服务，为建立社会主义市场经济体制提供司法保障和服务的指导思想，当前，人民法院的经济审判工作应当注意以下几个问题。 |
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| (1)Issues concerning provision of legal guard and service for the transformation of state-owned enterprises | | （一）关于依法保障和服务于国有企业改革问题 |
Along with the further deepening of the transformation of state-owned enterprises, cases of various kinds of disputes arising from the transformation of state-owned enterprise such as reorganization, unite, merge, lease, contract, transfer and adoption of stock system and stock cooperation system are increasing. But the laws and regulations concerning the transformation of enterprises are relatively lagged behind; the policy and methods vary from region to region. The transformation of enterprises in some places do not conform with provisions and violate the basic principles of the laws, which makes more difficulties in the trial of cases. In dealing with this kind of cases, following issues shall be specified: | |
随着国有企业改革的不断深化，涉及国企改革的企业改组、联合、兼并、租赁、承包、转让以及实行股份制和股份合作制改造中发生的各类纠纷案件逐渐增多。而目前国家有关企业改制方面的法律、法规相对滞后，各地的政策和做法不尽统一，有些地方的企业改制做法不规范，不符合法律规定的基本原则，致使案件审理难度增大。处理这类案件应当明确以下几个问题： |
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| 1.Sticking to the active and prudent principle. The courts at all levels shall understand completely that the transformation of state-owned enterprise is an important strategic decision of the Party and the country in constructing the socialist market economic system and stabilizing the socialist economic system, and shall be in an active attitude, exercise the function of trial to provide effective judicial guard and excellent judicial service to the transformation of state-owned enterprise, and shall start from the overall interest of the state to handle each cases involving the transformation of state-owned enterprise carefully and prudently. | | 第一，坚持积极慎重的原则。各级法院要充分认识国有企业改革是党和国家建立社会主义市场经济体制和巩固社会主义经济制度的一项重要战略决策，要采取积极态度，发挥审判职能作用，为国有企业改革提供有效的司法保障和良好的司法服务。要从国家全局利益出发，认真审慎地审理好涉及国有企业改革的每一个案件。 |
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| 2.Sticking to the principle that the legal principle and the transformation policy of the state are connected with each other. Sticking to legal principle means to deal with cases in accordance with the Constitution, the General Principles of Civil Law, the Law of State-owned Industrial Enterprise, the Corporation Law and related administrative regulations. Where there are explicit provisions in law, the case shall be handled in accordance with law; where there is no explicit provision in law, the case shall be handled in accordance with policy; and where there is no explicit provision in both the law and policy, the case shall, sticking to starting from reality and weighing, be handled according to the criteria of "three favorables". Where the provisions provided for by local government governing the transform of enterprises are in conflict with the central guideline, policy and existing laws, the government shall be advised to sort out and amend related documents so that the relevant documents promulgated by local governments are legal, fair and reasonable. With respect to the transformation documents made by local governments that violate the central guideline, policy and existing laws, an account shall be made timely to relevant authorities and these documents cannot be the proof in dealing with cases. | | 第二，坚持法律准则与国家改制政策相结合的原则。坚持法律准则就是要根据宪法、民法通则、全民所有制工业企业法、公司法以及有关行政法规办案，凡是法律有明文规定的依照法律办；法律无明文规定的按政策办；法律和政策都无明文规定的，坚持一切从实际出发，按照是否符合“三个有利于”的标准来衡量。对于地方政府制定的企业改制规定与中央方针政策、现行法律相抵触的，应当建议政府对有关文件进行清理和修改，使地方政府制定的有关文件合法、公正和合理。对于地方违反中央方针政策和法律的规定的改制文件，应及时向有关部门讲明情况，不能作为办案依据。 |
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| 3.Issues concerning the bearing of liabilities after the transformation of enterprise shall be dealt with carefully. In hearing cases involving the transformation of enterprise, the transformation of enterprise shall be supported firmly and the activities to infringing on the national interest and the legal rights and interests of creditor by using the transformation shall be punished according to law. At present, the occurrence that the debt assumer is changed without the acknowledgement of the creditor is relatively predominant. This kind of illegal act has brought harms to the state and other creditors' interests, to which great importance shall be attached. With regard to the problem on assumption of the former debts after transformation of enterprise, it shall be solved according to different circumstances: where a new assumer is confirmed for the debts of the transformed enterprise before transformation and has the creditor's consent, the validity shall be determined; where the new confirmed assumer, even without the consent of the creditor, has adequate capability to discharge the debts, and the creditor' interests are little affected, the new debtor may be determined to assume the liabilities in the light of actual circumstances; With respect to the acts that infringe the national interest of the rights and interest of the creditor such as changing the debtor without authorization, turning banks into figureheads, evading and avoiding debts by the chance of restructuring of enterprise, the invalidity shall be determined in accordance with the provisions of the General Principles of the Civil Law and the Corporation Law; Where only the asset of the transformed enterprise rather than the debt of the transformed enterprise has been dealt with, in accordance with the relevant provisions set forth in the General Provisions of Civil Law, the debt before transformation shall in general be born by the enterprise after transformation within the extent equivalent to the assets thus received. | | 第三，认真处理好企业改制后原有债务的承担问题。审理涉及企业改制案件，既要坚决支持企业改制，又要依法制裁借改革之机侵害国家利益和债权人合法权益的行为。目前企业改制中未经债权人同意，擅自改变债务承担主体的情况较为突出，这种违法行为已经严重损害了国家和其他债权人的利益，必须引起高度重视。对于企业改制后原有债务的承担问题，应区别情况进行处理：对于被改制企业改制前的债务确定了新的承担人、并经债权人同意的，应当认定为有效；对于虽未经债权人同意，但新确定的债务人有足够能力清偿债务，对债权人的利益影响不大，可以按照实际情况考虑确认由新的债务人承担债务；对于擅自改变债务主体，借企业改制之机悬空、逃废债务，损害国家和债权人利益的行为，应当根据民法通则和公司法的有关规定，确认无效；对于仅对被改制企业的财产进行了处理，而未处理改制企业债务的，根据民法通则有关规定，原则上应由改制变更后的企业在所接受财产的等值范围内承担企业改制前的债务。 |
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| 4.Attaching importance to well organizing asset evaluation. The problems of the unconformity with standard in the asset evaluation in the transformation of enterprise are predominant and there are many disputes and hidden trouble. Some enterprises did not employ competent institute to conduct asset evaluation in the transformation; some did evaluation, though, it is of great arbitrariness of undervaluation or overvaluation. Asset evaluation is the objective requirement in determining the actual value of tangible and intangible assets of enterprise and also an effective method to prevent the loss of state-owned assets. The people's court shall advise the relevant governmental departments in charge of the transformation to attach importance to this work and supervise and urge relevant evaluation institutions to conduct legally the evaluation according to the legal, factual, scientific, fair and reasonable evaluation principle. In accordance with the administrative measures and the rules of implementation of the evaluation of state-owned assets, the evaluation of the assets of state-owned enterprises shall be conducted by the institution legally eligible. | | 第四，注重组织好资产评估。目前企业改制中资产评估不规范的问题突出，存在许多纠纷隐患。有的企业在改制时没有聘请有资格的机构进行资产评估；有的虽经评估，但在评估时或高值低估、或低值高估，随意性很大。资产评估是确定企业实物资产和无形资产现实价值的客观要求，也是防止国有资产流失有效手段。人民法院要建议主持改制工作的有关政府部门重视这项工作，并督促有关评估机构，按照合法、真实、科学、公正、合理的评估原则，依法做好评估工作。按照国有资产评估管理办法及实施细则的规定，对于国有企业资产应当由具有法定资质的机构进行评估。 |
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| 5.Issues of carefully dealing with the preservation of the fund of state-owned enterprise. The technology reform fund, difficulty solving fund and grain purchasing fund granted by the People's Bank of China in accordance with the directions of the leaders in the State Council are closed-end fund controlled by the state and have great importance in the implementation of structure adjustment and the going on wheels of reform of state-owned enterprise. The local courts shall not adopt preservation measures such as fund freezing to this part of closed-end fund, let alone the executive measures such as enforced appropriation. | | 第五，慎重处理涉及有关国有企业资金的保全问题。中国人民银行按照国务院领导的指示，发放的企业技改资金、企业解困资金和粮食收购资金，属于国家控制的封闭运行资金，对实施产业结构调整，顺利进行国企改革具有重要作用。各地法院不能对这部分封闭运行资金采取冻结等保全措施，更不能采取强制划拨等执行措施。 |
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| (2)Issues concerning the standardizing in accordance with law the trial of bankruptcy case | | （二）关于依法规范破产案件审理的问题 |
After the seminar on the trial of bankruptcy case of the courts around the country in March this year, all courts earnestly implement the spirit of the seminar and take effective measures to standardize in accordance with law the trial of enterprise's bankruptcy case, which has gained obvious achievements. But recently, still there are some problems in the trial of enterprise's bankruptcy case in some courts; the main problem thereof is that in some pilot cities, the bankruptcy of enterprise does not abide by relevant provisions of the State Council to convert the asset into money and close the enterprise; there are cases of transferring all asset in disguised form; and that the bankruptcy of state-owned enterprise in non-pilot cities adopt the special policies of the State Council. With respect to this, certain issues are hereby reaffirmed: | |
今年３月全国法院破产案件审理工作座谈会之后，各地法院认真贯彻和执行会议精神，采取有效措施，依法规范企业破产案件的审理工作，取得了比较明显的成效。但最近一个时期，仍发现少数法院在审理破产案件中存在着一些问题。主要是一些试点城市中的企业破产没有按照国务院的有关规定，做到资产变现，关门走人，仍有变相整体转让的情况发生；非试点城市的国有企业破产套用国务院有关特殊政策的情况。对此，我在这里重申几点： |
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| 1.Strictly follow the scope of the application of relevant documents of the State Council. The courts at all levels, in hearing the enterprise's bankruptcy case, shall not expand the applicable scope of the documents, Guo Fa (1994) No.59 and Guo Fa (1997) No. 10. The bankruptcy of the state-owned enterprise in pilot cities, if the above-mentioned documents are applicable, shall be listed in the State Enterprise Merger & Bankruptcy and Reemployment Plan. | | 第一，严格掌握适用国务院有关文件的范围。各级法院在审理企业破产案件时，不得任意扩大国发〔１９９４〕５９号文件和国发〔１９９７〕１０号文件的适用范围，对试点城市的国有工业企业的破产，凡适用上述文件的，必须列入全国企业兼并破产和职工再就业工作计划。 |
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| 2.Strictly forbidding the bankruptcy of the enterprise in non-pilot cities to take the ride to apply special policies. The bankruptcy of the state-owned enterprise outside the pilot area and the bankruptcy of non-state-owned enterprise in pilot cities and non-pilot cities shall be implemented in accordance with the provisions concerning the bankruptcy and debt repayment procedures of legal persons in the Bankruptcy Law of Enterprise of the People's Republic of China (Trial) and the Civil Procedure Law of the People's Republic of China. The application by free riding of the special policies as prescribed in the documents of the State Council is strictly forbidden. | | 第二，严禁非试点范围的破产企业搭车适用特殊政策。对试点范围以外的国有企业破产以及对试点城市、非试点城市和地区的非国有企业的破产，要严格按照《中华人民共和国企业破产法（试行）》、《中华人民共和国民事诉讼法》有关企业法人破产还债程序的规定执行，绝不允许搭车适用国务院有关文件规定的特殊政策。 |
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| 3.To hold pass in each stage of the enterprise's bankruptcy case. The stages as in file registration, asset liquidate, asset evaluation shall be carefully carried out in accordance with the requirements of the Supreme People's Court; the guidance and supervision of the liquidation team shall be especially strengthened. The transference of the whole enterprise under disguised form shall be strictly prevented; it shall take endeavors to realize the asset of the bankrupted enterprise and to close the bankrupted enterprise. The court shall make full reliance of the leadership of the Party's committee to strengthen the contact and harmonization with related governmental authorities and shall actively coordinate related governmental authorities to arrange the employees of the bankrupted enterprise to maintain the social stability. | | 第三，抓好审理企业破产案件的各个环节。要按照最高人民法院的要求，认真做好立案、财产清理、资产评估各个环节的工作，尤其要加强对清算组的指导监督。严防变相整体转让企业的情况发生，力争做到使破产企业的资产变现，破产企业关门走人。法院要充分依靠党委领导，加强与政府有关部门的联系与协调，积极配合政府有关部门做好破产企业职工安置工作，维护社会稳定。 |
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| (3)Issues concerning the dealing in accordance with law of the case involving the rectification of finance orders | | （三）关于依法处理涉及整顿金融秩序案件的问题 |
During the process of rectifying the finance order, cleaning up the "three arbitraries in finance" and closing the financial institutions whose assets can't offset the debts, the people's court shall pay attention to following matters: | |
在国家整顿金融秩序，清理“金融三乱”，关闭资不抵债金融机构的过程中，人民法院要特别注意以下问题： |
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| 1.It is necessary to build up the awareness of overall situation. The rectification of finance order and dissolve financial risks are the important measures adopted by the central authorities to assure the continuing and stable development of the national economy of our country. The people's court shall build up the awareness of overall situation, exercising the function of trial to assure firmly the the work go on wheels. The arrangement and requirements in the circular of the Supreme People's Court on the trial of finance cases in February this year shall be further implemented and realized, starting from the overall situation of preventing and dissolving financial risks to mediate and deal with cases of financial disputes in strict accordance with financial laws and regulations, provisions of relevant documents of the State Council and the spirit of relevant documents of the Supreme People's Court. It is not allowed that each one goes his own way for regional or partial profit so as to hinder or influence the progress of this work. | | 第一，要树立全局观念。整顿金融秩序，化解金融风险，是中央为保证我国国民经济持续稳定发展所采取的重大措施，人民法院要树立全局观念，充分发挥审判职能作用，坚决保障这项工作的顺利进行。要进一步贯彻落实今年２月最高人民法院对做好涉及金融案件审判工作通知的部署和要求，从防范和化解金融风险的大局出发，严格按照金融法律法规、国务院有关文件规定和最高人民法院有关通知的精神，依法及时调处金融纠纷案件。绝不允许为地方和局部的利益而各行其事，阻碍或影响这项工作的进行。 |
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2.Issues concerning the case of some closed financial institutions. In recent years, the State Council closed some non-bank financial institutions and a few commercial banks and designated some financial institutions to take the trusteeship of their credits and debts. The Supreme People's Court issued respective circulars on how to deal with the case of these closed institutions. Because these closed institutions have many branches involved in an extended financial business and many public deposits and overseas deposits, under the present situation, that the state adopted administrative measures to close and rectify is beneficial in overall situation to maintain the social stability, the image of the state and protect the rights and interests of the creditors. The dealing with such kind of problem afterwards shall still implement the requirements as put forward by Xiao Yang, the president of the Supreme People's Court, in the symposia of the presidents of higher courts on 2 July this year, i.e. "with respect to the economic dispute cases of the commercial banks and other financial institutions closed by the State Council, those that have not instituted an act shall no be accepted; those that have been accepted shall discontinue the action; those that the verdict has come into effect shall suspend the execution. The trial and execution will be resumed after the circular from the Supreme People's Court".
．．．．．． | | 第二，关于涉及某些被关闭金融机构的案件处理问题。近年来，国务院先后关闭了若干非银行金融机构和个别商业银行，并指定了一些金融机构对被关闭单位的债权债务进行托管。最高人民法院也相应地发出了通知，对如何处理涉及这些被关闭单位的案件作出了规定。由于这些被关闭单位的分支机构数量较多，所从事的金融业务面广，并涉及到众多的公众存款和境外存款。在当前情况下，国家采取行政关闭进行清理的措施，从总体上有利于维护社会的稳定、国家的对外形象和保护广大债权人的利益。今后处理这类问题，仍要贯彻执行肖扬院长今年７月２日在全国高级法院院长座谈会上讲话中所提出的要求，即：“对于涉及国务院决定关闭的商业银行和其他金融机构的经济纠纷案件，未起诉的不再受理；已受理的，中止诉讼；判决已发生法律效力的，中止执行。待最高法院通知后恢复审理和执行”。
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