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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 | | 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）
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