Opinions on Further Strengthening the Concepts of Good Faith and Civility in Enforcement

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为贯彻落实《中共中央、国务院关于完善产权保护制度依法保护产权的意见》《中共中央、国务院关于营造更好发展环境支持民营企业改革发展的意见》等文件精神,进一步提升人民法院严格规范公正文明执行水平,推动执行工作持续健康高水平运行,为经济社会发展提供更加优质司法服务和保障,根据民事诉讼法及有关司法解释,结合人民法院执行工作实际,提出以下意见。

I. Fully Recognize the Significance and Character Good Faith and Civility in Enforcement

  1. 充分认识善意文明执行重要意义。执行是公平正义最后一道防线的最后一个环节。 强化善意文明执行理念,在依法保障胜诉当事人合法权益同时,最大限度减少对被执行人权益影响,实现法律效果与社会效果有机统一,是维护社会公平正义、促进社会和谐稳定的必然要求,是完善产权保护制度、建立健全市场化法治化国际化营商环境和推动高质量发展的应有之义,对全面推进依法治国、推进国家治理体系和治理能力现代化具有重要意义。
  2. 准确把握善意文明执行精神实质。执行工作是依靠国家强制力实现胜诉裁判的重要手段。 当前,被执行人规避执行、逃避执行仍是执行工作中的主要矛盾和突出问题。 突出执行工作的强制性,持续加大执行力度,及时保障胜诉当事人实现合法权益,依然是执行工作的工作重心和主线。 但同时要注意到,执行工作对各方当事人影响重大,人民法院在执行过程中也要强化善意文明执行理念,严格规范公正保障各方当事人合法权益;要坚持比例原则,找准双方利益平衡点,避免过度执行;要提高政治站位,着眼于党和国家发展战略全局,提升把握司法政策的能力和水平,实现依法履职与服务大局、促进发展相统一。 要采取有效措施坚决纠正实践中出现的超标的查封、乱查封现象,畅通人民群众反映问题渠道,对有关线索实行“一案双查”,对不规范行为依法严肃处理。

人民法院在强化善意文明执行理念过程中,要充分保障债权人合法权益,维护执行权威和司法公信力,把强制力聚焦到对规避执行、逃避执行、抗拒执行行为的依法打击和惩处上来。 要坚决防止执行人员以“善意文明执行”为借口消极执行、拖延执行,或者以降低对被执行人影响为借口无原则促成双方当事人和解,损害债权人合法权益。

II. Strictly Prohibit Sequestration that Exceeds Standards and Arbitrary Sequestration

  1. 合理选择执行财产。被执行人有多项财产可供执行的,人民法院应选择对被执行人生产生活影响较小且方便执行的财产执行。 在不影响执行效率和效果的前提下,被执行人请求人民法院先执行某项财产的,应当准许;未准许的,应当有合理正当理由。

执行过程中,人民法院应当为被执行人及其扶养家属保留必需的生活费用。 要严格按照中央有关产权保护的精神,严格区分企业法人财产与股东个人财产,严禁违法查封案外人财产,严禁对不得查封的财产采取执行措施,切实保护民营企业等企业法人、企业家和各类市场主体合法权益。 要注意到,信托财产在信托存续期间独立于委托人、受托人各自的固有财产,并且受益人对信托财产享有的权利表现为信托受益权,信托财产并非受益人的责任财产。 因此,当事人因其与委托人、受托人或者受益人之间的纠纷申请对存管银行或信托公司专门账户中的信托资金采取保全或执行措施的,除符合《中华人民共和国信托法》第十七条规定的情形外,人民法院不应准许。

  1. 严禁超标的查封。强制执行被执行人的财产,以其价值足以清偿生效法律文书确定的债权额为限,坚决杜绝明显超标的查封。 冻结被执行人银行账户内存款的,应当明确具体冻结数额,不得影响冻结之外资金的流转和账户的使用。 需要查封的不动产整体价值明显超出债权额的,应当对该不动产相应价值部分采取查封措施;相关部门以不动产登记在同一权利证书下为由提出不能办理分割查封的,人民法院在对不动产进行整体查封后,经被执行人申请,应当及时协调相关部门办理分割登记并解除对超标的部分的查封。 相关部门无正当理由拒不协助办理分割登记和查封的,依照民事诉讼法第一百一十四条采取相应的处罚措施。
  2. 灵活采取查封措施。对能“活封”的财产,尽量不进行“死封”,使查封财产能够物尽其用,避免社会资源浪费。 查封被执行企业厂房、机器设备等生产资料的,被执行人继续使用对该财产价值无重大影响的,可以允许其使用。 对资金周转困难、暂时无力偿还债务的房地产开发企业,人民法院应按照下列情形分别处理:

(1) After construction projects are sealed, the person subject to enforcement shall be allowed, in principle, to continue construction.

(2)查封在建工程后,对其采取强制变价措施虽能实现执行债权人债权,但会明显贬损财产价值、对被执行人显失公平的,应积极促成双方当事人达成暂缓执行的和解协议,待工程完工后再行变价;无法达成和解协议,但被执行人提供相应担保并承诺在合理期限内完成建设的,可以暂缓采取强制变价措施。

(3)查封在建商品房或现房后,在确保能够控制相应价款的前提下,可以监督被执行人在一定期限内按照合理价格自行销售房屋。 人民法院在确定期限时,应当明确具体的时间节点,避免期限过长影响执行效率、损害执行债权人合法权益。

  1. 充分发挥查封财产融资功能。人民法院查封财产后,被保全人或被执行人申请用查封财产融资的,按照下列情形分别处理:

(1)保全查封财产后,被保全人申请用查封财产融资替换查封财产的,在确保能够控制相应融资款的前提下,可以监督被保全人按照合理价格进行融资。

(2)执行过程中,被执行人申请用查封财产融资清偿债务,经执行债权人同意或者融资款足以清偿所有执行债务的,可以准许。

被保全人或被执行人利用查封财产融资,出借人要求先办理财产抵押或质押登记再放款的,人民法院应积极协调有关部门做好财产解封、抵押或质押登记等事宜,并严格控制融资款。

  1. 严格规范上市公司股票冻结。为维护资本市场稳定,依法保障债权人合法权益和债务人投资权益,人民法院在冻结债务人在上市公司的股票时,应当依照下列规定严格执行:

(1) Freezing in excess of standards is strictly prohibited. 冻结上市公司股票,应当以其价值足以清偿生效法律文书确定的债权额为限。 股票价值应当以冻结前一交易日收盘价为基准,结合股票市场行情,一般在不超过20%的幅度内合理确定。 股票冻结后,其价值发生重大变化的,经当事人申请,人民法院可以追加冻结或者解除部分冻结。

(2)可售性冻结。 保全冻结上市公司股票后,被保全人申请将冻结措施变更为可售性冻结的,应当准许,但应当提前将被保全人在证券公司的资金账户在明确具体的数额范围内予以冻结。 在执行过程中,被执行人申请通过二级市场交易方式自行变卖股票清偿债务的,人民法院可以按照前述规定办理,但应当要求其在10个交易日内变卖完毕。 特殊情形下,可以适当延长。

(3)已质押股票的冻结。 上市公司股票存在质押且质权人非本案保全申请人或申请执行人,目前,人民法院在采取冻结措施时,由于需要计入股票上存在的质押债权且该债权额往往难以准确计算,尤其是当股票存在多笔质押时还需指定对哪一笔质押股票进行冻结,为保障普通债权人合法权益,人民法院一般会对质押股票进行全部冻结,这既存在超标的冻结的风险,也会对质押债权人自行实现债权造成影响,不符合执行经济原则。

最高人民法院经与中国证券监督管理委员会沟通协调,由中国证券登记结算有限公司(以下简称中国结算公司)对现有冻结系统进行改造,确立了质押股票新型冻结方式,并在系统改造完成后正式实施。 The specific content is as follows:

第一,债务人持有的上市公司股票存在质押且质权人非本案保全申请人或申请执行人,人民法院对质押股票冻结时,应当依照7(1)规定的计算方法冻结相应数量的股票,无需将质押债权额计算在内。 冻结质押股票时,人民法院应当提前冻结债务人在证券公司的资金账户,并明确具体的冻结数额,不得对资金账户进行整体冻结。

第二,股票冻结后,不影响质权人变价股票实现其债权。 质权人解除任何一部分股票质押的,冻结效力在冻结股票数量范围内对解除质押部分的股票自动生效。 质权人变价股票实现其债权后变价款有剩余的,冻结效力在本案债权额范围内对剩余变价款自动生效。

第三,在执行程序中,为实现本案债权,人民法院可以在质押债权和本案债权额范围内对相应数量的股票采取强制变价措施,并在优先实现质押债权后清偿本案债务。

第四,两个以上国家机关冻结同一质押股票的,按照在证券公司或中国结算公司办理股票冻结手续的先后确定冻结顺位,依次满足各国家机关的冻结需求。 两个以上国家机关在同一交易日分别在证券公司、中国结算公司冻结同一质押股票的,在先在证券公司办理股票冻结手续的为在先冻结。

第五,人民法院与其他国家机关就冻结质押股票产生争议的,由最高人民法院主动与最高人民检察院、公安部等部门依法协调解决。 争议协调解决期间,证券公司或中国结算公司控制产生争议的相关股票,不协助任何一方执行。 争议协调解决完成,证券公司或中国结算公司按照争议机关协商的最终结论处理。

第六,系统改造完成前已经完成的冻结不适用前述规定。 案件保全申请人或申请执行人为质权人的,冻结措施不适用前述规定。

III. Lawfully and Appropriately Employ Asset Reappraisal Measures in Accordance with Law

  1. 合理确定财产处置参考价。执行过程中,人民法院应当按照《最高人民法院关于人民法院确定财产处置参考价若干问题的规定》合理确定财产处置参考价。 要在不损害第三人合法权益的情况下,积极促成双方当事人就参考价达成一致意见,以进一步提高确定参考价效率,避免后续产生争议。 财产有计税基准价、政府定价或政府指导价,当事人议价不能、不成或者双方当事人一致要求定向询价的,人民法院应当积极协调有关机构办理询价事宜。 定向询价结果严重偏离市场价格的,可以进行适当修正。 实践证明,网络询价不仅效率高,而且绝大多数询价结果基本能够反映市场真实价格,对于财产无需由专业人员现场勘验或鉴定的,人民法院应积极引导当事人通过网络询价确定参考价,并对询价报告进行审查。

经委托评估确定参考价,被执行人认为评估价严重背离市场价格并提起异议的,为提高工作效率,人民法院可以以评估价为基准,先促成双方当事人就参考价达成一致意见。 无法快速达成一致意见的,依法提交评估机构予以书面说明。 评估机构逾期未做说明或者被执行人仍有异议的,应及时提交相关行业协会组织专业技术评审。 在确定财产处置参考价过程中,人民法院应当依法履行监督职责,发现当事人、竞拍人与相关机构、人员恶意串通压低参考价的,应当及时查处和纠正。

  1. 适当增加财产变卖程序适用情形。要在坚持网络司法拍卖优先原则的基础上,综合考虑变价财产实际情况、是否损害执行债权人、第三人或社会公共利益等因素,适当采取直接变卖或强制变卖等措施。

(1)被执行人申请自行变卖查封财产清偿债务的,在确保能够控制相应价款的前提下,可以监督其在一定期限内按照合理价格变卖。 变卖期限由人民法院根据财产实际情况、市场行情等因素确定,但最长不得超过60日。

(2)被执行人申请对查封财产不经拍卖直接变卖的,经执行债权人同意或者变卖款足以清偿所有执行债务的,人民法院可以不经拍卖直接变卖。

(3)被执行人认为网络询价或评估价过低,申请以不低于网络询价或评估价自行变卖查封财产清偿债务的,人民法院经审查认为不存在被执行人与他人恶意串通低价处置财产情形的,可以监督其在一定期限内进行变卖。

(4)财产经拍卖后流拍且执行债权人不接受抵债,第三人申请以流拍价购买的,可以准许。

(5)网络司法拍卖第二次流拍后,被执行人提出以流拍价融资的,人民法院应结合拍卖财产基本情况、流拍价与市场价差异程度以及融资期限等因素,酌情予以考虑。 准许融资的,暂不启动以物抵债或强制变卖程序。

被执行人依照9(3)规定申请自行变卖,经人民法院准许后,又依照《最高人民法院关于人民法院确定财产处置参考价若干问题的规定》第二十二、二十三条规定向人民法院提起异议的,不予受理;被执行人就网络询价或评估价提起异议后,又依照9(3)规定申请自行变卖的,不应准许。

  1. 充分吸引更多主体参与竞买。拍卖过程中,人民法院应当全面真实披露拍卖财产的现状、占有使用情况、附随义务、已知瑕疵和权利负担、竞买资格等事项,严禁故意隐瞒拍品瑕疵诱导竞买人竞拍,严禁故意夸大拍品瑕疵误导竞买人竞拍。 拍卖财产为不动产且被执行人或他人无权占用的,人民法院应当依法负责腾退,不得在公示信息中载明“不负责腾退交付”等信息。 要充分发挥网拍平台、拍卖辅助机构的专业优势,做好拍品视频宣介、向专业市场主体定向推送拍卖信息、实地看样等相关工作,以吸引更多市场主体参与竞拍。
  2. 最大限度实现财产真实价值。同一类型的执行财产数量较多,被执行人认为分批次变价或者整体变价能够最大限度实现其价值的,人民法院可以准许。 尤其是对体量较大的整栋整层楼盘、连片商铺或别墅等不动产,已经分割登记或事后可以分割登记的,被执行人认为分批次变价能够实现不动产最大价值的,一般应当准许。 多项财产分别变价时,其中部分财产变价款足以清偿债务的,应当停止变价剩余财产,但被执行人同意全部变价的除外。
  3. 准确把握不动产收益权质权变价方式。生效法律文书确定申请执行人对被执行人的公路、桥梁、隧道等不动产收益权享有质权,申请执行人自行扣划收益权收费账户内资金实现其质押债权,其他债权人以申请执行人仅对收费权享有质权而对收费账户内资金不享有质权为由,向人民法院提起异议的,不予支持。 在执行过程中,人民法院可以扣划收益权收费账户内资金实现申请执行人质押债权,收费账户内资金足以清偿债务的,不应对被执行人的收益权进行强制变价。

IV. Make full use of Systems Such as for Enforcement and Resolution and Bankruptcy Reoorganization

  1. 依法用好执行和解和破产重整等相关制度。要在依法采取执行措施的同时,妥善把握执行时机、讲究执行策略、注意执行方法。 对资金链暂时断裂,但仍有发展潜力、存在救治可能的企业,可以通过和解分期履行、兼并重组、引入第三方资金等方式盘活企业资产。 要加大破产保护理念宣传,通过强化释明等方式引导执行债权人或被执行人同意依法将案件转入破产程序。 对具有营运价值的企业通过破产重整、破产和解解决债务危机,充分发挥破产制度的拯救功能,帮助企业走出困境,平衡债权人、债务人、出资人、员工等利害关系人的利益,通过市场实现资源配置优化和社会整体价值最大化。

V. Strictly Regulate Inclusions in the Default List and Restrictions on High Spending

  1. Strictly apply requirements and procedures. Inclusions in the Default List and use of restrictions on high spending must be conducted in strict accordance with the requirements and procedures of the Civil Procedure Law, and provisions such as the "Supreme People's Court's Provisions on Publishing the Judgment Defaulter List" (Hereinafter "Default List Provisions"), the "Supreme People's Court's Several Provisions on the Restricting High-Spending and Related Spending by Persons Subject to Enforcement." The punishment measures of inclusion in the Default List and the use of restrictions on spending must absolutely not be employed against persons subject to enforcement that do not meet the legally-prescribed requirements. Where it is decided to employ punishment measures against persons subject to enforcement who meet the legally-prescribed conditions, a written decision or order to limit high-spending shall be drafted and signed by the court president in accordance with law after review.

It especially needs to be pointed out that based on the provisions of judicial interpretations, even though the written decision on inclusion in the Default List takes effect upon being signed by the court president, it shall be served upon parties in the manner provided for in the Civil Procedure Law, and the occurrence of situations not complying with the legally-prescribed procedures, such as only signing but not making service, are to be resolutely resisted.

  1. Set up appropriate grace periods. Based on specific case circumstances, each area's people's courts may give a 1 to 3 month grace period to persons subject to enforcement that it has been decided will be included in the Default List or have restrictions on spending imposed against them. During the grace period, information on their default or restrictions on their spending is to temporarily not be published; but where at the completion of the period the person subject to enforcement has still not performed the obligations set out in an effective legal document, their information is to be published again and corresponding punishment measures adopted.
  2. Some types of circumstances where punishment measures are not to be adopted. Where persons subject to enforcement have the ability to perform obligations in an effective legal document but refuse to do so, or refuse to perform on a settlement agreement without legitimate reasons, but the people's court has already taken control of their assets sufficient to pay back debts, or the person who applied for enforcement applies for punishment measures to temporarily not be enforced, persons subject to enforcement must not be included in the Default List or have spending restricted. Where the judgment defaulter is a unit, the people's courts must not include their legally-designated representatives, principle responsible parties, personnel directly responsible for impacting debt performance, and actual controllers in the Default List. Where students enrolled in full-day programs become persons subject to enforcement due to dispute over 'campus debt', they generally must not be included in the Default List or have spending restricted.
  3. Some types of circumstances where spending restrictions are to be removed. Where after employing spending restrictions against persons subject to enforcement, the persons subject to enforcement and their relevant personnel apply for release for temporary release, the people's courts are to handle it in accordance with the following distinct circumstances:

(1) Where after units subject to enforcement have spending restricted, their legal representatives, principle responsible parties, personnel directly responsible for impacting debt performance, or actual controllers propose to engage in spending using their individual assets for private spending, it should be permitted upon review showing it is true.

(2) Where after units subject to enforcement have spending restricted, their legal representatives or principle responsible parties need to be changed for reasons of business management, and the original legal representative and principle responsible parties apply for release from spending restrictions on themselves, they should produce evidence that they aren't the unit's actual controller, or personnel directly responsible for impacting debt performance. Where verified upon review by the people's courts, permission should be granted, and restrictions on spending are to be imposed on the legal representatives and principle responsible parties after the modification.

(3) Where individuals who have had spending restricted need to urgently travel to another area as a result of urgent situations such as a major illness for themselves or close family, the funeral of a close family member, as well as for their performance of obligations or cooperation in such performance, or for their participation in foreign affairs activities or important tests; and they apply to the people's courts for temporary release from restrictions on taking planes or high-speed rail, a temporary release of not more than one month at the longest may be given upon strict review and approval by the court president.

When the persons described above apply to the people's courts, they shall submit complete and valid evidence and make written pledges are requested where false evidence is provided or they engage in spending in violation of their pledges, the people's courts shall promptly restore the spending restrictions they employed, and concurrently give heavier punishments in accordance with article 111 of the Civil Procedure Law and shall not approve further applications.

  1. Clear remedial channels for punishment measures. Where natural persons, legal persons, or other organizations apply for the correction of their entry into the Default List, the people's courts shall follow the procedures and time limits provided for in article 12 of the Default List Provisions to promptly review and make a decision on how to handle it. Where persons with spending restrictions apply for corrections, handle it with reference to article 12 of the Default List Provisions.

Where people's courts discover that an entry into the Default List or adoption of spending restrictions might be in error, they shall promptly conduct investigate it and make a corresponding disposition; where people's courts at a higher level discover that lower courts entries onto the Defaulter List or adoption of spending restrictions are in error, they shall order that it be promptly corrected or may also directly correct it in accordance with law.

  1. Promptly delete information on defaults. Where Default List Information shall be deleted (blocked) in accordance with law, promptly take measures to delete (block) it. Where deletion (blocking) takes more than 3 working days, or where although it has not yet exceeded 3 working days, measures for deletion or blocking could be taken instantly but have not been employed, creating serious consequences, pursue the responsibility of relevant persons in accordance with law.

Where persons subject to enforcement are simultaneously entered into the Default List for both a fixed period and an un-fixed period, then after they actively complete performance of the obligations set forth in effective legal documents, the fixed term list information and the non-fixed term list information is generally to be deleted (blocked) simultaneously.

  1. Correctly understand restrictions on the children of persons subject to enforcement attending high-tuition schools. Restrictions on the children of persons subject to enforcement attending high-tuition schools refers to restrictions on their attending schools that exceed normal tuition standards, even a private school is not within the scope of this restriction if it's tuition does not exceed normal standards. When the people's courts employ this measure, they shall strictly review it in accordance with law, and must not impact the rights of the children of persons subject to enforcement to normally receive education; Where upon review the people's courts decide to restrict the children of persons subject to enforcement from attending high-tuition schools, they shall do a good job of efforts to communicate with the children and the schools, avoiding negative impact on the children to the extent possible.
  2. Explore the establishment of systems for hierarchical and categorical punishments and systems of incentives for the trustworthy. Courts in each area may summarize their actual work conditions and actively explore hierarchical and categorical punishments and restrictions on spending for defaulters based on specific case circumstances, to make punishments for default and spending restrictions more precise and more in accordance with the principle of proportionality.

各地法院在依法开展失信惩戒的同时,可以结合工作实际,探索开展出具自动履行生效法律文书证明、将自动履行信息向征信机构推送、对诚信债务人依法酌情降低诉讼保全担保金额等守信激励措施,营造鼓励自动履行、支持诚实守信的良好氛围。

VI. Increase the Extent of Efforts to Release Case Assets

  1. 全面推行“一案一账户”系统。案款到账后且无争议的,人民法院应当按照规定在一个月内及时发还给执行债权人;部分案款有争议的,应当先将无争议部分及时发放。 目前,最高人民法院正在全面推行“一案一账户”系统,各地法院要按照规定的时间节点和标准要求,严格落实系统部署与使用工作,确保案款收发公开透明、及时高效、全程留痕,有效堵塞案款管理漏洞,消除廉政风险隐患,最大限度保障各方当事人合法权益。

 

Supreme People's Court

2019/12/16

 

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