Opinions concerning Accelerating the Construction of Credit Supervision, Warning and Punishment Mechanisms for Persons Subject to Enforcement for Trust-Breaking

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Opinions concerning Accelerating the Construction of Credit Supervision, Warning and Punishment Mechanisms for Persons Subject to Enforcement for Trust-Breaking

CCP Central Committee General Office, State Council General Office

Information concerning people who are subject to enforcement for trust-breaking through a judicial procedure by a People’s Court is an important component of social credit information. Conducting credit supervision, warning and punishment of people subject to enforcement for trust-breaking, benefits stimulating persons subject to enforcement to consciously implement their duties established in valid legal documents, raises judicial credibility, and moves forward the construction of the social credit system. In order to accelerate the construction of credit supervision, warning and punishment mechanisms for people subject to enforcement for trust-breaking, the following Opinions are hereby formulated.

II, General requirements.

(1) Guiding ideology. Comprehensively implement the spirit of the 18th Party Congress and its 3rd, 4th and 5th Plenums, deeply study the spirit of the series of important speeches by General Secretary Xi Jinping, closely focus on comprehensively moving forward the overall deployment of “Five in One” and comprehensively moving forward the strategic deployment of the “Four Comprehensives”, firmly establish new development ideas, further raise People’s Courts’ enforcement work capacity according to the relevant requirements of fostering and practicing the Socialist core value view, moving forward credit information sharing, completing incentive and punishment mechanisms, and raising the sincerity levels of the entire society, accelerate the construction of cross-departmental supervision and joint punishment mechanisms for persons subject to enforcement for trust-breaking, build credit supervision, warming and punishment work mechanisms where if trust is broken in one place, restrictions are imposed everywhere, safeguard judicial authority, raise judicial credibility, and create an upward, charitable, sincere and mutually helpful social atmosphere.

(2) Basic principles

– Persisting in legality. Credit supervision, warning and punishment of persons subject to enforcement for trust-breaking must occur strictly according to laws and regulations.

– Persisting in information sharing. Eliminate credit information obstacles between all localities, all departments as well as state organs and people’s organizations, social organizations, enterprises and undertaking work units, and move forward credit information interconnection, exchange and sharing according to the law.

– Persisting in joint punishment. All localities and all departments must carry out their proper functions, mutually coordinate, shape joint forces, and build credit supervision, warning and punishment systems where if trust is broken in one place, restrictions are imposed everywhere.

– Persisting in government leadership and joint social action. All levels’ governments must play a leading role, and at the same time give rein to the forces from all sides, stimulate the common participation and joint governance of the entire society, and realize the effective convergence of government leadership and joint social action.

(3) Construction objectives. By 2018, People’s Courts’ enforcement work capacity is to clearly strengthen, joint enforcement structures are to work conveniently, smoothly and efficiently. Regulatory structures for a name list of persons subject to enforcement for trust breaking are to become more scientific and perfected, the definition of persons subject to enforcement for trust-breaking as well as information management, transmission, openness, screening, cancellation, are to become lawful and efficient, accurate and timely. Information about persons subject to enforcement for trust-breaking and all kinds of information are to be interactive and shared, and credit supervision, warning and punishment mechanisms of persons subject to enforcement for trust-breaking with joint punishment mechanisms at the centre are to operate efficiently. Persons subject to enforcement are to be effectively stimulated to consciously implement the duties determined in a valid judgment by a People’s Court, the problem that enforcement is difficult is to be basically resolved, judicial credibility is to increase substantially, and sincerity and promise-keeping are to become common value pursuits and behavioural norms for the entire society.

II, Strengthening joint punishment.

(1) Restrictions of engaging in particular sectors or affairs

  1. Establishing restrictions in financial companies. Ensure that information concerning persons subject to enforcement for trust-breaking is a reference for due diligence during examination and approval for the establishment of banking or financial bodies or their branch bodies, as well as share-purchasing in or acquisition of banking and financial bodies, and is a reference for due diligence in the examination and approval of establishing securities companies, financial management companies and futures companies, as well as registration as managing personnel in private investment funds. Restrict persons subject to enforcement for trust-breaking from establishing financial guarantee companies and insurance companies.
  2. Restrictions on issuing bonds. Strictly examine persons subject to enforcement for trust-breaking when they issue bonds in the interbank market, and restrict persons subject to enforcement for trust-breaking from openly issuing bonds.
  3. Restrictions on qualified investor status. In the process of examination, verification and management of qualified foreign business investors and qualified domestic business investors, the trust-breaking situation will be a reference basis for due diligence.
  4. Shareholding incentive restrictions. Where persons subject to enforcement for trust-breaking are domestic State-owned, publicly traded companies, they will be helped to terminate their shareholding incentive plans; where persons subject to enforcement for trust-breaking are the counterparts of shareholding incentive structures in domestic State-owned, publicly traded companies, they will be helped to terminate shareholding qualifications.
  5. Restrictions on the issue of shares, share quotations and transfer. Make information concerning persons subject to enforcement for trust-breaking into a reference point for the issuance of shares and examination and verification o share quotations and open transfer in the nationwide small and mid-size enterprise share transfer system.
  6. Restrictions on establishing social organizations. Make information about persons subject to enforcement for trust-breaking into a reference point for examination, approval and registration of the establishment of social organizations, and restrict persons subject to enforcement for trust-breaking from initiating the establishment of social organizations.

7.Restrictions on participating in government procurement programmes or principal use of financial funding programmes. Assist People’s Courts in inquiring into government procurement programme information; restrict persons subject to enforcement for trust-breaking from participating in government procurement activities as suppliers according to the law; restrict persons subject to enforcement for trust-breaking from participating in government investment projects or being a principal user of financial funding programmes according to the law.

(2) Restrictions on government support or subsidy

  1. Restrictions on obtaining government subsidies. Restrict persons subject to enforcement for trust-breaking from applying for government subsidy funds and social security funding support.
  2. Restrictions on obtaining policy support. When applying for the examination and approval of investment, import-export, science, technology and other such policy support, there will be an inquiry whether the relevant body or their legal representative, actual person in charge, directors, board members, and high level management personnel are persons subject to enforcement for trust-breaking, and this is to be made into a reference for due diligence about whether they enjoy this policy support.

(3) Restrictions on qualifications to hold positions

  1. Restrictions on taking up high management in SOEs. Where persons subject to enforcement for trust-breaking are individuals, their are restricted from becoming directors, board members and high-level management personnel at exclusively State-owned enterprises and enterprises in which State capital has a controlling share, as well as directors, board members and high-level management personnel dispatched or recommended by the State-owned shareholder in enterprises n which State capital has a controlling share; where they already hold such positions, they are to be removed from these positions according to relevant procedures.
  2. Restrictions on acting as a work unit’s legal representative. Where persons subject to enforcement for trust-breaking are individuals, they are restricted from being registered as the legal representative of an undertaking work unit.
  3. Restrictions on working in high management in finance bodies. Restrict persons subject to enforcement for trust-breaking from acting as director, board member or high-level management personnel in financial bodies in the banking sector, securities companies, fund management companies, futures companies, insurance companies and financial guarantee companies.
  4. Restrictions on acting as responsible persons within social organizations. Where persons subject to enforcement for trust-breaking are individuals, they are restricted from being registered or filed as a responsible person in a social organization.
  5. Restrictions on being recruited or appointed as a civil servant. Restrict persons subject to enforcement for trust-breaking from being recruited or appointed as a civil servant or an employee in an undertaking work unit, where a current civil servant or undertaking work unit employee is determined as a person under enforcement for trust-breaking, the trust-breaking circumstances shall be used as reference for their selection, evaluation and promotion in grade or rank.
  6. Special restrictions on entering the Party or Party members. The situation of someone’s strictly abiding by the law and carrying out the duties laid down in valid legal documents is an important reference point for applications to join the Chinese Communist Party, for probationary Party members to become full Party members as well as for the selection, evaluation, and promotion in grade or rank of Party members.
  7. Restrictions on acting as Party representative, People’s Congress representative or Political Consultative Conference member. Where persons subject to enforcement for trust-breaking are individuals, they will not be organizationally recommended candidates for Party Congress representative or Political Consultative Conference representatives at any level.
  8. Restrictions on military service. Where persons subject to enforcement for trust-breaking are individuals, their trust-breaking circumstances are an important reference for their enlistment in the military and entering active service, selection, evaluation and promotion in grade or rank as reserve officer.

(4) Restrictions on access qualifications.

  1. Restrictions on Customs authentication. Restrict persons subject to enforcement for trust-breaking from becoming Customs-authenticated enterprises; when persons subject to enforcement for trust-breaking conduct customs procedures, strict supervision is to be implemented, and verification of documentation and inspection are to be strengthened.
  2. Restrictions on working in sectors such as drugs and food. Strictly examine and approve persons subject to enforcement for trust-breaking engaging in drug and food security; restrict persons subject to enforcement for trust-breaking from engaging in the production, trading and storage of dangerous chemical products, the production and trading of fireworks and firecrackers, mining production and security evaluation, authentication, monitoring, inspection and other such activities; restrict persons subject to enforcement for trust-breaking from taking up the position of major responsible person, director, board member or high-level manager in work units in the above-mentioned sectors, those already employed in such position are to be transferred according to the requirements or regulatory procedure.
  3. Restrictions on qualifications as a housing or building enterprise. The situation of building or housing enterprises not implementing the duties stipulated in valid legal documents according to the law is to be entered into the housing and building market credit file, relevant information will be made public, and restrictions are to be imposed on their business qualifications.

(5) Restrictions in terms of honour and credit awarding.

  1. Restrictions on being awarded honorary titles such as civilized city, civilized town, civilized work unit, civilized household, model of virtue, philanthropist, etc. The situation of implementing valid People’s Court verdicts is to be made be a precondition for selection as civilized town, civilized work unit and civilized household, and an indicator for the assessment of civilized city. Where relevant bodies and their legal representatives, actual persons in charge, directors, board members, and high-level managers are persons subject to enforcement for trust-breaking, they may not participate in the selection of honours such as civilized work unit and philanthropist, honorary titles of civilized work unit obtained after having been listed as a persons subject to enforcement for trust-breaking, as well as philanthropic titles will be cancelled. Where persons subject to enforcement for trust-breaking are individuals, they may not participate in the selection of models of virtue and philanthropic honours, honorary titles of models of virtue, as well as philanthropic titles obtained after having been listed as a persons subject to enforcement for trust-breaking will be cancelled.
  2. Restrictions on awards to lawyers and legal practices. Assist People’s Courts in investigating the identity information of lawyers and the registration information of legal practices that are persons subject to enforcement for trust-breaking; where persons subject to enforcement for trust-breaking are lawyers of legal practices, they are restricted from participating in competitions and rankings of excellence for a certain period.
  3. Restrictions on credit awarding. Banking and finance bodies must, when awarding financial credit, investigate whether or not the counterpart they plan to award credit as well as their legal representative, main responsible persons, actual persons in charge, directors, board members and high-level management personnel are persons subject to enforcement for trust-breaking or not, where the counterpart they plan toward credit is a persons subject to enforcement for trust-breaking, they must strictly examine and verify the matter.

(6) Restrictions on special market transactions.

  1. Restriction’s on trading in immovable property and State-owned assets. Assist People’s Courts in investigating the situation of immovable property registration, restrict persons subject to enforcement for trust-breaking as well as their legal representative, main responsible persons, actual persons in charge, as well as personnel directly responsible for influencing the servicing of debts from buying or obtaining houses, land use rights and other such immovable property; restrict persons subject to enforcement for trust-breaking from engaging in the exploitation and use of land, minerals and other such immovable property and resources, as well as from participating in transactions concerning State-owned enterprise assets, State assets and other such State property.
  2. Restrictions on using State-owned woodland. Restrict persons subject to enforcement for trust-breaking from applying to use State-owned woodland; restrict them from applying for focus forestry construction programmes.
  3. Restrictions on using grassland. Restrict persons subject to enforcement for trust-breaking from applying for grassland usage programmes; restrict them from applying to undertake national grassland protection and construction programmes.
  4. Restrictions on the use of other State-owned natural resources. Restrict persons subject to enforcement for trust-breaking from applying for usage programmes of rivers, maritime areas, uninhabited islands, mountain ranges, wastelands, shoals and other such State-owned natural resources, as well as focus natural resource protection and construction projects.

(7) Restrictions on conspicuous consumption and related consumption.

  1. Restrictions on riding trains and aircraft. Restrict persons subject to enforcement for trust-breaking and the legal representative, main responsible persons, actual controlling persons, as well as directly responsible persons influencing the performance of debt in persons subject to enforcement for trust-breaking from riding soft sleepers in trains, all seats in G-classed train sets, and all first-class seats in other train sets, civil aircraft and other such consumption that is not necessary for life or work.
  2. Restrictions on hotel and restaurant visits. Restrict persons subject to enforcement for trust-breaking and the legal representative, main responsible persons, actual controlling persons, as well as directly responsible persons influencing the performance of debt in persons subject to enforcement for trust-breaking from staying in star-rated and higher guesthouses and hotels, national first-level and higher restaurants and other conspicuous consumption hospitality venues; restrict them from consumption in nightclubs, golf courses and other such conspicuous consumption venues.
  3. Restrictions on conspicuous consumption travel. Restrict persons subject to enforcement for trust-breaking and the legal representative, main responsible persons, actual controlling persons, as well as directly responsible persons influencing the performance of debt in persons subject to enforcement for trust-breaking from participating in foreign group travel organized by travel agencies, as well as enjoying other services provided by travel agencies related to foreign travel; implement restrictive control on consumption within holiday areas or travel businesses that have obtained tourism raking evaluation.
  4. Restrictions on sons and daughters attending high-fee schools. Restrict persons subject to enforcement for trust-breaking and the legal representative, main responsible persons, actual controlling persons, as well as directly responsible persons influencing the performance of debt in persons subject to enforcement for trust-breaking from using their assets to pay for their sons or daughters to enrol in or attend high-fee private schools.
  5. Restrictions on purchasing insurance with a cash value. Restrict persons subject to enforcement for trust-breaking and the legal representative, main responsible persons, actual controlling persons, as well as directly responsible persons influencing the performance of debt in persons subject to enforcement for trust-breaking from playing high-value premiums to buy insurance products with a cash value.
  6. Restrictions on newly building, expanding, or expensively renovating housing, etc. Restrict persons subject to enforcement for trust-breaking and the legal representative, main responsible persons, actual controlling persons, as well as directly responsible persons influencing the performance of debt in persons subject to enforcement for trust-breaking from newly building, expanding or expensively renovating housing, or consumption acts to purchase cars and other such products not necessary for life or work, which are not necessary for business needs.

(8) Assisting with inquiry, control and foreign travel restrictions

Assist People’s Courts in inquiring into the identity, border entry or exit permits and vehicle information of persons subject to enforcement for trust-breaking, assist in sealing up or detaining vehicles under the name of persons subject to enforcement for trust-breaking, assist in in searching for and controlling persons subject to enforcement for trust-breaking whose whereabouts are unknown, and restrict persons subject to enforcement for trust-breaking to exit the borders.

(9) Strengthening daily supervision, management and inspection

Make persons subject to enforcement for trust-breaking and the legal representative, main responsible persons, actual controlling personnel, directors, board members and high-level management personnel of work units that are persons subject to enforcement for trust-breaking into targets for focus supervision, expand daily supervision and management, raise the proportion and frequency of random inspections, and adopt administrative supervision and management measures against them on the basis of relevant laws and regulations.

(10) Strengthen criminal punishment

Public Security and prosecutorial bodies, as well as People’s Courts must timely investigate, indict and try acts of refusal to implement value judgments and rulings, as well as other acts impeding enforcements that constitute a crime.

(11) Encouraging restrictions in other areas

All levels’ Party and government bodies, people’s organizations, social organizations, enterprise and undertaking work units are encouraged to use name list information concerning persons subject to enforcement for trust-breaking, integrate it into their own areas, professional scope and business activities, and implement credit supervision, warning and punishment over persons subject to enforcement for trust-breaking.

Strengthening information openness and sharing

(1) Openness of information concerning trust-breaking

People’s Courts must timely and accurately update information concerning the name list of persons subject to enforcement for trust-breaking, and make it public through society through various means, including the Nationwide People’s Courts Name List Information Publication and Inquiry Platform for Persons Subject to Enforcement for Trust-Breaking, relevant websites, mobile user terminals, outdoor media, etc., providing the public with free inquiry; on the basis of joint punishment work needs, People’s Courts may provide name list information to relevant work units, who are to use the name list information in integration with their own work according to the law. Concerning persons subject to enforcement of whom the trust-breaking information should not be made public according to the law, People’s Courts must notify their work unit, and their work unit is to impose punishment according to discipline and the law.

(2) Bringing it into governmental affairs openness

All localities and all departments must, according to the relevant requirements of the CCP Central Committee General Office and the State Council General Office “Opinions concerning Comprehensively Moving Forward Governmental Information Openness”, list information concerning credit supervision, warning and punishment of persons subject to enforcement for trust-breaking as a governmental affairs openness item, and make public credit supervision, warning and punishment of persons subject to enforcement for trust-breaking on the basis of the list of departmental powers and responsibilities, as well as the negative list, and according to the law.

(3) Credit information sharing

Information barriers between all localities and all departments must be further dismantles, realizing information sharing, accelerate the sharing of credit information resources concerning persons subject to enforcement for trust-breaking from public security, civil affairs, human resources and social security, natural resources, housing and urban construction, finance, banking, taxation, industry and commerce, security supervision, securities, science and technology and other such departments through the nationwide credit information sharing platform, and move forward with sharing information concerning persons subject to enforcement for trust-breaking with relevant people’s organizations, social organizations, enterprises and undertaking work units.

(4) Constructing sharing systems and mechanisms.

Accelerate the construction of information sharing systems and mechanisms concerning persons subject to enforcement for trust-breaking, establish and complete information sharing mechanisms between government and credit investigation bodies, credit rating bodies, financial bodies and social organizations. Establish social credit file systems, and bring information concerning persons subject to enforcement for trust-breaking into the social credit evaluation system as an important credit assessment indicator.

IV, Perfecting corresponding structures and mechanisms

(1) Further raising enforcement, investigation and control capacities

1.Accelerating the construction of an online enforcement investigation and control system. Expand the application of informative means in enforcement work, integrate and perfect existing court informatization systems, and realized networked enforcement work mechanisms to search for persons subject to enforcement for trust-breaking and the assets they control. We must, through governmental affairs networks and specialized networks, etc., ensure that People’s Court enforcement inspection and control networks are interconnected with networks in public security, civil affairs, human resources and social security, land resources, housing and urbanization construction, industry and commerce, traffic and transportation, agriculture, the People’s Bank, banking supervision, securities supervision, insurance supervision, foreign exchange management and other such government departments, as well as enterprise and undertaking work units such as financial bodies, Unionpay, Internet enterprises, etc., build a networked and automated enforcement supervision and control system covering localities in the entire country as well as major asset classes such as land, housing, savings, financial products, securities, shares, vehicles, etc., and realize interconnection and interaction, as well as comprehensive application, by the four tiers of courts nationwide.

  1. Expand enforcement inspection and control measures. People’s Courts must further expand inspection and control measures and methods concerning defendants and persons subject to enforcement. Research and formulate rules for asset reporting by persons subject to enforcement, rules for lawyers to investigate the assets of persons subject to enforcement, rules concerning the public announcement of rewards, rules concerning auditing and other such asset control rules.
  2. Perfect long-term enforcement command systems. The Supreme People’s Court, all higher-level and intermediate-level People’s Courts as well as basic-level People’s Courts meeting conditions must establish enforcement command centres and long-term command systems, and ensure that the enforcement command systems of courts at all four levels operate in a networked manner. Establish enforcement command work systems and mechanisms that are integrated upstream and downstream, are connected internally and externally, work in a standardized and efficient manner, and with rapid response. Establish uniform networked enforcement and case-handling platforms, open platforms and case workflow stage management platforms.

(2) Further perfect a name list system for persons subject to enforcement for trust-breaking.

  1. Perfect name list entry structures. All levels’ People’s Courts must, on the basis of their handing powers for enforcement cases, decide whether or not a person subject to enforcement is to be entered on the trust-breaking name list strictly according to statutory provisions and procedures.
  2. Guarantee that name list information is accurate and standardized. People’s Courts must establish strict operational rules and examination, verification and rectification mechanisms, ensuring that name lists of persons subject to enforcement for trust-breaking contain accurate and standardized information.
  3. Risk prompting and relief. Before a person subject to enforcement is entered on the name list, People’s Courts shall issue a risk warning notification to the person subject to enforcement. Where the person subject to enforcement believes their entry on the trust-breaking name list is a mistake, they may apply for rectification with the People’s Court issuing the decision, within 10 days of receiving the decision, the People’s Courts shall inspect the matter within three days of receiving the application, where the reasons are established [the entry] will be cancelled; where the reasons are not established, [the application] will be rejected. Where persons subject to enforcement for trust-breaking refuse to accept the rejection, they may apply for reconsideration with the People’s Court at one level higher.
  4. Withdrawal from the trust-breaking name list. When persons subject to enforcement for trust-breaking have carried out the duties determined in valid legal documents, or they have made an application with the enforcer to reach agreement concerning enforcement reconciliation and the enforcer has affirmed that the implementation is complete, or enforcement in the case is ended according to the law, the People’s Court must block or delete their information in the trust-breaking name list within three days. Blocking or deletion of information must be timely made public and reported to the transmitting work unit.
  5. Removing punitive measures. Where a blocking or deletion has occurred in the trust-breaking name list, all credit supervision, warning and punishment work units must timely remove punitive measures against the person subject to enforcement concerned. Where it is actually necessary to continuously retain credit supervision, warning and punishment with regard to a person subject to enforcement, this must be carried out strictly according to relevant provisions in laws and regulations, and the period in which these are continuously retained must be made clear.
  6. Investigation of responsibility. Further perfect structures to investigate responsibility, in cases where information is not listed when it should, is unlawfully listed or is blocked or removed on trust-breaking name lists in violation of regulations, responsibility must be investigated according to relevant regulations.

(3) Further perfect work structures for Party and government bodies to support the People’s Courts’ enforcement work

  1. Further strengthen enforcement assistance work. All localities and all departments must, according to the requirements of establishing and perfecting joint enforcement mechanisms, further grasp implementation work well.. All levels’ joint enforcement mechanism work leading groups must formulate concrete work mechanisms and procedures, and clarify the concrete duties of all work units assisting in enforcement. Strengthen the work assessment and accountability for assisting enforcement, organization, human resources, political-legal and other such departments must establish regular enforcement assistance joint reporting mechanisms, to report and hold accountable work units whose enforcement assistance is not strong.
  2. Strictly implement comprehensive assessment duties concerning enforcement work. Make the joint punishment situation of persons subject to enforcement for trust-breaking into an important element of comprehensive public order management targets and assessment. Strictly implement the relevant requirements of People’s Court enforcement work within the assessment of comprehensive public order targets and duties.
  3. Strengthen the investigation of responsibility of Party and government bodies interfering in enforcement. Party and government bodies must consciously implement the valid judgments of People’s Courts, and bring the implementation situation into their scope of responsibility. Firmly implement the CCP Central Committee General Office and State Council General Office “Regulations on Recording, Reporting and Investigating the Responsibility of Leading Cadres Interfering in Judicial Activities and Interfering in the Handling of Specific Cases”, as well as the “Regulations on Recording and Investigating the Responsibility of Internal Staff of Judicial Bodies Inquiring into Cases”, and deal with cases where relevant departments and leading cadres interfere with enforcement, obstruct enforcement or do not cooperate with enforcement work strictly, according to discipline and the law.

V, Strengthening organization and leadership

(1) Strengthening organization and implementation

All localities and all departments must give great attention to credit supervision, warning and punishment work of persons subject to enforcement for trust-breaking, and make them into an important element of moving forward comprehensively ruling the country according to the law, moving forward the construction of the social credit system, and fostering and practicing the Socialist core value view, and realistically strengthen organization and leadership. Further strengthen and perfect the interdepartmental joint conference for the construction of the social credit system, and create normalized work mechanisms. All member work units must appoint specialized bodies and specialized personnel to be responsible for comprehensive planning and coordination, supervising and inspection the implementation of all task, and to report to the interdepartmental joint conference, where work is not carried out satisfactorily, it will be reported for criticism, and accountability is to be strengthened. Departments with information sharing and joint punishment duties must grasp the formulation of implementation rules, appoint responsible departments, clarify timeframes and roadmaps, end ensure that all measures are satisfactorily implemented before the end of 2016. All joint punishment work units must, before the end of 2016, complete their linkage with the Nationwide Credit Information Sharing Platform Joint Punishment System, obtain the name list information of persons subject to enforcement for trust-breaking automatically through the network, and timely provide feedback on the punishment situation. At the same time, they must accelerate their punishment software development and use schedule, and embed name list information concerning persons subject to enforcement for trust-breaking into their work unit’s management, examination and approval, and work system ensuring that name list information concerning persons subject to enforcement for trust-breaking results in automatic verification, automatic interception, automatic supervision and automatic punishment.

(2) Strengthening work guarantees

All localities and all departments must earnestly implement the Centre’s requirements concerning resolving the problems of difficult enforcement by People’s Courts, strengthen the function and role of enforcement bodies, create orderly and strong enforcement teams, forcefully move forward with the construction of team regularization, specialization and professionalization. Accelerate the progress of hardware and software construction for the People’s Court Enforcement Inspection and Control System and the Enforcement Command System, accelerate the progress of the construction of a nationwide credit information sharing platform, accelerate the progress of the construction of hardware and software such as all special information transmission cables and storage facilities for all information sharing work units and joint punishment work units, and strengthen guarantees in areas such as talent, funding, equipment and technology.

(3) Perfecting related legal provisions

Accelerate the progress of legislative, revision, abolition and interpretation work of the coercive enforcement law and other relevant laws and regulations, judicial interpretations and other normative documents, timely legalize and institutionalize work such as strengthening enforcement work, moving joint enforcement forward, credit information openness and sharing, perfecting the name list system for persons subject to enforcement for trust-breaking, strengthening joint punishment, etc., and guarantee the scientific nature, focus and practicality of legal norms.

(4) Strengthen propaganda

Strengthen propaganda concerning the name list for persons subject to enforcement for trust-breaking and credit punishment, fully give rein to the role of news media in propaganda, supervision and public opinion guidance. Use newspapers, television, online media, etc., to make public information concerning persons subject to enforcement for trust-breaking, the punishment they receive, etc., create public opinion pressure, and broaden the influence and deterrent of the name list system for persons subject to enforcement for trust-breaking.

 

 

中共中央办公厅、国务院办公厅印发了《关于加快推进失信被执行人信用监督、警示和惩戒机制建设的意见》,并发出通知,要求各地区各部门结合实际认真贯彻落实。
《关于加快推进失信被执行人信用监督、警示和惩戒机制建设的意见》全文如下。
人民法院通过司法程序认定的被执行人失信信息是社会信用信息重要组成部分。对失信被执行人进行信用监督、警示和惩戒,有利于促进被执行人自觉履行生效法律文书确定的义务,提高司法公信力,推进社会信用体系建设。为加快推进失信被执行人信用监督、警示和惩戒机制建设,现提出以下意见。
一、总体要求
(一)指导思想。全面贯彻落实党的十八大和十八届三中、四中、五中全会精神,深入学习贯彻习近平总书记系列重要讲话精神,紧紧围绕统筹推进“五位一体”总体布局和协调推进“四个全面”战略布局,牢固树立新发展理念,按照培育和践行社会主义核心价值观、推进信用信息共享、健全激励惩戒机制、提高全社会诚信水平的有关要求,进一步提高人民法院执行工作能力,加快推进失信被执行人跨部门协同监管和联合惩戒机制建设,构建一处失信、处处受限的信用监督、警示和惩戒工作体制机制,维护司法权威,提高司法公信力,营造向上向善、诚信互助的社会风尚。
(二)基本原则
——坚持合法性。对失信被执行人信用监督、警示和惩戒要严格遵照法律法规实施。
——坚持信息共享。破除各地区各部门之间以及国家机关与人民团体、社会组织、企事业单位之间的信用信息壁垒,依法推进信用信息互联互通和交换共享。
——坚持联合惩戒。各地区各部门要各司其职,相互配合,形成合力,构建一处失信、处处受限的信用监督、警示和惩戒体系。
——坚持政府主导和社会联动。各级政府要发挥主导作用,同时发挥各方面力量,促进全社会共同参与、共同治理,实现政府主导与社会联动的有效融合。
(三)建设目标。到2018年,人民法院执行工作能力显著增强,执行联动体制便捷、顺畅、高效运行。失信被执行人名单制度更加科学、完善,失信被执行人界定与信息管理、推送、公开、屏蔽、撤销等合法高效、准确及时。失信被执行人信息与各类信用信息互联共享,以联合惩戒为核心的失信被执行人信用监督、警示和惩戒机制高效运行。有效促进被执行人自觉履行人民法院生效裁判确定的义务,执行难问题基本解决,司法公信力大幅提升,诚实守信成为全社会共同的价值追求和行为准则。
二、加强联合惩戒
(一)从事特定行业或项目限制
1.设立金融类公司限制。将失信被执行人相关信息作为设立银行业金融机构及其分支机构,以及参股、收购银行业金融机构审批的审慎性参考,作为设立证券公司、基金管理公司、期货公司审批,私募投资基金管理人登记的审慎性参考。限制失信被执行人设立融资性担保公司、保险公司。
2.发行债券限制。对失信被执行人在银行间市场发行债券从严审核,限制失信被执行人公开发行公司债券。
3.合格投资者额度限制。在合格境外机构投资者、合格境内机构投资者额度审批和管理中,将失信状况作为审慎性参考依据。
4.股权激励限制。失信被执行人为境内国有控股上市公司的,协助中止其股权激励计划;对失信被执行人为境内国有控股上市公司股权激励对象的,协助终止其行权资格。
5.股票发行或挂牌转让限制。将失信被执行人信息作为股票发行和在全国中小企业股份转让系统挂牌公开转让股票审核的参考。
6.设立社会组织限制。将失信被执行人信息作为发起设立社会组织审批登记的参考,限制失信被执行人发起设立社会组织。
7.参与政府投资项目或主要使用财政性资金项目限制。协助人民法院查询政府采购项目信息;依法限制失信被执行人作为供应商参加政府采购活动;依法限制失信被执行人参与政府投资项目或主要使用财政性资金项目。
(二)政府支持或补贴限制
1.获取政府补贴限制。限制失信被执行人申请政府补贴资金和社会保障资金支持。
2.获得政策支持限制。在审批投资、进出口、科技等政策支持的申请时,查询相关机构及其法定代表人、实际控制人、董事、监事、高级管理人员是否为失信被执行人,作为其享受该政策的审慎性参考。
(三)任职资格限制
1.担任国企高管限制。失信被执行人为个人的,限制其担任国有独资公司、国有资本控股公司董事、监事、高级管理人员,以及国有资本参股公司国有股权方派出或推荐的董事、监事、高级管理人员;已担任相关职务的,按照有关程序依法免去其职务。
2.担任事业单位法定代表人限制。失信被执行人为个人的,限制其登记为事业单位法定代表人。
3.担任金融机构高管限制。限制失信被执行人担任银行业金融机构、证券公司、基金管理公司、期货公司、保险公司、融资性担保公司的董事、监事、高级管理人员。
4.担任社会组织负责人限制。失信被执行人为个人的,限制其登记或备案为社会组织负责人。
5.招录(聘)为公务人员限制。限制招录(聘)失信被执行人为公务员或事业单位工作人员,在职公务员或事业单位工作人员被确定为失信被执行人的,失信情况应作为其评先、评优、晋职晋级的参考。
6.入党或党员的特别限制。将严格遵守法律、履行生效法律文书确定的义务情况,作为申请加入中国共产党、预备党员转为正式党员以及党员评先、评优、晋职晋级的重要参考。
7.担任党代表、人大代表和政协委员限制。失信被执行人为个人的,不作为组织推荐的各级党代会代表、各级人大代表和政协委员候选人。
8.入伍服役限制。失信被执行人为个人的,将其失信情况作为入伍服役和现役、预备役军官评先、评优、晋职晋级的重要参考。
(四)准入资格限制
1.海关认证限制。限制失信被执行人成为海关认证企业;在失信被执行人办理通关业务时,实施严密监管,加强单证审核或布控查验。
2.从事药品、食品等行业限制。对失信被执行人从事药品、食品安全行业从严审批;限制失信被执行人从事危险化学品生产经营储存、烟花爆竹生产经营、矿山生产和安全评价、认证、检测、检验等行业;限制失信被执行人担任上述行业单位主要负责人及董事、监事、高级管理人员,已担任相关职务的,按规定程序要求予以变更。
3.房地产、建筑企业资质限制。将房地产、建筑企业不依法履行生效法律文书确定的义务情况,记入房地产和建筑市场信用档案,向社会披露有关信息,对其企业资质作出限制。
(五)荣誉和授信限制
1.授予文明城市、文明村镇、文明单位、文明家庭、道德模范、慈善类奖项限制。将履行人民法院生效裁判情况作为评选文明村镇、文明单位、文明家庭的前置条件,作为文明城市测评的指标内容。有关机构及其法定代表人、实际控制人、董事、监事、高级管理人员为失信被执行人的,不得参加文明单位、慈善类奖项评选,列入失信被执行人后取得的文明单位荣誉称号、慈善类奖项予以撤销。失信被执行人为个人的,不得参加道德模范、慈善类奖项评选,列入失信被执行人后获得的道德模范荣誉称号、慈善类奖项予以撤销。
2.律师和律师事务所荣誉限制。协助人民法院查询失信被执行人的律师身份信息、律师事务所登记信息;失信被执行人为律师、律师事务所的,在一定期限内限制其参与评先、评优。
3.授信限制。银行业金融机构在融资授信时要查询拟授信对象及其法定代表人、主要负责人、实际控制人、董事、监事、高级管理人员是否为失信被执行人,对拟授信对象为失信被执行人的,要从严审核。
(六)特殊市场交易限制
1.从事不动产交易、国有资产交易限制。协助人民法院查询不动产登记情况,限制失信被执行人及失信被执行人的法定代表人、主要负责人、实际控制人、影响债务履行的直接责任人员购买或取得房产、土地使用权等不动产;限制失信被执行人从事土地、矿产等不动产资源开发利用,参与国有企业资产、国家资产等国有产权交易。
2.使用国有林地限制。限制失信被执行人申报使用国有林地项目;限制其申报重点林业建设项目。
3.使用草原限制。限制失信被执行人申报草原征占用项目;限制其申报承担国家草原保护建设项目。
4.其他国有自然资源利用限制。限制失信被执行人申报水流、海域、无居民海岛、山岭、荒地、滩涂等国有自然资源利用项目以及重点自然资源保护建设项目。
(七)限制高消费及有关消费
1.乘坐火车、飞机限制。限制失信被执行人及失信被执行人的法定代表人、主要负责人、实际控制人、影响债务履行的直接责任人员乘坐列车软卧、G字头动车组列车全部座位、其他动车组列车一等以上座位、民航飞机等非生活和工作必需的消费行为。
2.住宿宾馆饭店限制。限制失信被执行人及失信被执行人的法定代表人、主要负责人、实际控制人、影响债务履行的直接责任人员住宿星级以上宾馆饭店、国家一级以上酒店及其他高消费住宿场所;限制其在夜总会、高尔夫球场等高消费场所消费。
3.高消费旅游限制。限制失信被执行人及失信被执行人的法定代表人、主要负责人、实际控制人、影响债务履行的直接责任人员参加旅行社组织的团队出境旅游,以及享受旅行社提供的与出境旅游相关的其他服务;对失信被执行人在获得旅游等级评定的度假区内或旅游企业内消费实行限额控制。
4.子女就读高收费学校限制。限制失信被执行人及失信被执行人的法定代表人、主要负责人、实际控制人、影响债务履行的直接责任人员以其财产支付子女入学就读高收费私立学校。
5.购买具有现金价值保险限制。限制失信被执行人及失信被执行人的法定代表人、主要负责人、实际控制人、影响债务履行的直接责任人员支付高额保费购买具有现金价值的保险产品。
6.新建、扩建、高档装修房屋等限制。限制失信被执行人及失信被执行人的法定代表人、主要负责人、实际控制人、影响债务履行的直接责任人员新建、扩建、高档装修房屋,购买非经营必需车辆等非生活和工作必需的消费行为。
(八)协助查询、控制及出境限制
协助人民法院依法查询失信被执行人身份、出入境证件信息及车辆信息,协助查封、扣押失信被执行人名下的车辆,协助查找、控制下落不明的失信被执行人,限制失信被执行人出境。
(九)加强日常监管检查
将失信被执行人和以失信被执行人为法定代表人、主要负责人、实际控制人、董事、监事、高级管理人员的单位,作为重点监管对象,加大日常监管力度,提高随机抽查的比例和频次,并可依据相关法律法规对其采取行政监管措施。
(十)加大刑事惩戒力度
公安、检察机关和人民法院对拒不执行生效判决、裁定以及其他妨碍执行构成犯罪的行为,要及时依法侦查、提起公诉和审判。
(十一)鼓励其他方面限制
鼓励各级党政机关、人民团体、社会组织、企事业单位使用失信被执行人名单信息,结合各自主管领域、业务范围、经营活动,实施对失信被执行人的信用监督、警示和惩戒。
三、加强信息公开与共享
(一)失信信息公开
人民法院要及时准确更新失信被执行人名单信息,并通过全国法院失信被执行人名单信息公布与查询平台、有关网站、移动客户端、户外媒体等多种形式向社会公开,供公众免费查询;根据联合惩戒工作需要,人民法院可以向有关单位推送名单信息,供其结合自身工作依法使用名单信息。对依法不宜公开失信信息的被执行人,人民法院要通报其所在单位,由其所在单位依纪依法处理。
(二)纳入政府政务公开
各地区各部门要按照中共中央办公厅、国务院办公厅印发的《关于全面推进政务公开工作的意见》的有关要求,将失信被执行人信用监督、警示和惩戒信息列入政务公开事项,对失信被执行人信用监督、警示和惩戒要依据部门权力清单、责任清单和负面清单依法开展。
(三)信用信息共享
各地区各部门之间要进一步打破信息壁垒,实现信息共享,通过全国信用信息共享平台,加快推进失信被执行人信息与公安、民政、人力资源社会保障、国土资源、住房城乡建设、财政、金融、税务、工商、安全监管、证券、科技等部门信用信息资源共享,推进失信被执行人信息与有关人民团体、社会组织、企事业单位信用信息资源共享。
(四)共享体制机制建设
加快推进失信被执行人信用信息共享体制机制建设,建立健全政府与征信机构、信用评级机构、金融机构、社会组织之间的信用信息共享机制。建立社会信用档案制度,将失信被执行人信息作为重要信用评价指标纳入社会信用评价体系。
四、完善相关制度机制
(一)进一步提高执行查控工作能力
1.加快推进网络执行查控系统建设。加大信息化手段在执行工作中的应用,整合完善现有法院信息化系统,实现网络化查找被执行人和控制财产的执行工作机制。要通过政务网、专网等实现人民法院执行查控网络与公安、民政、人力资源社会保障、国土资源、住房城乡建设、工商、交通运输、农业、人民银行、银行监管、证券监管、保险监管、外汇管理等政府部门,及各金融机构、银联、互联网企业等企事业单位之间的网络连接,建成覆盖全国地域及土地、房产、存款、金融理财产品、证券、股权、车辆等主要财产形式的网络化、自动化执行查控体系,实现全国四级法院互联互通、全面应用。
2.拓展执行查控措施。人民法院要进一步拓展对被告和被执行人财产的查控手段和措施。研究制定被执行人财产报告制度、律师调查被执行人财产制度、公告悬赏制度、审计调查制度等财产查控制度。
3.完善远程执行指挥系统。最高人民法院和各高级、中级人民法院以及有条件的基层人民法院要建立执行指挥中心和远程指挥系统,实现四级法院执行指挥系统联网运行。建立上下一体、内外联动、规范高效、反应快捷的执行指挥工作体制机制。建立四级法院统一的网络化执行办案平台、公开平台和案件流程节点管理平台。
(二)进一步完善失信被执行人名单制度
1.完善名单纳入制度。各级人民法院要根据执行案件的办理权限,严格按照法定条件和程序决定是否将被执行人纳入失信名单。
2.确保名单信息准确规范。人民法院要建立严格的操作规程和审核纠错机制,确保失信被执行人名单信息准确规范。
3.风险提示与救济。在将被执行人纳入失信名单前,人民法院应当向被执行人发出风险提示通知。被执行人认为将其纳入失信名单错误的,可以自收到决定之日起10日内向作出决定的人民法院申请纠正,人民法院应当自收到申请之日起3日内审查,理由成立的,予以撤销;理由不成立的,予以驳回。被执行人对驳回不服的,可以向上一级人民法院申请复议。
4.失信名单退出。失信被执行人全部履行了生效法律文书确定的义务,或与申请执行人达成执行和解协议并经申请执行人确认履行完毕,或案件依法终结执行等,人民法院要在3日内屏蔽或撤销其失信名单信息。屏蔽、撤销信息要及时向社会公开并通报给已推送单位。
5.惩戒措施解除。失信名单被依法屏蔽、撤销的,各信用监督、警示和惩戒单位要及时解除对被执行人的惩戒措施。确需继续保留对被执行人信用监督、警示和惩戒的,必须严格按照法律法规的有关规定实施,并明确继续保留的期限。
6.责任追究。进一步完善责任追究制度,对应当纳入而不纳入、违法纳入以及不按规定屏蔽、撤销失信名单等行为,要按照有关规定追究责任。
(三)进一步完善党政机关支持人民法院执行工作制度
1.进一步加强协助执行工作。各地区各部门要按照建立和完善执行联动机制的有关要求,进一步抓好落实工作。各级执行联动机制工作领导小组要制定具体的工作机制、程序,明确各协助执行单位的具体职责。强化协助执行工作考核与问责,组织人事、政法等部门要建立协助执行定期联合通报机制,对协助执行不力的单位予以通报和追责。
2.严格落实执行工作综治考核责任。将失信被执行人联合惩戒情况作为社会治安综合治理目标责任考核的重要内容。严格落实人民法院执行工作在社会治安综合治理目标责任考核中的有关要求。
3.强化对党政机关干扰执行的责任追究。党政机关要自觉履行人民法院生效裁判,并将落实情况纳入党风廉政建设主体责任和监督责任范围。坚决落实中共中央办公厅、国务院办公厅印发的《领导干部干预司法活动、插手具体案件处理的记录、通报和责任追究规定》,以及《司法机关内部人员过问案件的记录和责任追究规定》,对有关部门及领导干部干预执行、阻扰执行、不配合执行工作的行为,依纪依法严肃处理。
五、加强组织领导
(一)加强组织实施
各地区各部门要高度重视对失信被执行人信用监督、警示和惩戒工作,将其作为推进全面依法治国、推进社会信用体系建设、培育和践行社会主义核心价值观的重要内容,切实加强组织领导。进一步加强和完善社会信用体系建设部际联席会议制度,形成常态化工作机制。各成员单位要确定专门机构、专业人员负责统筹协调、督促检查各项任务落实情况,并向部际联席会议报告,对工作落实不到位的,予以通报批评,强化问责。负有信息共享、联合惩戒职责的部门要抓紧制定实施细则,确定责任部门,明确时间表、路线图,确保各项措施在2016年年底前落实到位。各联合惩戒单位要在2016年年底前完成与全国信用信息共享平台联合惩戒系统的对接,通过网络自动抓取失信被执行人名单信息,及时反馈惩戒情况。同时要加快惩戒软件开发使用进度,将失信被执行人名单信息嵌入单位管理、审批、工作系统中,实现对失信被执行人名单信息的自动比对、自动拦截、自动监督、自动惩戒。
(二)强化工作保障
各地区各部门要认真落实中央关于解决人民法院执行难问题的要求,强化执行机构的职能作用,配齐配强执行队伍,大力推进执行队伍正规化、专业化、职业化建设。加快推进人民法院执行查控系统与执行指挥系统的软硬件建设,加快推进全国信用信息共享平台建设,加快推进各信息共享单位、联合惩戒单位的信息传输专线、存储设备等硬件建设和软件开发,加强人才、资金、设备、技术等方面的保障。
(三)完善相关法律规定
加快推进强制执行法等相关法律法规、司法解释及其他规范性文件的立改废释工作,及时将加强执行工作、推进执行联动、信用信息公开和共享、完善失信被执行人名单制度、加强联合惩戒等工作法律化、制度化,确保法律规范的科学性、针对性、实用性。
(四)加大宣传力度
加大对失信被执行人名单和信用惩戒的宣传力度,充分发挥新闻媒体的宣传、监督和舆论引导作用。利用报纸、广播、电视、网络等媒体,依法将失信被执行人信息、受惩戒情况等公之于众,形成舆论压力,扩大失信被执行人名单制度的影响力和警示力。

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