交通运输守信联合激励和失信联合惩戒对象名单管理办法（试行）

Promulgation Date: 2018-12-21
Title: 交通运输部关于印发《交通运输守信联合激励和失信联合惩戒对象名单管理办法（试行）》的通知
Document Number:交政研发〔2018〕181号
Expiration date: 
Promulgating Entities:Ministry of Transport
Source of text: http://xxgk.mot.gov.cn/jigou/zcyjs/201812/t20181227_3150171.html

Chapter I: General Provisions

Article 1: 为贯彻落实党中央、国务院关于社会信用体系建设的决策部署，按照《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）和《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）要求，进一步完善交通运输领域守信联合激励和失信联合惩戒工作，健全以信用为核心的交通运输新型监管机制，持续推进“放管服”改革，营造公平竞争的市场环境，制定本办法。

Article 2: 在交通运输领域开展守信联合激励和失信联合惩戒对象名单（以下统称红黑名单）的认定、发布、奖惩、修复和移除等管理活动，适用本办法。

对于重点领域发生较重失信行为或多次发生轻微失信行为但尚未达到失信联合惩戒对象名单认定标准的失信主体，可列入信用状况重点关注对象名单（以下统称重点关注名单），加强监管。

Article 3: 交通运输领域红黑名单管理遵循依法依规、审慎认定，客观准确、公正公开，分类管理、分级引导，奖惩并举、鼓励修复的原则。

Chapter II: Standards and Sources of Designations

Article 4: In accordance with its market oversight, social management, and public service duties, the Ministry of Transport is to research and formulate a system of redlists and blacklists for fields related to transport, and clarify the departments (units) making list designations, the standards for designation, the effective period for the lists, and so forth, and oversee its implementation. In principle, list designations should employ a uniform standard nationwide.

In transport industry fields that have not yet put forward a uniform standard, provincial level departments for transport may formulate local standards as needed and upon approval of the provincial level people's government, and implement these after reporting them to the Ministry of Transport for filing.

Industry and public comment on designation standards and procedures should be solicited through the 'Credit Transportation' website, government department websites, and other channels; and they shall be promptly presented and disclosed to the public.

Article 5: Departments (units) making designations are the departments (units) responsible for making redlist and blacklist designations for transport, and they are to make explanations of the content and basis for the red and blacklists they publish, and are responsible for their truthfulness, accuracy, and compliance.

Article 6: The important data sources for designating lists of targets for joint incentives for trustworthiness (hereafter collectively "redlists") include:

(1) Information on administrative counterparts that have been found to have a positive credit status for a long period through the categorical oversight and management of transportation management departments and received provincial-level or higher commendations'

(2) Information from records of creditworthy conduct provided by transport industry associations (societies) registered by provincial level or higher departments in charge of social groups:

(3) Other information sources that can be the basis for redlist designations.

Article 7: The important data sources for designating lists of targets for joint disciplinary action for untrustworthiness (hereafter collectively "blacklists") include:

(1) Information on refusal administrative decisions made by the competent departments for transportation management despite having the ability to perform, or avoiding enforcement, seriousy impacting government credibility;

(2) Information on transportation administration permits, administrative punishment, administrative compulsion, administrative designations, administrative inspections, administrative collections, administrative payments received, and other administrative acts that reflect the credit subject's untrustworthy status;

(3) Other information sources that can be the basis for blacklist designations.

Chapter III: The Content and Publication of Designations

Article 8: The principle content of list information includes:

(1) Relevant entities' basic information, including the names of legal persons and other organizations (or the full names of natural persons), the uniform social credit numbers, the global legal person entity identification numbers (LEI codes) (or citizens' ID numbers; citizen social credit numbers for residents of Hong Kong, Macao, or Taiwan; or ID numbers for foreign nationals), legal representatives' (or units' responsible parties) full names and ID type and number, and other information that the specific red or blacklist system requires be reported;

(2) the grounds for entry onto the list, including the facts designated them as creditworthy and trustworthy or illegal untrustworthy conduct, the departments (units) making the designations, the basis for the designations, the date of the designations, the effective period for the list, and so forth;

(3) circumstances regarding the relevant market entities' receipt of joint incentives and disciplinary action, credit restoration, and removal from lists.

Article 9: Based on the uniform standards, the departments (units) making designations are to produce a redlist of targets for joint incentives for the trustworthy, and cross-check it against the blacklists and key scrutiny lists in each field on the national transportation credit information sharing platform, to ensure that entities already entered into black lists or key scrutiny lists are not entered into redlists.

After screening, the redlists should be publicly announced on the "credit transport" website or the departments (units) making the designations' portal websites; and the period for disclosure will usually be 10 working days.

Article 10: On the basis of the designation standards, the departments (units) making designations are to produce blacklists, and may perform announcement and notice procedures. Publicly announcement should be through the "credit transport" website or the departments (units) making the designations' portal websites; and the period for disclosure will usually be 10 working days. The specific systems for red and blacklists are to provide for and implement procedures for giving notice. Where natural persons are entered onto blacklists, the department (unit) making the designation should organize relevant units to give advance notice through means such as text messages, websites, mail, newspapers, and so forth. Where laws or regulations already have other relevant provisions, follow those provisions.

经公示无异议的黑名单，在发布前应与全国交通运输信用信息共享平台中的各领域红名单进行交叉比对。 如黑名单主体之前已被列入红名单，应及时告知全国交通运输信用信息共享平台将其从红名单移除。

Article 11: 认定部门（单位）应按照相关领域红黑名单制度规定，将认定的红黑名单、重点关注名单等信息报送至交通运输部，纳入全国交通运输信用信息共享平台，建立行业联合奖惩对象名单数据库，实施动态管理。 同时，全国交通运输信用信息共享平台及时推送有关信息至全国信用信息共享平台和国家企业信用信息公示系统。

Article 12: 交通运输部应通过“信用交通”网站、“信用中国”网站等渠道向社会公众发布红黑名单，可公开发布重点关注名单。 对于涉及商业秘密和个人隐私的信息，经当事人书面同意公开或者认定部门（单位）认为不公开可能对公共利益造成重大影响的，依法公开，并进行必要技术处理。 名单信息的发布期限与名单的有效期保持一致，名单有效期一般不超过3年，对于情节严重的失信行为可延长1至2年。

Chapter IV: Handling Objections

Article 13: 在红黑名单公示期内或告知程序中对拟公布的名单信息有异议的，当事人有权进行陈述和申辩，可向认定部门（单位）提出异议申请，由认定部门（单位）核查处理。

Article 14: 有关单位（个人）可通过以下方式提出异议申请并提供有关材料：

（一）向认定部门（单位）直接提出；

（二）通过“信用交通”网站提出，并由网站转交认定部门（单位）办理。

Article 15: 认定部门（单位）收到异议申请后，应在15个工作日内进行核查，依据相关规定及核查结果作出维持、修改或撤销认定的决定，并告知申请人。

Chapter V: Joint disciplinary action measures.

Article 16: Through methods such as signing MOU's on joint incentives for the trustworthy and joint disciplinary action against the untrustworthy, the Ministry of Transport enters redlist and blacklist information on to the national credit information sharing platform and relevant departments implement joint rewards and punishments in accordance with their duties.

Article 17: Each level of competent department for transport is to actively carry out efforts to reward trustworthiness and punish untrustworthiness in areas such as government financial support, government procurement, tendering bids, production permits, qualifications reviews, market entry, routine inspections, selections for recognitions, on the basis of relevant requirements of the State Council and industry. Credit management functions should be embedded in the management system and specific work processes of every sector in the industry, with proactive inquiries and use of redlist and blacklist information.

Article 18: Each level of competent department for transport should use appropriate means to issue warnings to credit subjects on the key scrutiny list, tell them the time period for key scrutiny, and lawfully implement punitive measures corresponding to the extent of their untrustworthiness.

Chapter VI: Credit Restoration

Article 19: 黑名单主体应主动纠正失信行为、消除不良社会影响，并通过信用承诺或健全信用管理制度，参加地市级以上地方政府社会信用体系建设牵头单位或交通运输主管部门组织的信用培训等方式进行信用修复。

Article 20: 当事人自被列入黑名单之日起满半年，且按照规定履行相关义务，完成整改要求的，可向认定部门（单位）提出修复申请，程序如下：

（一）提出申请。 申请人向认定部门（单位）提交《信用修复申请书》（附件1）和《信用修复承诺书》（附件2）。

（二）受理申请。 认定部门（单位）在5个工作日内，对信用修复对象符合性和申请材料完整性予以确认。 对于不予受理的，应告知申请人不予受理的理由。

（三）核查申请。 认定部门（单位）对申请人的信用整改情况、整改结果等进行核查。

（四）修复认定。 认定部门（单位）根据核查结果在30个工作日内作出《信用修复通知书》（附件3），及时告知申请人信用修复处理结果，同时报交通运输部备案，并抄送全国交通运输信用信息共享平台。

（五）修复处理。 全国交通运输信用信息共享平台应根据《信用修复通知书》处理决定，在5个工作日内更新“信用交通”和“信用中国”网站上该名单的公布信息，并将申请人的《信用修复承诺书》在“信用交通”网站进行公示。 《个人信用修复承诺书》应隐去个人隐私信息，公示时间与原认定公布的黑名单期限一致。

Article 21: 具有下列情形之一的，不得予以信用修复：

（一）距离上一次信用修复时间不到1年的；

（二）3年内信用修复累计满2次的；

（三）拒不纠正相关失信行为或者无故不参加约谈、约谈事项不落实，经督促后仍不履行的；

（四）依法依规不能实施信用修复的其他失信行为。

Chapter VII: Removal for Lists

Article 22: 黑名单主体具备下列情形之一的，可以移除出黑名单：

（一）黑名单有效期届满且未再发生严重失信行为的；

（二）已开展信用修复并经认定部门（单位）审核同意的；

（三）列入黑名单所依据的行政处罚、行政强制等决定被依法撤销的。

通过前两条途径移除的黑名单主体，应立即将其列入重点关注名单，如在重点关注名单有效期内再次出现同类失信行为，应直接纳入黑名单。 重点关注名单有效期由相应领域的红黑名单制度确定。

Article 23: 红名单具备下列情形之一的，可以移除：

（一）红名单有效期届满的；

（二）有效期内被有关部门列入黑名单和重点关注名单的；

（三）有效期内发现存在不当利用红名单奖励机制等不良行为的。

Chapter VIII: Protection of Credit Information

Article 24: 各级交通运输主管部门在开展红黑名单的认定、发布、奖惩、修复和移除等管理活动时，应当严格遵守保密规定，做好数据库安全防护工作，防止信息泄露。 对故意或因工作失误泄露个人隐私信息的，要依法追究相关单位和人员的责任。

Article 25: 各级交通运输主管部门应当加强红黑名单信息档案管理，对信息录入、删除、更改，以及进行异议、修复和移除处理，应当如实记录并保存实施该行为的人员、日期、原因、内容和结果等日志信息。

Article 26: 各级交通运输主管部门应建立红黑名单信息保存机制，保存期不得低于相关名单有效期。 Where entities were entered into lists in error, the relevant information is not to be stored.

Chapter IX: Oversight and Management

Article 27: 交通运输部负责对交通运输红黑名单管理的指导、协调和监督。 各级交通运输主管部门应按规定落实行业各领域红黑名单制度，及时上报红黑名单信息。

Article 28: 认定部门（单位）在办理异议申诉和信用修复过程中，如发现申请材料有隐瞒真实情况、弄虚作假行为的，应记入失信记录，归集到全国交通运输信用信息共享平台，在“信用交通”网站、“信用中国”网站上进行公示。

Chapter X: Supplementary Provisions

Article 29: 国家铁路局、中国民用航空局、国家邮政局结合实际情况，参照本办法制修订各自领域红黑名单管理办法。

Article 30: The policy research room of the Ministry of Transport is responsible for the interpretation of these Measures.

Article 31: These measures are to be implemented from their date of publication, and are effective for 5 years.

Attachments:

1.附件1 交通运输信用修复申请书.docx

2.附件2 单位信用修复承诺书.docx

3.附件3 个人信用修复承诺书.docx

4.附件4 交通运输信用修复通知书.docx