Memorandum of Cooperation on Joint Disciplinary Action against Enterprises seriously untrustworthy in the Statistical Field and Their Related Personnel (Revised Edition)

by China Law Translate | 2019/01/02 3:46 AM



I. The targets of joint disciplinary action

The targets of joint disciplinary action are seriously untrustworthy statistics enterprises with any of the following untrustworthy conduct, that have been lawfully designated by the statistics departments on the basis of the "Measures on the Administration of Enterprise Statistics Credit", the "Measures on the Administration of Statistics Credit Archives for Statistics Practitioners" and other relevant provisions (hereinafter simply "untrustworthy enterprises" , as well as their legal representatives, principle responsible persons, and other directly responsible personnel (hereinafter simply (untrustworthy personnel).

(1) Fabricating statistical data while lawfully carrying out government statistical investigations;

(2) Providing false statistical materials, with the illegal amount being a high proportion of the reported amount, or the illegal amount being large;

(3) When statistics establishments perform oversight responsibilities, not truthfully reflecting the situation or providing relevant proofs and materials so as to cause serious consequences, or providing false circumstances, proofs, and materials;

(4) Refusing or obstructing statistical investigations and statistical examinations, with serious circumstances;

(5) Transferring, concealing, altering, scrapping, or refusing to provide original records and credentials, statistical parameters, statistical investigation forms, and other relevant proofs and materials and so forth;

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;


(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.

(18) Lawfully restrict applications for credentials as certification bodies (including extensions of credentials) or to expand the field of certification; Lawfully restrict applications for certification (including extensions of certification certificates); and certification bodies are to increase the force of post certification oversight of untrustworthy enterprises, lawfully revoking or suspending certification certificates.

(19) Cancel eligibility to be declared a national intellectual property rights model or exceptional enterprise; cancel eligibility to be declared a national patent business pilot enterprise.

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

(21) Lawfully restrict applications to set up security service companies.

(22) Prohibit applications for information security products or system testing services, do not issue certificates, do not provide technical support; do not issue any kind of information security service credentials; prohibit their participation in national key information security infrastructure services; prohibit applications for credentials as information security practitioners, and CISP credentials.

(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.

(31) Make information on untrustworthiness a prudential consideration when reviewing, approving, and managing relevant foreign exchange amounts, and when handling some cross-border credit-based financial operations.

(32) Cancel grain purchase permits, cancel central reserve storage credentials, and they must not be a repository site retained in grain purchasing and storage policy; restrict participation in policy type bidding on grains.

(33)When giving enterprises and individuals commendations and awards, or honorary titles, consider their statistics credit status, and do not issue government honors to untrustworthy enterprises or untrustworthy personnel; promptly revoke any honorary titles obtained by untrustworthy enterprises or untrustworthy personnel.

(34) Lawfully restrict participation in all kinds of competitions for awards.

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

(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.

(38) Assist in inquiries and giving feedback on seriously untrustworthy statistics personnel's ID and border crossing documents; assist in in looking into seriously untrustworthy statistics personnel whose whereabouts are unknown but who must be investigated; the people's courts are to lawfully restrict or notify relevant units to lawfully restrict seriously untrustworthy statistics personnel that are judgment defaulters from leaving the mainland.

(39) Enter relevant information on untrustworthy personnel into their personal credit records and statistics personnel creditworthiness archives; and for a certain period of time, they must not engage in work involving accounting or statistics, and so forth; and must not obtain professional titles for accounting or statistics and so forth.

(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.

(42) Make information on untrustworthiness a major consideration in determinations for preferential policies such as investment; in financial instititutions' credit ratings, or approvals, management, and withdrawal of credit financing; in recording modifications to securities companies', insurance companies', fund management companies', or futures companies' establishment, equity rights, and actual controllers; or in private investment fund managers' registration, modification of major matters, or other fund recording; and in evaluation of relevant responsible parties, selection of cadres, and so forth.

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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