Opinions of the State Administration for Market Regulation on Comprehensively Deepening the "Double Random, One Open" Supervision and Regulating the High-quality Development of Administrative Inspection Services for Enterprises
To all provinces, autonomous regions, municipalities directly under the Central Government, and the Xinjiang Production and Construction Corps Market Supervision Bureaus (departments, commissions), all departments and bureaus of the General Administration, and all units directly under the General Administration:
The full implementation of "double random, one open" supervision is an important measure to improve the efficiency of market supervision, promote cross-departmental comprehensive supervision, strengthen the construction of business style, reduce the burden on enterprises, and optimize the business environment. In recent years, market supervision departments at all levels have conscientiously implemented the decisions and arrangements of the Party Central Committee and the State Council, and have made great efforts to carry out joint spot checks and inspections, and have achieved positive results, but there are still problems such as random inspections, multiple inspections, and duplicate inspections in some areas and some fields. In order to improve and improve the new regulatory mechanism with "double random, one open" supervision as the basic means, to further standardize the content, methods, and processes of supervision and inspection, to continuously improve the capacity of collaborative supervision, and to better serve high-quality development, the following opinions are hereby put forward on comprehensively deepening the "double random, one open" regulation.
1. General requirements
Guided by Xi Jinping Thought on Socialism with Chinese Characteristics for a New Era, adhere to the system concept, highlight the problem orientation, and aim to improve the quality and efficiency of enterprise-related administrative inspections, further promote the full coverage, normalization, refinement, and intelligence of the "double random, one open" supervision of the market supervision department, further optimize the collaborative supervision mechanism and methods, continue to enhance the standardization, accuracy, effectiveness and transparency of supervision, and drive the new regulatory mechanism in the field of market supervision to be more perfect. Effectively reduce unnecessary interference with the normal production and operation activities of enterprises, promote the creation of a fair, just, honest and orderly market environment, and accelerate the construction of a unified national market.
2. Continue to improve the efficiency of supervision
(1) Dynamically update "one single and two libraries". The State Administration and the provincial market supervision departments should continue to promote the standardization and precision of "one order, two libraries, and one guideline", and take effective measures to update them dynamically in a timely manner. Provincial-level market regulation departments should publish a list of provincial-level random inspection items in light of local conditions, and strengthen the connection with the list of departmental rights and responsibilities, the list of "Internet + regulation" matters, and so forth. All levels of market regulation department should complete the directory of inspection targets and law enforcement inspectors, conduct labeled management of inspection targets, build effective mapping and accurate indexes from regulatory matters to regulatory targets, and mark law enforcement inspectors' professional expertise, law enforcement qualifications, and scope of avoidance.
(2) Coordinate the formulation of an annual spot check plan. The market regulation departments at the county level or above should follow the requirements of the market regulation departments at the level above to make overall plans for the formulation of annual spot check work plans, and announce them to the public through the national enterprise credit information publicity system. Establish a dynamic adjustment mechanism for the annual spot check plan, and promptly adjust and publicize spot checks that are not included in the annual plan but need to be added in actual work, or spot checks that have been included but need to be cancelled. Coordinate the implementation of special rectification (actions) for each business line, and in principle, no longer deploy special inspections and "full coverage" inspections in the regulatory areas involved in random inspections.
(3) Optimize and improve the work platform. The General Administration of China has promoted the construction of a national integrated platform for "double random, one open" supervision, forming a regulatory pattern that is connected up and down, horizontally connected, and a game of chess across the country. Each region should continuously optimize the province's unified "double random, one open" regulatory platform, strengthen docking and linkage with the State Administration platform, and do a good job of integration and connection and data aggregation with relevant departments, local platforms, and enterprise credit risk classification management systems. Promote the open sharing of spot check and inspection data in all localities, departments and links, realize mutual recognition, mutual sharing and sharing of spot check information, and realize joint efforts and linkage in the application of spot check inspection results.
(4) Scientifically carry out spot checks and inspections. All levels of market regulation department shall adhere to the principles of openness and fairness, and scientifically organize and carry out spot checks. Focus on untrustworthiness and fraud, increasing the pertinence and effectiveness of spot checks. Combined with specific clues found in relevant complaints and reports, public opinion monitoring, etc., key inspection targets are extracted. The county-level departments for market regulation shall comprehensively consider the actual conditions in their jurisdiction, and randomly select law enforcement inspectors in light of local conditions. Encourage cross-regional spot checks and inspections, and encourage all localities to actively explore other effective ways to randomly select law enforcement inspectors. All levels of market regulation department undertaking random spot check tasks may carry out inspections through methods such as on-site, written, online, or by entrusting a professional body.
(5) Comprehensively use the results of credit risk classifications. Provincial-level departments for market regulation should send the full amount of the general results of credit risk classifications to the 'double random, one open' regulatory work platform, and the results of professional classifications in each industry and field should also be shared on the platform in real time, and connected with the directory of inspection targets. When formulating work plans for spot checks, all levels of market regulation department should reasonably determine and dynamically adjust the proportion and frequency of spot checks based on the results of credit risk classifications, and implement differentiated and precise regulation. Except as otherwise provided by laws, regulations, and rules, in principle, the market regulation departments must not conduct repeated spot checks of the same business entity with low credit risk in the same year.
(6) Coordinate double random supervision and key supervision. In addition to the targeted supervision carried out according to the list of key regulatory matters and problem clues, the daily administrative inspection of enterprises involved is carried out in principle through the method of "double randomization and one disclosure". Regulation in key areas should make overall plans for industry risk prevention and control, administrative and criminal violations, and categorical management of credit risks, strengthen operational coordination, mutual recognition of inspection results, and implement full-chain, full-coverage, and full-process regulation. Provincial-level market regulation departments should explore the establishment of a list of key regulatory matters, comprehensively sort out key regulatory matters within the scope of their duties, and clarify the content of regulatory entities, regulatory targets, and regulatory measures. In addition to the list of key regulatory matters, promote full coverage of double random regulation, combining it with the results of credit risk classification, to increase the ability to identify problems.
(7) Publicize information on the results of spot checks in accordance with law. After the random inspection is completed, the information on the results of the random inspection shall be entered in accordance with the principle of "who inspects, who enters, and who is responsible" and publicizes it in accordance with the law. The information on the results of the spot check includes: no problems found; Failure to disclose information that should be disclosed in accordance with provisions; It is not possible to contact through the registered residence (place of business); The circumstances of non-cooperation with the inspection are serious; No business activities involved in this random inspection were found; If problems are discovered, they shall be ordered to make corrections immediately or within a time limit in accordance with law; Problems are found and will be dealt with in follow-up investigations; Pass/fail; Other situations.
(8) Do a good job of connecting spot checks and law enforcement and discipline enforcement. All kinds of problems discovered during spot checks shall be dealt with in a timely and effective manner, and follow-up supervision shall be carried out in accordance with the principle of "who supervises, who is responsible". Clues on the source of suspected violations are promptly pushed to the law enforcement and case-handling system, so that the random inspection task number, the name of the inspection object and the relevant administrative punishment decision are accurately linked, so as to realize the two-way linkage between supervision and inspection and law enforcement and case handling, and effectively form a closed loop of supervision. Leads on issues such as suspected violations of discipline or violations of public office or crimes abusing public office by law enforcement inspectors are to be promptly transferred to the discipline inspection and supervision departments in accordance with law.
3. Actively explore regulatory innovation
(1) Deeply advance cross-departmental comprehensive supervision. In accordance with the principle of "who is in charge, who supervises", promote the establishment of a long-term regulatory mechanism led by the competent department of the industry, coordinated by the market supervision department, and participated by relevant departments. For industries and fields involving many regulatory fields and high frequency of inspections, cross-departmental joint inspections are the principle, and individual departmental inspections are exceptions. Market supervision departments at all levels should further explore the fields and methods of cross-departmental joint supervision, actively coordinate and actively participate in various joint inspection tasks, and realize "internal comprehensive + external joint" double random supervision.
(2) Strive to strengthen the innovation of regulatory means. Encourage all localities to explore off-site supervision methods such as remote supervision, mobile supervision, and early warning prevention and control, implement integrated management of online command and dispatch, risk reminders and early warnings, and lead distribution and processing, and promote new regulatory models such as multi-level linkage, cross-regional joint spot checks, and "comprehensive inspections" and "one industry inspections". Promote the extension of double random supervision to the mobile terminal, and develop a mobile supervision APP with functions such as task reception, on-site collection, result entry, information inquiry, risk early warning, etc., so as to realize "fingertip tube" and "palm check".
(3) Complete and improve the institutional system. Establish and complete mechanisms for the restoration of information on the display of spot check results, and after a certain period of time from the date on which information on spot check results is announced to the public through the national enterprise credit information publicity system, parties may apply to stop the display in accordance with relevant procedures in accordance with law. Establish and improve the national and local standards for "double random, one open" supervision, standardize work requirements, work basis, spot check implementation, follow-up processing, application of results, and supervision and management, and promote the effective resolution of problems such as inconsistent work processes, unclear regulatory requirements, and multiple inspections and repeated inspections.
Fourth, organizational guarantees
All localities should fully understand the importance of comprehensively deepening the supervision of "double randomization and one openness", and do a solid job in the integration of regulatory resources, team running-in, skill improvement and other work. It is necessary to improve the leadership and coordination mechanism, continue to track the effectiveness, and ensure that all tasks are implemented in detail. It is necessary to establish scientific quantitative indicators in the evaluation of the proportion of random inspection households, the rate of joint double random supervision by departments, the rate of on-time publicity of inspection results, and the rate of disposing of problems found, and actively play the role of guidance, encouragement and spur in the evaluation work, summarize and promote the practice of obvious results, and guide and improve the work that is not standardized.
All localities should follow the principle of "exemption from responsibility for due diligence and accountability for dereliction of duty" established in the "Opinions of the State Council on Comprehensively Implementing Joint "Double Random, One Open" Supervision by Departments in the Field of Market Regulation", which not only strictly holds accountable and pursues responsibility, but also effectively protects the actions of grassroots law enforcement and inspection personnel. Has performed the duties of supervision and inspection, or although has not yet been supervised and inspected, but has not exceeded the statutory or prescribed time limit, the administrative counterpart violates the law, does not constitute administrative law enforcement faults, should not be pursued administrative law enforcement responsibility. It is necessary to continue to increase publicity efforts, further enhance the social influence and public awareness of "double random, one open" supervision, and promote the formation of a good co-governance pattern of fair government supervision, corporate integrity and self-discipline, and public supervision.
State Administration for Market Regulation
July 9, 2024
Source | The official website of the State Administration for Market Regulation
Audit | Yu Jackie Chan Zhang Lijuan
Edit | Zhao Jing
Produced by the New Media and Digital Publishing Department of China Business Press
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