陕西省违法失信“黑名单”信息共享和联合惩戒办法

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Chapter I: General Provisions

Article 1: These Measures are formulated on the basis of relevant policies and regulations, together with actual experience, so as to accelerate the establishment of creditworthiness in Shaanxi, effectively resolve the prominent problem of untrustworthiness in each industry and field, to regulate economic order in the markets, and to create a positive credit environment.

Article 2: The "Blacklist" of the unlawful and untrustworthy refers to information on natural persons, legal persons, and other organizations (excluding designated by administrative organs (including organizations with public affairs management functions), judicial organs, or arbitration bodies (excluding Party and government organs) that have serious violations of laws, regulations, contracts.

Article 3: These Measures apply to designations, information sharing, joint disciplinary action and management of the "Blacklist" of the unlawful and untrustworthy within this administrative region.

Article 4: The Provincial credit management office is to rely on the Shaanxi Public Credit Information platform to establish a uniform information system for the "Blacklist" of the unlawful and untrustworthy (hereinafter simply 'blacklist' system), promote information sharing of blacklist information from each industry and field, and lawfully provide inquiry services to the public through the "Credit Shaanxi portal website for the provincial credit construction.

Article 5: Each level of provincial administrative organ as well as each organization with public affairs management functions (hereinafter simply 'administrative organs') shall comprehensively establish credit incentives and restraint mechanisms in the course of performing their market oversight and public service duties, promoting industry 'blacklist' management systems, and entering natural persons, legal persons, and other organizations with illegal untrustworthy conduct (hereinafter 'untrustworthy entities') into the 'blacklists', and carrying out key oversight of them, and exposing them in accordance with law.

Administrative organs shall promptly send 'blacklist' information formed in the course of that department or unit performing it's duties to the 'blacklist' system, and follow these Measures and relevant provisions to strengthen the use of 'blacklist' information on illegality and untrustworthy in administrative management, and employ effective measures to carry out joint disciplinary action against untrustworthy entities entered in the 'blacklist' system.

Article 6: The provincial administrative departments for development and reform are the departments leading the establishment of the credit system in the entire province, and are responsible for guiding, coordinating, and overseeing the entire province's implementation of the blacklist information sharing and joint disciplinary action systems.

Each districted city's department leading the establishment of the credit system is responsible for promoting implementation of the 'blacklist' information sharing and joint disciplinary action systems in that administrative region.

Article 7: Encourage each type of social organization, financial institution, public service establishment, and other enterprise and public institutions (hereinafter simply 'social coordination bodies') to actively participate in information sharing and use of the 'blacklist' of the illegal and untrusworthy, and carry out market, industry, and social restraints and punishments against untrustworthy entities in the blacklist system, forming joint disciplinary action mechanisms in which the whole society broadly participates.

Chapter II: Scope of entry into the 'blacklist':

Article 8: In any of the following circumstances, legal persons and other organizations shall be entered into the 'blacklist' of illegality and untrustworthiness:

(1) Having been listed as judgment defaulters by the people's courts;

(2) Having been listed in the archive of persons committing bribery by the people's procuratorates;

(3) Being listed as a party to a major tax violation case by the taxation departments;

(4) Being entered into the list of enterprises with serious illegalities and untrustworthiness by the departments for industry and commerce;

(5) Being entered into the list of seriously untrustworthy production quality enterprises by the departments for quality supervision;

(6) Those not performing on Administrative Punishment Decisions in the time allowed;

(7) Those where a quite large or more serious liability accident or emergency environmental incident has occurred in areas such as food safety, drug safety, production safety, fire safety, product quality, engineering quality, and so forth, or those having primary responsibility for two or more especially large accidents in a sixth month period;

(8) Being in arrears on salary payments, welfare payments, or social insurance fees in a relatively large amount, with the period of arrears exceeding 3 months;

(9) Producing or selling fake or shoddy goods, violating consumers' lawful rights and interests in a heinous fashion, and being given a heavy punishment by the administrative organs;

(10) Making false and misleading statements during the process of applying for government funds as well as in participating in project bidding, government purchasing, government procurement of services, and other economic activities; having fake construction projects, fabricating enterprise credentials, lending or borrowing credentials, whitewashing financial status, providing fake supporting materials, submitting fake audit reports, capital verification reports, project settlement review reports, and other such conduct; or after acquiring government funding, failing to use funds in accordance with promises or for the uses in the application, causing major economic losses to the state, society, or interested parties;

(11) Participating in illegal fundraising, contract fraud, running off with funds received in advance, or using them in violation of rules, where the amounts are quite large, a larger number of people is involved, and it produces a heinous social impact;

(12) Carrying out violations of intellectual property rights, monopolies, colluding in bidding, publishing false advertising, or other conduct that undermines the order of the market economy, causing direct economic losses to interested parties in amounts over 500,000,

(13) Had permits or licenses temporarily seized or revoked by administrative organs due to illegal production and business, or was ordered to stop production and business (suspend for rectification), or was given a fine in a a larger amount, or had confiscation of illegal income (illegal assets), or received a market entry restriction;

(14) Arrears in repaying banking loans, utilities fees, or other debt in the amount of 500,000 RMB for over 12 months, and being subject to a judgment of a people's court or arbitration establishment in accordance with law;

(15) Employed illegal tactics to obtain or illegally provide others with information on citizens, legal persons, or other organizations, producing a heinous social impact or causing larger economic losses;

(16) Where units' unlawful untrustworthiness constitutes a crime, and their legal representatives or responsible parties were given a fine;

(17) Were listed by administrative management departments as the lowest industry oversight level;

(18) Other situations that relevant organs and organizations find shall be entered into the 'blacklist' of the illegal and untrustworthy.

Article 9: Natural persons with any of the following circumstances shall be entered on the 'blacklist' of the illegal and untrustworthy:

(1) Having been listed as judgment defaulters by the people's courts;

(2) Having been listed in the archive of persons committing bribery by the people's procuratorates;

(3) Being listed as a party to a major tax violation case by the taxation departments;

(4) Being listed as banned from an industry by an administrative organ;

(5) Those not performing on Administrative Punishment Decisions in the time allowed;

(6) Engaging in production and business activities without licenses, illegally;

(7) Having leadership responsibility or direct responsibility over quite liability accidents or emergency environmental incidents occurring in areas such as food safety, drug safety, production safety, fire safety, product quality, engineering quality, and so forth, or other such serious illegal conduct;

(8) Producing or selling toxic or harmful foods, or counterfeit or shoddy goods, or otherwise harming consumers' lawful rights and interests, producing a heinous social impact;

(9) Using one's post to facilitate the unlawful disclosure of state secrets, commercial secrets, personal privacy, or other information, causing major losses to the nation, society, enterprises, or other people, or producing a heinous social impact;

(10) Providing false assessment reports and supplementary materials or submitting fake accounting (authentication) reports signed by registered accountants or registered cost engineers during intermediary service activities, causing larger economic losses, impeding social management, or seriously violating the lawful rights and interests of others;

(11) Where there is dishonest or misleading conduct such as fabricating supporting materials, copying theses, or cheating on tests in qualifications testing for recruitment (hiring) of public employees and expert technical professionals (practitioners), and in professional qualifications determinations or title appraisals and so forth, and relevant organs have given punishments or made a designation;

(12) Where fake supporting materials are provided, or the truth of one's circumstances are intentionally concealed in applying for government subsidies, social assistance, buying subsidized housing, or other such economic activities;

(13) Organizing or participating activities such as undermining the order of cyberspace broadcasting, or organizing groups to disrupt public order, where the circumstances are serious and the social impact is heinous;

(14) Participating in pyramid sales activities and being given investigated and addressed by relevant departments such as for industry and commerce or public security three or more times;

(15) Being in arrears in repaying banking loans, utilities fees, or other debt in the amount of 100,000 RMB for over 12 months, and being subject to a judgment of a people's court or arbitration establishment in accordance with law;

(16) Where enterprises are in arrears on paying workers salaries, refuse to perform legally prescribed duties, and so forth, and the legal representative or principle responsible person for that enterprise cannot be reached for more than 6 months;

(17) Violating traffic regulations where the circumstances are serious and it constitutes a crime, or where there is other unlawful and untrustworthy conduct that constitutes a crime, and it is given a criminal punishment;

(18) Other situations that relevant organs and organizations find shall be entered into the 'blacklist' of the illegal and untrustworthy.

Chapter III: Disclosure and Sharing of 'Blacklist' Information

Article 10: Administrative organs shall integrate 'blacklist' information on illegality and untrustworthiness that is formed in the department or unit's performance of its duties, and follow provisions to promptly announce it to the public through the unit's website and all types of media.

Article 11: Administrative organs shall employ the follow methods to report blacklist information on illegality and untrustworthiness to the blacklist system within 15 days of it being produced:

(1) Where 'blacklist' information management is to be centralized at the provincial level, the provincial administrative organs uniformly report;

(2) Where 'blacklist' information management is not centralized at the provincial level, the administrative organs that produced or collected it are to report it in accordance with the principle of territoriality.

Article 12: Information reported by administrative organs to the 'blacklist' system primarily includes the following content:

(1) The basic information on untrustworthy entities, including the title of legal persons and other organizations (or the full name of natural persons), the uniform social credit code (or citizen ID number), the full name of the legal representative or principle responsible person and their citizen identification number.

(2) The matter for entry into the 'blacklist' of untrustworthiness, including the facts of the illegal and untrustworthy conduct, reasoning, basis for punishment, punishment outcome, and date of punishment. Where a people's court has made a judgment or an arbitration body has made a decision, the legally effective civil judgment or arbitration ruling shall be provided;

(3) Circumstances of correcting the negative conduct, including whether corrections are complete, the date of completing corrections, and so forth. Where a people's court has made a judgment or an arbitration body has made a decision, the circumstances of enforcing the judgment or ruling as well as the date on which enforcement concluded, shall be provided;

(4) The date for removal of the information from the 'blacklist';

(5) Other content that relevant organs and organizations feel shall be disclosed.

Article 13: Information reported by the public coordination bodies to the 'blacklist' system shall be information on illegal and untrustworthy conduct from a judgment by a people's court or ruling by an arbitration establishment. For the specific scope and content, refer to the relevant provisions of articles 8, 9, and 10 of these Measures.

Each level of people's court and people's procuratorate are to refer to these Measures in providing information on illegal untrustworthiness to the 'blacklist' system.

Article 14: The period for disclosure for 'blacklist' information in the 'blacklist' system, and the date of removal of the information is to be determined by the relevant unit sending the information on the basis of laws, regulations, and provisions. Before the untrustworthy entity has fully performed its legally-prescribed obligations, the removal date is not to be set.

After untrustworthy entities perform legally-prescribed obligations, the unit sending the information shall report the information on performance and set a date for removal.

Article 15: After the period for disclosure of 'blacklist' information is complete, it is automatically removed from the 'blacklist system' and transferred to storage archives.

Article 16: In any of the following circumstances, untrustworthy entities entered into the 'blacklist' system may apply to the unit sending the information for early removal from the 'blacklist' system:

(1) it is the first time illegal untrustworthy conduct has occurred and there is no further illegal untrustworthy conduct for 6 months after the completion of performance on legally-prescribed duties or completion of corrections, and a written assurance of regret is issued.;

(2) It is not the first time illegal untrustworthy conduct has occurred, but performance of legally-prescribed obligations is completed as provided or corrections are completed, no further information on illegal untrustworthy conduct is created for 12 months after the corrections, and a public apology is made through news media, and assurances are made through public letter;

(3) The unit sending the information acknowledges other major expressions of regret, and effective measures to prevent further illegal untrustworthy conduct have already been employed.

Article 17: After the unit sending the information receives a written application from the untrustworthy entity, it is to make a decision on early removal based on the untrustworthy entity's actual expressions of remorse. Where upon review the conditions for early removal are met, a decision in agreement should be made within 3 days, and the provincial credit management office is to be notified in writing within 15 working days. Where the conditions for early removal are not met, they shall immediately inform the applicant and explain the reasons.

The provincial credit management office shall follow the specific opinions of the unit sending the information to promptly modify the information in the 'blacklist' system, and accurately record the modification.

Chapter IV: Joint disciplinary action.

Article 18: Legal persons and other organizations entered in the 'blacklist' system by administrative organs shall have the following joint disciplinary actions take against them in accordance with law:

(1) Strengthen routine oversight, increase the frequency of oversight inspections;

(2) Prohibit participation in selections for excellence, and where they have already received honorifics, they should be revoked in accordance with relevant provisions;

(3) Restrict enjoyment of all kinds of government support policies;

(4) Restriction on obtaining government financial support.

(5) Restrict import tariff quotas;

(6) Restrict listing and financing of enterprises;

(7) Restrict issuing of enterprise bonds.

(8) Restrict adding approvals for new projects, land use, or mineral rights;

(9) Restrict participation in bidding and tendering activities for government investment projects;

(10) Lawfully restrict participation in government procurement activities;

(11) Restrict assignment of rights in toll roads;

(12) Restrict becoming a customs-verified enterprise;

(13) Where legally-prescribed obligations have not been fully performed, temporarily suspend handling of administrative permit formalities;

(14) Where legally-prescribed obligations have not been fully performed, lawfully restrict their legal representatives or principle responsible persons from leaving the country;

(15) Other management and punishment measures provided by laws, regulations, and rules.

Article 19: Natural persons and other organizations entered in the 'blacklist' system by administrative organs shall have the following joint disciplinary actions take against them in accordance with law:

(1) Prohibit participation in selections for excellence, and where they have already received honorifics, they should be revoked in accordance with relevant provisions:

(2) They must not serve as the legal representative, director, supervisor, manager, or other senior management personnel of enterprises;

(3) They must not be staff of state organs or public institutions;

(4) Restriction on government financial support;

(5) Revoke expert certifications for all kinds of appraisals or examinations;

(6) Where legally-prescribed obligations have not been fully performed, temporary suspend formalities for reviews for professional (practice) certification and registration;

(7) Other management and punishment measures provided by laws, regulations, and rules.

Article 20: Encourage social coordination bodies to implement the following joint disciplinary actions against untrustworthy entities entered into the blacklist system:

(1) Restrict provision of credit loans, guarantees, processing credit cards, and other such financial services;

(2) restrict passage on airplanes, soft sleeper trains, express trains, and other high-end vehicles;

(3) restrict participation in project bidding activities;

(4) restrict acceptance as member units;

(5) restrict the establishment of cooperative relationships;

(6) restrict services such as the provision of credit purchasing;

(7) Other restrictions and punishment measures provided by laws, regulations, and rules.

Chapter V: Notice of Responsibility and Handling of Objections

Article 21: Before administrative organs and social coordinating bodies report information to the 'blacklist' system, they shall inform the parties, and ensure the veracity and accuracy of the published information.

Article 22: Where natural persons, legal persons, and other organizations have objections to their entry, or the entry of their unit, into the 'blacklist' system, they may submit a written objection application to the provincial credit management office.

Article 23: After the provincial credit management office receives an objection application, it shall conduct a review and verification in conjunction with the unit that provided the information within 3 working days, and take the following disposition measures on the basis of the outcomes:

(1) Where there is ample evidence showing that there is no error in the information, they shall promptly inform the objecting applicant in writing, and present the effective evidence;

(2) Where there is truly error in the information, they shall promptly correct it and inform the objecting applicant of the change and outcome;

(3) Where the illegal untrustworthy acts do no meet the requirements for entry into the 'blacklist', or the information has already exceeded the period for disclosure, it should be promptly removed from the 'blacklist' and proofs should be issued as needed by the objecting applicant;

(4) Where the objecting applicant has other requests, they are to be handled in accordance with the corresponding laws, regulations, and rules, and the principle of striving to preserve the lawful rights and interests of the objecting applicant to the greatest extent possible.

Chapter VI: Oversight Management and Legal Responsibility

Article 24: Where administrative organs do not follow these measures to establish industry blacklist systems, do not participate in provincial 'blacklist' information sharing on illegality and untrustworthiness, or do not implement joint disciplinary action against untrustworthy entities, the provincial and municipal departments taking the lead in establishing credit systems are to urge them in writing to take action, and where they still do not after urging, the people's governments at that level are to circulate criticism.

At least once each quarter, provincial level administrative organs shall conduct statistical summation of the 'blacklist' information sharing and joint disciplinary action measures taken by corresponding departments, industries, and systems, and report related information to the provincial credit management office.

Each districted city's department taking the lead in the establishment of a credit system is responsible for conducting statistical summation of the 'blacklist' information sharing and joint disciplinary action measures taken by administrative organs in subordinate county (city or district) jurisdictions, and report related information to the provincial credit management office at least once each quarter.

Article 25: Where administrative organs cause economic losses from failure to disclose, share, or use blacklist information on illegality and untrustworthiness in accordance with these measures, or by failing to follow these measures to employ related restrictions or prohibitions against seriously illegally untrustworthy entities, pursue the the administrative responsibility of the primary leader and other responsible parties in accordance with laws and discipline.

Article 26: Where administrative organs and social coordination bodies intentionally provide false information, causing harms to related market entities, they are to bear legal responsibility in accordance with law.

Chapter VII: Supplementary Provisions

Article 27: These Measures take effect on July 1, 2016.

Article 28: Provincial administrative organs are responsible for drafting and improving specific measures for corresponding departments, industries, and systems' implementation of 'blacklist' management systems, refining the scope of inclusion in the 'blacklist' of illegality and untrustworthiness and joint disciplinary action measures, to be published before May 31, 2016.

Article 29: For illegal untrustworthy conduct occurring before these measures are formally implemented, and untrustworthy entities have already taken comprehensive performance of legally-prescribed obligations and employed effective measures to correct mistakes and eliminate societal impact, they are not to be further entered into the 'blacklist' system for implementation of joint disciplinary action.

Article 30: Reference the relevant provisions on these measures on legal persons and other organizations in designation of sole proprietorships as untrustworthiness and joint disciplinary action measures.

Article 31: Administrative organs shall carry out reminders and education for natural persons, legal persons, and other organizations that have ordinary illegal and untrustworthy conduct (that does not reach the level for 'blacklist' entry), and employ appropriate restrictive measures in accordance with law and regulations in light of the circumstances, spurring the untrustworthy entities to correct the untrustworthy conduct, perform legally-prescribed obligations, strengthen awareness of credit, and increase their credit level.

Article 32: Where laws, administrative regulations, and rules provide differently, follow those provisions.

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