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The present Detailed Rules are formulated according to the functions and duties of China Banking Regulatory Commission (hereinafter referred to as the CBRC) as well as the Provision of China Banking Regulatory Commission on the Work of Complaint Letters and Visits (hereinafter referred to as the Provision) for the purpose of regulating the work of complaint letters and visits of the CBRC and elevate the work efficiency and quality. I. WORK FUNCTIONS AND DUTIES (1) The department in charge of complaint letters and visits under the general office of the CBRC shall be responsible for drafting the bylaws for the work of complaint letters and visits within the CBRC sector, be responsible for coordinating with the relevant departments, namely, the State Bureau for Complaint letters and Visits, etc., in the work of complaint letters and visits; offer guidance for complaint letters and visits within the CBRC sector and carry out supervision and examination on a periodic basis; according to the principal's opinions, handle the people's complaint letters and visits within its functions and duties; hand over, or transfer the relevant complaint letters and visits to and supervise and urge the handling thereof by the departments and dispatched offices at all levels as well as the relevant entities so as to handle major and difficult complaint letters and visits in coordination; analyze in a comprehensive manner the relevant information on complaint letters and visits, carry out the relevant investigation and researches and report, in a timely and accurate manner, the relevant situation on complaint letters and visits and put forward the relevant suggestion on perfecting policies and improving the work of complaint letters and visits. (2) The comprehensive offices of all the departments under the CBRC shall handle the complaint letters and visits within their own functions and duties; report, in a timely manner, any important situation on complaint letters and visits or the relevant work concerned to their principals or the department of complaint letters and visits of the general office; and hand over the relevant matters concerning complaint letters and visits to or supervise and urge the handling thereof by the relevant divisions and offices of their departments. (3) The dispatched offices at all levels shall take charge of organizing and handling the relevant complaint letters and visits within its jurisdiction; report, in a timely manner, to the department at the same level or at a higher level any important complaint letter and visit or work of complaint letters and visits, transfer the relevant complaint letters and visits to a department (office) within its sector or a dispatched office at a lower level, supervise and urge the handling thereof and coordinate with the local government department in the work of complaint letters and visits. (4) Every department under the CBRC and every banking regulatory bureau shall determine a work functionary to take charge of complaint letters and visits and report this to the general office of the CBRC for archival filing so as to keep contact in work. A branch of the CBRC shall determine a work functionary to take charge of complaint letters and visits and report this to the general office of the CBRC for archival filing. The alteration of any functionary in an organ at a lower level shall be reported to its superior organ for archival filing. II. SCOPE OF ACCEPTING COMPLAINT LETTERS AND VISITS (1) Any complaint as filed, in the name of an individual or entity, to the CBRC, the principal of the CBRC, any department of the CBRC or a dispatched office at any level by way of non-private letter, fax, telephone, email or any visit to an organ under the CBRC, where it falls within the scope of the CBRC's functions and duties, shall be accepted. In case any complaint letter and visit fails to fall within the CBRC's functions and duties, it shall be transferred to the relevant competent organ in a timely manner according to the relevant provisions, or the relevant complainant shall be notified to file his complaint with the relevant competent organ. (2) The following complaint letters and visits shall not be accepted or be accepted again: 1. Falling within the functions and duties of the people's congress at any level, the standing committee of the people's congress at any above-county level, the people's court or the people's procuratorate; 2. Having been or shall, according to law, be solved by such statutory procedures as action, arbitration or administrative review; 3. Falling within the scope of the CBRC's functions and duties and therefore, having been handled or still being under the progressing of handling; 4. The competent department having held a review and the relevant case being already concluded; 5. Where a complainant is dissatisfied with any handling or review and fails to request any review or verification within the prescribed time limit; or 6. In the case of any other complaint letter and visit that does not fall within the scope of the CBRC's functions and duties or shall not be accepted or accepted again according to law. III. WORK FOCUSES (1) We should intensify the relevant analysis and researches on complaint letters and visits and report the relevant problems to the principal, put forward the opinions and suggestions on work in a timely manner so as to serve better for principals in making decision or offering guidance; (2) We should supervise and urge the handling of those complaint letters and visits concerning any rule-breaking act of any organ or functionary under the CBRC, any illegal or irregular operation of any financial institution within the banking sector; (3) We should report, in a timely manner, any complaint letter and visit that may instigate any mass-scale complaint visit so as to solve any tendential or symptomatic issue that may instigate any mass-scale complaint at the grass roots or in burgeon so as to prevent and dissolve any conflict; and (4) We should coordinate and properly settle any mass-scale complaint visit so as to maintain the social stability. IV. HANDLING OF COMPLAINT LETTERS (1) Basic Requirements 1. Removing a seal of letter in a timely manner: In case any complaint letter from a person or a relevant entity is received, it shall be unsealed in a timely manner and a decision on whether to accept it shall be made within 15 days therefrom. In case any person or relevant entity directly files a complaint letter with the CBRC, the general office of the CBRC or any principal thereof (where the general office is authorized to remove the seal), the department in charge of complaint letters and visits of the general office of the CBRC shall take charge of unsealing. Where any person or relevant entity files a complaint letter with any department or any banking regulatory bureau (branch), the relevant department or banking regulatory bureau (branch), respectively, shall take charge of unsealing. 2. Handling it properly. The relevant organs shall conduct detailed scrutiny over any complaint letter from a person or relevant entity, make careful analysis and handle it according to the relevant laws and regulations as well as the functions and duties of the CBRC. (2) Procedures for Handling 1. Signing for Receipt and Disinfection A complaint letter shall be disinfected before any handling. As to any telegraph or express, the functionary shall sign it for receipt and check it out in a timely manner, wherein any emergency shall be handled in a timely manner. 2. Unsealing, Binding and Stamping When any complaint letter is unsealed, the completeness thereof shall be maintained regarding its stamp, postmark on stamp, postal code, address as well as the materials as enclosed within the letter. When unsealed, a letter shall be subject to binding in a sequence of main body, attachment and envelop in an orderly manner. The binding shall be friendly to reading in a page-by-page way. In the top right corner of a complaint letter shall be affixed an exclusive seal for letter receipt on the very day. The stamped mark shall be upright and clear. 3. Registration Where a letter is unsealed, the basic information of the original letter shall be keyed into a computer in a timely manner so as to ensure the accurateness and completeness regarding the receipt time, sender's name, address and telephone number, the letter's receiver as well as the relevant requirements as enclosed therein. The abstract of a complaint letter as registered shall be concise and brief and shall be detailed or succinct as the case may be. As to any complaint letter that is concerned with any important situation or suggests any important opinion and which is to be reported to the relevant principal or be handed over to any other principal, the abstract thereof shall be comparatively detailed, including the main body of the suggested opinion, the time and place of the issue, the major entities and personnel as involved therein, the complainant's requirement as well as the ground he relies on, etc. As to any repetitive complaint letter that need not be handled any more or any letter that shall not be accepted or be accepted again according to the Provision as well as any letter carrying ambiguous content, a brief registration may be made according to the foregoing provisions. 4. Handling After the original of a letter is registered, the relevant organ shall, according to the provisions of Article 13 of the Provision, handle it by respective ways, on a case-by-case basis and in a timely manner within 15 days as of registration. The basic way to handle a person's complaint letter includes report, delivery for handling, transfer and retaining. (i) Report. Any complaint letter or visit concerning an organ under the CBRC or any of its functionaries shall be reported to the relevant principal. The means of treatment mainly includes the follows: report of an original, report of an abstract and comprehensive report. Where any reported information on a complaint letter requires verification and can be verified as well, the verification shall be conducted before any report, as is the general routine. Where any letter is reported upon verification, the verification as well as the relevant opinions and suggestions thereon shall be reported altogether to the relevant principal for reference. As to the report of an original, a person's original complaint letter as well as its attachment shall be directly submitted to the relevant principal. As to the report of an abstract, where a person's complaint letter is summarized, it shall be reported to the relevant principal in the form of an Abstract of a Complaint Letter, with the original letter attached thereto. An Abstract of a Complaint Letter may be an abstract of a person's complaint letter alone or may be a comprehensive abstract of several people's complaint letters carrying similar contents. As to a comprehensive report, where any person's complaint letter has gone through an overall analysis, the materials about the overall analysis shall be reported to the relevant principal in the form of an Abstract of the People's Complaint Letters. (ii) Delivery for Handling. The relevant complaint matter as enclosed in a person's complaint letter that falls within an organ's functions and duties shall be delivered to the relevant department of the organ, dispatched office at a lower level or person-in-charge for handling. Where the original of a letter is delivered out, its photocopy shall be retained. The relevant department in charge of handling shall feed back their handling within a prescribed time limit. The major means of handling is a letter-delivery, which lodges a personal claim or presents a clue to a case on the ground of clear facts. The foregoing matter shall be handled according to the relevant provisions. With regard to any outburst or emergency as enclosed in a complaint letter and requiring an immediate delivery to the relevant department for a timely handling, a delivery may be made via telephone or telex. (iii) Transfer. The relevant complaint matter as enclosed in a person's complaint letter that does not fall within the functions and duties of an entity shall be transferred to the relevant department or entity. The transfer shall be carried out by attaching a transfer ticket, on which an "Exclusive Seal for Complaint Letters and Visits" (See Attachment I) shall be affixed so that the relevant complaint may be transferred to the relevant dispatched organ or entity for handling. (iv) Retaining. As to any letter that has gone through verification and may not be accepted again, any repetitive letter that need not be handled again, any letter with no value of reference or with ambiguous content as well as any letter that requires no handling, it may be routinely retained. The retained letters may be packed up according to their regions, years and the time of receipt, be retained in a concentrated manner and be destroyed 2 years thereafter. 3. As to any person's complaint letter in the form of an electronic mail that is received through a mailbox of a website, it shall be downloaded and be handled according to the procedures for those paper complaint letters. V. HANDLING OF COMPLAINT VISITS (1) Basic Requirements 1. The reception for a complaint visit shall be carried out in a special reception room for complaint visits. The functionary in charge of reception shall be warm-hearted, civilized and polite in their work and earnestly record down the basic information on the relevant complainants as well as the major issues they complain about and grasp the essence of the problem and the complainants' fundamental requirements. At the same time, the institutions at all levels shall make efforts to ensure the basic security of those functionaries in charge of reception. 2. Where the general office of the CBRC takes charge of the reception work for the CBRC's organs, the relevant departments of the organ shall provide coordination and shall, where it so requires, dispatch the relevant personnel to meet the visitors in the reception room, for which the relevant departments shall provide coordination and shall dispatch the relevant personnel to meet those visitors in a timely manner. 3. Answering the relevant complaint letters and visits in a prudent manner. Where a visitor files any issue within the scope of the CBRC's functions and duties, the department that gives a final treatment shall make answers, which shall be unified and prudent and thus comply with the relevant provisions. Where any issue as brought by a visitor fails to fall within the scope of the CBRC's functions and duties, the relevant work of reception and explanation shall be well done by suggesting the visitor to file his complaint with the relevant competent institution. 4. In the case of any mass-scale complaint visit, the banking regulatory bodies shall, according to the Reserve Plan of China Banking Regulatory Commission on Mass-scale Complaint Visits to Organs, handle it properly. The dispatched organs at all levels shall, based on the real situation, formulate a reserve plan for any mass-scale complaint visit to an organ and handle any mass-scale complaint visit accordingly. (2) Procedures for Handling 1. Registration A functionary in charge of reception shall make registration for a visit, verify earnestly the identity certificate or any other valid certificate of a visitor, read the relevant materials, hear the visitor's statement and require a visitor's basic information as well as his major issue. (i) Arranging an interview under any of the following circumstances: In the case of any collective complaint visit, in which 5 representatives or less are arranged for an interview. Where any person paying a complaint visit for the first time and if his issue falling within the scope of the CBRC's functions and duties; a repetitive individual visit carrying an issue that shall be solved according to the provisions of laws and policies but has not been solved; any other case for which an interview shall be arranged. (ii) As to any matter as filed by a visit that shall not be accepted or may not be accepted again, the visitor shall be notified to file his issue with the relevant competent organ according to law. 2. Interview (i) The following contents shall be recorded down for an interview: The major circumstances in an issue as brought by a visitor as well as his requirements; the procedures for handling his other complaint letters and visits as well as the corresponding results; the reason to file a level-surpassing or repetitive visit; any abnormal or extreme word or act of a visitor; and the communication with the relevant department as well as deliberation on the issue therebetween. (ii) Where it is required that the relevant department (office) shall participate in the handling of a complaint visit, it shall be subject to the centralized administration, wherein the relevant department (office) may be requested to dispatch its personnel to the reception room and the said department (office) shall do so immediately upon receiving the relevant notice. Where any dispatched office is requested to handle a complaint visit, a "Transfer Ticket of the People's Complaint Visits" (See Attachment II) shall be produced to the relevant visitor so as to authorize the relevant visitor to file his issue with the local dispatched office of the CBRC. Where any complaint visit shall not be accepted or not be accepted again, the relevant laws and regulations shall be delivered to the visitor so as to advise him, by persuasion and education, to file his issue with the relevant competent organ. In case an interview cannot be concluded within a day or where a visitor is required to make up his materials, an appointment of interview may be made therefor. (iii) In case a person of foreign nationality, a stateless person or a person from Hong Kong SAR, Macao SAR or Taiwan region or an overseas Chinese pays a complaint visit, the functionary in charge of reception shall report it to the relevant principal in a timely manner and shall, as to any issue requiring a direct reply, work out a reply outline, which shall be subject to the examination of the principal for confirmation. 3. Handling The relevant issue in a person's complaint visit that falls within the scope of the CBRC's functions and duties shall be handled within 15 days by the following means: report, delivery for handling, transfer and coordinated handling, etc. (i) Report: A Summary of the People's Complaint Visit shall be formulated in respect of the following contents and be reported to the relevant principal: feedback on the relevant laws and regulations as formulated by the CBRC as well as the implementation thereof; any situation or issue with policy-orientation, inclination and certain symptom; any major illegal or rule-breaking issue; any typical case that is purposely ignored or delayed in handling; any issue as brought by any senior cadre or famous person and requiring the knowledge of or instructions from the relevant principal; the handling of any large-scale collective mass complaint visit or any emergency; any issue involving the people's interests regarding political-orientation, provincialism or inclination as well as the relevant comprehensive analysis and special researches on the complaint visits. (ii) Delivery for handling. As to any issue featured by universality, inclination and symptom, which shall be solved according to the relevant laws and regulations as well as the relevant policies, and which has been so instructed by the relevant principal but is improperly handled by the relevant organ or department, it shall be delivered for handling in a letter form. (iii) Transfer. As to any issue as involved in a complaint visit that requires only general notification of and treatment from a dispatched office or department, it shall be transferred in a letter form. (iv) Coordinated handling. As to any complaint visit that is complex, comparatively difficult or involves several departments and entities, it may, upon the approval of the relevant principal, be handled through coordination by inviting the personnel of the relevant departments and entities to participate in the handling thereof. As to any issue as filed through a complaint visit that requires a coordinated handling, the handler shall work out in advance a plan including coordinators and preliminary opinions on treatment and report it to the relevant principal. Thereafter, the handler shall draft a Summary on the Coordination Meeting for Complaint Letters and Visits and supervise and urge the implementation thereof. (3) A telephone interview shall be handled by referring to the relevant procedures for and requirements of interview of the foregoing complaint visits. The organ at any level may install the tape-recording devices onto its telephones as announced to the general public so as to automatically record an inquiry or complaint via telephone and shall, within 15 days as of the relevant telephone call, conduct straightening-out and handle the inquiries and complaints in a classified manner. Attachments (omitted) |
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