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Notice of the Supreme People's Court on Issuing the Minutes of the National Court Bankruptcy Trials Conference [Effective]
最高人民法院印发《全国法院破产审判工作会议纪要》的通知 [现行有效]

Notice of the Supreme People's Court on Issuing the Minutes of the National Court Bankruptcy Trials Conference 


(No. 53 [2018] of the Supreme People's Court)


The higher people's courts of all provinces, autonomous regions, and municipalities directly under the Central Government; the Military Court of the People's Liberation Army; and the Production and Construction Corps Branch of the Higher People's Court of Xinjiang Uygur Autonomous: 各省、自治区、直辖市高级人民法院,解放军军事法院,新疆维吾尔自治区高级人民法院生产建设兵团分院:
The Minutes of the National Court Bankruptcy Trials Conference are hereby issued to you for your compliance and implementation. 现将《全国法院破产审判工作会议纪要》印发给你们,请认真遵照执行。
Supreme People's Court 最高人民法院
March 4, 2018 2018年3月4日
Minutes of the National Court Bankruptcy Trials Conference 全国法院破产审判工作会议纪要
For the purposes of implementing the requirements stated in the Report at 19th CPC National Congress for implementing new development concepts and establishing a modern economic system, closely centering on the theme of quality development, serving and guaranteeing the supply-side structural reform, maximizing the positive role of the bankruptcy trials of people's courts in improving the relief and withdrawal mechanism for participants in the socialist market economy, and providing more powerful judicial guarantees for securing a decisive victory in building a moderately prosperous society in all aspects, the Supreme People's Court convened the National Court Bankruptcy Trial Work Conference in Shenzhen, Guangdong province on December 25, 2017. The representatives of the higher people's courts of all provinces, autonomous regions and municipalities directly under the Central Government and municipal intermediate people's courts attended the conference. The representatives reached a consensus on the major issues involved in the bankruptcy trials of people's courts upon conscientious discussion. The minutes are hereby taken as follows: 为落实党的十九大报告提出的贯彻新发展理念、建设现代化经济体系的要求,紧紧围绕高质量发展这条主线,服务和保障供给侧结构性改革,充分发挥人民法院破产审判工作在完善社会主义市场经济主体拯救和退出机制中的积极作用,为决胜全面建成小康社会提供更加有力的司法保障,2017年12月25日,最高人民法院在广东省深圳市召开了全国法院破产审判工作会议。各省、自治区、直辖市高级人民法院、设立破产审判庭的市中级人民法院的代表参加了会议。与会代表经认真讨论,对人民法院破产审判涉及的主要问题达成共识。现纪要如下:
I. General requirements for bankruptcy trials   一、破产审判的总体要求
As it is believed at the conference, people's courts shall adhere to the guidance of Xi Jinping Thought on Socialism with Chinese Characteristics in a New Era, profoundly recognize the significance of the bankruptcy laws for securing a decisive victory in building a moderately prosperous society in all aspects, take more powerful measures to conduct bankruptcy trails, and provide more intense judicial guarantee for sustained and sound economic and social development. For now, the general requirements for bankruptcy trials are as follows: 会议认为,人民法院要坚持以习近平新时代中国特色社会主义经济思想为指导,深刻认识破产法治对决胜全面建成小康社会的重要意义,以更加有力的举措开展破产审判工作,为经济社会持续健康发展提供更加有力的司法保障。当前和今后一个时期,破产审判工作总的要求是:
First, using the bankruptcy trial function to boost the building of the modern economic system. People's courts shall achieve resource reallocation through the bankruptcy work, make effective use of the favorable opportunities for interests, business management, assets, technology, and other material adjustment in enterprise bankruptcy, dispose of different enterprises by category, and effectively mobilize, allocate and coordinate science and technology, capital, labor force, human resources, and other factors of production, so as to promote the real economy and industry system in becoming more quality and efficient. 一要发挥破产审判功能,助推建设现代化经济体系。人民法院要通过破产工作实现资源重新配置,用好企业破产中权益、经营管理、资产、技术等重大调整的有利契机,对不同企业分类处置,把科技、资本、劳动力和人力资源等生产要素调动好、配置好、协同好,促进实体经济和产业体系优质高效。
Second, paying particular attention to serving the building of a new economic system and improving the market participants relief and withdrawal mechanism. The legal means of reorganization and compromise shall be maximized to achieve the effective relief for market participants and help enterprises improve quality and efficiency; and the means of liquidation shall be used to procure enterprises and capacity losing business value to withdraw from the market in a timely manner so as to achieve survival of the fittest and improve the relief and withdrawal mechanism for socialist market participants. 二要着力服务构建新的经济体制,完善市场主体救治和退出机制。要充分运用重整、和解法律手段实现市场主体的有效救治,帮助企业提质增效;运用清算手段促使丧失经营价值的企业和产能及时退出市场,实现优胜劣汰,从而完善社会主义市场主体的救治和退出机制。
Third, improving the bankruptcy trials working mechanisms and releasing the maximum value of bankruptcy trials. The four bankruptcy trials working mechanisms including identification of enterprises going bankrupt and to be reorganized, coordination between the government and courts, exchange of case information, and lawful and orderly interest balance shall be further improved, and the sound conduct of bankruptcy trials shall be promoted, so as to manifest the system value and social responsibility of bankruptcy trails. 三要健全破产审判工作机制,最大限度释放破产审判的价值。要进一步完善破产重整企业识别、政府与法院协调、案件信息沟通、合法有序的利益衡平四项破产审判工作机制,推动破产审判工作良性运行,彰显破产审判工作的制度价值和社会责任。
Fourth, improving the orderly link between execution and bankruptcy work to promote the resolution of "difficulties in execution." Bankruptcy trials shall be taken as an important link in connection with case docketing, trial and execution and relatively independent thereof, the function of bankruptcy trials to resolve existing execution cases shall be maximized, the obstructions hindering the shift from execution to bankruptcy shall be removed, and an effective path to resolve "difficulties in execution" shall be explored in terms of judicial working mechanisms. 四要完善执行与破产工作的有序衔接,推动解决“执行难”。要将破产审判作为与立案、审判、执行既相互衔接、又相对独立的一个重要环节,充分发挥破产审判对化解执行积案的促进功能,消除执行转破产的障碍,从司法工作机制上探索解决“执行难”的有效途径。
II. The building of professional bankruptcy trials   二、破产审判的专业化建设
Professional trials are the critical link for the bankruptcy trials to make substantial progress. The courts at all levels shall vigorously strengthen the building of professional bankruptcy trials and endeavor to make adjudicative bodies professional, adjudicative teams professional, adjudicative procedures standard, adjudicative rules standard, and performance evaluation scientific. 审判专业化是破产审判工作取得实质性进展的关键环节。各级法院要大力加强破产审判专业化建设,努力实现审判机构专业化、审判队伍专业化、审判程序规范化、裁判规则标准化、绩效考评科学化。
1. Advancing the building of professional bankruptcy adjudicative bodies. The intermediate people's courts in sub-provincial cities and provincial capital cities shall establish liquidation and bankruptcy tribunals without delay according to the Work Plan for Establishing Liquidation and Bankruptcy Tribunals in Intermediate People's Courts (No. 209 [2016], Supreme People's Court) issued by the Supreme People's Court. Other courts at all levels may decide to establish liquidation and bankruptcy tribunals or special collegial panels to meet the need of the local actual work and foster professional judges familiar with liquidation and bankruptcy trials to meet the demand of bankruptcy trials. 1.推进破产审判机构专业化建设。省会城市、副省级城市所在地中级人民法院要根据最高人民法院《关于在中级人民法院设立清算与破产审判庭的工作方案》(法〔2016〕209号),抓紧设立清算与破产审判庭。其他各级法院可根据本地工作实际需求决定设立清算与破产审判庭或专门的合议庭,培养熟悉清算与破产审判的专业法官,以适应破产审判工作的需求。
2. Reasonably allocating adjudicative tasks. The adjudicative tasks of the courts at all levels shall be reasonably allocated based on the number of bankruptcy cases, difficulties of cases, adjudicative teams, and other conditions. For bankruptcy cases featuring complicated creditor-debtor relations and difficulties in trials, higher people's courts may explore and implement the jurisdiction rules with centralized jurisdiction of intermediate people's courts as the principle and the jurisdiction of basic people's courts as the exception; and for bankruptcy cases featuring simple creditor-debtor relations and easiness of trials, basic people's courts may have jurisdiction and efficiently close cases through quick adjudicative procedures. 2.合理配置审判任务。要根据破产案件数量、案件难易程度、审判力量等情况,合理分配各级法院的审判任务。对于债权债务关系复杂、审理难度大的破产案件,高级人民法院可以探索实行中级人民法院集中管辖为原则、基层人民法院管辖为例外的管辖制度;对于债权债务关系简单、审理难度不大的破产案件,可以主要由基层人民法院管辖,通过快速审理程序高效审结。
3. Establishing a scientific performance evaluation system. The performance evaluation system for liquidation and bankruptcy trials shall be improved as soon as possible, performance evaluation standards shall be determined on the basis of fully respecting judicial patterns, and simple comparison between, equal treatment, and equal evaluation of resolution of liquidation bankruptcy cases and that of ordinary cases shall be avoided. 3.建立科学的绩效考评体系。 要尽快完善清算与破产审判工作绩效考评体系,在充分尊重司法规律的基础上确定绩效考评标准,避免将办理清算破产案件与普通案件简单对比、等量齐观、同等考核。
III. Improvement of the trustee system   三、管理人制度的完善
Trustees are the major promoters of bankruptcy and the specific implementors of bankruptcy matters. The capability and quality of trustees not only affect the quality of bankruptcy trials but also relate to the destiny and future development of bankrupt enterprises. The trustee rules shall be improved at a faster pace, the professional quality and practicing capability of trustees shall be vigorously enhanced, and the guarantees and effective supervision of the discharge of duties by trustees shall be tightened, so as to provide powerful guarantees through the rules for ameliorating enterprises' operations and optimizing industry structure. 管理人是破产程序的主要推动者和破产事务的具体执行者。管理人的能力和素质不仅影响破产审判工作的质量,还关系到破产企业的命运与未来发展。要加快完善管理人制度,大力提升管理人职业素养和执业能力,强化对管理人的履职保障和有效监督,为改善企业经营、优化产业结构提供有力制度保障。
4. Improving the structure of the trustee team. The people's courts shall guide intermediary agencies in the trustee lists in recruiting persons with professional techniques and knowledge and capable of enterprise operation to the trustee team by appropriate means, promote a more reasonable structure of the trustee team, and maximize the important role of trustees in diagnosing enterprises, consolidating resources, and other aspects. 4.完善管理人队伍结构。人民法院要指导编入管理人名册的中介机构采取适当方式吸收具有专业技术知识、企业经营能力的人员充实到管理人队伍中来,促进管理人队伍内在结构更加合理,充分发挥和提升管理人在企业病因诊断、资源整合等方面的重要作用。
5. Exploring cross-regional practicing by trustees. In addition to selecting trustees on local lists, the courts in all regions may explore election of trustees on the lists of trustees of other provinces and municipalities so as to ensure the selection of the best trustees for significant bankruptcy cases. If two or more qualified intermediary agencies make a request for jointly serving as the trustee in the same bankruptcy case, the people's court may grant permission if, as reviewed, the requirements of voluntary consultation, complementary advantages, and rights consistent with obligations are met, and it is necessary. 5.探索管理人跨区域执业。除从本地名册选择管理人外,各地法院还可以探索从外省、市管理人名册中选任管理人,确保重大破产案件能够遴选出最佳管理人。两家以上具备资质的中介机构请求联合担任同一破产案件管理人的,人民法院经审查符合自愿协商、优势互补、权责一致要求且确有必要的,可以准许。
6. Implementing rating administration of trustees. Higher people's courts, or intermediate people's courts preparing a list of trustees of their own motion, may comprehensively take into account the professional level, work experience, practicing integrity, performance, diligence, and other factors of trustees, reasonably rate trustees, and subject trustees to rating administration and regular evaluation. For a bankruptcy case featuring a small quantity of property of the debtor and a simple debtor-creditor relationship, a trustee may be appointed from trustees of corresponding ratings by queuing, lot, lottery, or any other random means. 6.实行管理人分级管理。高级人民法院或者自行编制管理人名册的中级人民法院可以综合考虑管理人的专业水准、工作经验、执业操守、工作绩效、勤勉程度等因素,合理确定管理人等级,对管理人实行分级管理、定期考评。对债务人财产数量不多、债权债务关系简单的破产案件,可以在相应等级的管理人中采取轮候、抽签、摇号等随机方式指定管理人。
7. Establishing a working mechanism for competitive appointment of trustees. For bankruptcy cases, a competitive mechanism may be introduced to appoint trustees and improve the quality of bankruptcy administration. For listed company bankruptcy cases, bankruptcy cases having a material impact locally, or bankruptcy cases featuring complicated debtor-creditor relationships and affecting a relative large number of creditors, employees and interested persons, trustees shall be generally selected and appointed through competitive means. 7.建立竞争选定管理人工作机制。破产案件中可以引入竞争机制选任管理人,提升破产管理质量。上市公司破产案件、在本地有重大影响的破产案件或者债权债务关系复杂,涉及债权人、职工以及利害关系人人数较多的破产案件,在指定管理人时,一般应当通过竞争方式依法选定。
8. Reasonably dividing the scope of functions of courts and trustees. People's courts shall provide support and guarantees for trustees to discharge their duties according to the law and abstain from substituting themselves for trustees to make decisions. Trustees shall administer and dispose of the property of the debtors according to the law and prudentially decide the internal management matters of the debtors and shall not transfer part or all of their duties to others. 8. 合理划分法院和管理人的职能范围。人民法院应当支持和保障管理人依法履行职责,不得代替管理人作出本应由管理人自己作出的决定。管理人应当依法管理和处分债务人财产,审慎决定债务人内部管理事务,不得将自己的职责全部或者部分转让给他人。
9. Further implementing the duties of trustees. Over the course of reorganization administered by a debtor, the people's court shall supervise the trustee to develop specific rules for supervising the debtor. During the supervision period as specified in the reorganization plan, the trustee shall represent the debtor in any legal proceedings and arbitrary activities instituted before the supervision period and pending decision. After reorganization or compromise is converted into liquidation bankruptcy, the trustee shall continue to discharge the duties as a trustee in the liquidation bankruptcy. 9.进一步落实管理人职责。在债务人自行管理的重整程序中,人民法院要督促管理人制订监督债务人的具体制度。在重整计划规定的监督期内,管理人应当代表债务人参加监督期开始前已经启动而尚未终结的诉讼、仲裁活动。重整程序、和解程序转入破产清算程序后,管理人应当按照破产清算程序继续履行管理人职责。
10. Using the role of remuneration in stimulating and binding trustees. People's courts may determine the means of payment of the remuneration to trustees according to the different circumstances of bankruptcy cases and use the positive role of remuneration of trustees in stimulating and binding them in the aspect of diligent discharge of duties. The remuneration of trustees shall be paid in installments in principle according to the progress of trial of bankruptcy cases and the discharge of duties by trustees. For bankruptcy cases that are simple and it takes relatively short time to solve, remuneration may be paid in a lump sum to trustees at the end of the bankruptcy. 10.发挥管理人报酬的激励和约束作用。人民法院可以根据破产案件的不同情况确定管理人报酬的支付方式,发挥管理人报酬在激励、约束管理人勤勉履职方面的积极作用。管理人报酬原则上应当根据破产案件审理进度和管理人履职情况分期支付。案情简单、耗时较短的破产案件,可以在破产程序终结后一次性向管理人支付报酬。
11. Rules for expenses for employment of other persons by trustees. The expenses necessary for a trustee to employ a manager of the enterprise with the permission of the people's court, or, if necessary, any other social intermediary agency or person to conduct material action, arbitration, execution, audit, or any other work of a strong professional nature shall be listed as bankruptcy expenses with the consent of the creditors' meeting. 11.管理人聘用其他人员费用负担的规制。管理人经人民法院许可聘用企业经营管理人员,或者管理人确有必要聘请其他社会中介机构或人员处理重大诉讼、仲裁、执行或审计等专业性较强工作,如所需费用需要列入破产费用的,应当经债权人会议同意。
12. Boosting the establishment of comprehensive guarantee rules for bankruptcy expenses. The courts in all regions shall, by vigorously winning the support of the finance authorities, deducting a certain proportion of money from the remuneration of trustees in other bankruptcy cases, or any other means, boost the establishment of guarantee funds for bankruptcy expenses and establish a permanent mechanism to guarantee bankruptcy expenses, so as to solve the problem that the insufficiency of the property of the debtor to cover bankruptcy expenses affects the institution of bankruptcy. 12.推动建立破产费用的综合保障制度。各地法院要积极争取财政部门支持,或采取从其他破产案件管理人报酬中提取一定比例等方式,推动设立破产费用保障资金,建立破产费用保障长效机制,解决因债务人财产不足以支付破产费用而影响破产程序启动的问题。
13. Supporting and guiding the establishment of trustees' associations. People's courts shall support, guide and promote social intermediary agencies and individuals on the lists of trustees within their respective jurisdictions in establishing trustees' associations so as to strengthen the management of and restrictions on trustees, maintain the lawful rights and interests of trustees, gradually form well-regulated, stable and self-regulation industry organizations, and ensure that the trustee team is vigorous and develops in a well-regulated and orderly manner. 13.支持和引导成立管理人协会。人民法院应当支持、引导、推动本辖区范围内管理人名册中的社会中介机构、个人成立管理人协会,加强对管理人的管理和约束,维护管理人的合法权益,逐步形成规范、稳定和自律的行业组织,确保管理人队伍既充满活力又规范有序发展。
IV. Reorganization bankruptcy   四、破产重整
As it is believed at the meeting, the reorganization rules reflect the relief function of the bankruptcy laws in a consolidated manner and represent the development trends of modern bankruptcy laws, and hence the people's courts at all levels across the country shall attach great importance to the reorganization work, properly try enterprise reorganization cases, save enterprises in trouble in a market-oriented and law-based means, and continue to improve the relief mechanism for socialist market participants. 会议认为,重整制度集中体现了破产法的拯救功能,代表了现代破产法的发展趋势,全国各级法院要高度重视重整工作,妥善审理企业重整案件,通过市场化、法治化途径挽救困境企业,不断完善社会主义市场主体救治机制。
14. Identification and review of enterprises to be reorganized. The targets of reorganization bankruptcy shall be enterprises in trouble having the value and possibility of saving; and zombie enterprises shall be removed from the market decisively through liquidation bankruptcy. If a people's court is able to determine that a debtor conspicuously lacks reorganization value and possibility of saving, taking into account the assets conditions, technology, production and sales, industry prospects, and other factors, when reviewing an application for reorganization, it shall decide not to grant acceptance. 14.重整企业的识别审查。破产重整的对象应当是具有挽救价值和可能的困境企业;对于僵尸企业,应通过破产清算,果断实现市场出清。人民法院在审查重整申请时,根据债务人的资产状况、技术工艺、生产销售、行业前景等因素,能够认定债务人明显不具备重整价值以及拯救可能性的,应裁定不予受理。
15. The hearing procedure for reorganization cases. For a case featuring complicated debtor-creditor relationships and a large size of debt, or involving reorganization of a listed company, the people's court may organize the applicant and the respondent for a hearing when reviewing an application for reorganization. Creditors, capital contributors, investors in the reorganization, and other interested persons may attend the hearing with the permission of the people's court. The time period for the hearing shall not be included in the time limit for review of the application for reorganization. 15.重整案件的听证程序。对于债权债务关系复杂、债务规模较大,或者涉及上市公司重整的案件,人民法院在审查重整申请时,可以组织申请人、被申请人听证。债权人、出资人、重整投资人等利害关系人经人民法院准许,也可以参加听证。听证期间不计入重整申请审查期限。
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