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金融统计管理规定 Order of the People's Bank of China

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颁布日期:20021107  实施日期:20021215  颁布单位:中国人民银行

  [2002] No.9

  The Administrative Rules for Financial Statistics which was adopted at the 26th Executive Meeting of the president of the People's Bank of China on June 17, 2002 is hereby promulgated, and shall enter into force as of December 15, 2002.

  President: Dai Xianglong

  November 1, 2002

  Administrative Rules for Financial Statistics

  Chapter I General Provisions

  Article 1 These rules are formulated according to the “Statistic Law of the People's Republic of China”, “Implementation Rules of the Statistic law of the People's Bank of China”, “Law on the People's Bank of China of the People's Republic of China”, “Commercial Banking Law of the People's Republic of China”, “Rules on punishment of financial irregularities”, so as to promote the development of financial business and institutional reform of financial regulatory framework, reinforce administration of financial statistics, standardize financial statistic practice, and improve the quality of financial statistics.

  Article 2 These rules are applicable to the People's Bank of China, as well as domestic and foreign-funded financial institutions approved by the People's Bank of China engaged in financial business, including policy banks, commercial banks, urban credit cooperatives, rural credit cooperatives, trust and investment companies, finance companies of enterprise groups, financial leasing companies, financial asset management companies, postal savings bureau, etc.

  Article 3 Financial statistics in these rules refers to the following activities: The statistic units of the People's Bank of China and financial institutions collect, process and analyze information on financial businesses, provide statistic information and advisory comments, exchange and share statistic information, administer and supervise the conduct of financial statistics, etc. Financial statistics include monetary statistics, statistics of both local and foreign currency denominated loans flow, statistics of cash flow, accumulative statistics of loans extending and collecting, financial supervision statistics, statistics of funds flow, financial market statistics, statistics of financial businesses such as banking intermediary business and other specific statistics.

  Statistic units in these rules refer to working units within the People's Bank of China and financial institutions that are engaged in financial statistics.

  Article 4 The basic tasks for the conduct of financial statistics are: Complete statistics of various financial businesses in a timely, accurate and comprehensive manner. Collect, process and accumulate statistic information on financial sector and national economy. Conduct statistic survey, analysis and forecast. Carry out statistic regulation and inspection according to the law; provide statistic information and advisory comments for the state and the financial sector to make macroeconomic policy decisions, monitor the developments of the national economy and the financial sector, financial supervision and management. Provide statistic information to the general public. Exchange information with international community and provide statistic information to relevant international financial organizations.

  Article 5 Conduct of financial statistics shall adhere to principles of being objective, scientific, consistent and timely.

  Article 6 An administrative system with centralized administration and hierarchical accountability is to be adopted in the conduct of financial statistics. The People's Bank of China assumes the authority to organize, supervise, monitor, regulate and coordinate the conduct of financial statistics all over the country.

  Article 7 Financial statistics shall be gradually automated, standardized and uniformed with the support of a computer-based network.

  Article 8 Compliance with international practices of financial statistics shall be speeded up, with processing and disclosing of financial statistic data in line with the international standards being gradually achieved.

  Article 9 Financial statistics is a comprehensive statistics based on charts of accounts and information of various accounts, which builds a foundation for a variety of statistic statements.

  Chapter II Administration of Financial Statistic data and Statistic Survey

  Article 10 The head office of the People's Bank of China regulates national statistic statements of the financial sector, and it is responsible for the compiling, publishing and revoking of national statistic statements of the financial sector. Branches of the People's Bank of China are in charge of surveillance and inspection of the observance of financial institutions within their jurisdiction with the administrative rules for financial statements and financial statistic data.

  Article 11 Headquarters of financial institutions (corporations, administrations) are responsible for supervision of financial statistic statements of their own corporations and the compiling and revoking of national statistic statements within their own institutions, whereas they need to report such actions to the head office of the People's Bank of China for record-keeping.

  Article 12 Regional branches, operation offices and branches in the capital cities of provinces of the People's Bank of China may compile regional statistic statements but need to file with the head office of the People's Bank of China for record-keeping. Provincial branches of financial institutions may compile regional statistic statements of their own systems, whereas they need to report to the regional branches and branches in the capital cities of provinces of the People's Bank of China for record-keeping. Branches of the People's Bank of China below capital city level and branches of financial institutions below provincial level are not allowed to compile regular regional statistic statements. However, they may compile ad hoc regional statistic statements according to the actual need with the approval of their superiors. The duration of ad hoc statistic statements shall not exceed one year.

  Article 13 While conforming to the uniform statistic categories and indicators determined by the head office of the People's Bank of China, regional branches, operation offices and branches in the capital cities of provinces of the People's Bank of China as well as the head office and provincial branches of financial institutions may add new statistic categories and indicators as needed. According to their needs in financial supervision, regional branches, operation offices and branches in the capital cities of provinces of the People's Bank of China may require financial institutions within their jurisdiction to add new categories and indicators, appendix tables, books and original statistic records as needed.

  Article 14 The People's Bank of China and financial institutions, as well as their branches, shall strictly control the compilation and release of ad hoc statistic statements and try to reduce the number of ad hoc statistic statements.

  Article 15 The People's Bank of China shall formulate uniform standards for financial statistics, so as to ensure the standardization of definitions of indicators, methods of calculations, catalog of classification, format of survey forms and statistic code adopted in the statistic survey.

  Article 16 The People's Bank of China's collection of financial statistic data from financial institutions is exclusively regulated by the statistic units of the People's Bank of China. Reporting of statistic data related to unified financial statistic indicators (consolidated) of the People's Bank of China by the statistic units of financial institutions to the People's Bank of China is exclusively regulated by financial institutions themselves, so as to ensure the accuracy and consistency of statistic data.

  Article 17 Statistic units of the People's Bank of China and financial institutions shall enhance management on the data of financial statistics, establish and improve mechanisms of reviewing, processing, handover and recording of financial statistic data.

  Article 18 As to statistic statements and statistic survey forms made and circulated in violation of the state statistic laws, regulations and these rules, the statistic units of the People's Bank of China and financial institutions shall have the right to decline to fill in.

  Article 19 National or regional statistic survey shall be with participation of relevant financial institutions coordinated by the People's Bank of China. Financial institutions are responsible for organization of statistic survey within their own systems.

  Chapter III Release of Financial Statistic Data

  Article 20 Release of main contents of financial statistic data shall be gradually brought in line with international practices, so as to accelerate the improvement of transparency.

  Article 21 The People's Bank of China shall release national financial statistic data regularly (within 20 days after the end of each month, monthly data of financial statistics such as monetary supply, credit flow and asset/liabilities shall be released through the media and the web site of the People's Bank of China)。 Regional branches, operation offices and branches in the capital cities of provinces of the People's Bank of China shall release financial statistic data on a regular basis within their jurisdiction according to the rules laid by the head office of the People's Bank of China and file with the head office for record-keeping. Statistic figures of some particular categories can only be released with the approval of the president of the branch or operational office.

  Release of financial statistic data to the general public by headquarters of financial institutions shall be approved by their Presidents (General Managers)。 Release of financial statistic data by branches of financial institutions shall be conducted in accordance with rules laid by their superior institutions.

  Article 22 Release of confidential financial statistic data shall be approved following a hierarchical accountability system.

  No entities or individuals shall be allowed to release financial statistic data of normal, high or strict confidentiality without approval.

  Classification of normal, high and strict confidentiality shall be conducted according to the “Rules on Specific Definition of State Confidentiality and Its Coverage in Financial Activities”。

  Release of financial statistic data of strict confidentiality shall be approved by the State Council and conducted by the head office of the People's Bank of China. Release of financial statistic data of high confidentiality shall be approved by the head office of the People's Bank of China. While releasing financial statistic data of normal confidentiality, release of national statistic data shall be approved by the head office of the People's Bank of China, and release of data of financial institutions shall be approved by their headquarters.

  Chapter IV Responsibilities of Financial Statistic Units

  Article 23 The head office of the People's Bank of China shall establish a specialized statistic department, which assumes responsibility for organization, supervision and coordination of financial statistics across the country. Regional branches, operation offices and branches in the capital cities of provinces of the People's Bank of China shall set up specialized statistic units, which are responsible for supervision and coordination of statistic work in financial institutions within their jurisdiction. County-level branches of the People's Bank of China shall set up statistics posts.

  Article 24 Headquarters of financial institutions (corporations, administrations) shall set up specialized statistic units to supervise statistic work within their systems. Establishment of statistic units in branches of the financial institutions shall remain at the discretion of their headquarters.

  Article 25 The statistic units of the People's Bank of China shall assume the following responsibilities:

  (1) The statistic department of the head office of the People's Bank of China is responsible for formulating financial statistic regime and related administrative rules. Regional branches, operation offices and branches in the capital cities of provinces of the People's Bank of China may draft their own regulations and the implementation rules according to rules and regulations issued by the head office and the local situation as well, and file with the head office for record-keeping.

  (2) Organize, supervise, regulate, monitor and inspect statistic work in financial institutions.

  (3) Collect, review, aggregate and compile financial statistic data and statistic statements.

  (4) Collect, process and accumulate financial statistic data and related statistic data of the national economy.

  (5) Provide financial statistic data to relevant authorities, release comprehensive financial statistic data.

  (6) Organize financial institutions' statistic survey, analysis and forecast.

  (7) Organize and promote standardization and modernization of financial statistics, establish a unified management information system for financial statistics as well as an efficient and safe transmission network, and ensure information sharing within the financial sector.

  (8) Organize inspection on compliance of statistic laws and quality of statistics, and training of statistic staff.

  (9) Participate in financial statistic activities both at home and abroad as authorized representatives for the financial sector.

  Article 26 Statistic units of financial institutions shall assume the following responsibilities:

  (1) Enforce the financial statistic arrangement and related administrative rules formulated by the head office of the People's Bank of China and submit to the supervision and inspection of the People's Bank of China.

  (2) Formulate statistic rules of their own systems, and organize and regulate the financial statistic work of their own system.

  (3) Collect, aggregate, compile and take care of financial statistic data and statements of their own systems.

  (4) Collect, process and accumulate financial statistic data of their own systems and related statistic data of the national economy.

  (5) Report statistic data, statistic statements, statistic arrangement and statistic files to the People's Bank of China, provide statistic data to relevant authorities and release information of financial statistics within their own systems.

  (6) Accomplish statistic surveys assigned by the People's Bank of China and organize internal statistic surveys, analysis and forecasts.

  (7) Execute the uniform coding of statistic indicators and rules on interface of electronic files.

  (8) Supervise and organize inspections on compliance of statistic rules and regulations and the quality of statistics; train the statistic staff.

  Chapter V Appointment of Statistic Staff and Their Responsibilities

  Article 27 Statistic staff shall be appointed according to the following criteria:

  (1) Statistic staff shall have good command of professional ethics, needed basic knowledge of statistics and certain computer skills.

  (2) Statistic staff shall go through pre-assignment training and shall not be assigned to any statistic position without any pre-assignment training or if they fail to pass that training test. Staff members that are assessed as ineligible for statistic work shall be replaced immediately.

  Article 28 Heads of statistic units in branches of the People's Bank of China shall only be removed with approval of their superior institutions in the People's Bank of China; Head of statistic units in branches of financial institutions shall only be removed with approval of their superior institutions and shall be filed with the statistic units in local branches of the People's Bank of China for record-keeping. In the event of transfer or removal of a statistic staff member, eligible successor shall be selected and the handover process shall be completed.

  Article 29 Branches of the People's Bank of China and financial institutions shall appoint professional statistic personnel to designated statistic positions according to relevant rules and actual needs of statistic work……

  Article 30 In an institution that has a statistic unit, head of that unit will be the person accountable for statistics. As for an institution without a statistic unit, its legal representative or head will be the person accountable for statistics. Persons accountable for statistics shall be held responsible for the integrity of statistic data of their institutions.

  Article 31 Statistic staff shall assume the following responsibilities:

  (1) Enforce statistic laws, rules and regulations, report statistic figures in a timely, accurate and integral manner according to rules and regulations, and compile statistic statements. Any overstatement, concealment, counterfeit or distortion of statistic data is not allowed.

  (2) Strictly observe the rules on confidentiality.

  (3) Collect, process and provide statistic data.

  (4) Execute statistic survey, analysis and forecasts.

  (5) Operate with statistic computer programs and systems in compliance with rules to ensure the safety of statistic data and files.

  (6) Have the right to request relevant authorities and staff to provide information on financial business, make inquiries the facts and verify the original data in accordance with the prescribed approval procedures.

  (7) Check the accuracy of statistic data, and have the right to request correction of inaccurate statistic data.

  (8) Refuse to fill in statistic statements that are circulated in violation with rules, report and expose activities in violation of statistic laws, rules and regulations.

  Statistic units of the People's Bank of China and financial institutions execute the above-mentioned authorities according to statistic laws, rules and regulations published by the state, free from illegal intervention of any institutions or individuals.

  Chapter VI Surveillance and Inspection of Statistics

  Article 32 Statistic units of the People's Bank of China are to conduct regular or irregular surveillance and inspection on financial institutions' statistic work and observance of statistic laws, rules and regulations, quality and integrity of statistics and the performance of their statistic work in accordance with laws. The contents and focus of the inspection are to be determined according to the need of enforcement of statistic laws, rules and regulations.

  Statistic units of financial institutions are to supervise and inspect statistic work and observance of statistic laws, rules and regulations in their own systems under the instruction and coordination of statistic units of the People's Bank of China at the same level.

  No one is allowed to interfere or hamper the statistic staff's enforcement of inspection and the independent assessment of the inspection.

  Article 33 Statistic units of the People's Bank of China shall appoint full-time or part-time statistic inspectors that are familiar with relevant laws, rules and regulations and statistic business.

  Article 34 Statistic inspectors shall execute their statistic inspection power with the prescribed terms of reference.

  Article 35 Statistic inspection units and inspectors shall have the right to verify and monitor the statistic data used by the inspected institution and their sources. Statistic inspectors are entitled by these rules to issue “Inquiry Note of Statistic Inspection” to the inspected financial institutions. The inspected financial institutions shall honestly answer the inquiry within 15 days after the receipt of the “Inquiry Note of Statistic Inspection”。

  Article 36 In the statistic inspection, inspectors may check the accounting reports, other business reports related to statistics and relevant books and original warrants.

  Chapter VII Awards and Penalties

  Article 37 The People's Bank of China and financial institutions shall make regular assessment of performance of their own statistic units, while the People's Bank of China shall also assess performance of statistic work in the entire financial sector. The People's Bank of China and financial institutions may award the financial statistic staff or units that meet the following criteria in the way of commendation, merit recording, outstanding merit recording, promotion of title, promotion of position or conferment of an honorable title. Bonus may also be granted, which is to be covered by relevant budget according to relevant rules.

  (1) Those who make outstanding contribution to reforming and improving financial statistic regime and methodology.

  (2) Those who make outstanding achievements in accomplishing financial statistic survey, or ensuring timely and accurate reporting of statistic data.

  (3) Those who achieve important outcome in renovation of statistic analysis and surveillance.

  (4) Those who demonstrate remarkable performance in utilizing and promoting modern statistic information technology.

  (5) Those who make important contribution to enhancing statistic education and vocational training, making statistic research, or upgrading statistic theories.

  (6) Those who have outstanding performance in fighting against irregularities in violation of statistic laws, rules and regulations.

  (7) Those contribute to reporting and disclosing of statistic irregularities.

  Article 38 Statistic units, related units and their staff that have involved in any of the following activities shall be warned by the branches of the People's Bank of China above city (prefecture) level and relevant authorities and fined by no more than RMB 30000 yuan. Senior management, other executives in charge and individuals that are held immediately responsible for these activities shall be disciplined by their institutions or superior ones in the way of warning, severe warning, demerit recording, severe demerit recording and degrading. Staff of statistic units and related units of the People's Bank of China that have any of the following behaviors shall be disciplined by their working units or superior ones in the way of warning, severe warning, demerit recording, severe demerit recording or degrading.

  (1) Overstate or conceal financial statistic data.

  (2) Counterfeit or distort financial statistic data.

  (3) Refuse to report or delay the reporting of financial statistic data consecutively.

  (4) Violate these rules by formulating and publishing financial statistic survey forms without approval, resulting in significant damage.

  (5) Violate articles of these rules on confidentiality and the “Rules on Specific Definition of State Confidentiality and Its Coverage in Financial Activities”, breach their authorization and release financial statistic data on their own decision, which entails significant damage.

  (6) Force or instruct statistic units or staff to counterfeit statistic data.

  (7) Bully or revenge those adhere to statistic principles and report statistic data as they are, or those who report and expose statistic irregularities.

  (8) When being inspected on statistics, refuse to provide information, provide false information, or remove, hide, destroy original statistic files, statistic books, statements or other statistics-related data, resulting in significant damages

  (9) Hinder or resist statistic inspection with violence or menace.

  (10) Other behaviors that are identified by regional branches, operation offices and branches in the capital cities of provinces of the People's Bank of China.

  Article 39 Staff of statistic units and other units that severely violate these rules and have any of the following behaviors shall be warned by the branches of the People's Bank of China above city (prefecture) level (City or prefecture level not included) according to Article 12 of the “Rules on Punishment of Financial Irregularities”, and fined by RMB 100000-500000 yuan. In a very severe case, the financial institutions may be instructed to cease operation for corrective actions, or their licenses of financial business be revoked. Senior management, other executives in charge and individuals that are held immediately responsible for the misconduct shall be disciplined by their institutions or superior ones in the way of severe demerit recording, or even more grave penalties until being fired eventually. Staff of statistic units and related units in the People's Bank of China that have any of the following behaviors shall be disciplined by their working units or superior ones in the way of severe demerit recording or more grave penalties until being fired eventually.

  (1) Overstate, conceal, counterfeit or distort financial statistic data by great value or in great proportion of the reportable value.

  (2) Overstate, conceal, counterfeit or distort financial statistic data more than once in one year.

  (3) Overstate, conceal, counterfeit or distort financial statistic data and refuse to take corrective actions when being asked to.

  (4) Overstate, conceal, counterfeit or distort financial statistic data resulting in severe consequences.

  (5) Other behaviors identified by regional branches, operation offices and branches in the capital cities of provinces of the People's Bank of China.

  Article 40 As for those violating these rules by distorting financial statistic data or counterfeiting false figures in order to defraud of honorable title, bonus or promotion, the institution that made that decision of award or its superior institution or supervisory bodies shall revoke their honorable title, take back the bonus and cancel the promotion.

  Article 41 When persons involved refuse to accept penalties issued in line with Article 38, 39 of these rules, they may apply for administrative appeal according to relevant laws and regulations. If they don't agree on the appeal verdict, they may file a suit in the People's Court within 15 days after their receipt of administrative appeal verdict.

  Article 42 When a crime is committed by violating these rules, the case shall be handed over to the judicial agencies and be prosecuted in accordance with the law.

  Chapter VIII Supplementary Provisions

  Article 43 Regional branches, operation offices and branches in the capital cities of provinces of the People's Bank of China and financial institutions may formulate implementation provisions of these rules within their jurisdiction and file them with the head office of the People's Bank of China for record-keeping.

  Article 44 The People's Bank of China is responsible for the interpretation of these rules.

  Article 45 These rules shall enter into force on December 15, 2002, and the “Administrative Rules for Financial Statistics” promulgated on December 3, 1995 are invalidated at the same time.

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