Interim Measures for Administration of Foreign-related Social Survey Activities

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Interim Measures for Administration of Foreign-related Social Survey Activities

Chinese Law

Interim Measures for Administration of Foreign-related Social Survey Activities

涉外社会调查活动管理暂行办法

Article 1 These Measures are formulated, in accordance with the Statistics Law of the People’s Republic of China and other relevant laws and regulations, for the purpose of standardizing foreign-related social survey activities and actively directing the healthy and orderly development of foreign-related social survey activities to maintain the social economic order and promote the smooth progress of opening up to the outside world and socialist construction.

Article 2 Foreign-related social survey activities mentioned in these Measures refer to the social survey activities conducted by such institutions within the territory of China as foreign-capital enterprises, Chinese-foreign equity joint ventures held by foreign parties, Chinese-foreign contractual joint ventures with foreigners occupying a leading position, branches of foreign enterprises, resident representative offices of foreign enterprises and resident institutions in China of other foreign organizations(hereinafter referred to as foreign-related institutions for short); various social survey activities conducted by domestic survey institutions with the entrustment or under the financial aid of organizations, individuals or foreign-related institutions from outside the territory or in other cooperative ways.

Article 3 Organizations and individuals from outside the territory, subsidiaries of foreign enterprises and resident representative offices of foreign enterprises within the territory and resident institutions in China of other foreign organizations shall not, by their own, conduct social survey activities within the territory of China. Where there is a need to conduct such surveys, they shall be conducted by domestic institutions with the qualification of conducting foreign-related social survey. Institutions without such qualification shall not be commissioned for any survey.

Article 4 Foreign-related social survey shall not duplicate with the State statistical surveys, departmental statistical surveys and local statistical surveys.

Article 5 Institutions and personnel conducting foreign-related social survey activities shall not undertake the survey activities in the name of governmental statistical institutions and governmental statisticians.

Article 6 No unit or individual shall make use of foreign-related social survey activities to obtain State secrets, prejudice the State security and interests, damage the public interests and engage in frauds.

No unit or individual shall make use of foreign-related social survey activities to prejudice others’ interests. With respect to the information resulted from the foreign-related social survey activities that could lead to the identification of individual respondents, it is obligatory to keep such information confidentiality.

Article 7 Statistical institutions of the people’s governments at or above the provincial level are the organs in charge of foreign-related social survey activities and responsible for the administrative work of foreign-related social survey activities. Their main functions and responsibilities are as follows:

(1) to publicize, carry out and implement relevant policies, laws, regulations and rules regarding foreign-related social survey activities;

(2) to plan, direct, coordinate and promote the development of the sector of foreign-related social surveys, to strengthen the professional training and education in vocational ethics for practitioners in the sector of foreign-related social surveys;

(3) to be responsible for the qualification identification of foreign-related social survey institutions and the annual verification;

(4) to be responsible for approving foreign-related social survey activities;

(5) to inspect law enforcement of foreign-related social survey institutions, and investigate and deal with the relevant illegal acts in foreign-related social survey activities according to law; or

(6) other functions and responsibilities provided for by laws or regulations.

Article 8 Institutions engaging in foreign-related social survey activities shall, upon qualification identification, obtain the License of Foreign-related Social Surveys. The License of Foreign-related Social Surveys shall be uniformly produced by the statistical institutions of the people’s governments at or above the provincial level, and no unit or individual shall counterfeit it.

Institutions which apply for the qualification to engage in foreign-related social survey activities shall meet the following requirements:

(1) a legal entity established according to law;

(2) social surveys included in the operation or business scope registered in the department of industrial and commercial administration or department of civil affairs or approved by the department responsible for institution and staffing management;

(3) survey ability adaptable to the foreign-related social survey activities;

(4) strict and sound system of information security; and

(5) the legal representative having been subject to no criminal punishments within five years, and having been subject to no administrative penalties, or administrative sanctions more serious than dismissal from the post within two years.

Individuals, and institutions whose qualifications of foreign-related social survey activities have not been identified shall not engage in foreign-related social survey activities.

Article 9 In applying for the qualification identification of foreign-related social survey activities, the applicant shall submit the following materials:

(1) an application report;

(2) a form for applying for the qualification to engage in foreign-related social survey activities;

(3) one of the following qualification certificates or approval documents of the legal entity: the Business License of Legal Entity as Enterprise and its copies, the Registration Certificate of Legal Entity as Association and its copies or approval documents and its copies of the department of agency and staffing management or relevant departments ;

(4) the resume of legal representatives, evidences presented by the departments of personnel dossier management showing that they have not been subject to criminal punishments or administrative penalties, the original identity card and its copies; and

(5)other materials required by the qualification identifying organs.

Article 10 Institutions which have obtained the License of Foreign-related Social Surveys through qualification identification of foreign-related social survey activities shall, with respect to their qualifications to engage in foreign-related social survey activities and the state of affairs of foreign-related social survey activities conducted last year, accept an annual verification from the original qualification identifying organ in March per year.

In dealing with the annual verification, the following materials shall be submitted:

(1) the License of Foreign-related Social Surveys;

(2) an annual verification form of foreign-related social survey activities; and

(3) a report on the state of affairs of the annual verification of foreign-related social survey activities.

Where under special circumstances foreign-related social survey institutions subject to annual verification are not able to accept an annual verification on schedule, they shall apply for extending the handling period of the verification to the qualification identifying organ. Whoever has not passed the annual verification, or have not handled it within the prescribed period and have not either applied for extending the handling period, its License of Foreign-related Social Surveys shall be suspended temporarily or revoked in light of the seriousness of circumstances.

Article 11 With respect to the survey institutions whose survey scopes are across the administrative regions of provinces, autonomous regions and municipalities directly under the Central Government, the National Bureau of Statistics shall be responsible for the identification of their qualifications to engage in foreign-related social survey activities and the annual verification; with respect to the survey institutions whose survey scopes are limited within the administrative regions of provinces, autonomous regions and municipalities directly under the Central Government, the statistical institutions of the people’s governments of provinces, autonomous regions and municipalities directly under the Central Government shall be responsible for the identification of their qualifications to engage in foreign-related social survey activities and the annual verification.

Article 12 The conduct of foreign-related social survey activities must be submitted to the statistical institutions of the people’s governments at or above the provincial level for review and approval.

With respect to the surveys with coverage across the administrative regions of provinces, autonomous regions and municipalities directly under the Central Government, the survey shall be reported to the National Bureau of Statistics for review and approval; With respect to the scope under survey limited within the administrative regions of provinces, autonomous regions and municipalities directly under the Central Government, the survey shall be reported to the statistical institutions of the people’s government at the provincial level where the survey will be conducted for review and approval.

Article 13 In applying for review and approval of foreign-related social survey activities, the following materials shall be submitted:

(1) the License of Foreign-related Social Surveys;

(2) an application for projects of foreign-related social survey;

(3) an survey plan, which includes the purpose, content, scope, time, object, questionnaire form and mode of survey;

(4) a written contract of the entrusted survey; and

(5) other materials whose submission is required by the reviewing and approving organ.

Article 14 The review and approving organ shall, as of the date of receipt of the application materials, make a decision of review and approval and issue an Review and Approval Decision of Foreign-related Social Surveys as quick as possible, and generally the period of time for review and approval shall not exceed 14 days; in case of special circumstances, the period of time for review and approval may extend another 10 days.

In case of being up to the qualification upon review, an approval shall be given; in case of not being up to the qualification, no approval shall be given and the reasons therefor shall be given.

Article 15 Foreign-related social survey activities whose conducting has been consented to upon approval must be conducted according to the approved survey plan and shall not be arbitrarily changed; if there is a need to make a change, a written application shall be submitted to the original reviewing and approving organ and apply for review and approval of the part changed. No unit and individual shall counterfeit an Review and Approval Decision of Foreign-related Social Surveys.

Article 16 In conducting foreign-related social survey activities upon approval, the following contents shall be indicated in a conspicuous place in the cover of questionnaires:

(1) the approving organ of this project and the approval document number;

(2) this survey being voluntary.

Article 17 With respect to the approved foreign-related social survey activities, the relevant institution shall, before providing the survey materials or relevant results of research to the organizations and individuals from outside the territory as well as the foreign-related institutions, report to the confidentiality department at the same level as the original reviewing and approving organ for review and approval, and only upon approval may provide them.

Article 18 Where institutions and personnel engaged in foreign-related social survey activities conduct the foreign-related social survey activities in the name of governmental statistical institutions and governmental statisticians, they shall be given a warning by the statistical institution of the people’s government at or above the provincial level.

Where their survey activities are on non-business, a fine of more than 500 yuan but less than 1,000 yuan shall be imposed; where their survey activities are on business, the illegal gains shall be confiscated if any, and a fine equivalent to one to three times the illegal gains but not more than 30,000 yuan shall be concurrently imposed, and if there are no illegal gains, a fine of more than 5,000 yuan but less than 10,000 yuan shall be imposed. If a crime is constituted, criminal responsibility shall be investigated according to law.

Article 19 Whoever commits one of the following illegal acts shall be dealt with in accordance with the provisions of relevant laws and regulations; if the circumstances are serious, the License of Foreign-related Social Surveys shall be suspended temporarily or revoked and a proposal shall be made to relevant department to cancel the legal entity status:

(1) making use of foreign-related social survey activities to obtain State confidentiality, prejudice the State security and interests, damage the public interests and engage in frauds;

(2) making use of foreign-related social survey activities to prejudice others’ interests, or without the agreement of the surveyed unit or individual divulge the single-item surveyed information of the respondent known in the foreign-related social survey activities; or

(3) counterfeiting the License of Foreign-related Social Surveys or Review and Approval Decision of Foreign-related Social Surveys.

Article 20 Whoever commits one of the following illegal acts shall be ordered to stop the survey by the statistical institution of the people’s government at or above the provincial level. Where their survey activities are on non-business, a fine of more than 500 yuan but less than 1,000 yuan shall be imposed; where their survey activities are on business, the illegal gains shall be confiscated if any, and a fine equivalent to one to three times the illegal gains but not more than 30,000 yuan shall be concurrently imposed, and if there are no illegal gains, a fine of more than 5000 yuan but less than 10,000 yuan shall be imposed. If the circumstances are serious, the License of Foreign-related Social Surveys shall be suspended temporarily or revoked. If a crime is constituted, criminal responsibility shall be investigated according to law:

(1) Whoever engaging in foreign-related social survey activities without the qualification identification or the annual verification;

(2) Whoever engaging in foreign-related social survey activities without approval, or failing to conduct the survey activities according to the approved survey plan;

(3) in case of foreign-related social survey activities conducted upon approval, failing to indicate the approving organ, the approval document number and a voluntary survey in a conspicuous place of the cover of the questionnaire.

Article 21 Domestic survey institutions which without approval and without authorization provide the survey materials and results of research obtained to the organizations and individuals outside China as well as the foreign-related institutions shall be dealt with according to the relevant provisions of the State confidentiality department.

Article 22 The staff of the competent department of foreign-related social survey activities, in performing their functions and responsibilities, neglecting their duties, abusing their powers, committing illegalities for personal gains or by fraudulent means or illegally divulging the business confidentiality about the relevant surveyed institutions shall be given administrative sanctions according to law; if losses are caused, civil liability shall be born; if a crime is constituted, criminal responsibility shall be investigated according to law.

Article 23 Only when three full months have passed since the temporary suspension of the License of Foreign-related Social Surveys, may an application for its return be made. Only when two full years have passed since the revocation of the License of Foreign-related Social Surveys, may a re-application for the qualification to engage in foreign-related social survey activities be made.

Article 24 Where an institution conducting foreign-related social survey activities is dissatisfied with the decision or punishment made in accordance with these Measures by the statistical institution of the people’s government of a provinces, an autonomous region or a municipality under the Central Government or the National Bureau of Statistics, it may apply for reconsideration to the National Bureau of Statistics according to law, and may also directly bring a lawsuit to the people’s court.

Article 25 Social survey activities involved in the cooperative project between our government and foreign governments as well as international organizations shall be conducted in accordance with the relevant provisions of the State.

Article 26 The provisions of these Measures are applicable to the social survey activities conducted in the mainland by the organizations or individuals of Hong Kong Special Administrative Region, Macao region or Taiwan region.

Article 27 The National Bureau of Statistics is responsible for the interpretation of these Measures.

Article 28 These Measures shall take effect as of August 15,1999.

National Bureau of Statistics of China

涉外社会调查活动管理暂行办法

第一条为了规范涉外社会调查活动，积极引导涉外社会调查活动健康有序的开展，以维护社会经济秩序，促进对外开放和社会主义建设事业的顺利进行，根据《中华人民共和国统计法》及其他有关法律、法规，制定本办法。

第二条本办法所称的涉外社会调查活动，是指中国境内的外资企业、外方控股的中外合资经营企业、外方占主导地位的中外合作经营企业。外国企业分支机构及外国企业常驻代表机构、其他国外组织驻华机构等（以下简称涉外机构）进行的社会调查活动；国内调查机构接受境外的组织、个人及涉外机构的委托、资助或以其他形式合作进行的各种社会调查活动。

第三条境外的组织和个人、境内的外国企业分支机构及外国企业常驻代表机构、其他国外组织驻华机构不得在中国境内直接进行社会调查活动。需要调查的，应当通过国内具有涉外社会调查资格的机构进行。不具有涉外社会调查资格的机构不得接受委托调查。

第四条涉外社会调查不得与国家统计调查、部门统计调查和地方统计调查相重复。

第五条进行涉外社会调查活动的机构和人员．不得以政府统计机构和政府统计人员的名义进行调查活动。

第六条任何单位和个人不得利用涉外社会调查活动，获取国家秘密，损害国家安全和利益，损害社会公共利益和进行欺诈活动。

任何单位和个人不得利用涉外社会调查活动损害他人的利益；对在涉外社会调查活动中知悉的被调查者的单项调查资料，负有保密义务。

第七条省级以上人民政府统计机构、是涉外社会调查活动的主管机关，负责涉外社会调查活动的管理工作。其主要职责如下：

（一）宣传贯彻执行有关涉外社会调查活动的政策、法律、法规和规章；

（二）规划、引导、协调、促进涉外社会调查业的发展，加强对涉外社会调查业从业人员的业务培训和职业道德教育；

（三）负责对涉外社会调查机构的资格认定和年度检查工作；

（四）负责对涉外社会调查活动的审批工作；

（五）对涉外社会调查机构进行执法检查，

依法查处有关涉外社会调查活动的违法行为；

（六）法律、法规规定的其他职责。

第八条从事涉外社会调查活动的机构，须经资格认定．取得《涉外社会调查许可证》。《涉外社会调查许可证》由省级以上人民政府统计机构统一印制，任何单位和个人不得伪造。

申请从事涉外社会调查活动资格的机构应具备以下条件：

（－）依法成立的法人；

（二）在工商管理部门、民政部门注册登记或经机构编制管理部门批准的经营、业务范围中包括社会调查的；

（三）与其涉外社会调查活动相适应的调查能力；

（四）严格健全的信息保密制度；

（五)法定代表人在五年内未受刑事处罚，在两年内未受行政处罚、撤职以上行政处分的。

个人和未经涉外社会调查活动资格认定的机构，不得从事涉外社会调查活动。

第九条申请从事涉外社会调查活动的资格认定时，申请机构需提交以下材料：

（一）申请报告；

（二）从事涉外社会调查活动资格申请表；

（三）下列法人资格证书或批准文件之一；《企业法人营业执照》及其复印件、《社会团体法人登记证书》及其复印件、机构编制管理部门或有关部门的批准文件及其复印件；

（四）法定代表人的简历，人事档案管理部门出具的未受刑事、行政处罚的证明，身份证原件和复印件；

（五）资格认定机关要求的其他材料。

第十条经过涉外社会调查活动资格认定取得《涉外社会调查许可证》的机构，应于每年三月份就从事涉外社会调查活动资格和上一年度涉外社会调查活动情况接受原资格认定机关的年度检查。

办理年度检查，须提交以下材料：

（一）《涉外社会调查许可证》；

（二）涉外社会调查活动年度检查表；

（三）检查年度涉外社会调查活动情况报告。

接受年度检查的涉外社会调查机构，如遇有特殊情况，不能按期接受年度检查、应向资格认定机关申请延期办理。未通过年度检查、逾期不办理又未申请延期办理的，视情节轻重，暂扣或吊销《涉外社会调查许可证》。

第十一条凡调查范围跨省、自治区、直辖市行政区域的调查机构，由国家统计局负责其从事涉外社会调查活动的资格认定和年度检查；调查范围限于省、自治区、直辖市行政区域以内的调查机构，由省、自治区、直辖市人民政府统计机构负责其从事涉外社会调查活动的资格认定和年度检查。

第十二条进行涉外社会调查活动，须报省级以上人民政府统计机构审批。

调查范围跨省、自治区、直辖市行政区域的，报国家统计局审批；调查范围限于省、自治区、直辖市行政区域以内的，报所在省级人民政府统计机构审批。

第十三条申请涉外社会调查活动审批对．需提交以下材料：

（一）《涉外社会调查许可证》；

（二）涉外社会调查项目申请表；

（三）调查方案，该方案包括调查目的、调查内容、调查范围、调查时间、调查对象、调查表式、调查方式等；

（四）委托调查的书面合同；

（五）审批机关要求提供的其他材料。

第十四条审批机关自收到申请材料之日起应尽快作出审批决定，发出《涉外社会调查审批决定书》，审批时间一般不应超过十四日；如有特殊情况．可将审批时间再延长十日。

经审查认为合格的，予以批准。不合格的，不予批准并说明理由。

第十五条对经批准同意进行的涉外社会调查活动，必须按照经过批准的调查方案进行．不得随意变更；若需变更的，应向原审批机关提出书面申请，就变更部分报请审批。任何单位和个人不得对《涉外社会调查审批决定书》进行仿造。

第十六条经过批准进行的涉外社会调查活动，需在调查表首页显著位置标明下列内容：

（－）本项调查的批准机关、批准文号；

（二）本项调查属于自愿性调查。

第十七条凡经批准的涉外社会调查活动，有关机构在将调查资料或相关研究成果提

供给境外组织、个人和涉外机构之前，应报原审批机关的同级保密工作部门审查批准后方可提供。

第十八条进行涉外社会调查活动的机构和人员，以政府统计机构和统计人员的名义进涉外社会调查活动的．由省级以上人民政府统计机构给予警告。其调查活动属于非经营性伯．可处以 500元以上1000元以下的罚款；其调查活动属于经营性的．有违法所得的．可没收其违法所得，并处以相当于其违法所得一至三倍但不超过3000o元的罚款，没有违法所得的，可处以 5000元以上 10000元以下的罚款。构成犯罪的，依法追究刑事责任。

第十九条有下列违法行为之一的，依照有关法律、法规的规定处理；情节严重的，暂扣或吊销《涉外社会调查许可证》，并建议有关部门取消其法人资格：

（一）利用涉外社会调查活动，获取国家秘密，损害国家安全和利益，损害社会公共利益和进行欺诈活动的；

（二）利用涉外社会调查活动损害他人的利益，或未经被调查者同意，泄露在涉外社会调查活动中知悉的被调查者的单项调查资料的；

（三）伪造《涉外社会调查许可证》、《涉外社会调查审批决定书》的。

第二十条有下列违法行为之一的．由省级以上人民政府统计机构责令停止调查。其调查活动属于非经营性的，可处以500元以上1000元以下的罚款；其调查活动属于经营性的．有违法所得的．可没收其违法所得．并处以相当于其违法所得一至三倍但不超过30000元的罚款。没有违法所得的．可处以5000元以上10000 元以下的罚款。情节严重的，暂扣或吊销《涉外社会调查许可证》。构成犯罪的，依法追究刑事责任：

（一）未经资格认定．或未通过年度检查的，擅自从事涉外社会调查活动的；

（二）未经审批擅自进行涉外社会调查活动．或者未按批准的调查方案进行调查活动的；

（三）经过批准进行的涉外社会调查活动，在调查表首页显著位置未标明批准机关、批准文号、自愿性调查的。

第二十一条国内调查机构未经审批，擅自将获得的调查资料和研究成果提供给境外组织、个人和涉外机构的．依照国家保密部门的有关规定处理。

第二十二条涉外社会调查活动的主管机关的工作人员在履行职责时玩忽职守、滥用职权、徇私舞弊、非法泄露有关调查机构的商业秘密的．依法给予行政处分；造成损失的，承担民事责任。构成犯罪的，依法追究刑事责任。

第二十三条被暂扣《涉外社会调查许可证》后满三个月，方可申请发还。被吊销《涉外社会调查许可证》后满二年，方可重新申请从事社会调查活动资格。

第二十四条进行涉外社会调查活动的机构，对省、自治区、直辖市人民政府统计机构和国家统计局依照本办法所作决定、处罚不服的，可以依法向国家统计局申请行政复议．也可以直接向人民法院提起诉讼。

第二十五条我国政府与外国政府及国际组织之间的合作项目中涉及的社会调查活动．依据国家有关规定执行。

第二十六条香港特别行政区、澳门地区、台湾地区的组织和个人在内地进行社会调查活动的，适用本办法的规定。

第二十六条本办法由国家统计局负责解释。

第二十八条本办法自1999年 8月15日起施行。

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