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二、地方政府職能轉變要抓好“接、放、管”

II. "Taking over, releasing and undertaking" responsibilities is key to the transformation of local government functions.

大家可能注意到了，國務院的改革方案把“職能轉變”放進了標題，這次關于地方政府改革的意見又把“職能轉變”放到“機構改革”前面，就是為了突出強調職能轉變。各方面普遍認為，政府改革的核心是職能轉變，職能不轉變，機構改革也達不到目的。這次地方政府職能轉變要重點抓好“接、放、管”。接，就是把中央放給市場的權力接轉放開，把中央下放給地方的職能接好管好；放，就是把本級該放的權力切實放下去、放到位；管，就是把地方該管的事情管起來、管到位。

You may have noticed that we have included "transform government functions" in the title of the reform proposal of the State Council. This time, in the opinions on the reform of local governments, we have put "transform government functions" ahead of "institutional reform" in order to underscore the importance of transforming government functions. It is widely believed that the key to government reform lies in changing its functions. Without functional changes, institutional reform would not be able to serve its purpose. In transforming the functions of local governments this time, the priority should be placed on "taking over, releasing and undertaking" responsibilities. For local governments, "taking over" means allowing the market to take over responsibilities released by the central government, and taking over and assuming the responsibilities delegated to them by the central government; "releasing" means delegating all powers that ought to be delegated to the lower authorities in real earnest; and "undertaking" means assuming full responsibilities for matters that fall within their purview.

（一）要接好放好中央下放的審批事項。中央明令取消的審批事項，要不折不扣地放給市場、放給社會，地方不能變相保留。為了使地方政府更有力有效、就近就便進行經濟社會管理，中央要把相應的權力下放給地方。放給省一級的，省里要接好管好；放給市縣的，省一級要及時下放，不截留，不梗阻，市縣一級也要接好管好。最近新聞聯播報道了“蛟龍?zhí)枴陛d人深潛器的國家深海中心基地建設，這是國家投資項目，按原來的管理審批程序，有好幾道，要蓋幾十個公章，至少要兩年。現在中央把有關權力下放給地方政府，兩個月就落地了。從這個例子看，下放權力就是解放生產力，就是提高效率。我們還要注意，下放給市場、社會的權力，要放就要真正放到位。現在有一些社會組織還是政府管理的機構，如果把權力放給這些行政化的社會組織，就可能還是在政府內部“轉圈”，要切實防止這種現象。

1. Local governments should properly take over or further release as required approval power delegated by the central government. Approval items that are phased out by the central government must be fully released to the market and the society, and local governments should not retain such approval power in any disguised form. The central government should also delegate certain responsibilities to the local governments for them to conduct more robust and effective economic and social management by taking advantage of their close knowledge of local communities. Where power is delegated to the provincial level, provincial governments should exercise it properly. Where power is delegated to the municipal or county level, provincial governments should not try to retain or block it, but delegate it promptly. CCTV Primetime News recently ran a story about the establishment of the national deep-sea center for the Jiaolong manned submersible. This project is funded by the central government. In the past, a number of reviews were required for such projects and dozens of seals needed to be stamped, which would take at least two years. Now that the central government has delegated the power of approval to the local government, it only took two months for the project to be approved. This example shows that delegating power can help to unleash productive forces and raise efficiency. We should also make sure that whenever power is to be given to the market and society, it must be delegated fully. Some social organizations are still overseen by the government. If power is delegated to them, it may in the end stay in government hands. This situation must be averted.

（二）要最大限度地取消地方行政審批事項。省級政府對現有的審批事項要嚴格清理，該取消和下放的堅決取消下放。國務院提出，本屆政府任期5年內，至少取消和下放1/3以上的行政審批事項，省級政府也應根據實際情況提出明確要求。而且不光要看數量，還要看質量。今后省一級原則上不得新設行政審批事項。市縣一級政府本來就不能設定行政審批，但存在不少以“紅頭文件”設定的管理事項，包括登記、備案、審定、年檢、認證、監(jiān)制、檢查、鑒定以及這個證、那個證等。這些雖然不叫行政審批，但對企業(yè)來說都是“門檻”，與審批沒什么區(qū)別，而且多數是收費的。大家都看過報道，有人畫了一張行政審批的“萬里長征圖”，辦一個企業(yè)，上一個項目，要蓋上百個公章，不僅如此，還被“吃拿卡要”。中央有關部門接到投訴，經查核，有這樣一個情況。北京一所高校的一位畢業(yè)生，回到家鄉(xiāng)創(chuàng)業(yè)，辦一個書店，在多個部門跑了30多趟，花了不少錢，歷時三個多月，總算辦起來了。但開業(yè)后，各種檢查、收費、罰款就跟著來了，沒錢就拿書，最多的一次拿走了140多本。最后，他一氣之下關門不干了。我們非常希望在大城市上學的大學生，畢業(yè)后回到家鄉(xiāng)創(chuàng)業(yè)，帶動當地就業(yè)。但如果沒有一個好的環(huán)境，他怎么回去創(chuàng)業(yè)呢？因此，要實行最嚴格的行政審批“準入制”，對于不符合法律規(guī)定、利用“紅頭文件”設定的管理、收費、罰款項目，要一律取消。國務院已經決定對商事登記制度進行改革，據了解，人民群眾特別是青年人、大學生是歡迎的，都期盼著這項改革盡快落地生根，各地要抓緊把改革的配套措施落下去，讓創(chuàng)業(yè)“火”起來。

2. We should minimize the number of items subject to administrative review and approval by local governments. Provincial governments should go through the items that still require review and approval, and resolutely abolish or delegate the power of approval to lower levels when necessary. The State Council has set the goal of canceling or delegating over a third of the items requiring administrative review and approval within the five-year term of this government. The provincial governments should also set clear goals according to local realities. Delegation of power should be evaluated not only quantitatively but also qualitatively. In principle, provincial governments from now on should not set new items requiring administrative review and approval. As for municipal and county governments, they do not have such right in the first place, but there are cases where they have imposed requirements through official documents in the form of registration, archiving, verification, annual review, certification, supervision, examination, accreditation or certificates of this kind or that. These may not be called "administrative review and approval", but they all represent thresholds for companies, being hardly different from review and approval and involving the collection of fees in most cases. The government is now encouraging university students in big cities to return to their hometown after graduation to start their own business, which would be good for local employment. But without an enabling environment, how can they run a business on a sustainable basis? Therefore, we should have the strictest enforcement of a "threshold" for items requiring administrative approval. Items established via "official documents" to impose administrative management or to collect charges and fines must be abolished if they do not conform with laws and regulations. The State Council has decided to reform the business registration system. The reform, as we have learned, is welcomed by the people, especially the youth and university graduates. They all hope it could be carried out as soon as possible. Local governments should waste no time in putting in place the supporting measures so as to encourage more people to start their own businesses.

（三）要加強地方政府管理服務職能。我們說放、放到位，并不是說不管。放和管是兩個輪子，只有同時轉起來，政府改革才能順利推進。地方政府面對千千萬萬生產經營者，必須把市場監(jiān)管這個職能履行到位。減少了事前審批，事中事后監(jiān)管就要跟上。這次地方政府改革，要把市場監(jiān)管重心下移，加強市縣政府的市場監(jiān)管職能和力量，建立橫向到邊、縱向到底的監(jiān)管網絡，逐步做到疏而不漏，防止再走入“一放就亂、一管就死”的怪圈。

3. Local governments need to enhance their functions in both regulation and services. Sufficient power delegation does not mean zero regulation. Power delegation and enhanced regulation are like the two wheels of a wagon. Only when both wheels turn can the reform of the government progress smoothly. In this sense, local governments must exercise market regulation to the full extent vis-a-vis all the producers and distributors. With reduction in pre-project approval, the government needs to step up mid- and post-project regulation. In this round of local government reform, the power of market regulation will be delegated to the lower levels, especially to the municipal and county governments. A regulation web of full coverage will be set up to leave no misconduct unattended to. In this way, we will be able to break away from the doomed cycle whereby power delegation leads to market disorder which, in turn, leads to tighter control, thus ending the transformation efforts.

地方政府抓經濟，很重要的一條，是為各類市場主體創(chuàng)造統(tǒng)一開放、公平競爭的發(fā)展環(huán)境，這也是加強管理服務職能的一個重要方面。今后地方政府原則上不要再直接投資辦企業(yè)，地方政府直接辦企業(yè)或直接干預企業(yè)生產經營，容易在當地形成投資、產業(yè)的壟斷和市場封鎖。多年來，全國統(tǒng)一開放的市場完善不起來，一個重要原因就是地方保護。對一個地方來說，應該是不求所有、但求所在。這是改革開放之初南方一些地區(qū)提出的理念，實踐證明他們發(fā)展起來了。能夠發(fā)展地方經濟，增加就業(yè)，政府依法收稅，這才是根本。地方政府抓經濟，不是當“司機”，不是直接開車上路，而是要管好“路燈”和“紅綠燈”，當好“警察”。“路燈”就是為所有的企業(yè)照亮道路，對所有的企業(yè)一視同仁，不厚此薄彼。“紅綠燈”就是講規(guī)則，該走則走、該停則停，也對所有企業(yè)一視同仁。當好“警察”，就是加強監(jiān)管，對假冒偽劣、欺行霸市、坑蒙拐騙、侵犯知識產權，特別是對食品安全等領域損害人民生命健康的違法違規(guī)行為，要嚴懲不貸。這樣，對于遵紀守法、誠信經營的企業(yè)才是公平的。如果監(jiān)管不力，坑蒙拐騙之類的反而吃得香、走得開，就會出現“劣幣驅逐良幣”的現象。我們把更多精力放到這上面來，也是建立一個良好的市場環(huán)境，經濟轉型升級也會有一個良好的基礎。

To grow the economy, local governments should, first and foremost, create a unified, open and level-playing field for all types of market players. This is also an important way to strengthen regulation and services. Going forward, local governments, in principle, will make no direct investment in enterprises, as such investment or government direct intervention in the production and management of enterprises tends to give rise to monopoly over investment and industry and market blockade. For years, local protectionism has been a main obstacle to the development of a national, unified and open market. Local governments should not aim to own businesses operating in their localities. Rather, they should aim to play good hosts. This was the approach adopted by some local governments in southern China at the early days of reform and opening-up. What has happened since shows that the governments following this approach have seen their economy grow. For local governments, what is of fundamental importance is to grow the local economy, create more jobs, and collect taxes in accordance with law. In growing the economy, local governments should serve not as a "driver" personally riding the vehicle but as someone taking care of the "street lights" and "traffic lights" and as a "police officer". The "street lights" are intended to light the way forward for all enterprises with no discrimination. "Traffic lights" refers to rules that tell the enterprises when to go ahead and when to stop and apply to all enterprises. "Good policing" refers to more effective regulation and severe punishment for violations of laws and regulations, such as producing and selling counterfeit and substandard products, bossing and monopolizing the marketplace, cheating and swindling, infringing on intellectual property rights and, in particular, jeopardizing food safety at the expense of people's life and health. Effective regulation ensures fairness for law-abiding and honest enterprises, while ineffective regulation will allow "bad money to drive out good" and result in rampant cheating, swindling and the like. If we focus more of our efforts on enforcing the "rules of the road", we will be able to foster a better market environment and put economic transformation and upgrading on a more solid foundation.

還要改革創(chuàng)新監(jiān)管方式，建立一套科學監(jiān)管的規(guī)則和方法。過去我們在市場監(jiān)管上，年度檢查、月度檢查太多了，還時不時搞“大檢查”，不是說不可以搞，但問題是查誰不查誰、罰誰不罰誰、罰多還是罰少，隨意性太大。在這方面，我們可以借鑒一些國家的做法，對監(jiān)管對象按確定的比例隨機抽查。隨機不是隨意，而是有規(guī)則。比如100家企業(yè)，規(guī)定每年抽查百分之幾，通過“搖號”來確定，被搖上的，就一查到底。也可以委托給第三方去查。一旦發(fā)現有違法行為，就要重罰，讓違法者無利可圖，甚至傾家蕩產。同時要建立健全經營異常名錄和黑名單制度，把問題企業(yè)和違法經營者列進去，用技術手段來保證這個制度的剛性，一旦被列進去，任憑找什么關系、走什么“路子”都抹不掉。一次經營違法，可能終身不能在這個領域從業(yè)。有這樣一個具有普遍震懾作用的制度，所有企業(yè)都感到頭上有一把劍，僥幸心理就會越來越少。誠信經營的，半夜不怕鬼敲門；坑蒙拐騙的，說不定哪一天被“搖”上，就要付出難以承受的代價。這樣也可以規(guī)范政府監(jiān)管人員的行為，降低監(jiān)管成本，提高監(jiān)管效率。各地可以在這方面進行探索。

We also need to reform and innovate ways of supervision and establish a set of scientific rules and methods of supervision. In the past, we had too many annual and monthly market inspections and even staged "inspection campaigns" from time to time. I am not saying that such inspections are to be banned altogether, but they should not be done without clearly defined rules to follow as to whom to inspect, whom to punish and how severe the penalty should be in case of irregularities. Here, we can borrow the practice of other countries, such as conducting proportionate random inspections on entities under supervision. Random inspections are not inspections at will; on the contrary, there are rules to follow. For example, if there are 100 enterprises under supervision, then every year, a preset percentage of them will be selected through a lottery draw to receive thorough inspection. We can also entrust a third party to conduct the inspections. Those who violate the law, once found, are subject to punishments enough to make their violations unprofitable and even lead to their bankruptcy. At the same time, we need to establish a complete catalogue of enterprises with irregular operations and a system of blacklisting, and ensure their rigidity through technical methods. Problem enterprises and illicit operators, once listed, cannot have their names removed no matter what connections they have or what strings they pull. One single irregularity in a certain business will mean life-long exclusion. Such a system, with its universal deterrence, serves as a sword hanging over the heads of all business operators, who may be deterred from taking chances. The honest ones are never worried that the devil might call at night but the swindlers are always in fear of unbearable cost once their luck runs out. This system can also help standardize the conduct of government regulators, and lower the cost and improve the efficiency of regulation. Local governments may make explorations in this area.

搞好保障民生的基本公共服務，也是地方政府需要加強的管理服務職能。這方面，政府的責任主要還是保住基本、補上短板、兜好底線，促進社會公正。現在一些地方保基本的內容走了樣，“雪中送炭”的事還沒做好，卻熱衷于搞“錦上添花”。有的義務教育學校變成了所謂“貴族學校”，有的養(yǎng)老院也過于豪華。政府把什么都包起來，把什么費用都免了，看似是在做好事，但實際上包不住、也包不起，社會力量又進不來，因為即使保本微利也難以平等競爭。我們要多動腦筋，調動市場力量來發(fā)展服務業(yè)。但政府必須把保基本的責任履行到位。最近，國務院明確提出要強化社會救助制度建設，用這個制度來托底。只有把底托住，不讓沖破社會道德和心理底線的事情屢屢發(fā)生，才能更有力地推進市場化改革，這也是社會主義市場經濟的應有之義。

To ensure basic public services essential to people's livelihood is another administrative function local governments need to enhance. In this aspect, the primary responsibilities of the government are to meet people's basic needs, address weak links and ensure that poor people have something to fall back on to promote social equity. Some local authorities have misinterpreted what basic services are about. They have been busily embroidering more flowers on the brocade rather than sending charcoal to the needy on a snowy winter day, so to speak. Some compulsory education schools have been turned into so-called "noble schools" — schools for the rich. Some nursing homes are far too luxurious. It may look good if the government tries to provide for everything free of charge, but in reality, this is unrealistic and unaffordable. And it would also make it hard for the private sector players to get in, because they can hardly compete even when they run businesses at a thin profit margin. We need to think hard and mobilize market forces into developing the services sector. Meanwhile the government must earnestly fulfill its responsibility of ensuring basic services. Recently, the State Council stressed the importance of strengthening the social aid system to meet people's essential needs. If we are to advance market-oriented reform more vigorously, we must improve this system to prevent such things from happening that are beyond the limits of people's moral and psychological tolerance. This is also what is intended by the socialist market economy.

要更加重視基層政府建設。大家常說，“上面千條線，下面一根針”。縣（市）和鄉(xiāng)鎮(zhèn)政府，還有城市市區(qū)政府及派出機構，直接和人民群眾打交道，直接為人民群眾服務。廣大基層干部工作很辛苦，收入也不高，有的地方連工資都不能正常發(fā)放。可以說一些亂罰款、亂收費也與此有關。我們要給基層干部更多的關心，為他們的生活和工作提供切實保障，特別是不能拖欠工資。中央對地方的轉移支付，要優(yōu)先考慮廣大基層干部的工資發(fā)放。

We need to place greater importance on the building of community-level governments. As people often say, "Authorities at higher levels are like thousands of threads and governments at the community level are the single needle that weaves". Governments in counties (cities), townships, and urban districts and resident offices directly interact with and serve the people. We need to care more about community-level officials and provide sufficient support for their life and work. In particular, there must be no wage arrears. In the transfer payments from the central to local governments, priority should be given to wage payment for community-level officials.