The Provincial Government Office issued the Implementation Opinions on Establishing a Process Supervision System Based on Credit Supervision in Hainan Free Trade Port.

Hainan Government Office [2021] No. 4

To all municipal, county and autonomous county people's governments, and all units directly under the provincial government:

In order to implement the relevant deployment requirements of the "Overall Plan for the Construction of Hainan Free Trade Port" and the "Guiding Opinions on Accelerating the Construction of the Social Credit System and Building a New Regulatory Mechanism Based on Credit" (Guobanfa [2019] No. 35) issued by the General Office of the State Council, further strengthen the application of the social credit system, and build a process supervision system based on credit supervision and compatible with the negative list, the following implementation opinions are proposed.

1. General requirements

Guided by Xi Jinping Thought on Socialism with Chinese Characteristics for a New Era, we will thoroughly implement the spirit of the 19th National Congress of the Communist Party of China and the Second, Third, Fourth and Fifth Plenary Sessions of the 19th Central Committee, conscientiously implement the deployment requirements of the Provincial Party Committee and the Provincial Government, strengthen system integration and innovation, and actively explore and establish a regulatory model that adapts to the construction of the free trade port. By 2025, a credit supervision mechanism covering all market entities, the entire process of government services, and the whole cycle linkage before, during, and after the event will be initially established, and the hierarchical and classified supervision system based on industry credit evaluation in key areas will be further improved. The supervision pattern of government management of standards, commitment of entities, strong supervision of processes, and credit rewards and punishments will be gradually improved, and the level of social governance and supervision capacity of co-construction, co-governance and sharing will continue to improve, and the legal, international and convenient business environment will continue to be optimized.

2. Comprehensively implement the credit commitment system

(I) Comprehensively implement the notification commitment system for administrative approval. In principle, the notification commitment system will be implemented for administrative approval matters that can correct behaviors that do not meet the licensing conditions and effectively prevent risks through in-process and post-process supervision. Among them, in the field of market access, the "entry unless prohibited" and "operation is permitted upon entry" principles are strictly implemented, and the "standard system ' commitment system" is fully implemented. In principle, the license and filing are cancelled for areas where laws, regulations and rules have clearly defined the protection of personal health and the safety of life and property, ecological and environmental safety, and the basic needs of economic and social management, and where mandatory standards have been implemented; for areas where the license filing cannot be cancelled for the time being, in areas that do not directly involve public safety and ecological and environmental protection, can be corrected in a timely manner through in-process and post-process supervision, and the overall risk is controllable and will not have serious consequences, the applicant can obtain the license at the same time as obtaining the business license and making a commitment according to the content notified by the administrative approval authority. Under the premise of ensuring safety, for small-scale, low-risk new construction, renovation and expansion projects with social investment, the government departments shall issue unified enterprise start-up conditions, and the enterprises shall make relevant commitments after obtaining land and meeting the start-up conditions, and the government departments shall directly issue relevant certificates, and the project can start.

(II) Comprehensively carry out the notification and commitment of certification matters. Except for matters directly related to national security, state secrets, public security, prudent supervision of the financial industry, ecological and environmental protection, personal health, life and property safety, and important foreign-related matters with high risks, high error correction costs, and irreparable damage, the applicant may make a written commitment that he has met the notification conditions and is willing to bear the legal liability for false commitments. The administrative agency will no longer ask for relevant certificates and handle relevant matters based on written (including electronic text) commitments.

(III) Actively promote proactive commitments and industry self-discipline credit commitments. Provincial industry regulatory departments should formulate proactive commitments and industry self-discipline commitment texts in a unified format; give full play to the role of industry associations and chambers of commerce, encourage market entities or members of industry associations and chambers of commerce to voluntarily sign credit commitments, publicly declare product and service standards and quality, and promise to comply with industry management and other matters, and actively publicize credit commitments through relevant websites.

(IV) Implement credit repair commitments. When an administrative counterpart meets the credit repair conditions and submits a repair application to the relevant administrative department, he shall submit a credit commitment letter as required and publicize it on websites such as "Credit China (Hainan)" and the National Enterprise Credit Information Publicity System (Hainan) (hereinafter referred to as the Publicity System). The format of the credit repair commitment letter shall be formulated and issued by the relevant provincial industry authorities.

(V) Improve the credit commitment work mechanism. The provincial and municipal and county administrative approval system reform work departments shall coordinate the implementation of the credit commitment system, establish and improve the credit commitment system in various industries and fields, take the lead in sorting out and compiling a list of administrative approval matters applicable to the notification commitment system, and formulate a credit commitment letter template with a standardized and unified format. All relevant websites should set up a credit commitment column to increase the publicity of credit commitments. Scientifically define the behavior of dishonest notification and commitment as the basis for in-process and post-event supervision. The degree of dishonesty should be classified according to the negative impact caused by false promises, and differentiated punishment measures should be implemented in accordance with laws and regulations. Those who are included in the list of joint punishment targets for dishonest persons in the country, our province, and other provinces (autonomous regions, municipalities) that have mutual recognition agreements with our province and have made false promises, etc., shall not be subject to the notification commitment system before credit repair.

III. Innovative implementation of pre-stage credit supervision with credit verification as the focus

(VI) Organize pre-entry integrity education for operators. The departments implementing access management at all levels in the province should carry out pre-law-abiding integrity education when handling relevant business for market entities. Some key industries, especially those that require professional qualifications and those that are closely related to the free trade port policy, should carry out integrity education for practitioners.

(VII) Improve the credit verification mechanism. All municipal and county governments and relevant provincial departments should compile a list of matters that use credit records and embed credit verification into various service processes and related business systems. Establish and improve the credit verification self-starting mechanism for public service and regulatory platforms at all levels in the province, such as public resource transactions, government procurement, administrative approval, investment projects, daily supervision, and comprehensive management. For matters involving economic interests, give full play to the role of market-oriented credit reports and improve credit verification of regulatory, service and transaction objects.

(VIII) Promote the application of credit reports. Encourage all types of market entities to actively inquire about the credit status of other entities in production and operation activities, and take the lead in actively inquiring about the credit information and credit reports of cooperation objects in the production and operation activities of provincial state-owned enterprises. Support and encourage market entities to register and share credit business cards through websites such as "Credit China (Hainan)" and actively display their credit status. Explore the establishment of a mechanism for mutual recognition of credit information and credit reports in different regions with Guangdong Province and Guangxi Zhuang Autonomous Region.

IV. Strengthen the credit supervision of the process with a focus on tiered and classified supervision

(IX) Establish a comprehensive credit record for market entities. Credit management departments at all levels in the province shall implement credit information management in accordance with national standards. All levels and departments in the province shall record the credit information of market entities in the registration, qualification review, daily supervision, public services and other matters. Establish and improve the credit records of market entities in key areas such as taxation, environmental protection, intellectual property rights, financial credit, medical and health care, housekeeping, elderly care, food and drugs, production safety, tourism and culture, and other key areas involving the special preferential policies of Hainan Free Trade Port. The recording of market entity default information must be carried out in accordance with laws and regulations or documents of the Party Central Committee and the State Council. Relying on the Hainan Free Trade Port Credit Information Sharing Platform (hereinafter referred to as the Credit Platform) and the public disclosure system, organize various types of credit information of market entities.

(X) Standardize the credit evaluation of market entities. Establish a comprehensive public credit evaluation system for Hainan Free Trade Port (hereinafter referred to as the comprehensive evaluation), and push the evaluation results to government departments at all levels, financial institutions, industry associations and chambers of commerce, and third-party credit service agencies in the province as a supplement to the industry credit evaluation and internal reference for supervision and risk prevention. Provincial-level industry authorities should build a credit evaluation system covering the entire industry. Departments that have already carried out credit evaluation should expand the evaluation field, improve the evaluation standards, and enrich the evaluation data; departments that have not carried out credit evaluation should speed up the establishment of an evaluation mechanism.

(XI) Promote the establishment of a mechanism for the autonomous and voluntary reporting of credit information. Relevant provincial departments should open reporting channels, encourage market entities to report credit information such as qualifications and licenses, market operations, contract performance, commendations and awards, and social welfare, and make commitments to the authenticity of the information, and authorize management departments to share and apply relevant information. All relevant provincial departments should make full use of public platforms such as the provincial government information sharing and exchange platform and other reliable channels to verify the reported information. The verified self-reported information can be used as indicator data for comprehensive evaluation and industry credit evaluation, and included in the public credit report for display.

(XII) Vigorously promote credit classification and classification supervision. The comprehensive evaluation information of relevant entities will be embedded in various business systems such as the "one network" for administrative approval, forming a full-process closed-loop supervision mechanism that provides inquiries in advance, classifies supervision during the process, and forms records after the event. Provincial industry regulatory departments should organically combine the results of industry credit evaluation, comprehensive evaluation and market credit evaluation, and associate "double random, one public" supervision and daily supervision with credit rating and risk level. Market entities with good credit and low risk should be encouraged, and market entities that violate laws and regulations and have high risks should be strictly managed and punished in accordance with laws and regulations.

(XIII) Strengthen the verification and supervision of credit commitments. For matters that implement the notification and commitment system, the scope and measures of in-process verification and supervision should be reasonably determined. For matters that really need to be verified, the verification methods should be classified and determined according to the characteristics of the matters and the credit status of the promiser, and public platforms such as credit platforms and public disclosure systems and other reliable channels should be fully utilized for verification. For commitment matters that are exempted from verification, administrative agencies should include them in the scope of daily supervision for supervision. If untrue or false commitments are found during verification or daily supervision, administrative agencies should terminate the handling, order rectification within a time limit, revoke administrative decisions or impose administrative penalties in accordance with the law, and include them in credit records.

V. Improve post-event credit supervision based on the mechanism of dishonest punishment

(XIV) Standardize the identification of dishonest punishment objects. The competent departments of industries at or above the county level should strengthen the identification of various types of serious dishonest punishment targets, and include market entities with bad nature, serious circumstances and great social harm in the list of dishonest punishment targets in accordance with laws and regulations. If the joint punishment mechanism has not yet been established at the national level but our province really needs to implement it, all relevant departments directly under the provincial government should formulate management measures for the list of dishonest punishment targets and sort out the supporting list of punishment measures in accordance with relevant laws and regulations or the requirements of the documents of the Party Central Committee and the State Council.

(XV) Urge dishonest market entities to make rectifications within a time limit. Continue to carry out special governance work such as dishonesty in government agencies and key industries. Promote various types of dishonest entities to take the initiative to rectify. For those who fail to rectify within the specified time limit, the identification department should give reminders or warnings to the market entities. The interview records are pushed to the credit platform.

(XVI) Comprehensively build a pattern of dishonest punishment. Standardize the application field, scope and timeliness of dishonest punishment measures, promote the integration of the joint reward and punishment system into the comprehensive government service approval system, the system for serving the people, the daily supervision system, the decision-making support system and the departmental business system application, and realize the automated execution of joint punishment. All municipal and county governments and relevant provincial departments should promote the implementation of market-based, industry-based and social punishment measures in accordance with laws and regulations. Strengthen risk prevention in the implementation of policies such as off-island duty-free, and actively explore the establishment of a cross-provincial breach of trust punishment mechanism with a provincial joint punishment list.

(XVII) Implement market and industry ban measures in accordance with laws and regulations. Focus on areas directly related to the safety of life and property of the people, such as food and drugs, ecological environment, engineering quality, production safety, elderly care and childcare, medical care and health, urban operation safety, and key areas of Hainan Free Trade Port such as taxation, cultural tourism, intellectual property rights, and financial credit, and increase the supervision and punishment of serious illegal and dishonest entities. For market entities and their relevant responsible persons who refuse to implement judicial judgments or administrative penalty decisions, repeatedly commit crimes, cause major losses, seriously endanger social order, and seriously violate laws and regulations to damage environmental resources, market and industry ban measures shall be implemented within the prescribed period in accordance with laws and regulations.

(XVIII) Pursue responsibility for illegal and dishonest behavior in accordance with laws. For market entities listed in the list of joint dishonest punishment targets, their legal representatives or principal persons in charge, actual controllers and direct responsible persons for related incidents shall be punished for dishonesty in accordance with laws and regulations. If government agencies, institutions, and state-owned enterprises commit illegal or dishonest acts, they shall be notified to their superiors and audit departments; if staff members commit illegal or dishonest acts, they shall be notified to their units and relevant discipline inspection and supervision, organization and personnel departments.

(19) Vigorously promote the disclosure of credit supervision information. Promote the disclosure of administrative behavior information such as administrative penalties and administrative licenses online within the prescribed time limit. Actively disclose relevant information on natural persons, market entities and their related persons included in the list of joint punishment targets in accordance with laws and regulations.

VI. Strengthen the support and guarantee of credit supervision

(20) Strengthen the legal guarantee. Accelerate the formulation and implementation of local credit regulations, and promote the comprehensive consideration of adding credit clauses when formulating and adjusting relevant industry laws and regulations. All relevant provincial departments should focus on issuing implementation measures for credit commitments, credit supervision, credit repair, etc. in accordance with national rules and standards, compile a list of credit supervision matters, and refine the credit supervision operation rules. The relevant provincial departments should strengthen the work guidance of municipal and county governments.

(21) Focus on improving the level of credit supervision information construction. Strengthen the hub role of the credit platform in information collection and credit application, optimize the construction of comprehensive platforms such as the "Internet ' Supervision" platform and the public disclosure system, and the credit information system of various industries. Relying on the provincial government information sharing and exchange platform, promote the deep integration of the credit platform with various comprehensive platforms and industry information systems in our province, and build a "one network" for credit supervision across the province.

(XXII) Strengthen the supply of public credit services. Provide public welfare credit report inquiry, credit review and other services to the public, and promote mobile applications. Accelerate the embedding of credit service functions in various public service platforms and government APPs, and support credit entities to query their own public credit information through market-oriented business platforms and APPs in accordance with laws and regulations. Deepen the application of credit information and credit products in precise investment promotion, precise support, and financing services for small and medium-sized enterprises.

(XXIII) Give full play to the supporting role of new technologies such as the Internet and big data in credit supervision. Make full use of new generation information technologies such as big data and artificial intelligence, effectively integrate public credit information, market credit information, complaint and reporting information, and Internet and third-party related information, and carry out credit risk assessment. Encourage the use of non-contact supervision methods such as the Internet of Things and the Internet to improve the efficiency of law enforcement and supervision.

(XXIV) Effectively strengthen the security protection of credit information. Seriously investigate and punish illegal acts such as leaking, tampering with credit information, or using credit information for personal gain. Strictly implement the network security level protection system, and build and operate various credit platforms and credit websites at all levels in the province in accordance with the requirements of level 3 protection.

(XXV) Actively guide industry organizations and credit service agencies to coordinate supervision. Encourage credit industry associations and credit service agencies to provide professional services in credit repair training, credit information sharing, credit system research, credit evaluation, credit publicity, etc. Support relevant provincial units to authorize industry associations and chambers of commerce to assist in industry credit construction and credit supervision, encourage industry associations and chambers of commerce to establish member credit records, and guide the industry to enhance the awareness of legal and honest operation. Encourage all levels and departments in the province to carry out credit information exchange and sharing with credit service agencies and big data agencies in accordance with laws and regulations, and strengthen cooperation in credit big data analysis, credit risk warning, etc. Accelerate the cultivation of local credit reporting agencies and encourage the development of credit reporting products suitable for Hainan Free Trade Port.

VII. Strengthen the protection of the rights and interests of market entities

(XXVI) Establish and improve the credit repair mechanism. If the market entities listed in the list of joint punishment targets for dishonesty meet the conditions for credit repair, the identification department shall repair them. For those that do not have a credit repair mechanism, the provincial industry regulatory department should establish a repair mechanism, which can be achieved through making credit commitments, completing rectification of breaches of trust, passing credit checks, receiving special training, submitting credit reports, participating in public welfare and charity events, etc.

Credit repair shall be carried out through charity or volunteer service activities. Municipal and county governments and relevant provincial departments are encouraged to entrust credit service agencies to assist in credit repair services. Credit repair for administrative penalties shall be carried out in accordance with relevant national regulations; relevant websites shall simultaneously remove the public display of the restored untrustworthy information.

(XXVII) Establish and improve a credit information objection complaint system. Information providers and collection units shall verify and handle the objection information as soon as possible. If the list of untrustworthy joint punishment targets is wrongly identified or untrustworthy joint punishment measures are wrongly taken, which damages the legitimate rights and interests of market entities, the identification unit and the joint punishment implementation unit shall promptly withdraw from the punishment list and take measures to eliminate the adverse effects.

VIII. Organization and Implementation

(XXVIII) Strengthen organizational leadership. The provincial social credit system construction leading department shall continue to carry out credit system construction assessment and promote the inclusion of social credit system construction into other relevant assessment and evaluation systems such as the rule of law government and business environment. Municipal and county governments shall strengthen organizational leadership and promote implementation in a strong, orderly and effective manner. All relevant provincial departments should earnestly assume the main responsibility for industry credit construction and credit supervision, give full play to the synergy of social organizations and credit service institutions, and integrate to form a joint force for the whole society to participate in credit supervision.

(XXIX) Deepen pilot demonstration. All relevant provincial departments should actively carry out industry credit supervision demonstration, focus on key tasks such as credit commitment, credit repair, joint punishment for dishonesty, and credit innovation and application, and actively explore new supervision models that are compatible with the construction of Hainan Free Trade Port. Pilot the promotion of the combination of "double random, one public" supervision and comprehensive evaluation, market entity credit risk and industry credit evaluation. Cities and counties with a good foundation for credit system construction, such as Haikou City and Sanya City, should strive to become national credit demonstration cities.

(XXX) Attach importance to publicity and training. All municipal and county governments and relevant provincial departments should strengthen publicity and reporting and policy interpretation work, so that all types of market entities and operators can fully understand and actively cooperate with credit-based process supervision measures. Strengthen business training for relevant personnel at all levels and departments across the province, especially grassroots and front-line supervisors, and continuously improve their ability and level to implement new supervision measures.

The task decomposition items of this implementation opinion will be issued separately by the Office of the Provincial Social Credit System Construction Joint Conference.

General Office of the People's Government of Hainan Province

January 30, 2021