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Announcement No. 8 [2018] of National Association of Financial Market Institutional Investors—Announcement on Issuing the Working Rules and Procedures for the Investigation and Interview of the Credit Rating Business for Non-financial Corporate Debt Financing Instruments [Effective]
中国银行间市场交易商协会公告[2018]8号——关于发布《非金融企业债务融资工具信用评级业务调查访谈工作规程》的公告 [现行有效]
【法宝引证码】

Announcement of National Association of Financial Market Institutional Investors 

中国银行间市场交易商协会公告

(No. 8 [2018]) (〔2018〕8号)

Announcement on Issuing the Working Rules and Procedures for the Investigation and Interview of the Credit Rating Business for Non-financial Corporate Debt Financing Instruments 关于发布《非金融企业债务融资工具信用评级业务调查访谈工作规程》的公告
For the purposes of strengthening the self-disciplinary management of the credit rating industry, promoting the effective investigation and interview of rating agencies, and enhancing the work quality and level of credit rating, according to the Measures for the Administration of Non-financial Corporate Debt Financing Instruments in the Inter-bank Bond Market (Order No. 1 [2008], PBC), Announcement No. 7 [2017] of the People's Bank of China and the Self-disciplinary Guidelines for the Credit Rating Business of Non-financial Corporate Debt Financing Instruments, National Association of Financial Market Institutional Investors (“NAFMII”) has organized market participants to develop the Working Rules and Procedures for the Investigation and Interview of the Credit Rating Business for Non-financial Corporate Debt Financing Instruments, as deliberated and adopted at the fourth meeting of the Fifth Executive Council of NAFMII and granted recordation and approved by the People's Bank of China, is hereby issued and shall come into force on May 1, 2018. 为加强信用评级行业自律管理,推动评级机构有效开展调查访谈工作,提升信用评级工作质量和水平,根据《银行间债券市场非金融企业债务融资工具管理办法》(中国人民银行令〔2008〕第1号)、中国人民银行公告〔2017〕第7号文件及《非金融企业债务融资工具信用评级业务自律指引》,中国银行间市场交易商协会组织市场成员制定了《非金融企业债务融资工具信用评级业务调查访谈工作规程》,经交易商协会第五届常务理事会第四次会议审议通过,并经中国人民银行备案同意,现予发布,于2018年5月1日起施行。
Annex: Working Rules and Procedures for the Investigation and Interview of the Credit Rating Business for Non-financial Corporate Debt Financing Instruments 附件:非金融企业债务融资工具信用评级业务调查访谈工作规程
National Association of Financial Market Institutional Investors 中国银行间市场交易商协会
March 27, 2018 2018年3月27日
Annex: 附件:
Working Rules and Procedures for the Investigation and Interview of the Credit Rating Business for Non-financial Corporate Debt Financing Instruments 非金融企业债务融资工具信用评级业务调查访谈工作规程
Chapter I General Provisions 

第一章 总则

Article 1 For the purposes of regulating the credit rating business of non-financial corporate debt financing instruments (hereinafter referred to as “debt financing instruments”) in the interbank bond market, enhancing the work quality of investigation and interview of rating, guaranteeing the fairness, consistency and completeness of credit rating, and promoting the sound development of the market, these Rules and Procedures are hereby developed according to the Measures for the Administration of Non-financial Corporate Debt Financing Instruments in the Inter-bank Bond Market (Order No. 1 [2008], PBC) and other rules, and the relevant self-disciplinary rules of NAFMII.   第一条 为规范银行间债券市场非金融企业债务融资工具(以下简称“债务融资工具”)信用评级业务,提高评级调查访谈工作质量,保证信用评级的公正性、一致性、完整性,促进市场健康发展,根据中国人民银行《银行间债券市场非金融企业债务融资工具管理办法》(中国人民银行令〔2008〕第1号)等制度及中国银行间市场交易商协会相关自律规则,制定本规程。
Article 2 Investigation and interview is the basis for the quality control and guarantee of rating. To guarantee the timeliness, adequacy and reliability of the information on which rating agencies base, credit rating agencies shall effectively carry out investigation and interview, to accurately and comprehensively identify and determine the credit risks of rating objects.   第二条 调查访谈是评级质量控制和保障的基础,为保障评级所依据信息的及时性、充分性和可靠性,信用评级机构应有效开展调查访谈工作,以准确、全面地识别和判断受评对象的信用风险。
Article 3 For the purpose of these Rules and Procedures, investigation and interview means a series of activities of collecting, reviewing, analyzing and verifying the information required for rating within the reasonable scope carried out by the credit rating agencies during the process of the initial rating and follow-up rating of the debt financing instrument issuers and debts. The application of the credit rating results to the rating business and subsequent follow-up rating of the debt financing instrument registration issuance documents shall be governed by these Rules and Procedures.   第三条 本规程所称调查访谈,是指信用评级机构在对债务融资工具发行主体及债项的首次评级和跟踪评级过程中,在合理范围内对评级所需信息进行收集、核查、分析和验证的一系列活动。信用评级结果应用于债务融资工具注册发行文件的评级业务及后续跟踪评级适用本规程。
Article 4 Credit rating agencies shall conduct investigation and interview of rating objects under the principles of independence, objectiveness and impartiality. Those who participate in investigation and interview shall have good professional ethics and professional competence, and carry out investigation and interview under the principles of independence, objectiveness, honesty and good faith, and due diligence. The enterprises rated and rating clients shall cooperate with the credit rating work, arrange investigations, interviews and other necessary activities relevant to the rating, provide the relevant materials in a timely manner, and ensure the authenticity, accuracy and completeness of the materials.   第四条 信用评级机构应遵循独立、客观、公正的原则对评级对象进行调查访谈,参与调查访谈的人员应具备良好的职业道德和专业胜任能力,遵循独立客观、诚实守信、勤勉尽责的原则开展调查访谈工作。受评企业、评级委托方应配合信用评级工作,安排与评级有关的调查、访谈及其他必要活动,及时提供相关材料,并保证材料的真实、准确和完整。
Chapter II Investigation and Interview Process and Methods 

第二章 调查访谈过程与方式

Article 5 After accepting the commission of rating, a credit rating agency shall form a project team and pay attention to maintaining the continuity of members and the rotation mechanism. The number of project team members and the qualifications of members shall satisfy the relevant regulatory requirements of the People's Bank of China. A team leader shall have at least 3 years of experience in credit rating and be responsible for the entire process of investigation and interview.   第五条 接受评级委托后,信用评级机构应成立项目组并注意保持成员的连续性及轮换机制,项目组成员数量及资格能力应符合中国人民银行相关监管要求。项目组长应具有至少3年以上信用评级从业经验,并负责调查访谈全流程工作。
Article 6 A project team shall, according to the characteristics and operating conditions of the rating objects, determine the content of data collection, develop a detailed investigation outline, and collect information through multiple channels and multiple methods. The materials to be collected shall include at a minimum:   第六条 项目组应根据评级对象的特点及经营情况,确定资料收集的内容,制定详细的调查提纲,通过多渠道多方式进行信息收集。应收集的资料内容至少包括:
(1) The macroeconomic environment, regional economic conditions, industry (or sector) development trends, policies and regulatory measures, among others. (一)宏观经济环境、区域经济情况、产业(或行业)发展趋势、政策和监管措施等;
(2) The basic data, production and business operation, financial data and other relevant information of the rated enterprise, including but not limited to the corporate tax registration document, bylaws, shareholders' information and shareholding ratio, corporate governance, organizational structure, personnel status, production and business operation data, relevant materials or description of key technology level, research and development status, system documents, business plans and summary reports, development plans, financial audit reports of the company and main subsidiaries, credit information, the company and its controlling shareholders, actual controllers, and relevant records of credit enhancement agencies in the credit system of the People's Bank of China, the State Administration for Industry and Commerce, the State Administration of Taxation, the People's Court, and other credit information disclosure platforms, among others.
......
 (二)受评企业的基础资料、生产经营、财务数据及其他相关信息。包括但不限于企业税务登记文件、公司章程、股东信息及持股比例、公司治理情况、组织架构、人员状况、生产经营数据、关键技术水平的相关资料或说明、研发情况、制度文件、经营计划与总结报告、发展规划、公司及主要子公司财务审计报告、授信情况,公司及其控股股东、实际控制人、信用增进机构在中国人民银行征信系统以及国家工商总局、国家税务总局、人民法院等信用信息公开平台中的相关记录等;
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