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Guiding Opinions of the General Office of the State Council on Accelerating the Construction of a Social Credit System and Constructing a New Credit-based Supervision Mechanism [Effective]
国务院办公厅关于加快推进社会信用体系建设构建以信用为基础的新型监管机制的指导意见 [现行有效]
【法宝引证码】

Guiding Opinions of the General Office of the State Council on Accelerating the Construction of a Social Credit System and Constructing a New Credit-based Supervision Mechanism 

国务院办公厅关于加快推进社会信用体系建设构建以信用为基础的新型监管机制的指导意见

(No. 35 [2019] of the General Office of the State Council) (国办发〔2019〕35号)

The people's governments of all provinces, autonomous regions, and municipalities directly under the Central Government; and all ministries and commissions of the State Council and all institutions directly under the State Council: 各省、自治区、直辖市人民政府,国务院各部委、各直属机构:
For the purposes of strengthening the construction of the social credit system, further advancing the reform of “simplifying procedures, decentralizing powers, combining decentralization with appropriate control, and optimizing services,” further maximizing the fundamental role of credit in innovating on the supervision mechanism and improving the supervision capacity and level, more effectively stimulating the vitality of market participants, and advancing high-quality development, the following opinions are hereby offered, with the consent of the State Council. 为加强社会信用体系建设,深入推进“放管服”改革,进一步发挥信用在创新监管机制、提高监管能力和水平方面的基础性作用,更好激发市场主体活力,推动高质量发展,经国务院同意,现提出如下意见。
I. Overall requirements   一、总体要求
Under the guidance of the Xi Jinping Thought on Socialism with Chinese Characteristics in a New Era, the spirit of the 19th CPC National Congress and the Second and Third Plenary Sessions of the 19th CPC Central Committee shall be implemented in an in-depth manner, the basic principles of compliance with laws and regulations, reform and innovation, and coordinated and joint governance shall be followed, strengthening of credit supervision shall be regarded as the focus, the concept of supervision, supervision system and supervision methods shall be innovated on, a new supervision mechanism that penetrates into the whole life cycle of market participants, and connects the ex-ante, interim, and ex-post supervision links shall be established and improved, the supervision capacity and level shall be continuously enhanced, the market order shall be further regulated, the business environment shall be optimized, and high-quality development shall be advanced. 以习近平新时代中国特色社会主义思想为指导,深入贯彻落实党的十九大和十九届二中、三中全会精神,按照依法依规、改革创新、协同共治的基本原则,以加强信用监管为着力点,创新监管理念、监管制度和监管方式,建立健全贯穿市场主体全生命周期,衔接事前、事中、事后全监管环节的新型监管机制,不断提升监管能力和水平,进一步规范市场秩序,优化营商环境,推动高质量发展。
II. Innovating on ex-ante credit supervision   二、创新事前环节信用监管
1. Establishing and improving the credit commitment system. Where, in the handling of the administrative licensing items applicable to the credit commitment system, an applicant pledges to meet the conditions for examination and approval and files relevant materials, it shall be handled immediately. Where an applicant's credit status is relatively sound and some application materials are incomplete, but the written commitment is provided within the prescribed time limit, the application shall be accepted beforehand, and the handling progress shall be accelerated. The performance of a written commitment shall be recorded in the credit history as an important basis for the interim and ex-post supervision. An applicant that does not perform commitments shall be subject to disciplinary action as the case may be. The administrative licensing matters for which credit commitments may be made shall be sorted out in an accelerated manner, and credit commitments in standardized format shall be developed, which shall be publicized on the portable credit websites at all levels. Market participants shall be encouraged to proactively make credit commitments to the public. The industry association and chamber of commerce shall be supported in establishing and improving the credit commitment system in the industry, and industry self-discipline shall be intensified. (All regions and departments shall be responsible in this respect according to their respective responsibilities) (一)建立健全信用承诺制度。在办理适用信用承诺制的行政许可事项时,申请人承诺符合审批条件并提交有关材料的,应予即时办理。申请人信用状况较好、部分申报材料不齐备但书面承诺在规定期限内提供的,应先行受理,加快办理进度。书面承诺履约情况记入信用记录,作为事中、事后监管的重要依据,对不履约的申请人,视情节实施惩戒。要加快梳理可开展信用承诺的行政许可事项,制定格式规范的信用承诺书,并依托各级信用门户网站向社会公开。鼓励市场主体主动向社会作出信用承诺。支持行业协会商会建立健全行业内信用承诺制度,加强行业自律。(各地区各部门按职责分别负责)
2. Exploring integrity education before implementing operators' access. Various types of government affairs service windows at all levels shall be fully utilized, and education of market participants about observance of the law and good faith shall be carried out extensively. When registration, approval, recordation and other relevant businesses are handled for market participants, standardized, normalized and convenient education about knowledge of law and credit shall be offered in a timely manner, to improve operators' awareness of conducting business with good faith. Integrity education shall be free of charge and shall not be regarded as a necessary condition for market access (All regions and departments shall be responsible in this respect according to their respective responsibilities) (二)探索开展经营者准入前诚信教育。充分利用各级各类政务服务窗口,广泛开展市场主体守法诚信教育。为市场主体办理注册、审批、备案等相关业务时,适时开展标准化、规范化、便捷化的法律知识和信用知识教育,提高经营者依法诚信经营意识。开展诚信教育不得收费,也不得作为市场准入的必要条件。(各地区各部门按职责分别负责)
3. Actively expanding the application of credit reports. Various market participants shall be encouraged to apply credit reports in production and business operation more widely and proactively. In government procurement, bidding, administrative approval, market access, examination of qualification, and other matters, the role of credit reports issued by public credit service agencies and third-party credit service agencies shall be fully maximized. Exploration shall be made for developing national unified credit report standards and mutual recognition of credit reports in different places shall be promoted. (The National Development and Reform Commission and the People's Bank of China shall take the lead in this respect, and all regions and departments shall be respectively responsible in this respect according to their respective responsibilities) (三)积极拓展信用报告应用。鼓励各类市场主体在生产经营活动中更广泛、主动地应用信用报告。在政府采购、招标投标、行政审批、市场准入、资质审核等事项中,充分发挥公共信用服务机构和第三方信用服务机构出具的信用报告作用。探索建立全国统一的信用报告标准,推动信用报告结果实现异地互认。(发展改革委、人民银行牵头,各地区各部门按职责分别负责)
III. Strengthening interim credit supervision   三、加强事中环节信用监管
4. Comprehensively establishing credit records of market participants. A credit information collection catalogue shall be developed according to the list of rights and responsibilities, and the credit acts of market participants shall be recorded in a timely, accurate and complete manner during the process of handling registration, qualification review, routine supervision, and public service, among others, and dishonesty records shall be particularly recorded, to ensure that they can be consulted, verified, and traced. (All departments and regions shall be responsible in this regard according to their respective responsibilities) The rules on unified social credit code of incorporated and unincorporated organizations shall be improved, complete credit records of market participants shall be integrated and formed with unified social credit code as the logo, and publicity of them shall be conducted through the website of “Credit China,” national enterprise credit information publication system, or websites of the Chinese governments, portal websites of relevant departments, and other channels according to the laws and regulations. The integration of 12315 hotline for market supervision complaints and tip-offs shall be completed, publicity of consumption complaints shall be vigorously carried out, and operators shall be urged to perform the primary responsibility for protecting consumer rights. (The National Development and Reform Commission and the State Administration for Market Regulation shall be responsible in this regard) (四)全面建立市场主体信用记录。根据权责清单建立信用信息采集目录,在办理注册登记、资质审核、日常监管、公共服务等过程中,及时、准确、全面记录市场主体信用行为,特别是将失信记录建档留痕,做到可查可核可溯。(各地区各部门按职责分别负责)完善法人和非法人组织统一社会信用代码制度,以统一社会信用代码为标识,整合形成完整的市场主体信用记录,并通过“信用中国”网站、国家企业信用信息公示系统或中国政府网及相关部门门户网站等渠道依法依规向社会公开。完成12315市场监管投诉举报热线和信息化平台整合工作,大力开展消费投诉公示,促进经营者落实消费维权主体责任。(发展改革委、市场监管总局负责)
5. Establishing and improving a voluntary credit information registration mechanism. Market participants shall be encouraged to voluntarily register qualification licenses and certificates, market operation, performance of contracts, social welfare and other credit information on the website of “Credit China” or other websites, make public credit commitments for the authenticity of information, and authorize the websites to integrate, share and apply the relevant information. Voluntary registration information verified may be used as an important basis for conducting credit evaluation and forming credit reports. (The National Development and Reform Commission shall take the lead in this respect, and all departments shall be respectively responsible in this respect according to their respective responsibilities) (五)建立健全信用信息自愿注册机制。鼓励市场主体在“信用中国”网站或其他渠道上自愿注册资质证照、市场经营、合同履约、社会公益等信用信息,并对信息真实性公开作出信用承诺,授权网站对相关信息进行整合、共享与应用。经验证的自愿注册信息可作为开展信用评价和生成信用报告的重要依据。(发展改革委牵头,各部门按职责分别负责)
6. Conducting comprehensive evaluation of public credit in an in-depth manner. The national credit information sharing platform shall strengthen collaboration and cooperation with relevant departments, integrate various types of credit information according to the laws and regulations, conduct comprehensive public credit evaluation of market participants characterized by full coverage, standardization, and public welfare, forward the evaluation results to relevant government departments, financial institutions, industry associations, and chambers of commerce for reference on a regular basis, and conduct publicity according to the relevant provisions. Relevant departments shall be urged to utilize the comprehensive public credit evaluation results, and establish credit evaluation models for all industries in consideration of the management data of the departments and industries, to provide more precise basis for credit supervision. (The National Development and Reform Commission shall take the lead in this respect, and all departments shall be respectively responsible in this respect according to their respective responsibilities) (六)深入开展公共信用综合评价。全国信用信息共享平台要加强与相关部门的协同配合,依法依规整合各类信用信息,对市场主体开展全覆盖、标准化、公益性的公共信用综合评价,定期将评价结果推送至相关政府部门、金融机构、行业协会商会参考使用,并依照有关规定向社会公开。推动相关部门利用公共信用综合评价结果,结合部门行业管理数据,建立行业信用评价模型,为信用监管提供更精准的依据。(发展改革委牵头,各部门按职责分别负责)
7. Vigorously promoting hierarchical and classified credit supervision. Upon sufficient grasping of the credit information and comprehensive studying and judging of the credit status, the objects under supervision shall be subject to hierarchy and classification according to the comprehensive public credit evaluation results, and industrial credit evaluation results, among others, and differentiated supervision measures shall be taken on the basis of the credit ratings. Supervision of “dual random and public disclosure” shall be conducted in consideration of the credit rating, and the proportion and frequency of random inspections of market participants with relatively sound credit and relatively low risk may be reasonably reduced, to reduce the impact on normal production and business operation; random inspections of market participants with general credit risks shall be conducted on the basis of the regular proportion and frequency; and the proportion and frequency of random inspections of market participants that are dishonest illegally and have relatively large risks shall be appropriately raised, and strict administration and punishment shall be imposed according to the laws and regulations. (All regions and departments shall be responsible in this respect according to their respective responsibilities) (七)大力推进信用分级分类监管。在充分掌握信用信息、综合研判信用状况的基础上,以公共信用综合评价结果、行业信用评价结果等为依据,对监管对象进行分级分类,根据信用等级高低采取差异化的监管措施。“双随机、一公开”监管要与信用等级相结合,对信用较好、风险较低的市场主体,可合理降低抽查比例和频次,减少对正常生产经营的影响;对信用风险一般的市场主体,按常规比例和频次抽查;对违法失信、风险较高的市场主体,适当提高抽查比例和频次,依法依规实行严管和惩戒。(各地区各部门按职责分别负责)
IV. Improving ex-post credit supervision   四、完善事后环节信用监管
8. Improving the mechanism for recognizing objects subject to joint punishment for dishonesty. The relevant departments shall develop and improve the rules on the list of objects subject to joint punishment for dishonesty according to the laws and regulations, on the basis of the dishonesty records obtained and recognized in ex-ante and interim supervision. On the basis of relevant judicial judgments, administrative penalties, administrative compulsion and other handling results, market participants involved in illegal dishonest acts characterized by adverse nature, serious circumstances and relatively large harm to the public shall be included in the list of objects subject to joint punishment for dishonesty according to the procedures. The improvement of relevant measures for administration shall be accelerated, and the recognition basis, standards, procedures, objections, complaints, and exit mechanism shall be specified. Public opinions shall be sufficiently requested for the development of measures for administration, and the standards issued and the specific recognition procedures shall be publicized by appropriate means. Relevant departments shall be supported in developing the rules on list of objects attracting key attention, and implement strict supervision measures against market participants that have dishonest acts, but whose severity has not reached the standards for recognizing objects of joint punishment for dishonesty corresponding to the degree of dishonesty. (All departments shall be responsible in this respect according to their respective responsibilities) (八)健全失信联合惩戒对象认定机制。有关部门依据在事前、事中监管环节获取并认定的失信记录,依法依规建立健全失信联合惩戒对象名单制度。以相关司法裁判、行政处罚、行政强制等处理结果为依据,按程序将涉及性质恶劣、情节严重、社会危害较大的违法失信行为的市场主体纳入失信联合惩戒对象名单。加快完善相关管理办法,明确认定依据、标准、程序、异议申诉和退出机制。制定管理办法要充分征求社会公众意见,出台的标准及其具体认定程序以适当方式向社会公开。支持有关部门根据监管需要建立重点关注对象名单制度,对存在失信行为但严重程度尚未达到失信联合惩戒对象认定标准的市场主体,可实施与其失信程度相对应的严格监管措施。(各部门按职责分别负责)
9. Urging dishonest market participants to take corrective action within the prescribed time limit. Dishonest market participants shall conduct rectification diligently within the prescribed time limit. Where effective rectification is not conducted effectively, the department recognizing a dishonest market participant shall, under the principle of “who conducts recognition holds an interview,” activate the procedures of holding prompt interview or warning interview, and urge the dishonest market participants to perform relevant obligations and eliminate adverse effects. The interview records shall be recorded in the credit record of dishonest market participants, and be included in the national credit information sharing platform. Special governance of dishonesty in key areas shall be vigorously promoted, and effective measures shall be taken to accelerate the rectification. (All departments shall be responsible in this respect according to their respective responsibilities) (九)督促失信市场主体限期整改。失信市场主体应当在规定期限内认真整改,整改不到位的,按照“谁认定、谁约谈”的原则,由认定部门依法依规启动提示约谈或警示约谈程序,督促失信市场主体履行相关义务、消除不良影响。约谈记录记入失信市场主体信用记录,统一归集后纳入全国信用信息共享平台。大力推进重点领域失信问题专项治理,采取有力有效措施加快推进整改。(各部门按职责分别负责)
10. Conducting joint punishment for dishonesty in an in-depth manner. The construction of a cross-regional, cross-industry, and cross-field joint punishment for dishonesty mechanism shall be accelerated, to fundamentally resolve the problem of repeated occurrence of dishonesty and occurrence of dishonesty in different places. A list of measures of joint punishment for dishonesty shall be developed according to the laws and regulations, and be updated dynamically and disclosed to the public, to form a large pattern of joint punishment for dishonesty characterized by concurrently taking administrative, market-oriented and industrial disciplinary actions and extensive participation in by social forces. Measures of punishment for dishonesty with great disciplinary efforts and effective supervision shall be implemented in priority, including restricting the issuance of stocks by objects subject to joint punishment for dishonesty according to the law and regulations, applying for financial funds, enjoying preferential duties and other administrative disciplinary measures, restricting access to credit, taking airplanes, high-grade trains and seats, and other market-oriented disciplinary measures, circulating a notice of criticism, conducting public condemnation, and taking other industrial measures of punishment. (The National Development and Reform Commission shall take the lead in this respect, and all regions and departments shall be respectively responsible in this respect according to their respective responsibilities) (十)深入开展失信联合惩戒。加快构建跨地区、跨行业、跨领域的失信联合惩戒机制,从根本上解决失信行为反复出现、易地出现的问题。依法依规建立联合惩戒措施清单,动态更新并向社会公开,形成行政性、市场性和行业性等惩戒措施多管齐下,社会力量广泛参与的失信联合惩戒大格局。重点实施惩戒力度大、监管效果好的失信惩戒措施,包括依法依规限制失信联合惩戒对象股票发行、招标投标、申请财政性资金项目、享受税收优惠等行政性惩戒措施,限制获得授信、乘坐飞机、乘坐高等级列车和席次等市场性惩戒措施,以及通报批评、公开谴责等行业性惩戒措施。(发展改革委牵头,各地区各部门按职责分别负责)
11. Resolutely implementing measures of prohibition from market and industry access according to the laws and regulations. By focusing on food and drugs, ecological environment, engineering quality, safe production, elderly care and child care, safe urban operation, and other areas directly related to the safety of people's lives and property, strict supervision shall be implemented and the disciplinary efforts shall be intensified. A market participant and its related responsible person that refuse to perform a judicial judgment or a decision of administrative penalty, that are inveterate, and that cause major losses shall be resolutely subject to the measures of prohibition from access to the market and industry within a prescribed time limit, until being expelled from the market forever. (The National Development and Reform Commission shall take the lead in this respect, and all regions and departments shall be respectively responsible in this respect according to their respective responsibilities) (十一)坚决依法依规实施市场和行业禁入措施。以食品药品、生态环境、工程质量、安全生产、养老托幼、城市运行安全等与人民群众生命财产安全直接相关的领域为重点,实施严格监管,加大惩戒力度。对拒不履行司法裁判或行政处罚决定、屡犯不改、造成重大损失的市场主体及其相关责任人,坚决依法依规在一定期限内实施市场和行业禁入措施,直至永远逐出市场。(发展改革委牵头,各地区各部门按职责分别负责)
12. Investigating into the responsibilities for violation of laws and dishonesty according to the law. The accountability mechanism shall be established and improved. The legal representative, primary person in charge, or actual controller of a market participant included in the list of objects subject to joint punishment for dishonesty shall be subject to punishment for dishonesty, and the relevant dishonest acts shall be recorded in his or her personal credit records. Where state organs and public institutions have illegal and dishonest acts, the competent entities at higher levels and audit departments shall be notified; and where staff members have illegal and dishonest acts, their entities and relevant discipline inspection and supervision, organization and personnel departments shall be notified. (All regions and departments shall be responsible in this respect according to their respective responsibilities) (十二)依法追究违法失信责任。建立健全责任追究机制,对被列入失信联合惩戒对象名单的市场主体,依法依规对其法定代表人或主要负责人、实际控制人进行失信惩戒,并将相关失信行为记入其个人信用记录。机关事业单位、国有企业出现违法失信行为的,要通报上级主管单位和审计部门;工作人员出现违法失信行为的,要通报所在单位及相关纪检监察、组织人事部门。(各地区各部门按职责分别负责)
13. Exploring the establishment of a credit restoration mechanism. Dishonest market participants that correct dishonest acts and eliminate adverse impact within the prescribed time limit may conduct credit restoration by making credit commitments, completing credit rectification, conducting credit verification, accepting special training, filing credit reports, participating in public welfare and charitable activities, and other means. After completing restoration, all regions and departments shall, according to the procedures, cease publicity of their dishonesty records in a timely manner, and terminate the implementation of the joint punishment measures. The coordination and cooperation, and one-website processing mechanism shall be established and improved in an accelerated manner, to provide efficient and convenient credit restoration services for dishonest market participants. Qualified third-party credit service agencies shall be encouraged to provide credit reports, credit management consulting and other services for dishonest market participants. (The National Development and Reform Commission shall take the lead in this respect, and all regions and departments shall be respectively responsible in this respect according to their respective responsibilities) (十三)探索建立信用修复机制。失信市场主体在规定期限内纠正失信行为、消除不良影响的,可通过作出信用承诺、完成信用整改、通过信用核查、接受专题培训、提交信用报告、参加公益慈善活动等方式开展信用修复。修复完成后,各地区各部门要按程序及时停止公示其失信记录,终止实施联合惩戒措施。加快建立完善协同联动、一网通办机制,为失信市场主体提供高效便捷的信用修复服务。鼓励符合条件的第三方信用服务机构向失信市场主体提供信用报告、信用管理咨询等服务。(发展改革委牵头,各地区各部门按职责分别负责)
V. Strengthening the support and guarantee of credit supervision   五、强化信用监管的支撑保障
14. Focusing on improving the level of credit supervision and informationization construction. The information collection and sharing role of the national credit information sharing platform and the national “Internet plus supervision” system shall be fully maximized, the credit information of government departments to be collected shall be collected, the interconnection of local credit information platforms and industry credit information systems shall be promoted, a circulation mechanism for data of governments and enterprises shall be smoothed, and a credit information “net” comprehensively covering all regions, all departments, and various types of market participants shall be formed. By relying on the national credit information sharing platform and the national “Internet plus supervision” system, market participants' basic information, law enforcement supervision and handling information, and information on joint punishment for dishonesty, among others, shall be shared with the business systems of relevant departments as needed, and be applied during the process of credit supervision, to support the formation of a credit supervision coordination mechanism characterized by data synchronization, unified measures, and consistent standards. (The National Development and Reform Commission and the General Office of the State Council shall take the lead in this respect, and all regions and departments shall be respectively responsible in this respect according to their respective responsibilities) (十四)着力提升信用监管信息化建设水平。充分发挥全国信用信息共享平台和国家“互联网+监管”系统信息归集共享作用,对政府部门信用信息做到“应归尽归”,推进地方信用信息平台、行业信用信息系统互联互通,畅通政企数据流通机制,形成全面覆盖各地区各部门、各类市场主体的信用信息“一张网”。依托全国信用信息共享平台和国家“互联网+监管”系统,将市场主体基础信息、执法监管和处置信息、失信联合惩戒信息等与相关部门业务系统按需共享,在信用监管等过程中加以应用,支撑形成数据同步、措施统一、标准一致的信用监管协同机制。(发展改革委、国务院办公厅牵头,各地区各部门按职责分别负责)
15. Vigorously promoting the openness and publicity of the credit supervision information. On the basis of centralized publicity of administrative licensing and administrative penalty information, and by relying on the website of “Credit China,” the websites of Chinese governments or other channels, publicity of administrative compulsion, administrative confirmation, administrative expropriation, administrative payment, administrative ruling, administrative compensation, administrative rewards, administrative supervision and inspection and other administrative acts shall be further studied and promoted within 7 working days, and publicity of the relevant information on dishonest persons subject to enforcement and dishonest persons engaging in false litigation that shall be disclosed in judicial judgments and enforcement activities through appropriate channels shall be promoted, to achieve “complete publicity of those shall be publicized.” (All regions and departments shall be responsible in this respect according to their respective responsibilities) (十五)大力推进信用监管信息公开公示。在行政许可、行政处罚信息集中公示基础上,依托“信用中国”网站、中国政府网或其他渠道,进一步研究推动行政强制、行政确认、行政征收、行政给付、行政裁决、行政补偿、行政奖励和行政监督检查等其他行政行为信息7个工作日内上网公开,推动在司法裁判和执行活动中应当公开的失信被执行人、虚假诉讼失信人相关信息通过适当渠道公开,做到“应公开、尽公开”。(各地区各部门按职责分别负责)
16. Fully maximizing the supporting role of “Internet plus” and big data in credit supervision. By relying on “Internet plus supervision” and other systems, public credit information, market credit information, complaints and tip-offs, and information on the Internet and third parties shall be effectively integrated, big data, artificial intelligence and other new generation of information technology shall be sufficiently utilized, and comparable data, traceable process, and monitored problems shall be realized for credit supervision. All regions and departments shall be encouraged to cooperate with big data institutions to develop credit information in light of the reality according to the laws and regulations, and master the business operations of market participants and their laws and characteristics in a timely and dynamic manner. “Internet plus supervision” and other systems of the state shall be sufficiently utilized to establish a risk pre-judgment and early warning mechanism, for early detection and prevention of initial cross-industry cross-regional risks. Big data shall be utilized to actively discover and identify illegal clues, and effectively prevent violations that endanger public interests and the safety of people's lives and property. The improvement of the law enforcement supervision efficiency through non-contact supervision methods such as the Internet of Things and video Internet shall be encouraged, to achieve standardized, precise, and intelligent supervision, reduce human factors, achieve fair supervision, eliminate random inspections, multi-party supervision and other problems, realize “inquiry of several matters once,” and reduce disturbance to subjects under supervision. (The General Office of the State Council, the National Development and Reform Commission, and the State Administration for Market Regulation shall take the lead in this respect, and all departments shall be respectively responsible in this respect according to their respective responsibilities) (十六)充分发挥“互联网+”、大数据对信用监管的支撑作用。依托国家“互联网+监管”等系统,有效整合公共信用信息、市场信用信息、投诉举报信息和互联网及第三方相关信息,充分运用大数据、人工智能等新一代信息技术,实现信用监管数据可比对、过程可追溯、问题可监测。鼓励各地区各部门结合实际,依法依规与大数据机构合作开发信用信息,及时动态掌握市场主体经营情况及其规律特征。充分利用国家“互联网+监管”等系统建立风险预判预警机制,及早发现防范苗头性和跨行业跨区域风险。运用大数据主动发现和识别违法违规线索,有效防范危害公共利益和群众生命财产安全的违法违规行为。鼓励通过物联网、视联网等非接触式监管方式提升执法监管效率,实现监管规范化、精准化、智能化,减少人为因素,实现公正监管,杜绝随意检查、多头监管等问题,实现“进一次门、查多项事”,减少对监管对象的扰动。(国务院办公厅、发展改革委、市场监管总局牵头,各部门按职责分别负责)
17. Effectively intensifying the efforts of protecting the security of credit information and market participants' rights and interests. Illegal disclosure of and tampering with credit information or use of credit information for personal gains, and other acts shall be seriously investigated and handled. The construction of credit information security infrastructure and security protection capacity shall be strengthened. A credit information objection complaint system shall be established and improved. For objections raised by market participants, an entity providing and collecting information shall verify and inform the results as soon as possible, and correct or revoke the information verified to be incorrect in a timely manner. Where the lawful rights and interests of market participants are damaged due to incorrect recognition of lists of objects subject to joint punishment for dishonesty and incorrect taking of measures for joint punishment for dishonesty, the relevant departments and entities shall actively take measures to eliminate adverse impact. (All regions and departments shall be responsible in this respect according to their respective responsibilities) (十七)切实加大信用信息安全和市场主体权益保护力度。严肃查处违规泄露、篡改信用信息或利用信用信息谋私等行为。加强信用信息安全基础设施和安全防护能力建设。建立健全信用信息异议投诉制度,对市场主体提出异议的信息,信息提供和采集单位要尽快核实并反馈结果,经核实有误的信息要及时予以更正或撤销。因错误认定失信联合惩戒对象名单、错误采取失信联合惩戒措施损害市场主体合法权益的,有关部门和单位要积极采取措施消除不良影响。(各地区各部门按职责分别负责)
18. Actively directing the coordinated supervision of industrial organization and credit service agencies. Industry associations and chambers of commerce authorized by relevant departments shall be supported in assisting in credit construction and credit supervision of the industries, be encouraged to create credit records of members, carry out credit commitments, credit training, integrity promotion, and integrity advocating, among others, regard honesty as an important part of the rules and regulations of the industries, and direct the respective industries to enhance the awareness of honest operation according to the law. The development of credit information, credit rating, credit insurance, credit guarantee, performance guarantee, credit management consulting and training, and other credit services shall be promoted, and the professional role of third-party credit service agencies in collection, processing and application of credit information and other respects shall be effectively maximized. Relevant departments and third-party credit service agencies shall be encouraged to cooperate in collection of credit records, sharing of credit information, analysis on big credit data, early warning of credit risks, verification of dishonesty cases, and tracking and monitoring of dishonest acts, and other respects. (The National Development and Reform Commission, the Ministry of Civil Affairs and the People's Bank of China shall be respectively responsible in this respect) (十八)积极引导行业组织和信用服务机构协同监管。支持有关部门授权的行业协会商会协助开展行业信用建设和信用监管,鼓励行业协会商会建立会员信用记录,开展信用承诺、信用培训、诚信宣传、诚信倡议等,将诚信作为行规行约重要内容,引导本行业增强依法诚信经营意识。推动征信、信用评级、信用保险、信用担保、履约担保、信用管理咨询及培训等信用服务发展,切实发挥第三方信用服务机构在信用信息采集、加工、应用等方面的专业作用。鼓励相关部门与第三方信用服务机构在信用记录归集、信用信息共享、信用大数据分析、信用风险预警、失信案例核查、失信行为跟踪监测等方面开展合作。(发展改革委、民政部、人民银行按职责分别负责)
VI. Strengthening the organization and implementation of credit supervision   六、加强信用监管的组织实施
19. Strengthening organization and leadership. All regions and departments shall regard the construction of a new credit-based supervision mechanism as an important measure for further promoting the reform of “simplifying procedures, decentralizing powers, combining decentralization with appropriate control, and optimizing services,” place it at a more prominent position, strengthen organization and leadership, specify the division of responsibilities, and promote the implementation in an effectively and orderly manner. The supporting rules on credit supervision shall be improved and the connection with other reform matters of “simplifying procedures, decentralizing powers, combining decentralization with appropriate control, and optimizing services” shall be strengthened. The departments assuming the responsibilities of market supervision and industry supervision shall effectively assume the primary responsibility for industry credit construction and credit supervision, fully maximize the role of industry organizations and third-party credit service agencies, create favorable conditions for public supervision, and integrate and form strong joint forces for the whole society's participation in credit supervision. (The National Development and Reform Commission shall take the lead in this respect, and all regions and departments shall be respectively responsible in this respect according to their respective responsibilities) (十九)加强组织领导。各地区各部门要把构建以信用为基础的新型监管机制作为深入推进“放管服”改革的重要举措,摆在更加突出的位置,加强组织领导,细化责任分工,有力有序有效推动落实。完善信用监管的配套制度,并加强与其他“放管服”改革事项的衔接。负有市场监管、行业监管职责的部门要切实承担行业信用建设和信用监管的主体责任,充分发挥行业组织、第三方信用服务机构作用,为公众监督创造有利条件,整合形成全社会共同参与信用监管的强大合力。(发展改革委牵头,各地区各部门按职责分别负责)
20. Conducting demonstration of pilot programs. By centering on credit commitment, credit restoration, joint punishment of dishonesty, and development and utilization of big credit data and other key work, demonstration of pilot programs of credit construction and credit supervision shall be organized and carried out. On the basis of all regions' and departments' exploration and innovation, sound experience and practices of credit construction and credit supervision shall be summarized, refined and exchanged in a timely manner, and be replicated and promoted within a larger scope. (The National Development and Reform Commission shall take the lead in this respect, and all regions and departments shall be respectively responsible in this respect according to their respective responsibilities) (二十)开展试点示范。围绕信用承诺、信用修复、失信联合惩戒、信用大数据开发利用等重点工作,组织开展信用建设和信用监管试点示范。在各地区各部门探索创新的基础上,及时总结、提炼、交流开展信用建设和信用监管的好经验、好做法,在更大范围复制推广。(发展改革委牵头,各地区各部门按职责分别负责)
21. Accelerating the establishment of rules and regulations. The development of relevant laws on the construction of a social credit system shall be promoted, and the research on and issuance of regulations on the administration of public credit information, the measures for the administration of unified social credit code, and other laws and regulations shall be accelerated. National unified credit supervision rules and standards shall be developed and improved, relevant local regulations, government rules or regulatory documents shall be issued in a timely manner, and the effective practices in credit supervision shall be raised as rules and regulations. National standards for credit supervision in urgent need shall be developed without any effort spared. (The National Development and Reform Commission and the Ministry of Justice shall take the lead in this respect, and all regions and departments shall be respectively responsible in this respect according to their respective responsibilities) (二十一)加快建章立制。推动制定社会信用体系建设相关法律,加快研究出台公共信用信息管理条例、统一社会信用代码管理办法等法规。建立健全全国统一的信用监管规则和标准,及时出台相关地方性法规、政府规章或规范性文件,将信用监管中行之有效的做法上升为制度规范。抓紧制定开展信用监管急需的国家标准。(发展改革委、司法部牵头,各地区各部门按职责分别负责)
22. Effectively conducting publicity and interpretation. All departments and regions shall, through various channels and forms, conduct in-depth and meticulous interpretation of policies to market participants, to make operators fully understand and actively cooperate with new credit-based supervision measures. Guidance and training for grassroots and frontline supervisors shall be strengthened. Extensive coverage of news media shall be organized, credit supervision measures and their effects shall be actively publicized, and a favorable social atmosphere shall be created. (The National Development and Reform Commission shall take the lead in this respect, and all regions and departments shall be respectively responsible in this respect according to their respective responsibilities) (二十二)做好宣传解读。各地区各部门要通过各种渠道和形式,深入细致向市场主体做好政策宣传解读工作,让经营者充分理解并积极配合以信用为基础的新型监管措施。加强对基层和一线监管人员的指导和培训。组织新闻媒体广泛报道,积极宣传信用监管措施及其成效,营造良好社会氛围。(发展改革委牵头,各地区各部门按职责分别负责)
General Office of the State Council 国务院办公厅
July 9, 2019 2019年7月9日
     
     
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