关于对统计领域严重失信企业及其有关人员 开展联合惩戒的合作备忘录 (修订版)

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为全面贯彻党的十九大和十九届二中、三中全会精神,以习近平新时代中国特色社会主义思想为指导,落实《统计法》《统计法实施条例》和中央《关于深化统计管理体制改革提高统计数据真实性的意见》《统计违纪违法责任人处分处理建议办法》,以及《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)、《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)、《国务院关于促进市场公平竞争维护市场正常秩序的若干意见》(国发〔2014〕20号)、《国家发展改革委人民银行关于加强和规范守信联合激励和失信联合惩戒对象名单管理工作的指导意见》(发改财金规〔2017〕1798号)等有关要求,加快推进依法统计、诚信统计,积极构建“一处失信、处处受限”的信用联合惩戒大格局,国家发展改革委、人民银行、统计局、中央组织部、中央宣传部、中央编办、中央文明办、最高法院、科技部、工业和信息化部、公安部、安全部、财政部、人力资源社会保障部、自然资源部、生态环境部、住房城乡建设部、交通运输部、水利部、农业农村部、商务部、卫生健康委、国资委、海关总署、税务总局、市场监管总局、广电总局、银保监会、证监会、粮食和储备局、能源局、烟草局、移民局、铁路局、民航局、中医药局、煤矿安监局、外汇局、药监局、知识产权局、全国总工会、共青团中央、全国妇联、全国工商联等部门就针对统计领域严重失信企业及其有关人员开展联合惩戒达成如下一致意见。

 

I. The targets of joint disciplinary action

联合惩戒的对象为存在下列失信行为,经统计部门根据《企业统计信用管理办法》《统计从业人员统计信用档案管理办法》等有关规定,依法认定并通过国家统计局网站公示的统计严重失信企业(以下简称失信企业)及其法定代表人、主要负责人和其他负有直接责任人员(以下简称失信人员)。

(一)在依法开展的政府统计调查中,编造虚假统计数据;

(二)提供不真实统计资料,违法数额占应报数额比例较高,或者违法数额较大;

(三)在统计机构履行监督检查职责时,不如实反映情况、提供相关证明和资料且造成较严重后果,或者提供虚假情况、证明和资料;

(四)拒绝、阻碍统计调查和统计检查,情节严重;

(五)转移、隐匿、篡改、毁弃或者拒绝提供原始记录和凭证、统计台账、统计调查表以及其他相关证明和资料等。

II. Joint Punishment Measures

(1) The following joint punishment measures may be taken against untrustworthy enterprises and persons in accordance with the statistics law:

1. Give administrative punishments for untrustworthy enterprises in accordance with law;

2. Announce information on untrustworthy enterprises and persons to the public through the National statistics website, the "China Credit" website, and the national enterprise credit information release system.

3. List untrustworthy enterprises as targets for key oversight and inspections, and where and conduct in violation of laws and regulations is discovered again, extend the period of announcement;

4.对负有责任的属于国家工作人员的领导人员和直接责任人员,按照有关规定移送任免机关、纪检监察机关、组织(人事)部门依纪依法给予处分处理。

(2) Lawfully restrict receipt of government funds and social security funding supports.

(3) Lawfully restrict participation in bidding and tendering on government investment projects.

(4) Make information on untrustworthiness a consideration in reviewing the issuance of stocks and transferable securities of medium and small-sized enterprises. In registering untrustworthy entities' non-financial corporate debt financing tools, strengthen management and follow the work requirements for registered issued to strengthen information disclosure, strengthen mechanisms for investor protection to prevent relevant risks. Do not accept applications to issue corporate bonds.

(5) Suspend approvals of scientific programs; and where high and new technology enterprise credentials have already been obtained, they are to be cancelled upon verification from the designating institution; and prohibit participation in assessment of small and medium sized scientific enterprises.

(6) Lawfully restrict applications for permits to have foreigners come to China, declarations on projects bringing in foreign experts, demonstration bases to attract talent, going abroad for training, and projects bringing in expertise.

(7) Lawfully restrict participation in government purchasing activities.

(8) Lawfully restrict obtaining of government and transfer of mineral exploration or extraction rights.

(9) Strictly and prudently review environment impact assessments of new restructuring and expansion programs for approval.

(10) Lawfully restrict approvals for additional construction project; restrict construction enterprise credentials;

(11) Lawfully restrict participation in infrastructure and public utility concessions.

(12) Lawfully restrict enjoyment of government financial subsidies and other government benefit policies.

(13) Lawfully restrict assignment of rights in toll roads.

(14) 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.

(15) Increase the force of oversight over import and export goods, strengthen market control inspections, and subsequent audits or statistical oversight.

(16) Where applying for customs verified enterprise management, verification is not to be given; for those who have already become verified enterprises, lower their enterprise credit level in accordance with provisions.

(17) Make status as untrustworthy a major external consideration in tax credit evaluations.

(十八)依法限制申请认证机构资质(含资质延续)、认证领域扩大;依法限制申请认证(含认证证书延续);认证机构加大对失信企业的证后监督力度,依法撤销或者暂停相关认证证书。

(十九)取消申报国家知识产权示范和优势企业资格,取消申报国家专利运营试点企业资格。

(20) Make them targets for key oversight and increase the extent of routine oversight.

(二十一)依法限制申请设立保安服务公司。

(二十二)禁止申请信息安全产品和系统测评服务,不颁发证书,不提供技术支撑;不颁发各类信息安全服务资质,禁止其参与国家关键信息基础安全保障建设服务;禁止申请信息安全从业人员资格认定,不颁发CISP资格。

(23) When applying for or enjoying housing assurances, make them targets for key scruting or oversight inspections.

(24) Lawfully restrict engagement in industries such as food.

(25) Make it a basis for consideration in approving taking a share or purchasing commercial banks.

(26) Make it a basis considered in approvals or recording of modifications of the establishment of insurance companies, their equity rights, or actual controllers.

(27) Pay key attention to entities responsible for untrustworthiness in the supervision during and after the event in acquisitions by listed companies or unlisted public companies.

(28) Make entities responsible for untrustworthiness' records of illegal untrustworthiness a consideration in approvals or recording of corporate bonds.

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

(30) Make information on untrustworthiness a consideration in the approval of independent fund sales establishments.

(三十一)核准与管理相关外汇额度及办理部分基于信用的跨境融资业务时,将失信信息作为审慎性参考。

(35) Lawfully restrict recruitment (hiring) as civil servants or public institution staff.

(三十三)对企业和个人给予表彰奖励、授予荣誉称号时,参考其统计信用状况,对失信企业和失信人员,不予颁发政府荣誉;及时撤销失信企业和失信人员获得的荣誉称号。

(三十四)依法限制参加各类评先评优。

(三十五)依法限制招录(聘)为公务员或事业单位工作人员。

(36) Where the entities responsible for untrustworthiness are natural persons, 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.

(37) Lawfully restrict their serving as the legal representative, director or supervisor of a state-owned enterprise.

(三十八)协助查询反馈统计严重失信人员身份、出入境证件信息;协助查找下落不明但必须接受调查询问的统计失信被执行人;统计严重失信被执行人拒不履行法律文书确定的义务,由人民法院依法限制或者通知有关单位依法限制其出境。

(三十九)将失信人员有关信息记入个人信用记录和统计从业人员诚信档案,一定期限内不得从事与会计、统计等有关的工作,不能取得会计、统计等有关专业职称。

(40) 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.

(41) Lawfully restrict the establishment or taking a stake in a finance guarantee company, use untrustworthy information 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, futures companies, or other financial institutions.

(四十二)在投资等优惠性政策认定,金融机构评级授信、信贷融资、管理和退出,证券公司、基金管理公司及期货公司的设立及股权或实际控制人变更审批或备案,私募投资基金管理人登记、重大事项变更以及基金备案,相关责任人考核、干部选任等时,将失信信息作为重要参考。

III. Joint Disciplinary Action Implementation Methods

国家统计局及时向全国信用信息共享平台推送统计领域存在严重失信行为的企业及其有关人员相关信息,在国家统计局网站、“信用中国”网站和国家企业信用信息公示系统向社会公布,并实行动态管理。 全国信用信息共享平台向参与本合作备忘录的联合惩戒部门和单位提供相关信息,各有关部门和单位按照本备忘录约定内容,依法依规对失信企业和失信人员实施联合惩戒。 涉及地方事权的,签署部门和单位向地方相关部门推送相关信息,地方部门按照本备忘录内容实施联合惩戒。 同时,建立惩戒效果定期通报机制,各有关部门和单位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和统计局。 对于已移出联合惩戒名单的企业和有关人员,相关部门应及时停止实施联合惩戒。

IV. Other Matters

Each department should actively implement this MOU, actively promote the revision of laws and regulations in the field, draft revisions to the department rules and normative documents, guide and request that all levels of unit in the field carry out specific, strict, and effective punitive measures. After this memorandum is signed, where any relevant laws, regulations within a department or field are revised or adjusted the revised laws and regulations are controlling.

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