Recently, the State Administration for Market Regulation issued implementation opinions on strengthening credit supervision in key areas. The opinions point out that credit supervision should be promoted in production enterprises in fields such as food and special equipment, improving regulatory effectiveness through measures like "double random, one public" inspections, and steadily advancing credit supervision in other market regulation areas on this basis.
State Administration for Market Regulation on Strengthening
Implementation Opinions on Credit Supervision in Key Areas
Guo Shi Jian Xin Fa [2021] No. 28
Market regulation bureaus (departments, commissions) of all provinces, autonomous regions, municipalities directly under the central government, and Xinjiang Production and Construction Corps, all departments and directly affiliated units of the General Administration:
To effectively carry out market regulation work directly related to public safety and the life and health of the people in key areas, empower market regulation with credit, improve regulatory effectiveness in key areas, and build a long-term and fundamental regulatory mechanism, the following opinions are put forward regarding strengthening credit supervision in key areas.
Adhere to Xi Jinping Thought on Socialism with Chinese Characteristics for a New Era as guidance, thoroughly implement the spirit of the 19th National Congress of the Communist Party of China and its second, third, fourth, and fifth plenary sessions, focus on building a high-standard market system, regard credit supervision as a fundamental work, systematic project, and important focus throughout all business fields and processes, concentrate on key areas of market regulation, organize demonstration projects, improve the precision, coordination, and standardization of supervision, effectively ensure public safety and the life and health of the people, maintain social security bottom lines, create a good development environment, and enhance the people's sense of happiness, gain, and security.
Focus on key points and precise efforts. Adhere to problem orientation, focus on current key areas of market regulation, promote a co-governance pattern of enterprise autonomy, industry self-discipline, social supervision, and government regulation through effective credit supervision measures, and focus on solving prominent problems in key area supervision.
Credit empowerment and coordinated supervision. Adhere to the principle that "managing an industry requires managing credit, managing business requires managing credit," fully leverage the foundational role of credit, promote deep integration of credit with key area supervision, strengthen coordination and linkage, form a joint regulatory force, and improve regulatory effectiveness.
Lawful, fair, and standardized. Strictly advance full-process credit supervision in key areas before, during, and after events according to laws, regulations, and policies, improve and perfect work procedures, standardize the implementation of enterprise information disclosure, dishonesty punishment, credit repair, etc., and promote fair and just supervision.
Digital empowerment and intelligent supervision. Comprehensively use information technologies such as big data and artificial intelligence, rely on the National Enterprise Credit Information Publicity System, establish and improve credit records and credit files in key areas, promote classified management of enterprise credit risks, and comprehensively enhance the level of intelligent supervision.
Starting with supervision of production enterprises in food, special equipment, and other fields, promote credit supervision in key market regulation areas directly related to public safety and the life and health of the people, continuously improve systems and measures such as enterprise information disclosure, credit commitment, "double random, one public" supervision, classified management of credit risks, dishonesty punishment, and credit repair, form effective working mechanisms and models for credit supervision in key areas, and improve regulatory effectiveness. On this basis, steadily advance credit supervision in other market regulation areas.
II. Implement List Management and Strengthen Information Collection and Disclosure of Enterprises in Key Areas
(4) Establish lists of enterprises in key areas. Implement list management for enterprises in key areas to clarify the baseline of regulatory objects. Provincial market regulation departments shall sort out lists of enterprises in key areas based on administrative licensing situations (enterprise types see Attachment 1), classify and mark relevant enterprises in the National Enterprise Credit Information Publicity System (hereinafter referred to as the Publicity System) according to the lists; for administrative licensing implemented by the General Administration itself, the General Administration shall establish lists and mark them. Establish a docking mechanism between the Publicity System and key area approval, supervision, law enforcement, and case handling systems to achieve timely marking and dynamic adjustment of enterprises in key areas.
(5) Fully collect information on enterprises in key areas. Based on the current foundation of enterprise information collection work, promote comprehensive collection of information on enterprises in key areas, formulate a list of key collection items (see Attachment 2), and clarify key points of information collection. The General Administration and provincial market regulation departments may expand the scope of information collection as appropriate. Market regulation departments at all levels shall, according to the principle of "who generates, who provides, who is responsible," timely collect information such as administrative licenses, administrative penalties, random inspections (including supervision inspections, supervision sampling inspections, etc., hereinafter the same) results of enterprises in key areas into the Publicity System in accordance with laws and regulations, and record it under the enterprise's name.
(6) Publicly disclose information on enterprises in key areas according to law. Establish the concept of "disclosure is supervision," adhere to the principle of "disclosure as the norm, non-disclosure as the exception," and except for information involving personal privacy, national security, state secrets, or social public interests, information related to enterprises generated by market regulation departments in the performance of their duties shall be disclosed to the public according to law. Set up a key area information disclosure module in the Publicity System to fully disclose information such as administrative licenses, administrative penalties, and random inspection results of enterprises in key areas, and fully utilize social forces to restrain enterprises' illegal and dishonest behaviors.
III. Strengthen Pre-event Prevention and On-site Supervision to Improve Regulatory Effectiveness in Key Areas
(7) Actively promote credit commitments. Promote credit commitments in enterprise registration, administrative approval, and other links to strengthen enterprise credit awareness. Lawfully and properly advance notification and commitment for key area certification matters and enterprise-related business licenses. If verification finds that an enterprise's commitment is untrue, stop processing according to law, order rectification within a time limit, revoke administrative decisions, or impose administrative penalties, include it in credit records, and disclose it through the Publicity System. According to the needs of key area supervision, the General Administration will establish working mechanisms and formulate standard texts in due course to guide enterprises to actively disclose credit commitments through the Publicity System, support provincial market regulation departments to pilot and strengthen credit constraints and social supervision.
(8) Vigorously promote classified management of credit risks. The General Administration leads the establishment of a general enterprise credit risk classification management model, continuously optimizes and improves the indicator system, enhances the scientific nature of classification, and shares credit risk classification results. Regulatory agencies in key areas such as food and special equipment may establish professional models based on the characteristics of their fields, referring to the general enterprise credit risk classification management model, and adopt differentiated regulatory measures for enterprises of different credit risk categories.
(9) Coordinate the promotion of key supervision and "double random, one public" supervision. According to regional and industry risk characteristics, explore establishing a list system for key supervision matters, comprehensively sort out key supervision matters within the scope of responsibilities, clarify regulatory subjects, objects, measures, etc., and implement key supervision according to laws and regulations. Beyond the list of key supervision matters, promote full coverage of "double random, one public" supervision, combined with enterprise credit risk classification results, to improve problem detection capabilities.
IV. Increase Post-event Dishonesty Punishment and Raise the Cost of Violations in Key Areas
(10) Strengthen management of the list of serious illegal and dishonest acts. The General Administration establishes a unified management system for the list of serious illegal and dishonest acts and promotes the management of such lists in key areas. Regulatory agencies, law enforcement and case handling agencies, and credit supervision agencies in key areas establish a collaborative management mechanism to lawfully handle the inclusion, removal, disclosure, and credit repair of serious illegal and dishonest acts lists.
(11) Strengthen constraints and sanctions on enterprises with illegal and dishonest behavior. Clarify the dishonest punishment measures of market regulatory departments, and impose constraints and sanctions on enterprises with illegal and dishonest behavior in accordance with laws and regulations. Improve the shared application mechanism by embedding information such as the list of business abnormalities and the list of serious illegal and dishonest enterprises into key field approval and regulatory business systems, and proactively push this information to other regulatory departments to implement joint sanctions according to laws and regulations. Increase the disclosure of credit information, relying on the disclosure system to centrally publicize and highlight enterprises in key fields that repeatedly violate prohibitions, repeatedly offend despite penalties, and seriously breach trust.
(12) Implement credit repair in accordance with laws and regulations. Improve the credit repair mechanism for enterprises in key fields, clarify the credit repair procedures, guide enterprises to actively correct dishonest behaviors, and assume main responsibilities. For enterprises with serious illegal circumstances or multiple violations of dishonesty, strictly apply credit repair conditions, raise the threshold for credit repair, and strengthen constraints on dishonesty.
5. Use market forces to promote regulation and play a credit-guiding role.
(13) Strengthen information sharing and application. Increase the openness and sharing of enterprise information in key fields, explore opening relevant data of the disclosure system to provincial market regulatory departments. Explore market-oriented applications of data products and data services in key fields, continuously expanding application scenarios. Strengthen the deep development and utilization of credit information, guide consumers and business partners to assess consumption risks and business cooperation risks based on enterprise credit levels, and effectively use market forces to constrain enterprises' illegal behaviors.
(14) Leverage market and social forces. Promote the concept of integrity in key fields, fully utilize new media and other methods to strengthen the publicity and promotion of integrity concepts. Timely release typical cases of serious dishonesty, increase exposure of illegal and dishonest behaviors, and guide the public to strengthen social supervision of related enterprises. Strengthen guidance to industry organizations and play the role of industry credit management.
6. Organizational Guarantee
(15) Strengthen organizational leadership. Market regulatory departments at all levels should deeply understand the importance of promoting credit regulation in key fields, improve leadership and coordination mechanisms, and strengthen organizational guarantees. Specific work plans should be formulated, carefully organized, and meticulously implemented to promote credit regulation in key fields through the organic integration of business functions.
(16) Strictly implement responsibilities. Relevant institutions of market regulatory departments should perform their duties, regard credit regulation in key fields as a current work priority, and solidly promote the implementation of various tasks. Credit regulatory agencies should coordinate overall work and improve relevant institutional norms; key field regulatory agencies should effectively fulfill main responsibilities and accelerate credit regulation work in their respective industries and fields; information management agencies should provide technical support for enterprise information collection, disclosure, application, and system construction, and formulate unified technical standards and specifications.
(17) Strengthen informatization construction. Carry out the transformation of the disclosure system to support the collection, disclosure, and application of enterprise information in key fields. The technical plan for the disclosure system transformation will be separately issued by the General Administration's information management agency and credit regulatory agency. Strengthen vertical and horizontal connectivity of the disclosure system to achieve orderly collection and transmission of various data. Promote interconnection and interoperability between key field business systems and the disclosure system to timely collect and record administrative licenses, regulatory law enforcement, and other information under the enterprise's name in key fields.
Attachment: 1. List of enterprise types in key market regulatory fields (First Edition)
2. List of enterprise information collection and disclosure items in key market regulatory fields (First Edition)
Click to view the original text and attachments: http://gkml.samr.gov.cn/nsjg/xyjgs/202106/t20210608_330344.html
Source: State Administration for Market Regulation
