MOU on Implementation of Joint Punishments against Seriously Untrustworthy Enterprises in the Social Insurance Field and their Staffs

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Promulgation Date: 2018-11-22
Title:印发《关于对社会保险领域严重失信企业及其有关人员实施联合惩戒的合作备忘录》的通知
[Document Number]发改财金〔2018〕1704号
Expiration date:
Promulgating Entities:
国家发展和改革委员会 中国人民银行 人力资源和社会保障部等
Source of text: http://www.ndrc.gov.cn/zcfb/zcfbtz/201811/t20181129_921188.html

为深入学习贯彻习近平新时代中国特色社会主义思想和党的十九大精神,落实《社会保险法》《国务院关于印发社会信用体系建设规划纲要 (2014-2020年)的通知》 (国发〔2014〕21号)、 《国务院关于建立完善守信联合激励和失信联合惩戒制度加快推进社会诚信建设的指导意见》(国发〔2016〕33号)等文件要求,加快推进社会信用体系建设,健全跨部门失信联合惩戒机制,打击社会保险领域违法失信行为,国家发展改革委、人民银行、人力资源社会保障部、中央组织部、中央宣传部、中央编办、中央文明办、中央网信办、工业和信息化部、财政部、自然资源部、住房城乡建设部、交通运输部、水利部、商务部、卫生健康委、应急管理部、国资委、海关总署、税务总局、市场监管总局、国际发展合作署、医保局、银保监会、证监会、民航局、外汇局、铁路总公司等部门就社会保险领域严重失信企业及其有关人员实施联合惩戒达成如下一致意见。

I. Targets for Punishment

Targets for joint disciplinary action refers to enterprises, public institutions, and their relevant personnel, who have been designated by the Ministry of Human Resources and Social Security, State Administration of Taxation, and Medical Insurance Bureau, together with relevant departments, as having violated laws, regulations and rules related to social insurance; and seriously untrustworthy or improper conduct primarily includes:

(1) Where employment units have not followed provisions to participate in social insurance and refuse to make corrections;

(2) Where employment units have not truthfully reported social insurance fund payments and refuse to make corrections;

(3) Where payments into social insurance should be made but they refuse to make them;

(4) Where social insurance fees or funds or improper investment operations are concealed, transferred, embezzled or misappropriated;

(5) Where methods such as falsifying or fabricating supporting materials are use in participating in or reporting social insurance, a fraudulently obtaining social insurance fund payments or social insurance benefits;

(6) Illegally obtaining, selling, or covertly trading in data on personal social insurance rights;

(7) Where social insurance service establishments violate service agreements or related provisions;

(8) Refusing to assist administrative departments for social insurance, upon the handling establishments having conducted an investigation and verified an accident; refusing to accept or assist in taxation departments' implementation of oversight inspections, or not truthfully providing materials related to each project related to social insurance;

(9) Other violations of laws and regulations.

II. Methods for Carrying out Information Sharing and Joint Punishment

人力资源社会保障部、税务总局和医疗保障局通过全国信用信息共享平台依法依规向签署本备忘录的其他部门和单位提供社会保险领域相关失信用人单位信息,并在“信用中国”网站、国家企业信用信息公示系统、人力资源社会保障部、税务总局和医疗保障局网站向社会公布。 有关部门和单位按照本备忘录规定实施联合惩戒措施,并根据实际情况定期将联合惩戒实施情况通过全国信用信息共享平台反馈至国家发展改革委、人力资源社会保障部、税务总局和医疗保障局。

III. Punishmet Measures

(1) Restrictions on recruitment (hiring) of untrustworthy persons as civil servants or public institution staff.

(Implementing Units: Organization Department of the CPCC, Ministry of Human Resources and Social Security, and other relevant departments)

(二)将失信企业列为重点监督检查对象,增加社会保险监督检查和稽核的频次,再次发现有社会保险违法违规行为的,延长公示期限。

(Implementing Units: Ministry of Human Resources and Social Security, State Administration of Taxation, Bureau of Medical Insurance

(3) Restrict untrustworthy enterprises' participation in cooperative projects on social insurance operations.

(Implementing Units: Ministry of Human Resources and Social Security and other relevant departments)

(4) Restrict the convenience of untrustworthy units handling social insurance operations.

(Implementing Units: Ministry of Human Resources and Social Security and other relevant departments)

(5) Lawfully restrict untrustworthy enterprises' applications for government subsidies and social security funding supports.

(Implementing Units: The National Development and Reform Commission, Ministry of Finance, Ministry of Human Resources and Social Security, State-owned Assets Supervision and Administration Commission, and other relevant departments)

(6) Lawfully restrict untrustworthy enterprises' participation as a supplier in government procurement activities.

(Implementing Units: Ministry of Finance)

(七)依法将失信信息作为选择基础设施和公用事业特许经营等政府和社会资本合作项目合作伙伴的重要参考因素,限制失信主体成为项目合作伙伴。

(实施单位:国家发展改革委、财政部)

(8) Make information on untrustworthiness a consideration in approvals or recording of modifications to securities companies', fund management companies', or futures companies'establishment, equity rights, and actual controller, or private investment fund managers registration, modification of major matter, and other fund recording; make information on untrustworthiness a consideration in review and filing of corporate bonds; and put relevant entities with records of untrustworthiness under key scrutiny, during and after the event, in acquisitions by listed companies or unlisted public companies.

(Implementing Units: The National Development and Reform Commission, Securities Regulatory Commission)

(9) Make information on the untrustworthiness of punishment targets a consideration in reviewing the issuance of stocks and transferable securities of medium and small-sized enterprises.

(Implementing Units: Securities Regulatory Commission)

(10) For relevant entities that have records of untrustworthiness strictly review applications for eligibility to engage in securities, funds, or futures operations, and where they are already an entity of persons engaged in securities, funds, or futures operations, they are to be given heightened scrutiny.

(Implementing Units: Securities Regulatory Commission)

(11) Make information on untrustworthiness a consideration in review of major asset reorganizations of non-listed public companies.

(Implementing Units: Securities Regulatory Commission)

(12) Make information on untrustworthiness a consideration in the approval of fund sales qualifications.

(Implementing Units: Securities Regulatory Commission)

(十三)将违法失信信息作为审核或注册公司信用类债券的重要参考。

(Implementing Units: NRDC, Bank of China

(十四)将失信企业及其有关人员的失信信息纳入金融信用信息基础数据库,为金融机构融资授信提供重要参考。

(Implementing Units: People's Bank of China )

(15) Lawfullly restrict untrustworthy enterprises' establishment of finance guarantee companies; lawfully restrict relevant responsible parties from holding of positions as directors, supervisors, senior management at finance guarantee companies or financial instititutions. Use information on untrustworthiness as a consideration in approval or recording of directors, supervisors, or senior management, or the responsible persons at branch organizations of securities companies, insurance companies, fund management companies, or futures companies.

(实施单位:银保监会、证监会、工业和信息化部、财政部、市场监管总局等相关部门以及地方政府确定的融资性担保公司监管机构)

(十六)将失信企业相关信息作为设立保险公司审批参考,作为保险中介业务许可和保险专业中介机构变更股权、实际控制人备案的参考;依法限制失信企业及失信企业(企事业单位)的法定代表人、主要负责人、影响债务履行的直接责任人员、实际控制人支付高额保费购买具有现金价值的保险产品。

(Implementing Units: Insurance Regulatory Commission)

(17) The China Banking Regulatory Commission will carefully consider relevant information of untrustworthy enterprises when approving the establishment of commercial banks or branches, representative offices as well purchase of stock or acquisition of commercial banks.

(Implementing Units: Insurance Regulatory Commission)

(18) Make information on untrustworthiness a consideration in oversight and management during and after the fact of a domestic listed company's implementation of an equity incentive plan or making relevant personnel equity incentive recipients.

(Implementing Units: Securities Regulatory Commission, State-owned Assets Supervision and Administration Commission, Ministry of Finance)

(19) Make circumstances of untrustworthiness a basis of careful consideration in the examination, approval,and management of qualified foreign institutional investors and domestic institutional investors.

(Implementing Units: Foreign Exchange Bureau)

(20) When financial institutions making inquiries as to whether a credit applicant and its legal representative, actual control person, directors, supervisors and senior management are entities responsible for untrustworthiness make the untrustworthiness a basis for strict review of credit applications.

(Implementing Units: People's Bank of China, Banking Insurance Regulatory Commission)

(二十一)限制严重失信行为有关责任人乘坐飞机、列车软卧、轮船二等以上仓位、G字头动车组列车全部座位、其他动车组一等以上座位等非生活和工作必须的消费行为。

(实施单位:交通运输部、民航局、铁路总公司等相关部门)

(二十二)将相关机构及其法人代表、实际控制人、董事、监事、高级管理人等失信责任主体状况作为优惠性政策支持的审慎性参考。

(Implementing Units: National Development and Reform Commission, Ministry of Commerce, General Customs Administration, State Administration of Taxation, General Market Administration )

(23) Lawfully restrict or prohibit untrustworthy enterprises from obtaining government land.

(Implementing Units: Department of Natural Resources)

(24) Lawfully restrict untrustworthy enterprises participation in bidding and tendering on construction projects.

(Implementing Units: National Development and Reform Commission, Ministry of Industry and Information, Ministry of Housing and Urban and Rural Development, Minstry of Transport, Ministry of Water Resources, Ministry of Commerce, International Development and Cooperation Agency, Civil Aviation Administration, Railways Corporation)

(25) Lawfully restrict untrustworthy enterprises from rights and interests in collecting fees for public roads.

(Implementing Units: Ministry of Transport)

(26) Where untrustworthy enterprises apply for customs verified enterprise management, customs is not to give verification; for those who have already become verified enterprises, lower their enterprise credit level in accordance with provisions.

(Implementing Units: General Customs Administration)

(二十七)在失信企业申请办理相关海关业务时,对其进出口货物实施严密监管,加强布控查验、后续稽查或统计监督核查。

(Implementing Units: General Customs Administration)

(二十八)失信责任主体为个人的,依法限制其担任国有独资公司法定代表人、董事、监事及国有资本控股或参股公司法定代表人、董事、监事及国有企业的法定代表人、高级管理人员;已担任相关职务的,提出其不再担任相关职务的意见。

(Implementing Units: Organization Department of the CPCC, State-owned Assets Supervision and Administration Commission, Ministry of Finance)

(29) Where the entities responsible for untrustworthiness are individuals, lawfully restrict their registration as the legal representatives of public institutions. Where the entities responsible for untrustworthiness are institutions, the legal representatives of those institutions are to be lawfully restricted from registering as the legal representatives of public institutions.

(Implementing Units: State Commission Office for Public Sector Reform)

(30) Make untrustworthy enterprises and units that have entitites responsible for untrustworthiness as their legally-designated representatives, actual controllers, directors, supervisors and high-level managers, key targets for supervision, increase the force of routine supervision and management, raise the proportion and frequency of random inspections, and administrative supervision and management measures may be adopted against them on the basis of relevant laws and regulations.

(Implementing Units: Relevant Departments for market oversight and industry)

(31) Publication of information on entities responsible for untrustworthiness through main news sites.

(Implementing Unit: State Internet Information Office)

(三十二)对于机关、企事业单位、社会团体或其领导成员为失信单位或个人的,不得参加文明单位、道德模范等各类评选表彰,已经取得荣誉称号的予以撤销。

(Implementing Units: Publicity Department and Civilization Office of the CCCPC)

IV. Ongoing management of shared information

人力资源社会保障部、税务总局、医疗保障局和国家发展改革委在全国信用信息共享平台的失信联合惩戒系统上及时更新社会保险领域相关失信企业及其有关人员信息,其他部门和单位根据各自职责,按照法律法规和有关规定实施惩戒或解除惩戒。 同时,有关部门要依法依规规范失信企业及其有关人员名单产生和发布行为,建立健全退出机制和异议、投诉制度。

V. Other matters

各部门和单位应密切协作,积极落实本备忘录,积极推动修改相关领域法律法规,制定修改部门规章和规范性文件,指导和要求相关领域内部各层级单位依法依规实施具体、严格、有效的惩戒措施。 Specific operational issues in the implementation of this memorandum are to be settled by the discreet departments through consultations.

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