市場監管總局關于推進企業信用風險分類管理

進一步提升監管效能的意見

國市監信發〔2022〕6號

各省、自治區(qu)、直轄市人民政府，國(guo)務院各部委、各直屬機構(gou)：

  推(tui)進企(qi)(qi)業(ye)信(xin)用風險(xian)分類(lei)管(guan)(guan)(guan)(guan)(guan)(guan)理，是貫徹落實黨中央、國務院關于(yu)深化(hua)“放管(guan)(guan)(guan)(guan)(guan)(guan)服”改(gai)革(ge)(ge)優化(hua)營商環境(jing)(jing)決策部署的(de)重要(yao)(yao)(yao)舉措(cuo)，是構建以信(xin)用為(wei)基礎的(de)新(xin)型監(jian)(jian)(jian)(jian)(jian)(jian)管(guan)(guan)(guan)(guan)(guan)(guan)機制的(de)重要(yao)(yao)(yao)內(nei)容(rong)，是提(ti)升(sheng)“雙隨機、一公開(kai)”等監(jian)(jian)(jian)(jian)(jian)(jian)管(guan)(guan)(guan)(guan)(guan)(guan)工作效(xiao)能(neng)(neng)的(de)迫切需(xu)要(yao)(yao)(yao)，對于(yu)優化(hua)監(jian)(jian)(jian)(jian)(jian)(jian)管(guan)(guan)(guan)(guan)(guan)(guan)資源(yuan)配置，營造(zao)誠實守信(xin)、公平競爭的(de)市(shi)(shi)場環境(jing)(jing)具(ju)有(you)重要(yao)(yao)(yao)作用。近年來，“放管(guan)(guan)(guan)(guan)(guan)(guan)服”改(gai)革(ge)(ge)有(you)效(xiao)激發了市(shi)(shi)場活力(li)和社會創(chuang)造(zao)力(li)，市(shi)(shi)場主(zhu)體數量迅(xun)速增(zeng)長(chang)，新(xin)產業(ye)新(xin)業(ye)態新(xin)模式蓬勃發展，對市(shi)(shi)場監(jian)(jian)(jian)(jian)(jian)(jian)管(guan)(guan)(guan)(guan)(guan)(guan)部門監(jian)(jian)(jian)(jian)(jian)(jian)管(guan)(guan)(guan)(guan)(guan)(guan)資源(yuan)、監(jian)(jian)(jian)(jian)(jian)(jian)管(guan)(guan)(guan)(guan)(guan)(guan)能(neng)(neng)力(li)、監(jian)(jian)(jian)(jian)(jian)(jian)管(guan)(guan)(guan)(guan)(guan)(guan)智慧(hui)化(hua)水平提(ti)出了更高要(yao)(yao)(yao)求。為(wei)有(you)效(xiao)破(po)解監(jian)(jian)(jian)(jian)(jian)(jian)管(guan)(guan)(guan)(guan)(guan)(guan)任(ren)務重與監(jian)(jian)(jian)(jian)(jian)(jian)管(guan)(guan)(guan)(guan)(guan)(guan)力(li)量不足的(de)矛盾，進一步(bu)提(ti)升(sheng)監(jian)(jian)(jian)(jian)(jian)(jian)管(guan)(guan)(guan)(guan)(guan)(guan)效(xiao)能(neng)(neng)，經國務院同意，現就市(shi)(shi)場監(jian)(jian)(jian)(jian)(jian)(jian)管(guan)(guan)(guan)(guan)(guan)(guan)系統全面推(tui)進企(qi)(qi)業(ye)信(xin)用風險(xian)分類(lei)管(guan)(guan)(guan)(guan)(guan)(guan)理提(ti)出以下意見。

  一、總體要求

  （一）指導思想。

  以習近平新(xin)時代中國(guo)特色社會(hui)主義思(si)想為(wei)指導(dao)，深(shen)入(ru)貫徹黨的十(shi)九(jiu)大和(he)(he)十(shi)九(jiu)屆(jie)歷(li)次全會(hui)精神，全面落實黨中央、國(guo)務(wu)院(yuan)關于(yu)深(shen)化“放管(guan)(guan)服(fu)”改革優化營商環境決策部署，堅(jian)持問(wen)題(ti)導(dao)向，加(jia)快轉變政府職能(neng)，圍繞推(tui)進國(guo)家治理體(ti)系(xi)和(he)(he)治理能(neng)力現代化，建設高標準市場體(ti)系(xi)，創新(xin)和(he)(he)加(jia)強事(shi)前事(shi)中事(shi)后全鏈條全領域監(jian)(jian)管(guan)(guan)，依(yi)法依(yi)規推(tui)進企(qi)業信(xin)用風險(xian)分類管(guan)(guan)理工作(zuo)，科(ke)學研判企(qi)業違法失信(xin)的風險(xian)高低，根(gen)據(ju)監(jian)(jian)管(guan)(guan)對(dui)象信(xin)用風險(xian)等級(ji)和(he)(he)行業特點，實施分級(ji)分類監(jian)(jian)管(guan)(guan)，針對(dui)突(tu)出問(wen)題(ti)和(he)(he)風險(xian)隱患加(jia)強抽查(cha)檢(jian)查(cha)，實現監(jian)(jian)管(guan)(guan)資(zi)源(yuan)合理配置和(he)(he)高效利用，推(tui)進精準監(jian)(jian)管(guan)(guan)、有效監(jian)(jian)管(guan)(guan)、智慧(hui)監(jian)(jian)管(guan)(guan)、公正監(jian)(jian)管(guan)(guan)，提升監(jian)(jian)管(guan)(guan)綜合效能(neng)，更(geng)好(hao)服(fu)務(wu)經(jing)濟(ji)社會(hui)高質量發展(zhan)。

  （二）基本原(yuan)則。

  準確定位，服務(wu)監管(guan)(guan)。企(qi)業信(xin)用風險分類(lei)管(guan)(guan)理主(zhu)要(yao)服務(wu)于“雙隨機、一公開(kai)”等監管(guan)(guan)工作(zuo)，為(wei)監管(guan)(guan)數(shu)字賦(fu)能(neng)、信(xin)用賦(fu)能(neng)。分類(lei)結果作(zuo)為(wei)配置監管(guan)(guan)資源的內部參考依據(ju)，不(bu)作(zuo)為(wei)對企(qi)業的信(xin)用評(ping)價。

  明(ming)確標(biao)準，科學分(fen)(fen)類(lei)。科學建立企(qi)業(ye)信(xin)(xin)(xin)用風險(xian)分(fen)(fen)類(lei)指標(biao)體系，動(dong)(dong)態管(guan)理指標(biao)和權(quan)重(zhong)，綜合(he)運(yun)用各類(lei)涉企(qi)信(xin)(xin)(xin)息，依靠(kao)信(xin)(xin)(xin)息化(hua)手段(duan)實施(shi)及時、自動(dong)(dong)分(fen)(fen)類(lei)，客觀反映企(qi)業(ye)信(xin)(xin)(xin)用風險(xian)狀況。

  強(qiang)化(hua)應用(yong)，分(fen)類施策。根據企業信用(yong)風險狀況和監測預警(jing)結果(guo)，合理(li)確(que)定監管重點、監管措施、抽查比例和頻次(ci)等，推動從無差別、粗放式(shi)監管向差異化(hua)、精(jing)準化(hua)監管轉變。

  協同高(gao)效，共(gong)(gong)享共(gong)(gong)用。加強頂層設計(ji)，依(yi)(yi)法依(yi)(yi)規協同推(tui)進企(qi)業(ye)信用風(feng)險分類管(guan)理(li)工作，充分歸集企(qi)業(ye)信用風(feng)險信息(xi)，推(tui)動(dong)企(qi)業(ye)信用風(feng)險分類結果共(gong)(gong)享共(gong)(gong)用，實現監管(guan)效能普遍提升。

  （三）工作目標(biao)。

  將企(qi)(qi)業信(xin)用(yong)(yong)(yong)風(feng)(feng)(feng)(feng)險分(fen)(fen)(fen)(fen)(fen)類(lei)(lei)管(guan)(guan)(guan)(guan)理(li)理(li)念和(he)方式(shi)拓展到(dao)市場監(jian)(jian)管(guan)(guan)(guan)(guan)各(ge)業務(wu)領域(yu)，運(yun)用(yong)(yong)(yong)企(qi)(qi)業信(xin)用(yong)(yong)(yong)風(feng)(feng)(feng)(feng)險分(fen)(fen)(fen)(fen)(fen)類(lei)(lei)結果(guo)科學(xue)配置(zhi)監(jian)(jian)管(guan)(guan)(guan)(guan)資源(yuan)，提高監(jian)(jian)管(guan)(guan)(guan)(guan)及時性、精準(zhun)性、有(you)效(xiao)性，使(shi)監(jian)(jian)管(guan)(guan)(guan)(guan)對(dui)違(wei)法(fa)失(shi)信(xin)者“無處(chu)不在(zai)”，對(dui)誠信(xin)守法(fa)者“無事不擾”，以(yi)公(gong)正監(jian)(jian)管(guan)(guan)(guan)(guan)促進公(gong)平競爭、優(you)勝劣汰。到(dao)2022年底，各(ge)省(sheng)級市場監(jian)(jian)管(guan)(guan)(guan)(guan)部門(men)建立通(tong)用(yong)(yong)(yong)型企(qi)(qi)業信(xin)用(yong)(yong)(yong)風(feng)(feng)(feng)(feng)險分(fen)(fen)(fen)(fen)(fen)類(lei)(lei)管(guan)(guan)(guan)(guan)理(li)工(gong)作機(ji)制，對(dui)轄區內(nei)全量企(qi)(qi)業實(shi)施科學(xue)分(fen)(fen)(fen)(fen)(fen)類(lei)(lei)，實(shi)現(xian)企(qi)(qi)業信(xin)用(yong)(yong)(yong)風(feng)(feng)(feng)(feng)險分(fen)(fen)(fen)(fen)(fen)類(lei)(lei)結果(guo)在(zai)“雙隨機(ji)、一公(gong)開”等監(jian)(jian)管(guan)(guan)(guan)(guan)工(gong)作中常(chang)態化運(yun)用(yong)(yong)(yong)。到(dao)2023年底，各(ge)省(sheng)級市場監(jian)(jian)管(guan)(guan)(guan)(guan)部門(men)實(shi)現(xian)企(qi)(qi)業信(xin)用(yong)(yong)(yong)風(feng)(feng)(feng)(feng)險分(fen)(fen)(fen)(fen)(fen)類(lei)(lei)管(guan)(guan)(guan)(guan)理(li)與專(zhuan)業領域(yu)監(jian)(jian)管(guan)(guan)(guan)(guan)的有(you)效(xiao)結合，建立健全適用(yong)(yong)(yong)于專(zhuan)業領域(yu)的企(qi)(qi)業分(fen)(fen)(fen)(fen)(fen)級分(fen)(fen)(fen)(fen)(fen)類(lei)(lei)監(jian)(jian)管(guan)(guan)(guan)(guan)機(ji)制。力爭用(yong)(yong)(yong)3年左右的時間，市場監(jian)(jian)管(guan)(guan)(guan)(guan)系統全面實(shi)施企(qi)(qi)業信(xin)用(yong)(yong)(yong)風(feng)(feng)(feng)(feng)險分(fen)(fen)(fen)(fen)(fen)類(lei)(lei)管(guan)(guan)(guan)(guan)理(li)，有(you)效(xiao)實(shi)現(xian)企(qi)(qi)業信(xin)用(yong)(yong)(yong)風(feng)(feng)(feng)(feng)險監(jian)(jian)測預警(jing)，努力做(zuo)到(dao)對(dui)風(feng)(feng)(feng)(feng)險早發現(xian)、早提醒、早處(chu)置(zhi)。

  二、科學實施分類，精準研判企業信用風險

  （四）建(jian)立企(qi)(qi)業(ye)(ye)(ye)信(xin)(xin)用風(feng)險(xian)分(fen)(fen)(fen)類(lei)(lei)指(zhi)標(biao)(biao)(biao)體(ti)系。市場(chang)(chang)監管(guan)總(zong)局(ju)建(jian)立通用型(xing)(xing)企(qi)(qi)業(ye)(ye)(ye)信(xin)(xin)用風(feng)險(xian)分(fen)(fen)(fen)類(lei)(lei)指(zhi)標(biao)(biao)(biao)體(ti)系，實現(xian)全國范圍內企(qi)(qi)業(ye)(ye)(ye)信(xin)(xin)用風(feng)險(xian)分(fen)(fen)(fen)類(lei)(lei)標(biao)(biao)(biao)準相對統一。重點從(cong)企(qi)(qi)業(ye)(ye)(ye)基礎屬性信(xin)(xin)息(xi)、企(qi)(qi)業(ye)(ye)(ye)動態信(xin)(xin)息(xi)、監管(guan)信(xin)(xin)息(xi)、關聯關系信(xin)(xin)息(xi)、社會評價信(xin)(xin)息(xi)等方(fang)面(mian)構(gou)建(jian)分(fen)(fen)(fen)類(lei)(lei)指(zhi)標(biao)(biao)(biao)體(ti)系，科學賦予指(zhi)標(biao)(biao)(biao)權重，并根(gen)據(ju)監管(guan)實際不斷(duan)更新(xin)調整(zheng)，持續優化(hua)完善。有條件的(de)省（自治區、直(zhi)轄市）可以在市場(chang)(chang)監管(guan)總(zong)局(ju)指(zhi)標(biao)(biao)(biao)體(ti)系框(kuang)架下，因地制宜構(gou)建(jian)具有地方(fang)特色的(de)通用型(xing)(xing)企(qi)(qi)業(ye)(ye)(ye)信(xin)(xin)用風(feng)險(xian)分(fen)(fen)(fen)類(lei)(lei)指(zhi)標(biao)(biao)(biao)體(ti)系。市場(chang)(chang)監管(guan)各業(ye)(ye)(ye)務領域可以結合本領域特點，參考通用型(xing)(xing)企(qi)(qi)業(ye)(ye)(ye)信(xin)(xin)用風(feng)險(xian)分(fen)(fen)(fen)類(lei)(lei)指(zhi)標(biao)(biao)(biao)體(ti)系，建(jian)立專業(ye)(ye)(ye)型(xing)(xing)分(fen)(fen)(fen)級分(fen)(fen)(fen)類(lei)(lei)指(zhi)標(biao)(biao)(biao)體(ti)系。

  （五）全(quan)(quan)面有(you)效歸(gui)(gui)集(ji)企(qi)(qi)業(ye)信(xin)(xin)(xin)(xin)(xin)(xin)用(yong)(yong)風險(xian)(xian)信(xin)(xin)(xin)(xin)(xin)(xin)息(xi)(xi)(xi)。各(ge)(ge)省(sheng)級(ji)市(shi)場(chang)監管(guan)部(bu)(bu)(bu)門要按照企(qi)(qi)業(ye)信(xin)(xin)(xin)(xin)(xin)(xin)用(yong)(yong)風險(xian)(xian)分(fen)類(lei)指標體系(xi)(xi)要求，通過國家企(qi)(qi)業(ye)信(xin)(xin)(xin)(xin)(xin)(xin)用(yong)(yong)信(xin)(xin)(xin)(xin)(xin)(xin)息(xi)(xi)(xi)公示系(xi)(xi)統(tong)(tong)（以(yi)下簡稱公示系(xi)(xi)統(tong)(tong)）全(quan)(quan)面、及(ji)時歸(gui)(gui)集(ji)企(qi)(qi)業(ye)信(xin)(xin)(xin)(xin)(xin)(xin)用(yong)(yong)風險(xian)(xian)信(xin)(xin)(xin)(xin)(xin)(xin)息(xi)(xi)(xi)。要及(ji)時歸(gui)(gui)集(ji)市(shi)場(chang)監管(guan)系(xi)(xi)統(tong)(tong)企(qi)(qi)業(ye)登(deng)記(ji)注(zhu)冊、備案、股(gu)權(quan)(quan)出質(zhi)登(deng)記(ji)、知識產權(quan)(quan)質(zhi)押登(deng)記(ji)、行(xing)(xing)政(zheng)許(xu)可、行(xing)(xing)政(zheng)處罰、列(lie)入經(jing)營異常(chang)名錄和嚴重失信(xin)(xin)(xin)(xin)(xin)(xin)主體名單(dan)、抽查(cha)檢(jian)查(cha)等(deng)(deng)(deng)信(xin)(xin)(xin)(xin)(xin)(xin)息(xi)(xi)(xi)；整合歸(gui)(gui)集(ji)包括食品藥品安(an)全(quan)(quan)監管(guan)、特種設備安(an)全(quan)(quan)監管(guan)、工業(ye)產品質(zhi)量安(an)全(quan)(quan)監管(guan)、侵權(quan)(quan)假(jia)冒(mao)治理、價(jia)格執法、反(fan)壟斷和反(fan)不正當競(jing)爭執法、消費者權(quan)(quan)益保護、計量、標準(zhun)、檢(jian)驗檢(jian)測、認(ren)證認(ren)可等(deng)(deng)(deng)領(ling)域(yu)的企(qi)(qi)業(ye)信(xin)(xin)(xin)(xin)(xin)(xin)用(yong)(yong)風險(xian)(xian)信(xin)(xin)(xin)(xin)(xin)(xin)息(xi)(xi)(xi)；協(xie)調推(tui)動有(you)關部(bu)(bu)(bu)門將(jiang)履職(zhi)過程中(zhong)產生的行(xing)(xing)政(zheng)許(xu)可、行(xing)(xing)政(zheng)處罰、嚴重失信(xin)(xin)(xin)(xin)(xin)(xin)主體名單(dan)、抽查(cha)檢(jian)查(cha)等(deng)(deng)(deng)涉(she)企(qi)(qi)信(xin)(xin)(xin)(xin)(xin)(xin)息(xi)(xi)(xi)依托(tuo)公示系(xi)(xi)統(tong)(tong)有(you)效歸(gui)(gui)集(ji)；鼓(gu)勵探索(suo)運(yun)用(yong)(yong)公用(yong)(yong)企(qi)(qi)事業(ye)單(dan)位、行(xing)(xing)業(ye)協(xie)會商會、大型平(ping)臺企(qi)(qi)業(ye)等(deng)(deng)(deng)有(you)關方(fang)面掌(zhang)握的涉(she)企(qi)(qi)信(xin)(xin)(xin)(xin)(xin)(xin)用(yong)(yong)風險(xian)(xian)信(xin)(xin)(xin)(xin)(xin)(xin)息(xi)(xi)(xi)，進一步夯(hang)實(shi)企(qi)(qi)業(ye)信(xin)(xin)(xin)(xin)(xin)(xin)用(yong)(yong)風險(xian)(xian)分(fen)類(lei)基礎。市(shi)場(chang)監管(guan)總(zong)局通過公示系(xi)(xi)統(tong)(tong)，將(jiang)采用(yong)(yong)“總(zong)對總(zong)”方(fang)式歸(gui)(gui)集(ji)的中(zhong)央部(bu)(bu)(bu)門掌(zhang)握的涉(she)企(qi)(qi)信(xin)(xin)(xin)(xin)(xin)(xin)用(yong)(yong)風險(xian)(xian)信(xin)(xin)(xin)(xin)(xin)(xin)息(xi)(xi)(xi)推(tui)送(song)至各(ge)(ge)省(sheng)級(ji)市(shi)場(chang)監管(guan)部(bu)(bu)(bu)門。

  （六(liu)）統(tong)籌建(jian)設企(qi)(qi)業(ye)(ye)信(xin)(xin)用(yong)風險(xian)(xian)分(fen)(fen)類(lei)管(guan)理(li)(li)系統(tong)。各省級(ji)市場(chang)監管(guan)部門(men)要以(yi)公示系統(tong)為依托，按照統(tong)一(yi)的(de)企(qi)(qi)業(ye)(ye)信(xin)(xin)用(yong)風險(xian)(xian)分(fen)(fen)類(lei)管(guan)理(li)(li)信(xin)(xin)息化技術(shu)方案(an)和標準規(gui)范，建(jian)設企(qi)(qi)業(ye)(ye)信(xin)(xin)用(yong)風險(xian)(xian)分(fen)(fen)類(lei)管(guan)理(li)(li)系統(tong)，并與(yu)(yu)“雙隨機、一(yi)公開(kai)”監管(guan)工作平(ping)臺(tai)做(zuo)好對接(jie)，為企(qi)(qi)業(ye)(ye)信(xin)(xin)用(yong)風險(xian)(xian)自動分(fen)(fen)類(lei)和分(fen)(fen)類(lei)結(jie)果共享共用(yong)提供(gong)技術(shu)支撐。各地市已經建(jian)設并使用(yong)的(de)系統(tong)要與(yu)(yu)省級(ji)企(qi)(qi)業(ye)(ye)信(xin)(xin)用(yong)風險(xian)(xian)分(fen)(fen)類(lei)管(guan)理(li)(li)系統(tong)整合融合，避免重復建(jian)設、多頭分(fen)(fen)類(lei)。要做(zuo)好企(qi)(qi)業(ye)(ye)信(xin)(xin)用(yong)風險(xian)(xian)分(fen)(fen)類(lei)管(guan)理(li)(li)系統(tong)與(yu)(yu)市場(chang)監管(guan)部門(men)相(xiang)關業(ye)(ye)務系統(tong)的(de)對接(jie)，建(jian)立信(xin)(xin)息歸(gui)集、分(fen)(fen)析加工、共享應用(yong)的(de)閉(bi)環模式。

  （七）按(an)(an)照信(xin)用(yong)(yong)風(feng)險(xian)(xian)狀(zhuang)況對(dui)(dui)企(qi)業實施自(zi)動(dong)(dong)分類(lei)(lei)。各(ge)省級市場監(jian)(jian)管部(bu)(bu)門(men)統(tong)一負責對(dui)(dui)本轄區企(qi)業進行信(xin)用(yong)(yong)風(feng)險(xian)(xian)分類(lei)(lei)，按(an)(an)照信(xin)用(yong)(yong)風(feng)險(xian)(xian)狀(zhuang)況由(you)低(di)到高(gao)將企(qi)業分為(wei)信(xin)用(yong)(yong)風(feng)險(xian)(xian)低(di)（A類(lei)(lei)）、信(xin)用(yong)(yong)風(feng)險(xian)(xian)一般（B類(lei)(lei)）、信(xin)用(yong)(yong)風(feng)險(xian)(xian)較高(gao)（C類(lei)(lei)）、信(xin)用(yong)(yong)風(feng)險(xian)(xian)高(gao)（D類(lei)(lei)）四類(lei)(lei)。要加強對(dui)(dui)企(qi)業經營行為(wei)和運行規律的分析，綜合(he)運用(yong)(yong)大數據(ju)、機器學習、人工智能等(deng)現代科技手段，對(dui)(dui)各(ge)類(lei)(lei)涉企(qi)信(xin)息進行匯聚整合(he)、關(guan)聯分析和數據(ju)挖掘，依托信(xin)息化系統(tong)進行自(zi)動(dong)(dong)分類(lei)(lei)。企(qi)業信(xin)用(yong)(yong)風(feng)險(xian)(xian)分類(lei)(lei)結果記于(yu)企(qi)業名下，按(an)(an)月(yue)動(dong)(dong)態更新，供(gong)各(ge)級市場監(jian)(jian)管部(bu)(bu)門(men)及相關(guan)部(bu)(bu)門(men)共(gong)享共(gong)用(yong)(yong)，并按(an)(an)照統(tong)一的數據(ju)規范推送至市場監(jian)(jian)管總局。

  三、強化分類結果運用，提升監管精準性和有效性

  （八）實(shi)(shi)(shi)(shi)(shi)現與“雙(shuang)隨機(ji)(ji)、一公(gong)開”監(jian)(jian)(jian)(jian)管(guan)(guan)(guan)有機(ji)(ji)融合。省級市(shi)場監(jian)(jian)(jian)(jian)管(guan)(guan)(guan)部門(men)(men)要(yao)將企(qi)業(ye)信(xin)用風險(xian)分(fen)(fen)類(lei)(lei)結(jie)果(guo)全量推送到“雙(shuang)隨機(ji)(ji)、一公(gong)開”監(jian)(jian)(jian)(jian)管(guan)(guan)(guan)工(gong)(gong)作(zuo)(zuo)平臺(tai)，與抽(chou)(chou)查(cha)(cha)檢查(cha)(cha)對(dui)(dui)(dui)象名錄庫對(dui)(dui)(dui)接。各級市(shi)場監(jian)(jian)(jian)(jian)管(guan)(guan)(guan)部門(men)(men)在制定“雙(shuang)隨機(ji)(ji)、一公(gong)開”監(jian)(jian)(jian)(jian)管(guan)(guan)(guan)抽(chou)(chou)查(cha)(cha)工(gong)(gong)作(zuo)(zuo)計劃(hua)時，要(yao)根據企(qi)業(ye)信(xin)用風險(xian)分(fen)(fen)類(lei)(lei)結(jie)果(guo)，合理確定、動(dong)態調整抽(chou)(chou)查(cha)(cha)比例和(he)(he)頻(pin)次，實(shi)(shi)(shi)(shi)(shi)施(shi)差異化監(jian)(jian)(jian)(jian)管(guan)(guan)(guan)。對(dui)(dui)(dui)A類(lei)(lei)企(qi)業(ye)，可(ke)合理降低(di)抽(chou)(chou)查(cha)(cha)比例和(he)(he)頻(pin)次，除投訴(su)舉報、大(da)數(shu)據監(jian)(jian)(jian)(jian)測發現問(wen)題、轉(zhuan)辦交辦案件線索及法(fa)律法(fa)規另有規定外，根據實(shi)(shi)(shi)(shi)(shi)際情況可(ke)不主動(dong)實(shi)(shi)(shi)(shi)(shi)施(shi)現場檢查(cha)(cha)，實(shi)(shi)(shi)(shi)(shi)現“無事(shi)不擾”；對(dui)(dui)(dui)B類(lei)(lei)企(qi)業(ye)，按常規比例和(he)(he)頻(pin)次開展抽(chou)(chou)查(cha)(cha)；對(dui)(dui)(dui)C類(lei)(lei)企(qi)業(ye)，實(shi)(shi)(shi)(shi)(shi)行(xing)重(zhong)點(dian)關(guan)注，適當(dang)提高抽(chou)(chou)查(cha)(cha)比例和(he)(he)頻(pin)次；對(dui)(dui)(dui)D類(lei)(lei)企(qi)業(ye)，實(shi)(shi)(shi)(shi)(shi)行(xing)嚴格(ge)監(jian)(jian)(jian)(jian)管(guan)(guan)(guan)，有針對(dui)(dui)(dui)性地大(da)幅提高抽(chou)(chou)查(cha)(cha)比例和(he)(he)頻(pin)次，必要(yao)時主動(dong)實(shi)(shi)(shi)(shi)(shi)施(shi)現場檢查(cha)(cha)。抽(chou)(chou)查(cha)(cha)檢查(cha)(cha)結(jie)果(guo)要(yao)及時通過(guo)“雙(shuang)隨機(ji)(ji)、一公(gong)開”監(jian)(jian)(jian)(jian)管(guan)(guan)(guan)工(gong)(gong)作(zuo)(zuo)平臺(tai)共(gong)享(xiang)至企(qi)業(ye)信(xin)用風險(xian)分(fen)(fen)類(lei)(lei)管(guan)(guan)(guan)理系統，為企(qi)業(ye)信(xin)用風險(xian)分(fen)(fen)類(lei)(lei)結(jie)果(guo)動(dong)態更新提供實(shi)(shi)(shi)(shi)(shi)時數(shu)據支持。

  （九）推進(jin)與專業(ye)(ye)(ye)領(ling)(ling)域(yu)風(feng)(feng)(feng)險防(fang)控(kong)有(you)效結合。通用(yong)型企(qi)(qi)(qi)(qi)業(ye)(ye)(ye)信(xin)用(yong)風(feng)(feng)(feng)險分類不代(dai)替市(shi)場(chang)(chang)監(jian)管(guan)各專業(ye)(ye)(ye)領(ling)(ling)域(yu)對企(qi)(qi)(qi)(qi)業(ye)(ye)(ye)的(de)(de)(de)分級分類。食品、藥品、特種設(she)備等直(zhi)(zhi)接關系人民群眾生命財(cai)產安(an)全、公共安(an)全，以(yi)及潛(qian)在風(feng)(feng)(feng)險大、社會風(feng)(feng)(feng)險高的(de)(de)(de)重點(dian)領(ling)(ling)域(yu)，在按照現(xian)有(you)規定實行重點(dian)監(jian)管(guan)的(de)(de)(de)同時，要統籌(chou)行業(ye)(ye)(ye)風(feng)(feng)(feng)險防(fang)控(kong)和企(qi)(qi)(qi)(qi)業(ye)(ye)(ye)信(xin)用(yong)風(feng)(feng)(feng)險分類管(guan)理(li)，強(qiang)化業(ye)(ye)(ye)務協同，實行全鏈條監(jian)管(guan)。市(shi)場(chang)(chang)監(jian)管(guan)其他(ta)專業(ye)(ye)(ye)領(ling)(ling)域(yu)，可(ke)以(yi)直(zhi)(zhi)接使用(yong)通用(yong)型企(qi)(qi)(qi)(qi)業(ye)(ye)(ye)信(xin)用(yong)風(feng)(feng)(feng)險分類結果，也可(ke)以(yi)參考通用(yong)型企(qi)(qi)(qi)(qi)業(ye)(ye)(ye)信(xin)用(yong)風(feng)(feng)(feng)險分類管(guan)理(li)模式，構建(jian)本領(ling)(ling)域(yu)的(de)(de)(de)分級分類監(jian)管(guan)機制。

  （十）探(tan)索(suo)完善新(xin)(xin)(xin)產業新(xin)(xin)(xin)業態新(xin)(xin)(xin)模式監(jian)(jian)管(guan)(guan)。對新(xin)(xin)(xin)產業新(xin)(xin)(xin)業態新(xin)(xin)(xin)模式等(deng)企業要(yao)參考信(xin)用(yong)風險(xian)(xian)(xian)分類結果，探(tan)索(suo)實施更加科學有(you)效監(jian)(jian)管(guan)(guan)，切實堵塞監(jian)(jian)管(guan)(guan)漏洞(dong)。根據(ju)企業信(xin)用(yong)風險(xian)(xian)(xian)狀況動態調整監(jian)(jian)管(guan)(guan)政策和措施，對信(xin)用(yong)風險(xian)(xian)(xian)低和信(xin)用(yong)風險(xian)(xian)(xian)一般的(de)企業，給予(yu)一定時間的(de)“觀(guan)察(cha)期(qi)”，探(tan)索(suo)推(tui)行觸發式監(jian)(jian)管(guan)(guan)，在嚴(yan)守安全底線前(qian)提(ti)下，給予(yu)企業充(chong)足的(de)發展(zhan)空(kong)間；對信(xin)用(yong)風險(xian)(xian)(xian)高的(de)企業，要(yao)有(you)針(zhen)對性地采(cai)取嚴(yan)格監(jian)(jian)管(guan)(guan)措施，防止風險(xian)(xian)(xian)隱患演變為區域性、行業性突出問題。

  （十一(yi)）拓展(zhan)企(qi)(qi)業(ye)(ye)(ye)信(xin)(xin)用(yong)(yong)(yong)風險分類結(jie)(jie)果運(yun)用(yong)(yong)(yong)。各級市(shi)場監管(guan)(guan)部(bu)門要積(ji)極(ji)探索企(qi)(qi)業(ye)(ye)(ye)信(xin)(xin)用(yong)(yong)(yong)風險分類結(jie)(jie)果的(de)綜合運(yun)用(yong)(yong)(yong)，在辦理相關業(ye)(ye)(ye)務時(shi)，注重參(can)考企(qi)(qi)業(ye)(ye)(ye)信(xin)(xin)用(yong)(yong)(yong)風險分類結(jie)(jie)果。積(ji)極(ji)推動(dong)市(shi)場監管(guan)(guan)領(ling)域各有關部(bu)門在開展(zhan)“雙隨機、一(yi)公開”等(deng)監管(guan)(guan)工作時(shi)，參(can)考企(qi)(qi)業(ye)(ye)(ye)信(xin)(xin)用(yong)(yong)(yong)風險分類結(jie)(jie)果。同時(shi)，加(jia)強(qiang)與企(qi)(qi)業(ye)(ye)(ye)溝通，適時(shi)進行風險提醒(xing)，引(yin)導企(qi)(qi)業(ye)(ye)(ye)加(jia)強(qiang)自我管(guan)(guan)理、自我約束，依法誠信(xin)(xin)經營。

  四、加強監測預警，有效防范化解風險

  （十二）加強企業(ye)信(xin)(xin)用(yong)(yong)(yong)風(feng)(feng)(feng)(feng)險(xian)(xian)監(jian)(jian)(jian)(jian)測預(yu)警。各(ge)省級市場監(jian)(jian)(jian)(jian)管(guan)(guan)(guan)(guan)部門要(yao)結(jie)合企業(ye)信(xin)(xin)用(yong)(yong)(yong)風(feng)(feng)(feng)(feng)險(xian)(xian)分類管(guan)(guan)(guan)(guan)理，積極推進企業(ye)信(xin)(xin)用(yong)(yong)(yong)風(feng)(feng)(feng)(feng)險(xian)(xian)監(jian)(jian)(jian)(jian)測預(yu)警，在(zai)企業(ye)信(xin)(xin)用(yong)(yong)(yong)風(feng)(feng)(feng)(feng)險(xian)(xian)分類管(guan)(guan)(guan)(guan)理系統中構建監(jian)(jian)(jian)(jian)測預(yu)警模塊。要(yao)根據各(ge)專業(ye)領(ling)域監(jian)(jian)(jian)(jian)管(guan)(guan)(guan)(guan)需求(qiu)、監(jian)(jian)(jian)(jian)管(guan)(guan)(guan)(guan)重點，把(ba)握日(ri)常(chang)監(jian)(jian)(jian)(jian)管(guan)(guan)(guan)(guan)中發(fa)現的(de)帶有普遍性、規律性的(de)高風(feng)(feng)(feng)(feng)險(xian)(xian)行為特征，從企業(ye)信(xin)(xin)用(yong)(yong)(yong)風(feng)(feng)(feng)(feng)險(xian)(xian)分類指標(biao)體系中選取若干(gan)與企業(ye)信(xin)(xin)用(yong)(yong)(yong)風(feng)(feng)(feng)(feng)險(xian)(xian)關聯度高的(de)重點指標(biao)項，如異(yi)常(chang)注冊、異(yi)常(chang)變更(geng)、投訴舉報異(yi)常(chang)增長等，進行實時(shi)監(jian)(jian)(jian)(jian)測，對企業(ye)風(feng)(feng)(feng)(feng)險(xian)(xian)隱患及時(shi)預(yu)警，推動監(jian)(jian)(jian)(jian)管(guan)(guan)(guan)(guan)關口前移(yi)。要(yao)按照“誰(shui)(shui)審批、誰(shui)(shui)監(jian)(jian)(jian)(jian)管(guan)(guan)(guan)(guan)，誰(shui)(shui)主管(guan)(guan)(guan)(guan)、誰(shui)(shui)監(jian)(jian)(jian)(jian)管(guan)(guan)(guan)(guan)”的(de)原(yuan)則(ze)采(cai)取提醒、警示(shi)、約談、檢(jian)查(cha)等措施，依法處(chu)置企業(ye)風(feng)(feng)(feng)(feng)險(xian)(xian)隱患。

  （十(shi)三）強(qiang)化(hua)企(qi)業信用風(feng)(feng)險綜(zong)合研(yan)判(pan)(pan)處置(zhi)。各級(ji)市場監管(guan)部門(men)要(yao)堅持系統思維，增強(qiang)全(quan)局意(yi)識，加強(qiang)對(dui)企(qi)業信用風(feng)(feng)險發展變(bian)化(hua)的綜(zong)合分析，提高(gao)監管(guan)工(gong)作預見(jian)性(xing)、針對(dui)性(xing)和有效性(xing)，實現(xian)由被動(dong)監管(guan)向主動(dong)監管(guan)轉變(bian)。要(yao)綜(zong)合分析企(qi)業信用風(feng)(feng)險分類(lei)結果，科學研(yan)判(pan)(pan)區(qu)域性(xing)、行業性(xing)整體信用風(feng)(feng)險狀況，及(ji)早發現(xian)高(gao)風(feng)(feng)險區(qu)域和高(gao)風(feng)(feng)險行業，采取定向抽(chou)查檢查、專項(xiang)檢查等措施防(fang)范(fan)化(hua)解風(feng)(feng)險。

  五、保障措施

  （十四(si)）加(jia)強(qiang)組(zu)織領(ling)導。要(yao)切(qie)實(shi)提(ti)高政治(zhi)站位，充(chong)分認(ren)識推進企(qi)業信(xin)用風(feng)險(xian)分類(lei)管(guan)理(li)進一步提(ti)升監管(guan)效(xiao)能的(de)重要(yao)意義，加(jia)強(qiang)統籌協(xie)(xie)調和研究部署，扎實(shi)有效(xiao)做好各(ge)項工(gong)作(zuo)。要(yao)牢固樹立“一盤棋”思想，加(jia)強(qiang)協(xie)(xie)同配合、信(xin)息互通(tong)和工(gong)作(zuo)銜接。鼓勵各(ge)地(di)區結(jie)合實(shi)際大膽探索企(qi)業信(xin)用風(feng)險(xian)分類(lei)管(guan)理(li)創新舉措，有條(tiao)件的(de)地(di)區可(ke)以(yi)進一步探索對個體工(gong)商戶、農(nong)民專業合作(zuo)社(she)等市場主體實(shi)施信(xin)用風(feng)險(xian)分類(lei)管(guan)理(li)。

  （十五）嚴格(ge)責任(ren)(ren)落實(shi)(shi)。要增強責任(ren)(ren)意(yi)識，完善配(pei)套(tao)措施，狠抓(zhua)工作(zuo)落實(shi)(shi)。要明確(que)信(xin)息(xi)安全責任(ren)(ren)，構建數據(ju)安全責任(ren)(ren)體系，加強企業信(xin)用風險分(fen)類管理(li)系統的(de)安全基礎設施和安全防護能力建設，防止失(shi)密(mi)(mi)泄密(mi)(mi)和侵犯(fan)個(ge)人隱私(si)。對于違規泄露(lu)、篡改(gai)分(fen)類結果或利(li)用相關信(xin)息(xi)謀(mou)取私(si)利(li)等(deng)行為要依(yi)法嚴肅處(chu)理(li)。

  （十六）做好宣傳(chuan)培訓。要通過多種渠道和(he)方式，加強企業信(xin)用風險(xian)分類(lei)管(guan)理工(gong)作(zuo)的(de)指導和(he)業務(wu)培訓，不斷提升監管(guan)能力(li)和(he)水平。要及(ji)時總結推廣先進(jin)經驗，積(ji)極(ji)宣傳(chuan)企業信(xin)用風險(xian)分類(lei)管(guan)理工(gong)作(zuo)成效，推動(dong)形成政府公正(zheng)監管(guan)、企業誠信(xin)自律(lv)的(de)良好氛圍(wei)。

市場監管總局

2022年1月13日