Notice on Printing and Distributing the Implementing Opinions on Special Administration in Regulating the Services and Charging by Trade Associations and Market Intermediaries

关于规范行业协会、市场中介组织服务和收费行为专项治理工作的实施意见

Promulgating Institution: National Development and Reform Commission; State Council Office for Rectifying Business Misconducts; Ministry of Civil Affairs; State Administration of Industry and Commerce; ; The People's Bank of China;State-owned Assets Supervision and Administration Commission of the State Council; Legislative Affairs Office of the State Council; Ministry of Finance

Document Number: Fa Gai Chan Ye [2008] No.2351

Promulgating Date: 08/29/2008

Effective Date: 08/29/2008

颁布机关: 国家发展和改革委员会; 国务院纠正行业不正之风办公室; 民政部; 国家工商行政管理总局; 中央机构编制委员会办公室; 中国人民银行; 国务院国有资产监督管理委员会; 国务院法制办公室; 财政部

文      号: 发改产业[2008]2351号

颁布时间: 08/29/2008

实施时间: 08/29/2008

For purposes of implementing the special administration task in regulating the services and charging by trade associations and market intermediaries brought up in the Second Plenary Meeting of the 17th CPC Central Committee for Disciplinary Inspection, based on the arrangements of the First working meeting of the State Council on Clean Government in 2008 and National Conference for Rectifying Misconduct, and in accordance with the requirements of the Opinions of the Central and State Organs on Implementing the Working Tasks of Fighting Corruption and Upholding Integrity in 2008 (No. 5 [2008] of the Central Discipline Inspection Commission), the following implementing opinions are hereby issued:

   为落实第十七届中央纪委第二次全会提出的“规范行业协会、市场中介组织服务和收费行为”的专项治理工作任务，按照2008年国务院第一次廉政工作会议和全国纠风工作会议的部署，根据中央纪委《关于中央和国家机关贯彻落实2008年反腐倡廉工作任务的分工意见》（中纪发[2008]5号）的要求，现提出如下实施意见:

1. Guideline, Basic Principles and Overall Objectives

(1) Guideline: Take the Deng Xiaoping Theory and the important thoughts of "Three Represents" as guidance, carry through the spirit of the 17th National Congress of the CPC, put into practice the scientific outlook of development, rely on the policy of "the administration in pursuance of law, enhanced supervision, strict self-regulation and standard development", rectify the prominent problems existing with current trade associations and market intermediaries on centralized basis, accelerate and improve the regulation and development of the long-term mechanism, step up the construction of service-oriented government and promote the sound development of trade associations and market intermediaries so as to establish the service of socialist harmonious society. 

(2) Basic principle: Insist on the principle that who is in charge shall be responsible and give full play to the supervision functions of the registration administrative organs, business supervision units and the functional departments.

The principles of laying stress on key points and classified guidance shall be adhered to. Focus efforts to regulate in a concentrative manner and put it into practice in light of different types and features of trade associations and market intermediaries and solving prominent problems as the point of cut-in.

The guidelines of seeking temporary and permanent solutions and conducting rectifying and constructing stimulatingly shall be followed. On one hand, support shall be provided to solving prominent problems; on the other hand, standard development shall be stressed to improve the supervision system, enhance the establishment of self-regulation mechanism and perfect the system of policies and regulations.

The direction of market-oriented development shall be adhered to so as to improve the separation of the government from trade association and market intermediaries, create the fair developing environment and enhance the service capacity of trade associations and market intermediaries.

(3) Overall objects: About one year shall be used to solve the prominent problems of services and charging by trade associations and market intermediaries in violation of relevant regulations and causing harm to the interests of the enterprises and the public, apparently improve the service quality, and enhance the member's satisfaction and social credibility; two or three years shall be used to balance the relationship between the government and trade associations and market intermediaries, perfect the system of the policies and regulations, enhance the supervision and self-regulation mechanisms so as to establish a long-term mechanism for the development and regulation of trade associations and market intermediaries.

       一、指导思想、基本原则和总体目标

    (一)指导思想。以邓小平理论和“三个代表”重要思想为指导,全面贯彻党的十七大精神,深入落实科学发展观,按照“依法行政、加强监管、严格自律、规范发展”的方针,集中整治当前行业协会和市场中介组织存在的突出问题,加快健全规范发展的长效机制,推动服务型政府建设,促进行业协会和市场中介组织健康发展,为构建社会主义和谐社会服务。

    (二)基本原则。

    坚持谁主管谁负责,充分发挥登记管理机关、业务主管单位和职能部门的监管作用。

    坚持突出重点、分类指导,针对行业协会和市场中介组织不同类别和属性,以解决突出问题为切入点,务求集中整治见实效。

    坚持标本兼治、纠建并举,一边抓突出问题的解决,一边抓规范发展,完善监管体制,加强自律机制建设,健全政策法规体系。

    坚持市场化发展方向,推进政府与行业协会和市场中介组织分开,创造公平发展环境,增强行业协会和市场中介组织服务能力。

    (三)总体目标。用一年左右时间,解决行业协会和市场中介组织服务和收费行为不规范、损害企业和群众利益等突出问题,使服务质量明显提高,会员满意度和社会公信力明显增强;用两到三年的时间,理顺政府与行业协会和市场中介组织关系,政策法规比较健全、监管体制比较完善、自律机制得到加强,行业协会和市场中介组织规范发展长效机制基本建立。

2. Scope of Regulating Work

The scope of the regulating work of special administration: the trade associations registered in the civil affairs departments (including the chambers of commerce, industry associations, united associations and other association organizations), social intermediaries for economic verification registered with the industrial and commercial departments and other relevant departments, and other market intermediaries which are related to the interest of the public.

       二、规范工作范围

    专项治理规范工作的范围是:在民政部门登记的行业协会(包括:商会、同业公会、联合会等社团组织);在工商等部门注册的经济鉴证类社会中介机构等与群众利益密切相关的市场中介组织。

3. The Main Tasks and Division of Work 

(1) Laying stress on solving the following four types of problems existing in trade associations and market intermediaries:

(a) The trade associations violate the laws and regulations to force others to be the member, apportion the membership fee, and provide compulsory service, hold the assessment, standard and commendation activities, provide the service of exhibition, trade affair, symposium, training and overseas survey, or set up private offers and take arbitrary charges and disbursement. (The State Council Office for Rectifying Misconduct, the Ministry of Civil Affairs and other departments shall take charge of this issue, and the department who is in the first place is the leading unit, hereinafter the same.)

 (b) The trade associations violate the provisions of the Notice on Relevant Issues concerning Regulating the Charging by the Social Associations (Min Fa No. 167 [2007]) formulated by the Ministry of Civil Affairs and other five departments, discretionally set up the charging items, expand the charging scope, increase the charging standard and add the burden to the enterprises and the society through executing the administrative management on behalf of relevant departments or relying on their monopolizing status. (The National Development and Reform Commission is the leading unit)

(c) The social intermediaries for economic verification issue the verification report illegally or issue false report for seeking improper benefit; the market intermediaries provide false information and do vicious competition which violates the business ethics and cause harm to the interests of the enterprises and the public. (The State Administration for Industry and Commerce is the leading unit.)

 (d) The social intermediaries fail to comply with the stipulations of national charging policy when they take verification, examination and appraisal or hold qualification test based on the provisions of laws or authorization; force the clients or do this in some disguised form to purchase designated products or accept designated services and collect relevant fees according to the trusted or authorized administrative power or the documents or agreements issued jointly with the administrative organs, the public institutions or trade organizations which execute the administrative functions; and deceive the clients about the price. (The National Development and Reform Commission is the leading unit.)

(2) Laying emphasis on regulating the following administrative acts of the government:

(a) Measures shall be taken to firmly rectify the act of designating services of specific trade associations and market intermediaries as the pre-conditions for administrative license as well as the acts which interfere in the legal independent business of trade associations and market intermediaries. (The State Council Office for Rectifying Misconduct is the leading unit.)

(b) That the government departments take the trade associations and market intermediaries as their private offers, indiscriminately issue the welfare by using their funds or by taking advantage of their accounts shall be strictly investigated and punished; the public officials occupy the property for free and reimburse private expenses in trade associations and market intermediaries shall be punished. (The Ministry of Finance is the leading unit.)

(3) Paying attention to improve the following long-term mechanisms:

In accordance with the spirit of regulating and developing the trade associations and market intermediaries of the CPC and the State Council, and based on the requirements of Some Opinions of the General Office of the State Council on Accelerating and Improving the Reform and Development of Trade Associations and Chambers of Commerce (Guo Ban Fa No. 36 [2007]) and other documents, we shall direct efforts to the following:

(a) Enhancing the construction of self-regulation mechanism. The legal person governance structure of trade associations and market intermediaries shall be improved, the inter management system be perfected (The Ministry of Civil Affairs and the State Administration for Industry and Commerce are the leading units respectively); the establishment of the assessment system of trade associations and the withdrawal mechanism of "Survival of the Fittest" shall be speeded up (conducted by the Ministry of Civil Affairs and the National Development and Reform Commission); the system of financial management, financial accounting and asset management for trade associations and market intermediaries shall be established (conducted by the Ministry of Finance, the Ministry of Civil Affairs and the State Administration for Industry and Commerce).

(b) Accelerating the separation of the government from trade associations and market intermediaries. The functions taken by the trade associations and market intermediaries shall be further strengthened; the trade associations and market intermediaries shall be separated from the government and its departments on functions, organizations, personnel and finance. (Conducted by the State Council Office for Rectifying, the State Commission Office for Public Sector Reform and the National Development and Reform Commission) 

(c) Improving the supervision mechanism. The registration management for trade associations and market intermediaries shall be enhanced and improved, the content and method of the management be simplified and standardized, regular supervision be strengthened, and illegal organization be punished strictly (The Ministry of Civil Affairs and the State Administration for Industry and Commerce are the leading units respectively.); the pilot operation of management mechanism for trade associations and market intermediaries shall be established and the scientific, standard and effective supervision mechanism shall be set up gradually (the National Development and Reform Commission is the leading unit); the relationship of factored management in the trade associations shall be adjusted and perfected (the State-owned Assets Supervision and Administration Commission of the State Council is the leading unit).

(d) Perfecting the policy system and law and regulation system. The system that the government purchases the service of trade associations and market intermediaries shall be established (conducted by the Ministry of Finance and the National Development and Reform Commission); in accordance with the tax system and the progress of reform of trade associations, the relevant taxation policies shall be improved at proper time (the Ministry of Finance is the leading unit.); the system of laws and regulations for trade associations and market intermediaries shall be perfected (conducted by the National Development and Reform Commission, the Ministry of Civil Affairs, the State Administration for Industry and Commerce and the Legislative Affairs Office of the State Council).

       三、规范工作主要任务及分工

    (一)集中整治行业协会和市场中介组织下列四类问题:

    一是行业协会违法违规强制入会、摊派会费、强行服务,未按照规定履行批准程序举办评比达标表彰活动,或者违反有关规定提供展览会、交易会、研讨会、培训、出国考察等方面服务的,以及违规设立“小金库”、乱收乱支的。(国务院纠风办、民政部等负责,排在前面的部门负牵头责任,下同)二是行业协会违反民政部等六部门《关于规范社会团体收费行为有关问题的通知》(民发〔2007〕167号)规定,依靠代行行政管理职能或凭借垄断地位擅自设立收费项目、扩大收费范围、提高收费标准、增加企业和社会负担的。(国家发展改革委牵头)

    三是经济鉴证类社会中介机构违法出具认定报告或出具虚假认定报告,借机谋取不正当利益的;市场中介组织提供虚假信息、搞恶性竞争,违反商业道德、严重侵害企业和群众利益的。(工商总局牵头)

    四是社会中介机构在依法或接受委托授权实施认证、检验、鉴定以及举办资格考试等,不执行国家收费政策规定的;依据委托、授权的行政职能,或与行政机关、行使行政职能的事业单位、行业组织联合下发文件或协议,强制或变相强制委托人购买指定产品或接受指定服务并收费的;以及对委托人进行价格欺诈的。(国家发展改革委牵头)

    (二)集中规范下列政府行政行为:

    一是坚决纠正将特定行业协会和市场中介组织的服务作为行政许可的前置条件,进行指定服务;坚决纠正干预行业协会和市场中介组织依法自主开展活动等行为。(国务院纠风办牵头)

    二是严肃查处政府部门把行业协会和市场中介组织作为自己的“小金库”,利用其资金或借用其账户滥发福利,以及公务人员在行业协会和市场中介组织无偿占用财物、报销个人费用等问题。(财政部牵头)

    (三)重点健全以下长效机制:

    根据党中央、国务院关于规范发展行业协会和市场中介组织的精神,按照《国务院办公厅关于加快推进行业协会商会改革和发展的若干意见》(国办发[2007]36号)等文件的要求,着力做好以下工作:

    一是加强自律机制建设。健全行业协会和市场中介组织法人治理结构,完善内部管理制度(民政部、工商总局分别牵头);加快建立行业协会评估和优胜劣汰的退出机制(民政部、国家发展改革委负责);建立健全行业协会和市场中介组织财务管理、财务核算和资产管理制度(财政部、民政部、工商总局负责)。

    二是加快推进政府与行业协会、市场中介组织分开。进一步把应该由行业协会和市场中介组织行使的职能交给行业协会和市场中介组织;行业协会和市场中介组织要从职能、机构、工作人员、财务等方面与政府及其部门彻底分开。(国务院纠风办、中编办、国家发展改革委等负责)

    三是完善监管体制。加强和改进行业协会和市场中介组织登记管理工作,简化和规范管理内容和方式,加强日常监管,严厉打击非法组织(民政部、工商总局分别牵头);开展行业协会管理体制改革试点,探索逐步建立健全科学、规范、有效的监管体制(国家发展改革委牵头);调整和完善行业协会间的代管关系(国资委牵头)。

    四是健全政策制度和法规体系。建立政府购买行业协会和市场中介组织服务的制度(财政部、国家发展改革委负责);根据税制和行业协会改革进展情况,适时完善相关税收政策(财政部牵头);健全行业协会和市场中介组织法律法规体系(国家发展改革委、民政部、工商总局、法制办等负责)。

4. Implementing Steps

Once these Opinions are issued, the Special Administration in regulating the services and charging acts of trade associations and market intermediaries will start and include the following three stages:

Stage One: investigating, researching and working out the plan (before the end of September of 2008). In accordance with the requirements of these Opinions, all the regions and relevant departments shall organize a comprehensive investigation of the services and charges levied by trade associations and market intermediaries and the administrative acts which illegally interfere with the business of trade associations and market intermediaries in the region and department within their jurisdictions, find out where the problems are rooted and the starting point of the regulation, set up the working plan of stressing on regulating and establishing the long-term mechanism, and carry out overall arrangement.

Stage Two: taking self-inspection, self-rectification and stressing on rectification and regulation (from October to December of 2008). All the regions and relevant departments shall organize self-inspection, self-rectification and stress on rectification and regulation in the region and department within their jurisdiction, clarify the procedures and processing modes of self-examination, self-rectification and centralized rectification and regulation and classify the problems discovered, some of which are ordered to be rectified by themselves, and some of which are legally regulated by the relevant departments.

Stage Three: establishing the regulations and systems and regulating the management (from January of 2009). Promoting the centralized rectification and regulation, the leading departments of the State Council and the local governments shall accelerate the formulation of the policy systems and regulations for trade associations and market intermediaries, and improve the regulating development of trade associations and market intermediaries within their respective jurisdictions. 

After the above three stages have been implemented, the relevant departments of the State Council and the development and reform departments of all provinces, autonomous regions and municipalities directly under the Central Government shall gather the situations and report them to the National Development and Reform Commission, which will sum up these reports jointly with the State Council Office for Rectifying Misconduct and other relevant departments, and submit the reports on special administration to the CPC Central Committee for Disciplinary Inspection and the State Council.

       四、实施步骤

    规范行业协会、市场中介组织服务和收费行为专项治理工作从本意见下发后开始,分为以下三个阶段:

    第一阶段,调查研究、制定方案(2008年9月底前)。根据本意见的要求,各地区、各有关部门要组织对本地区、本部门行业协会和市场中介组织的服务和收费行为、对非法干预行业协会和市场中介组织活动等行政行为进行一次全面系统的调查,找准问题症结和工作的切入点,制定集中整治和长效机制建设工作方案,进行总体部署。

    第二阶段,自查自纠、集中整治(2008年10月至12月)。各地区、各有关部门组织开展本地区、本部门的自查自纠和集中整治,明确自查自纠和集中整治的程序和处理方式,对发现的问题区分情况,有的责成自纠整改,有的由有关职能部门依法纠正处理。

    第三阶段,建章立制、规范管理(自2009年1月起)。在推进集中整治的同时,国务院各牵头部门和各地方政府要在各自职权范围内,加快组织制订行业协会和市场中介组织方面的政策制度和法规,推动行业协会和市场中介组织规范发展。

    以上三个阶段,每完成一个阶段,国务院各有关部门和各省、自治区、直辖市发展改革部门都要组织将情况汇总报送国家发展改革委,国家发展改革委将会同国务院纠风办等部门及时进行总结,向中央纪委和国务院提交专项治理工作报告。

5. Working Requirements 

Special administration in regulating the services and charging by trade associations and market intermediaries has broad coverage, strong policy consideration, highly working requirements and important responsibility. All the regions and relevant departments shall further enhance the awareness of politics, the awareness of overall situation and the awareness of responsibility, give priority to the special administration, strictly implement the responsibility system, ensure that the measures are fully carried out and prevent formalism to realize the working targets of special administration.

 (a) Strengthening the leadership of the authorities. The National Development and Reform Commission and the State Council Office for Rectifying shall do a good job of overall organization such as overall coordination, policy guidance, supervision and inspection, and announcement of the information and situations; the leading units, such as the Ministry of Civil Affairs, the State Administration for Industry and Commerce, the State Commission Office for Public Sector Reform, the People's Bank of China, the State-owned Assets Supervision and Administration Commission of the State Council, the Legislative Affairs Office of the State Council and the Ministry of Finance, shall set up supporting implementing measures in a timely manner and guide the development of special administration in light of their own leading tasks. All the regions and relevant departments shall establish corresponding working mechanism and enhance the leadership and policy guidance to the special administration so as to ensure a sound special administration process.

(b) Clarifying the division of duties. The special administration shall be conducted by combining the central and regional systems and performing their respective duties and functions. All the regions and relevant departments shall make the arrangement, put the measures into practice and enhance the negotiation and coordination. The relevant departments of the State Council shall not only take centralized rectification and regulation to the problems existing in the trade associations and market intermediaries within their jurisdictions, but also guide the special administration of their systems. The trade associations and market intermediaries shall implement self-inspection and self-rectification, solve relevant problems and improve self-construction in accordance with the requirements and arrangements.

(c) Enhancing the supervision and inspection. The National Development and Reform Commission, the State Council Office for Rectifying and other departments shall conduct regular inspection and key selective inspection. All the regions and relevant departments shall enhance the supervision and inspection on the special administration in regulating the services and charging acts of trade associations and market intermediaries, give full play to the supervision function of democratic comments, the media and the public. The relevant cases shall be investigated strictly and the typical cases shall be made public to ensure the sound development of special administration.

       五、工作要求

    规范行业协会、市场中介组织服务和收费行为专项治理工作涉及面广、政策性强、工作要求高、责任重大。各地区、各有关部门要进一步增强政治意识、大局意识和责任意识,把专项治理工作列入重要议事日程,严格落实责任制,保证各项措施落到实处,坚决防止走过场、搞形式主义,务求专项治理工作目标的实现。

    (一)加强组织领导。国家发展改革委、国务院纠风办要做好统筹协调、政策指导、监督检查以及信息和情况通报等总体组织工作;民政部、工商总局、中编办、人民银行、国资委、法制办、财政部等牵头部门,要针对各自承担的牵头任务,及时组织制定配套的实施办法,指导专项治理各项工作的深入推进。各地区、各有关部门要建立相应工作机制,加强对专项治理工作的组织领导和政策指导,保障专项治理工作的顺利进行。

    (二)明确责任分工。专项治理工作采取自上而下、条块结合、各负其责的方式进行。各地区及有关部门要做好统筹安排,抓好各项措施的落实,加强上下沟通协调。国务院各有关部门既要对本部门及本部门主管的行业协会和市场中介组织存在的问题进行集中整治,也要对本系统的专项治理工作进行指导。各行业协会和市场中介组织要按照要求和部署,搞好自查自纠,整改有关问题,加强自身建设。

    (三)加强监督检查。国家发展改革委、国务院纠风办等部门要定期组织开展普遍检查和重点抽查,各地区、各有关部门要切实加强对规范行业协会、市场中介组织服务和收费行为专项治理工作的监督检查,充分发挥群众民主评议、新闻媒体和社会公众的监督作用。严肃查处违规违法案件,对典型案件进行公开曝光,确保专项治理工作顺利推进。