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Guiding Opinions of the General Office of the State Council on Accelerating the Construction of a Social Credit System and Constructing a New Credit-based Supervision Mechanism
[Effective]
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國務院辦公廳關于加快推進社會信用體系建設構建以信用為基礎的新型監管機制的指導意見
[現行有效]
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【法寶引證碼】
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| Guiding Opinions of the General Office of the State Council on Accelerating the Construction of a Social Credit System and Constructing a New Credit-based Supervision Mechanism | | 國務院辦公廳關于加快推進社會信用體系建設構建以信用為基礎的新型監管機制的指導意見 |
| (No. 35 [2019] of the General Office of the State Council) | | （國辦發〔2019〕35號） |
| The people's governments of all provinces, autonomous regions, and municipalities directly under the Central Government; and all ministries and commissions of the State Council and all institutions directly under the State Council: | | 各省、自治區、直轄市人民政府，國務院各部委、各直屬機構： |
| For the purposes of strengthening the construction of the social credit system, further advancing the reform of “simplifying procedures, decentralizing powers, combining decentralization with appropriate control, and optimizing services,” further maximizing the fundamental role of credit in innovating on the supervision mechanism and improving the supervision capacity and level, more effectively stimulating the vitality of market participants, and advancing high-quality development, the following opinions are hereby offered, with the consent of the State Council. | | 為加強社會信用體系建設，深入推進“放管服”改革，進一步發揮信用在創新監管機制、提高監管能力和水平方面的基礎性作用，更好激發市場主體活力，推動高質量發展，經國務院同意，現提出如下意見。 |
| I. Overall requirements | | 一、總體要求 |
| Under the guidance of the Xi Jinping Thought on Socialism with Chinese Characteristics in a New Era, the spirit of the 19th CPC National Congress and the Second and Third Plenary Sessions of the 19th CPC Central Committee shall be implemented in an in-depth manner, the basic principles of compliance with laws and regulations, reform and innovation, and coordinated and joint governance shall be followed, strengthening of credit supervision shall be regarded as the focus, the concept of supervision, supervision system and supervision methods shall be innovated on, a new supervision mechanism that penetrates into the whole life cycle of market participants, and connects the ex-ante, interim, and ex-post supervision links shall be established and improved, the supervision capacity and level shall be continuously enhanced, the market order shall be further regulated, the business environment shall be optimized, and high-quality development shall be advanced. | | 以習近平新時代中國特色社會主義思想為指導，深入貫徹落實黨的十九大和十九屆二中、三中全會精神，按照依法依規、改革創新、協同共治的基本原則，以加強信用監管為著力點，創新監管理念、監管制度和監管方式，建立健全貫穿市場主體全生命周期，銜接事前、事中、事後全監管環節的新型監管機制，不斷提升監管能力和水平，進一步規範市場秩序，優化營商環境，推動高質量發展。 |
| II. Innovating on ex-ante credit supervision | | 二、創新事前環節信用監管 |
| 1. Establishing and improving the credit commitment system. Where, in the handling of the administrative licensing items applicable to the credit commitment system, an applicant pledges to meet the conditions for examination and approval and files relevant materials, it shall be handled immediately. Where an applicant's credit status is relatively sound and some application materials are incomplete, but the written commitment is provided within the prescribed time limit, the application shall be accepted beforehand, and the handling progress shall be accelerated. The performance of a written commitment shall be recorded in the credit history as an important basis for the interim and ex-post supervision. An applicant that does not perform commitments shall be subject to disciplinary action as the case may be. The administrative licensing matters for which credit commitments may be made shall be sorted out in an accelerated manner, and credit commitments in standardized format shall be developed, which shall be publicized on the portable credit websites at all levels. Market participants shall be encouraged to proactively make credit commitments to the public. The industry association and chamber of commerce shall be supported in establishing and improving the credit commitment system in the industry, and industry self-discipline shall be intensified. (All regions and departments shall be responsible in this respect according to their respective responsibilities) | | （一）建立健全信用承諾制度。在辦理適用信用承諾制的行政許可事項時，申請人承諾符合審批條件並提交有關材料的，應予即時辦理。申請人信用狀況較好、部分申報材料不齊備但書面承諾在規定期限內提供的，應先行受理，加快辦理進度。書面承諾履約情況記入信用記錄，作為事中、事後監管的重要依據，對不履約的申請人，視情節實施懲戒。要加快梳理可開展信用承諾的行政許可事項，制定格式規範的信用承諾書，並依托各級信用門戶網站向社會公開。鼓勵市場主體主動向社會作出信用承諾。支持行業協會商會建立健全行業內信用承諾制度，加強行業自律。（各地區各部門按職責分別負責） |
| 2. Exploring integrity education before implementing operators' access. Various types of government affairs service windows at all levels shall be fully utilized, and education of market participants about observance of the law and good faith shall be carried out extensively. When registration, approval, recordation and other relevant businesses are handled for market participants, standardized, normalized and convenient education about knowledge of law and credit shall be offered in a timely manner, to improve operators' awareness of conducting business with good faith. Integrity education shall be free of charge and shall not be regarded as a necessary condition for market access (All regions and departments shall be responsible in this respect according to their respective responsibilities) | | （二）探索開展經營者准入前誠信教育。充分利用各級各類政務服務窗口，廣泛開展市場主體守法誠信教育。為市場主體辦理注冊、審批、備案等相關業務時，適時開展標准化、規範化、便捷化的法律知識和信用知識教育，提高經營者依法誠信經營意識。開展誠信教育不得收費，也不得作為市場准入的必要條件。（各地區各部門按職責分別負責） |
| 3. Actively expanding the application of credit reports. Various market participants shall be encouraged to apply credit reports in production and business operation more widely and proactively. In government procurement, bidding, administrative approval, market access, examination of qualification, and other matters, the role of credit reports issued by public credit service agencies and third-party credit service agencies shall be fully maximized. Exploration shall be made for developing national unified credit report standards and mutual recognition of credit reports in different places shall be promoted. (The National Development and Reform Commission and the People's Bank of China shall take the lead in this respect, and all regions and departments shall be respectively responsible in this respect according to their respective responsibilities) | | （三）積極拓展信用報告應用。鼓勵各類市場主體在生產經營活動中更廣泛、主動地應用信用報告。在政府采購、招標投標、行政審批、市場准入、資質審核等事項中，充分發揮公共信用服務機構和第三方信用服務機構出具的信用報告作用。探索建立全國統一的信用報告標准，推動信用報告結果實現異地互認。（發展改革委、人民銀行牽頭，各地區各部門按職責分別負責） |
| III. Strengthening interim credit supervision | | 三、加強事中環節信用監管 |
| 4. Comprehensively establishing credit records of market participants. A credit information collection catalogue shall be developed according to the list of rights and responsibilities, and the credit acts of market participants shall be recorded in a timely, accurate and complete manner during the process of handling registration, qualification review, routine supervision, and public service, among others, and dishonesty records shall be particularly recorded, to ensure that they can be consulted, verified, and traced. (All departments and regions shall be responsible in this regard according to their respective responsibilities) The rules on unified social credit code of incorporated and unincorporated organizations shall be improved, complete credit records of market participants shall be integrated and formed with unified social credit code as the logo, and publicity of them shall be conducted through the website of “Credit China,” national enterprise credit information publication system, or websites of the Chinese governments, portal websites of relevant departments, and other channels according to the laws and regulations. The integration of 12315 hotline for market supervision complaints and tip-offs shall be completed, publicity of consumption complaints shall be vigorously carried out, and operators shall be urged to perform the primary responsibility for protecting consumer rights. (The National Development and Reform Commission and the State Administration for Market Regulation shall be responsible in this regard) | | （四）全面建立市場主體信用記錄。根據權責清單建立信用信息采集目錄，在辦理注冊登記、資質審核、日常監管、公共服務等過程中，及時、准確、全面記錄市場主體信用行為，特別是將失信記錄建檔留痕，做到可查可核可溯。（各地區各部門按職責分別負責）完善法人和非法人組織統一社會信用代碼制度，以統一社會信用代碼為標識，整合形成完整的市場主體信用記錄，並通過“信用中國”網站、國家企業信用信息公示系統或中國政府網及相關部門門戶網站等渠道依法依規向社會公開。完成12315市場監管投訴舉報熱線和信息化平台整合工作，大力開展消費投訴公示，促進經營者落實消費維權主體責任。（發展改革委、市場監管總局負責） |
| 5. Establishing and improving a voluntary credit information registration mechanism. Market participants shall be encouraged to voluntarily register qualification licenses and certificates, market operation, performance of contracts, social welfare and other credit information on the website of “Credit China” or other websites, make public credit commitments for the authenticity of information, and authorize the websites to integrate, share and apply the relevant information. Voluntary registration information verified may be used as an important basis for conducting credit evaluation and forming credit reports. (The National Development and Reform Commission shall take the lead in this respect, and all departments shall be respectively responsible in this respect according to their respective responsibilities) | | （五）建立健全信用信息自願注冊機制。鼓勵市場主體在“信用中國”網站或其他渠道上自願注冊資質證照、市場經營、合同履約、社會公益等信用信息，並對信息真實性公開作出信用承諾，授權網站對相關信息進行整合、共享與應用。經驗證的自願注冊信息可作為開展信用評價和生成信用報告的重要依據。（發展改革委牽頭，各部門按職責分別負責） |
| 6. Conducting comprehensive evaluation of public credit in an in-depth manner. The national credit information sharing platform shall strengthen collaboration and cooperation with relevant departments, integrate various types of credit information according to the laws and regulations, conduct comprehensive public credit evaluation of market participants characterized by full coverage, standardization, and public welfare, forward the evaluation results to relevant government departments, financial institutions, industry associations, and chambers of commerce for reference on a regular basis, and conduct publicity according to the relevant provisions. Relevant departments shall be urged to utilize the comprehensive public credit evaluation results, and establish credit evaluation models for all industries in consideration of the management data of the departments and industries, to provide more precise basis for credit supervision. (The National Development and Reform Commission shall take the lead in this respect, and all departments shall be respectively responsible in this respect according to their respective responsibilities) | | （六）深入開展公共信用綜合評價。全國信用信息共享平台要加強與相關部門的協同配合，依法依規整合各類信用信息，對市場主體開展全覆蓋、標准化、公益性的公共信用綜合評價，定期將評價結果推送至相關政府部門、金融機構、行業協會商會參考使用，並依照有關規定向社會公開。推動相關部門利用公共信用綜合評價結果，結合部門行業管理數據，建立行業信用評價模型，為信用監管提供更精准的依據。（發展改革委牽頭，各部門按職責分別負責） |
| 7. Vigorously promoting hierarchical and classified credit supervision. Upon sufficient grasping of the credit information and comprehensive studying and judging of the credit status, the objects under supervision shall be subject to hierarchy and classification according to the comprehensive public credit evaluation results, and industrial credit evaluation results, among others, and differentiated supervision measures shall be taken on the basis of the credit ratings. Supervision of “dual random and public disclosure” shall be conducted in consideration of the credit rating, and the proportion and frequency of random inspections of market participants with relatively sound credit and relatively low risk may be reasonably reduced, to reduce the impact on normal production and business operation; random inspections of market participants with general credit risks shall be conducted on the basis of the regular proportion and frequency; and the proportion and frequency of random inspections of market participants that are dishonest illegally and have relatively large risks shall be appropriately raised, and strict administration and punishment shall be imposed according to the laws and regulations. (All regions and departments shall be responsible in this respect according to their respective responsibilities) | | （七）大力推進信用分級分類監管。在充分掌握信用信息、綜合研判信用狀況的基礎上，以公共信用綜合評價結果、行業信用評價結果等為依據，對監管對象進行分級分類，根據信用等級高低采取差異化的監管措施。“雙隨機、一公開”監管要與信用等級相結合，對信用較好、風險較低的市場主體，可合理降低抽查比例和頻次，減少對正常生產經營的影響；對信用風險一般的市場主體，按常規比例和頻次抽查；對違法失信、風險較高的市場主體，適當提高抽查比例和頻次，依法依規實行嚴管和懲戒。（各地區各部門按職責分別負責） |
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