| Order of the China Banking and Insurance Regulatory Commission | | 中国银行保险监督管理委员会令 |
| (No. 1 [2020]) | | （2020年第1号） |
| The Measures of the China Banking and Insurance Regulatory Commission for the Administration of Regulatory Documents, as adopted at the 7th executive meeting of the China Banking and Insurance Regulatory Commission on August 2, 2019, are hereby issued and shall come into force on March 1, 2020. | | 《中国银保监会规范性文件管理办法》已经2019年8月2日中国银保监会2019年第7次委务会议通过。现予公布，自2020年3月1日起施行。 |
| Chairman: Guo Shuqing | | 主席 郭树清 |
| January 3, 2020 | | 2020年1月3日 |
| Measures of the China Banking and Insurance Regulatory Commission for the Administration of Regulatory Documents | | 中国银保监会规范性文件管理办法 |
| Chapter I General Provisions | | 第一章 总 则 |
Article 1 For the purposes of standardizing the procedures for the development of regulatory documents of the China Banking and Insurance Regulatory Commission (hereinafter referred to as the “CBIRC”) and improving the quality of legislation and the level of legal regulation, these Measures are developed in accordance with the Legislation Law of the People's Republic of China, the Regulation on the Procedures for the Development of Rules, and the Notice by the General Office of the State Council of Strengthening the Development and Supervisory Administration of Administrative Regulatory Documents | | 第一条 为规范中国银行保险监督管理委员会（下称银保监会）规范性文件的制定程序，提高立法质量和依法监管水平，根据《中华人民共和国立法法》、《规章制定程序条例》、《国务院办公厅关于加强行政规范性文件制定和监督管理工作的通知》等规定，制定本办法。 |
| Article 2 For the purpose of these Measures, “regulatory documents” means the documents developed and issued by the CBIRC according to its statutory powers and procedures, which involve the rights and obligations of the administrative counterparts, among others, subject to regulation of the banking industry and the insurance industry, have universal binding force and may be applied repeatedly during a certain period of time. | | 第二条 本办法所称规范性文件是除部门规章外，由银保监会依照法定权限、程序制定并公开发布，涉及银行业保险业监管行政相对人等的权利义务，具有普遍约束力，在一定期限内反复适用的公文。 |
| Article 3 The following official documents are not within the scope of the regulatory documents as prescribed in these Measures: | | 第三条 下列公文不属于本办法规定的规范性文件范围： |
| (1) Internal documents on the organization, personnel, financial affairs, foreign affairs, among others; | | （一）组织人事、财务、外事等内部公文； |
| (2) Official documents on the Party affairs and disciplinary inspection and supervision; | | （二）党务、纪检监察公文； |
| (3) Requests for instructions and reports sent to superior authorities; | | （三）发送上级机关的请示和报告； |
| (4) Official documents forwarded for the implementation of superior documents, in which no new substantive content is proposed; | | （四）落实上级文件、未提出新的实质性内容的转发性公文； |
| (5) Official documents on administrative affairs which do not serve as the regulatory basis. | | （五）不作为监管依据的事务性公文； |
| (6) Decisions, official replies, regulatory opinions, risk alerts, administrative penalty documents, administrative reconsideration documents, and on-site inspection documents involving specific matters related to administrative counterparts; | | （六）涉及行政相对人有关具体事项的决定、批复、监管意见、风险提示、行政处罚文书、行政复议文书、现场检查文书； |
| (7) Other documents that do not involve the rights and obligations of the administrative counterparts, have no universal binding force and cannot be applied repeatedly. | | （七）其他不涉及行政相对人权利和义务、不具有普遍约束力或者不可以反复适用的文件。 |
| Article 4 The development of regulatory documents shall observe the principles of legislation determined in the Legislation Law of the People's Republic of China, comply with the provisions on the making of laws, regulations, rules, and documents issued by the State Council (hereinafter referred to as “superordinate regulations”), and strictly abide by the management rules and development procedures as prescribed in the present Measures. | | 第四条 制定规范性文件，应当遵循《中华人民共和国立法法》确定的立法原则，符合法律、法规、规章、国务院文件等（下称“上位法规”）关于立法的规定，严格遵守本办法规定的管理规则和制定程序。 |
| Article 5 The development of regulatory documents shall strictly follow the procedures of assessment and discussion, request for comments, compliance examination, collective deliberation and decision, and public issuance, among others. | | 第五条 制定规范性文件应当严格执行评估论证、征求意见、合法性审核、集体审议决定、公开发布等程序。 |
| For the purposes of preventing, responding to and handling such emergencies as financial risks, disasters, accidents, public safety and social security, etc. or executing the emergency orders and decisions of superior administrative organs, the time limits may be shortened or procedures may be simplified in the development of the regulatory documents that need to be developed and implemented immediately. | | 为预防、应对和处置金融风险、灾难事故、公共安全和社会安全等突发事件或者执行上级行政机关的紧急命令和决定，对于制定需要立即制定和实施的规范性文件，可以缩短时限或简化程序。 |
| Chapter II Assessment, Demonstration and Drafting | | 第二章 评估论证和起草 |
| Article 6 The drafting departments of regulatory documents shall be determined according to the division of regulatory functions. If two or more departments are involved, the spearheading department shall be determined through consultation according to the needs of the work. | | 第六条 规范性文件的起草部门根据监管职责分工确定。涉及两个或者两个以上部门的，根据工作需要协商确定牵头起草部门。 |
| Article 7 Drafting departments shall comprehensively discuss the necessity, feasibility, legality, and rationality of the development of regulatory documents, and conduct assessment of the problems to be solved through regulatory documents, the main systems and measures to be prescribed, the expected effects of relevant systems and measures, and the possible impacts thereof. Experts in the relevant fields may be called to join discussions in respect of highly professional and technical regulatory documents. | | 第七条 起草部门应当对制定规范性文件的必要性、可行性、合法性和合理性进行全面论证，并对规范性文件需要解决的问题、拟规定的主要制度措施、有关制度措施的预期效果和可能产生的影响进行评估。对专业性、技术性较强的规范性文件，可以组织相关领域专家进行论证。 |
| Article 8 Drafting department shall strictly control the number of documents issued. Where superordinate regulations have made clear provisions or current regulatory documents have made effective deployments and are still applicable, no new regulatory document shall be developed generally, except for deploying new work or specifying relevant details. | | 第八条 起草部门应当严控发文数量。上位法规已有明确规定或现行规范性文件已有效部署且仍然适用的，除部署新的工作或细化相关内容，一般不再制定新的规范性文件。 |
| Article 9 The name of a regulatory document shall be determined according to the specific content of the document. “Measures,” “provisions”, “notice,” “decision,” “opinions,” “announcement” and other names shall be generally used, but “law,” “regulation” and other names shall not be used. | | 第九条 规范性文件的名称应当根据文件具体内容确定，一般使用“办法”、“规定”、“通知”、“决定”、“意见”、“公告”等名称，但不得使用“法”、“条例”等名称。 |
| Article 10 Regulatory documents shall be generally developed in the form of articles, and sequential numbers of articles shall be indicated by Chinese numerals sequentially. The wording and expression shall be accurate, standardized and concise. The content should be explicit, concrete and operable. | | 第十条 规范性文件一般以条文的形式制定，序号用中文数字依次表述。文字表述应当准确、规范、简洁。内容应当明确、具体，具有可操作性。 |
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