Memorandum of Understanding on Carrying Out Joint Disciplinary Action Against Entities Responsible For Serious Untrustworthiness in the Field of Scientific Research

Source:http://www.ndrc.gov.cn/zcfb/zcfbtz/201811/W020181109315978252832.pdf

The following opinions have been reached on carrying out joint disciplinary action against entities responsible for untrustworthiness in field of scientific research, to thoroughly implement so as to thoroughly study and Implement Xi Jinping Thought on Socialism with Chinese Characteristics for a New Era, and the spirit of the 19th Party Congress, and to implement the requirements of the "State Council Notice concerning Issuance of the Planning Outline for the Establishment of a Social Credit System (2014-2020)" (GuoFa (2014) No. 21), the "The State Council Guiding Opinions on Establishing and Improving Systems of Joint Incentives for Trustworthiness and Joint Disciplinary Action for Untrustworthiness and Accelerating the Establishment of the Social Credit System" (Guofa (2016) No. 33), 《中华人民共和国科学技术进步法》《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〔2017〕1798号）等有关要求，加强科研诚信体系建设，建立健全科研领域失信联合惩戒机制，构筑诚实守信的科技创新环境，国家发展改革委、人民银行、科技部、中央组织部、中央宣传部、中央编办、中央文明办、中央网信办、最高法院、最高检察院、中央军委装备发展部、中央军委科学技术委员会、教育部、工业和信息化部、公安部、财政部、人力资源社会保障部、自然资源部、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、中科院、社科院、工程院、银保监会、证监会、自然科学基金会、民航局、全国总工会、共青团中央、全国妇联、中国科协、铁路总公司就科研领域实施失信联合惩戒达成如下一致意见。

I. The targets of joint disciplinary action

The targets of joint disciplinary action are entities with seriously untrustworthy conduct in the field of scientific research that are entered into the List of Records of Seriously Untrustworthy Conduct in the Scientific Research Industry, including science and technology programs (special programs or funds) and the persons undertaking the projects, evaluating projects, or reviewing experts; scientific research services staff and candidates for technical awards, recipients of awards, nominators and other such natural persons; and legal person bodies such as units undertaking projects, professional institutions managing projects, intermediary service establishments, units making nominations for scientific awards, and national academic societies.

II. Joint Punishment Measures

One or more of the following punishment measures is to be employed on the basis of the severity of the responsible entities' untrustworthy conduct:

（1） Punishment measures employed by member units of the joint meeting on establishing creditworthiness in scientific research

1. Restrict or cancel qualifications to apply for or undertake national scientific and technological programs (projects, funds, etc.) for a set period of time.

2. Lawfully revoke state awards for science and technology, returning prize money and certificates.

3. Temporarily stopping or cancelling qualications to nominate people for state awards for science and technology.

4. Cancelling qualications to be nominated for state awards for science and technology, either for a set period or for life.

5. Making them targets for key oversight and management for work related to the management, oversight, inspections, and recording high-technology enterprises.

6. Revoke their entry in the small and mid-size technology enterprise pool for the year in which the conduct occurred, and publicly announce this on service platforms.

7. Make information on untrustworthiness an important consideration in opening projects, review and selection of experts, title designations, promotions, selection of professional institutions for project management, selection of scientific and technological awards, verification of indirect expenses, retention of surplus funds, selection of innovation bases and personnel, evaluation assessments and other such work in scientific and technological programs (special projects, funds, etc.).

8. List them as targets for key oversight, increasing the frequency of oversight inspections in implementation of scientific and technological programs (special projects and funds).

9. Revoke leadership positions in academic societies and cancel membership credentials.

(Implementation units:Ministry of Science and Technology, Supreme Procuratorate, China Association for Science and Technology department for equipment development, China Association for Science and Technology science and technology commission, National Development and Reform Commission, Ministry of Education, Ministry of Industry and Information, Ministry of Public Security, Ministry of Finance, Ministry of Human Resources and Social Security, Ministry of Agriculture, Sanitation and Health Commission, General Administration for Market Oversight, State Administration of Radio and Television, China Academy of Sciences, China Academy of Social Sciences, China Association of Engineering, Natural Sciences Foundation, and the China Association for Science and Technology)

(2) Cross-departmental joint disciplinary measures

10. Revoke qualifications to nominate people (recommend) to the Chinese Academy of Sciences or Chinese Academy of Engineering, or qualifications to be nominated, either for a set period of time or for life. (Implementing Units: Chinese Academy of Sciences or Chinese Academy of Engineering, China association for science and technology)

11. Follow procedures to promptly revoke relevant honorary titles, and cancel qualifications to participate in competitions. (Implementing Units: Publicity Department of the CCCPC, Civilization Office of the CPCC, Department of Human Resources and Social Security, All-China Federation of Labor Unions, Communist Youth League Central Committee, All China Womens Federation, China Association for Science and Technology)

12. Lawfully restrict recruitment (hiring) 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)

13. 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)

14. Temporarily stop review and approvals of their applications for major new projects, and reduce, stop disbursement, or reclaim government subsidy funds. （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, et al.）

15. 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, or futures companies. (Implementing Units: Securities Regulatory Commission, Banking Regulatory Commission)

16. Make information on untrustworthiness a consideration in approvals or recording of modifications to securities companies', insurance 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. (Implementing Units: Securities Regulatory Commission, Banking Regulatory Commission)

17. Make their information on untrustworthiness a consideration in strengthening 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: State-owned Assets Supervision and Administration Commission, Ministry of Finance, Securities Regulatory Commission)

18. Strengthen tax management, and increase the frequency of oversight inspections. (Implementing Unit: State Administration of Taxation)

19. Make situations of responsible entities' untrustworthiness a major external consideration in tax credit evaluations. (Implementing Unit: State Administration of Taxation)

20. Restrict the entities responsible for serious untrustworthiness from obtaining qualifications as an authentication body; and restrict their obtaining authentication certificates. (Implementing Unit: General Administration for Market Oversight)

21. Carry out strict oversight of entities responsible for untrustworthiness that import or export goods, and when handling customs operations, strenghten review of documents, monitoring and inspections, guarantees and expropriation in processing trades, follow up inspections, and statistics oversight reviews. (Implementing Units: General Customs Administration)

22. Where untrustworthy production and business units apply for management as customs certified enterprise, do not clear their certifications. Where they have already become a certified enterprise, follow provisions to adjust their credit level down. (Implementing Units: General Customs Administration)

23．Lawfully restrict participation in bidding and tendering for construction projects that require bidding and tendering in accordance with law. (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, General Market Administration, Civil Aviation Administration, Railways Corporation)

24. Lawfully Restrict participation in infrastructure and public utility concessions. (Implementing Units:

National Development and Reform Commission, Ministry of Finance Ministry of Housing and Urban and Rural Development, Ministry of Transport, and the Ministry of Water Resources)

25. Lawfully restrict enjoyment of preferential policies in areas such as investment. (Implementing Units: National Development and Reform Commission, and other relevant units)

26. Lawfully restrict the opening of new websites; when applying for for-profit internet information services, make information on their untrustworthiness an important consideration in review for relevant permits. (Implementing Units: Ministry of Industry and Information Technology)

27. Lawfully restrict their participation in government procurement as a supplier, and lawfully restrict their participation in arms purchasing as an equipment dealer. (Implementing Units: Ministry of Finance, Central Military Commission department for equipment development)

28. Restrictions on obtaining government provided lands. (Implementing Units: Department of Natural Resources)

29. Lawfully restrict obtaining of production permits. (Implementing Unit: General Administration for Market Oversight)

30. Lawfully restrict the obtaining of permits to develop construction site development planning and selection, permits for adding new construction plans, water and soil retention permits, facility check permits, work permits, and so forth. (Implementing Units: Ministry of Housing and Urban and Rural Development, Ministry of Water Resources)

31. Lawfuly restrict initiating the establishment or having a stake in financial institutions. (Implementing Units: Banking Insurance Regulatory Commission, Securities Regulatory Commission)

32. Lawfuly restrict initiating the establishment or having a stake in small loan companies, financing guarantee companies, venture investment companies, internet financing companies, and so forth. (implementing units: Oversight and management bodies designated by the State Internet Information Office and local governments)

33. Make information on untrustworthy bodies and their relevant untrustworthy personnel an important reference basis for banking credit levels, credit borrowing and finance, management and return. (Implementing Units: People's Bank of China, Banking Insurance Regulatory Commission)

34. Lawfully not accepting applications to issue corporate bonds. (Implementing Unit: National Development and Reform Commission)

35. Make information on untrustworthiness a major consideration in issuance of corporate bonds, strictly reviewing in accordance with law; when registering non-financial debt financing tools, strengthen management and follow the work requirements for registered issued to strengthen information disclosure, strengthen mechanisms for investor protection management, preventing relevant risks. (Implementing Units: People's Bank of China )

36. Include Information on Untrustworthiness in Basic Financial Credit Information Databases. (Implementing Units: People's Bank of China )

37．将失信信息作为公开发行公司信用类债券核准或注册的参考，依法从严审核；在注册非金融债券融资工具时加强管理，并按照注册发行有关工作要求，强化信息披露，加强投资人保护机制管理，防范有关风险。 (Implementing Units: Securities Regulatory Commission)

38. Make information on the untrustworthiness a consideration in reviewing the issuance of stocks of medium and small-sized enterprises. (Implementing Units: Securities Regulatory Commission)

39. For relevant entities responsible for 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)

40. Pay key attention to relevant entities responsible for untrustworthiness during the supervision during and after the event in acquisitions by listed companies or unlisted public companies. (Implementing Units: Securities Regulatory Commission)

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

(Implementing Units: Securities Regulatory Commission)

42．Make information on untrustworthiness a consideration when reviewsing and approving private fund sales organizations. (Implementing Units: Securities Regulatory Commission)

43. Employ measures such as ordering corrections, suspension of relevant operations, stopping operations for rectification, closing websites, cancelling relevant budiness permits, and cancelling business licenses. （实施单位：公安部、市场监管总局、中央网信办）

III. Joint Disciplinary Action Implementation Methods

（一）科技部通过全国信用信息共享平台定期向签署本备忘录的相关部门提供科研领域联合惩戒对象的相关信息。 At the same time, announcements are to be made to the public through the "China Credit" website, government science department websites, and enterprise credit information release systems. 其他部门和单位通过全国信用信息共享平台联合奖惩子系统获取科研领域联合惩戒对象信息，按照本备忘录约定内容，依法依规实施惩戒。

（二）建立惩戒效果定期通报机制，根据实际情况相关部门可定期将联合惩戒措施的实施情况通过全国信用信息共享平台联合奖惩子系统反馈至国家发展改革委和科技部。

IV. Dynamic Management of Joint Disciplinary Action Measures.

科技部对科研领域失信行为责任主体名单进行动态管理，通过全

国信用信息共享平台定期更新科研领域严重失信行为信息，相关部门依据相关规则和程序实施或解除惩戒措施。 解除惩戒措施后依程序移除科研领域严重失信行为信息，但相关记录在电子档案中长期保存。

V. Other matters

Each department should closely coordinate and actively implement this memorandum. Specific issues in the implementation of this memorandum related to the coordination and cooperation between departments are to be settled by the departments through consultations. All relevant units may determine the period of punishment on the basis of within that provided by specific regulations or as required for management.

After this memorandum is signed, where any laws, regulations, rules or normative documents that are the basis for any joint punishment measure are revised or adjusted, the revised laws, regulations, or normative documents are controlling.