Memorandum of Understanding on Joint Disciplinary Actions for Seriously Untrustworthy Persons in the Salt Production and Operations Industry

为贯彻落实《国务院关于印发盐业体制改革方案的通知》(国发〔2016〕25号)、《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《国务院关于印发社会信用体系建设规划纲要(2014—2020年)的通知》(国发〔2014〕21号)精神，加快推进盐行业信用体系建设，建立健全失信联合惩戒机制，国家发展改革委、人民银行、工业和信息化部、食品药品监管总局、中央宣传部、中央文明办、中央网信办、最高人民法院、最高人民检察院、科技部、司法部、财政部、国土资源部、商务部、卫生计生委、国资委、海关总署、税务总局、工商总局、质检总局、新闻出版广电总局、银监会、证监会、保监会、全国总工会、共青团中央、全国工商联等部门就开展盐行业严重失信者联合惩戒工作达成以下意见。

I. The targets of joint disciplinary action

The targets of joint disciplinary action are producers and traders in food-use and non-food use salts designated and published as having serious untrustworthy conduct by State Council bodies in charge of the salt industry. Where the producers or traders are enterprises, the targets of the joint disciplinary actions are the enterprises, their legal representatives, and relevant personnel direct responsibility; where the producer or traders are other economic organizations, the targets of joint disciplinary actions are the responsible person for the economic organizations; where the producers or traders are natural persons, the targets of joint disciplinary action are the persons themselves.

II. Joint Punishment Measures, Operating Procedures, and Basis

(一)盐业主管机构或食盐质量安全管理与监督机构采取的惩戒措施

依据盐行业生产经营严重失信者失信情节的严重程度，采取以下一项或者多项措施：

1. Entry as a target for key scrutiny, increasing the frequency of routine oversight inspections and increasing the enterprise risk management level; at least once every half year conduct a comprehensive and throughout oversight examination of management systems and enforcement conditions such as inspection of incoming goods, checks of certificates and receipts, delivery inspections, enterprise self-inspections, and so forth.

2、在一定期限内限制从事食盐和非食用盐产品生产经营活动。

3、责令企业定期开展食盐和非食用盐产品安全自查或者邀请第三方进行检查评价。

4. Where the seriously untrustworthy have violated relevant laws and regulations, give them heavier punishments.

依据：《中华人民共和国食品安全法》、《盐业管理条例》、《食盐专营办法》、《食盐加碘消除碘缺乏危害管理条例》、《国务院关于加强食品等产品安全监督管理的特别规定》等相关法律法规。

(2) Cross-departmental joint disciplinary measures

1. Employ restrictive measures such as strict review, reducing the extent of support, or not giving support, when governmental funding supports are applied for.

2、在申请发行企业债券时，将其列入“从严审核”类;依法限制公开发行公司债券。

3、在分配食糖进口关税配额时，将企业严重失信信息作为限制配额依据;在申请粮食进口关税配额时，将其列入“信用中国”网站和国家企业信用信息公示系统受惩黑名单的失信信息作为限制配额依据。

4. Lawfully prohibit participation in government purchasing activities for a set period of time.

5. Restrictions on obtaining government provided lands.

6. When applying for credit debt financing or handling credit cards, financial instititutions are to make information on untrustworthiness a major factor for consideration.

7. Make information on untrustworthiness a major consideration in reviewing the issuance of stocks of medium and small-sized enterprises.

8. Make information on untrustworthiness a major consideration when approving changes of fund management companies' or futures companies' shareholders wi/ 5% interest or more, or actual controllers.

9. For seriously untrustworthy natural persons, lawfully restrict their service as the directors, supervisors, or senior management of securities companies, fund management companies, or futures companies, and in the review of applications for eligibility to engage in securities, funds, or futures operations, and where they are already an entity or person engaged in securities, funds, or futures operations, they are to be given heightened scrutiny.

10、对严重失信的自然人，依法限制其担任盐行业生产经营企业法定代表人、董事、监事和高级管理人员。

11、在办理通关业务时，可依照相关法律法规的规定，对其进出口货物实施严密监管，加强单证审核、布控查验。

12. Where applying for customs verified enterprise management, verification is not to be given; for those who have already become verified enterprises, lower their enterprise customs certification level in accordance with provisions.

13、对严重失信的自然人，限制在认证行业执业。 对公布的严重失信法人单位限制取得认证机构资质，限制获得认证证书。

14、列入税收管理重点监控对象，加强风险管理。

15. Restrict new science and technology support programs, include their serious untrustworthy conduct in their scientific research credit record, and, on the basis of relevant provisions, suspend review and of their new science and technology program support funding reports.

16. 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. 对于经国务院盐业主管机构认定违规提供食盐和非食用盐产品互联网信息服务的严重失信者，不得同意其备案或许可。

17、协调相关互联网新闻信息服务单位向社会公布盐行业生产经营严重失信者名单。

18、按程序及时撤销相关荣誉称号，取消参加评先评优的资格。

19、在审批非银行支付机构设立及变更主要出资人，将其失信信息作为审批的重要参考;对严重失信的自然人，依法限制其担任银行支付机构的董事、监事、高级管理人员等。

20、在审批银行卡清算机构设立及变更主要出资人或持有5%以上股权的股东时，将其失信信息作为审批的重要参考;对严重失信的自然人，依法限制其担任银行卡清算机构的董事、高级管理人员等。

III. Joint Disciplinary Action Implementation Methods

(一)国务院盐业主管机构通过全国信用信息共享平台、地方信用信息共享平台等信息技术手段定期向参与失信联合惩戒的部门提供盐行业生产经营严重失信者名单信息。 同时，相关名单信息在国务院盐业主管机构门户网站、国家企业信用信息公示系统以及“信用中国”网站进行公示。 相关部门收到相关名单后，根据本备忘录约定的内容对其实施惩戒。

(二)建立惩戒效果定期通报机制，相关部门定期将联合惩戒措施的实施情况在全国信用信息共享平台联合惩戒子系统和国家企业信用信息公示系统推送。

(三)涉及地方事权的，由县级以上地方各级人民政府授权的盐业主管机构推送相关严重失信者信息至其他部门，由其他部门按照备忘录采取惩戒措施。

IV. Dynamic Management of Credit Disciplinary Action Measures.

国务院盐业主管机构对盐行业生产经营严重失信者名单进行动态管理，及时更新相关信息，并及时推送至参与失信联合惩戒的相关部门。 对于从盐行业生产经营严重失信者名单中撤销的盐行业生产经营者，相关部门应及时停止实施惩戒措施。

V. Other matters

各部门应积极落实本备忘录，具体合作细节由各部门另行协商。