| Order of the China Banking and Insurance Regulatory Commission | | 中国银行保险监督管理委员会令 |
| (No. 2 [2020]) | | （2020年第2号） |
| The Measures of the China Banking and Insurance Regulatory Commission for the Administration of Public Complaints and Proposals, as adopted at the 8th executive meeting of the China Banking and Insurance Regulatory Commission in 2019 on September 6, 2019, are hereby issued and shall come into force on March 1, 2020. | | 《中国银保监会信访工作办法》已于2019年9月6日，经中国银保监会2019年第8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 14, 2020 | | 2020年1月14日 |
| Measures of the China Banking and Insurance Regulatory Commission for the Administration of Public Complaints and Proposals | | 中国银保监会信访工作办法 |
| Chapter I General Provisions | | 第一章 总 则 |
| Article 1 These Measures are developed in accordance with the Banking Supervision Law of the People's Republic of China, the Insurance Law of the People's Republic of China, the Regulations on Complaint Letters and Visits, the Measures for the Implementation of the Responsibility System for Public Complaints and Proposals and other regulations for the purposes of regulating the public complaint and proposal work of the China Banking and Insurance Regulatory Commission and its local offices (hereinafter referred to as “banking and insurance regulators”), protecting the legitimate rights and interests of complainants and preserving the order for making public complaints and proposals. | | 第一条 为规范中国银行保险监督管理委员会及其派出机构（以下简称“银行保险监督管理机构”）信访工作，保障信访人合法权益，维护信访秩序，依据《中华人民共和国银行业监督管理法》、《中华人民共和国保险法》、《信访条例》、《信访工作责任制实施办法》等规定，制定本办法。 |
| Article 2 For the purpose of these Measures, “public complaint or proposal” means any activity in which a citizen, legal person, or any other organization reports facts or submits proposals, opinions or requests by letter, e-mail, fax, telephone or visit or through other means to a banking and insurance regulator, which deals with them in accordance with law. | | 第二条 本办法所称信访，是指公民、法人或其他组织采用书信、传真、电话、走访等形式，向银行保险监督管理机构反映情况，提出建议、意见或者请求，依法应当由银行保险监督管理机构处理的活动。 |
| For the purpose of these Measures, “complainant” means a citizen, legal person or any other organization that reports facts and submits proposals, opinions or requests in the form prescribed by the preceding paragraph. | | 本办法所称信访人，指采用前款规定的形式反映情况，提出建议、意见或者请求的公民、法人或者其他组织。 |
| Article 3 Banking and insurance regulators shall effectively handle public complaints and proposals, carefully treat complaint letters and visits, listen attentively to the opinions, proposals and requests from the general public, accept their supervision and strive to serve them. | | 第三条 银行保险监督管理机构应当做好信访工作，认真处理来信、接待来访，倾听人民群众的意见、建议和要求，接受人民群众的监督，努力为人民服务。 |
| Article 4 Banking and insurance regulators shall handle public complaints and proposals within the scope of their functions and duties under the principles of territorial jurisdiction, hierarchical responsibility, “whoever is in charge shall take the responsibility”, and combining lawful, timely and on-site settlement of problems with ideological education. | | 第四条 银行保险监督管理机构应当遵循“属地管理、分级负责，谁主管、谁负责，依法、及时、就地解决问题与疏导教育相结合”的工作原则，处理职责范围内的信访事项。 |
| Article 5 Banking and insurance regulators shall establish a working pattern of handling public complaints and proposals featuring unified leadership, departmental coordination, overall planning and all-round consideration, both temporary and permanent solutions, assumption of their own responsibilities, and joint administration and collective governance, and establish and improve joint meetings for handling public complaints and proposals and mechanisms for the screening, mediation, and handling of public complaints and proposals, the investigation and handling of public complaints and proposals and for the emergency handling of public complaints and proposals. | | 第五条 银行保险监督管理机构应当建立统一领导、分工协调，统筹兼顾、标本兼治，各负其责、齐抓共管的信访工作格局，建立健全信访工作联席会议、信访矛盾纠纷排查调处、信访调查处理、信访应急处置等机制。 |
| Article 6 Banking and insurance regulators shall implement the responsibility system for handling public complaints and proposals. The principal persons in charge of institutions at all levels and their departments shall assume overall responsibility for the handling of public complaints and proposals by such institutions and departments, and other persons in-charge shall, according to the division of duties, assume primary leadership responsibility for the handling of public complaints and proposals within the scope of their duties. | | 第六条 银行保险监督管理机构应当落实信访工作责任制。各级机构及其部门的主要负责人对本单位、本部门信访工作负总责，其他负责人根据工作分工，对职责范围内的信访工作负主要领导责任。 |
| Leading officials at all levels shall read and approve letters from the general public, receive regular visits thereof and coordinate the handling of complicated and difficult public complaints and proposals. | | 各级领导干部应当阅批群众来信，定期接待群众来访，协调处理复杂疑难信访问题。 |
| Article 7 Banking and insurance regulators shall establish and improve an evaluation mechanism for the handling of public complaints and proposals, and conduct an annual evaluation of the handling of public complaints and proposals in this sector. The evaluation results shall be used as an important reference for the comprehensive evaluation of the leadership and for the evaluation and awarding of other related officials. Any entity or individual that has made outstanding achievements in handling public complaints and proposals shall be commended and rewarded. | | 第七条 银行保险监督管理机构应当建立健全信访工作考核评价机制，每年对本系统信访工作情况进行考核。考核结果作为对领导班子和领导干部综合考核以及其他有关干部考核、奖评的重要参考。对在信访工作中作出优异成绩的单位或个人，应予以表彰奖励。 |
| Article 8 Banking and insurance regulators shall specify the department for handling public complaints and proposals and the department for undertaking public complaints and proposals. The department for handling public complaints and proposals shall be responsible for the administration of the handling of public complaints and proposals in it or within its sector. Specifically, it shall be responsible for assigning public complaints and proposals for handling, supervising and guiding the handling of public complaints and proposals in it, coordinating the handling of major public complaints and proposals in it, supervising and guiding institutions at a lower level in handling public complaints and proposals, and contacting the institutions for handling public complaints and proposals under the Party committee and government at the same level. The department for undertaking public complaints and proposals shall be responsible for the acceptance, investigation, and verification of matters relating to public complaints and proposals within the scope of its functions and responsibilities and for the drafting of the replies, and shall cooperate with the department for handling public complaints and proposals over reception and discussion. | | 第八条 银行保险监督管理机构应当明确信访工作部门和信访承办部门。信访工作部门负责对本单位、本系统信访工作进行管理，具体负责分办本单位信访事项，督查指导本单位信访事项办理，协调本单位重大信访问题处理，督促指导下级机构信访工作，联系同级党委政府信访工作机构。信访承办部门负责职责范围内信访事项的受理、调查、核实、答复意见拟制，配合信访工作部门接谈等。 |
| Article 9 Banking and insurance regulators shall provide necessary human, material and financial resources to ensure the smooth handling of public complaints and proposals. Qualified employees shall be fully staffed for the department for handling public complaints and proposals, and the training of the officials responsible for handling public complaints and proposals shall be strengthened. Special reception sites for public complaints and proposals shall be set up, and audio and video recording equipment and facilities shall be equipped. The information system for public complaints and proposals shall be strengthened to enhance its applications. | | 第九条 银行保险监督管理机构应当从人力物力财力上保证信访工作顺利开展。为信访工作部门配备充足、合格的工作人员，加强对信访干部的培训。设立专门的信访接待场所，配备录音录像等设备设施。加强信访信息系统建设，增强运用效果。 |
| Article 10 Banking and insurance regulators shall establish a reporting and notification system for the handling of public complaints and proposals to strengthen the information work concerning public complaints and proposals. | | 第十条 银行保险监督管理机构应当建立信访工作报告制度和通报制度，加强信访信息工作。 |
| Article 11 Banking and insurance regulators shall, within the scope of their functions and duties, take timely measures in accordance with law as to the major or urgent public complaints and proposals that may cause or have caused social impact, and report the relevant information in a timely manner. | | 第十一条 银行保险监督管理机构对于可能或者已经造成社会影响的重大、紧急信访事项和信访信息，应当在职责范围内依法及时采取措施，并及时报告情况。 |
| Article 12 Banking and insurance regulators and their employees shall keep confidential state secrets, work secrets, trade secrets and personal privacy according to law when handling public complaints and proposals. | | 第十二条 银行保险监督管理机构及其工作人员在信访工作中依法保护国家秘密、工作秘密、商业秘密和个人隐私。 |
| Article 13 If any employee of a banking and insurance regulator responsible for handling public complaints and proposals is of direct interest to a public complaint or proposal or to the complainant, he or she shall withdraw. | | 第十三条 银行保险监督管理机构处理信访事项的工作人员与信访事项或者信访人有直接利害关系的，应当回避。 |
| Article 14 Banking and insurance regulators shall file and retain the important information concerning the handling of public complaints and proposals according to the provisions on archives management. | | 第十四条 银行保险监督管理机构应当对信访工作重要资料，按档案管理规定予以立卷保存。 |
| Chapter II Submission of Public Complaints and Proposals | | 第二章 信访事项的提出 |
| Article 15 Banking and insurance regulators shall, through their websites or other means, disclose to the public the information on the department for handling public complaints and proposals such as the correspondence address, telephone number, and reception time and location. | | 第十五条 银行保险监督管理机构应当通过网站等方式向社会公布信访工作部门的通信地址、信访电话、来访接待时间和地点等信息。 |
| Banking and insurance regulators shall, at the reception sites for public complaints and proposals or on their websites, publish the main laws, regulations, working systems and the handling procedures relating to handling of public complaint and proposal work as well as other matters that can help complainants report their claims according to statutory channels. | | 银行保险监督管理机构应当在信访接待场所或网站公布与本单位信访工作相关的主要法律法规、工作制度及处理程序，以及其他为信访人依照法定途径反映诉求提供便利的事项。 |
| Article 16 If a complainant reports facts, submits proposals and opinions as to the duties and act of a banking and insurance regulator and its employees, or refuses to accept an act of performing the duties of the regulator and its employees, he or it may submit public complaints and proposals to the banking and insurance regulator in accordance with these Measures. | | 第十六条 信访人对银行保险监督管理机构及其工作人员的职务行为反映情况、提出建议、意见，或者不服银行保险监督管理机构及其工作人员的职务行为，可以依照本办法向银行保险监督管理机构提出信访事项。 |
| In principle, the complainant shall submit in writing public complaints and proposals that specify the name, address and contact information of the complainant, and provide valid identity information. If a complainant makes a complaint, he or it shall also specify the name of the entity or person complained about, the complaint, the main facts and reasons, and the relevant supporting materials shall be enclosed. | | 信访人提出信访事项，一般应当采用书面形式，应载明信访人的姓名（名称）、住址、联系方式，并提供有效的身份信息。信访人提出诉求的，还应当写明被反映单位名称或者人员姓名、诉求事项、主要事实及理由，并附上相关证明材料。 |
| If a complainant submits complaints and proposals by fax or letter, submission shall be made to the banking and insurance regulator at the corresponding level in the place where the entity or person complained about is located. | | 信访人采用传真或书信形式提出信访事项的，应当向被反映单位或人员所在地的本级银行保险监督管理机构提出。 |
| A complainant who submits complaints and proposals by visit shall, according to the provisions on visiting level by level, submit complaints and proposals to the reception site for public complaints and proposals established or designated by a banking and insurance regulator at the corresponding or next higher level that has the power to legally handle public complaints and proposals. If more than one person submits the same complaint and proposal by visit, they shall elect not more than five delegates to do so. | | 信访人采用走访形式提出信访事项的，应当按照逐级走访的规定，到依法有权处理的本级或上一级银行保险监督管理机构设立或者指定的信访接待场所提出。多人采用走访形式提出共同信访事项的，应当推选代表，代表人数不得超过5人。 |
| If a complainant submits complaints and proposals orally, an employee of the banking and insurance regulator responsible for handling public complaints and proposals shall direct the complainant to supplement written materials or record the name, address, contact information and claims of the complainant and facts and reasons, and the complainant shall sign or affix its seal to the recorded contents for confirmation before submitting; any complainant refusing confirmation shall be regarded as giving up making complaints and proposals. | | 信访人采用口头形式提出信访事项的，银行保险监督管理机构信访工作人员应当引导其补充书面材料，或者记录信访人的姓名（名称）、住址、联系方式和诉求、事实及理由，信访人对记录的内容以签字、盖章等适当方式进行确认后提交，信访人拒绝确认的视同放弃信访。 |
If a complainant submits complaints and proposals by telephone, an employee of the banking and insurance regulator responsible for handling public complaints and proposals shall direct the complainant to supplement written materials, or inform the correspondence address and reception sites of the department for handling public complaints and proposals.
．．．．．． | | 信访人采用电话形式提出信访事项的，银行保险监督管理机构信访工作人员应当引导其补充书面材料，或者告知信访工作部门通讯地址、信访接待场所。
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