析金融“三乱”中的几个法律界限问题
秦德良
摘要：金融“三乱”是指乱集资、乱批设金融机构和乱办金融业务。本文从整顿查处“三乱”的原则入手分析了法律责任重合问题、金融“三乱”中的犯罪、金融“三乱”中的行政违法行为以及金融“三乱”行为主体的民事责任的具体界限问题。
关键词：金融“三乱” 法律责任重合
金融“三乱”是指乱集资、乱批设金融机构和乱办金融业务。自1998年7月以来，国务院开始部署大规模整顿和查处金融“三乱”，然而，由于“三乱”活动的形成以及其本身的复杂性，使得当前查处金融“三乱”存在法律界限不明晰的问题，即承担法律责任的主体是批准部门、主管单位或组建单位还是个人以及承担的是刑事责任，行政责任还是民事责任，本文从整顿查处“三乱”的原则入手进行简要分析。
一、整顿查处金融“三乱”的原则
金融“三乱”一定程度上是我国在20世纪八十年代初期开始的金融体制改革过程中由于金融政策偏差造成的一种特殊的金融异化现象，它绝不是西方国家那种逃避金融管制，规避金融风险的金融创新，它是在经济高速发展时期，国家金融机构无法满足日益增长的资金需求情况下，由政府号召社会办金融解决资金供求矛盾，之后又畸形发展的产物，一定程度上它还反映了我国金融改革落后于现实的矛盾。“三乱”活动很大程度上是一种政府行为。自1998年7月国务院部署整顿和查处金融“三乱”以来，由于该项工作敏感度高、政策性强，涉及面广，情况复杂，行政执法和司法的任务重，压力大，加之“三乱”活动除金融违法和犯罪以外，又往往与贪污、贿赂、诈骗、渎职等刑事犯罪相关联，因而在整顿和查处过程中必须坚持三个基本原则。
第一、依法整顿和查处。依法办事是法治国家最基本要求之一。整顿和查处“三乱”应坚持依法进行。首先应依据有关金融、经济法律、法规，如《中国人民银行法》、《商业银行法》、《证券法》、《企业债券管理条例》（1993.8.27），尤其应依照《非法金融机构和非法金融业务活动取缔办法》（以下简称《取缔办法》1998.7.13），《整顿乱集资乱批设金融机构和乱办金融业务实施方案》（以下简称《实施方案》1998.7.29）、《金融违法行为处罚办法》（1999.2.22），党中央、国务院《关于深入金融改革、整治金融秩序、防范金融风险的通知》以及国务院有关清理整顿农村合作基金会，保险中介市场等的有关方案；其次应依照《行政处罚法》、《民法通则》、《国家公务员暂行条例》；最后应依照《刑法》、单行刑法以及有关刑事法律的司法解释，如《最高人民法院关于审理诈骗案件具体应用法律的若干问题的解释》（1996.12.16），《最高人民法院关于审理单位犯罪案件具体应用法律有关问题的解释》（1999.6.25）《最高人民法院关于农村合作基金会从业人员犯罪如何定性问题的批复》（00.5.12）等。
第二，谁主管，谁整顿；谁批准，谁负责；谁用钱，谁还债；谁担保，谁负相应责任。《取缔办法》中针对中国人民银行宣布取缔的非法金融机构，提出了“谁批准，谁主管，谁组建，谁负责债权债务的清理清退，没有批准部门、主管单位或组建单位的，由所在地的地方人民政府负责组织清理清退债权债务”的原则，对中国人民银行宣布取缔的非法金融业务，提出了“谁从事，谁负责清理清退债权债务”原则。《实施方案》将这一原则进一步具体化，明确提出对各级地方政府以及国务院直属部门所批准或主管的各类涉足金融业务的非金融机构进行整顿。“谁主管，谁整顿”，主管单位应根据有关法律、法规、规章进行清理整顿；“谁批准，谁负责”，主要是由批准单位负责债权债务的清理清退；“谁用钱，谁还债”“谁担保，谁负相应责任”主要指借款人、担保人应承担偿还债务义务。《取缔办法》着眼于追究“三乱”行为主体的法律责任，重在查处；《实施方案》则根据实际情况着眼于整顿，如此规定，主要考虑到“三乱”行为一定程度上是政府行为，如中央号召各级地方政府、部门批准成立的各类基金会，资金服务部等，这些非金融机构大多从事金融业务，因而坚持先清理整顿，对继续从事非法金融业务的再追究其法律责任，当然对于这类机构中从业人员的贪污、侵占、渎职违法犯罪行为理应追究其法律责任。对于未经任何单位、部门批准而擅自设立非法金融机构和从事非法金融业务的行为主体应坚决追究其法律责任。因而清理整顿的过程同时也是查处违法犯罪的过程。
第三，既要彻底解决问题，又要确保社会稳定。“三乱”活动涉及资金数额巨大，范围广，影响群众多，如仅四川省农村合作基金会集资总额就高达256.9亿元，涉及3000多万群众。因而国务院统一部署整顿查处方案，要求中国人民银行加强对整顿“三乱”工作的领导、组织和协调，地方政府高度重视，积极配合，分步实施，审慎处理，既要彻底解决“三乱”问题，尤其是各地地方政府、部门、企事业单位、个人不得再从事“三乱”活动，同时又要确保社会稳定，特别是妥善解决群众个人到期债务的清偿问题，避免引起大的动荡。对清理整顿中发现和暴露的违纪、违法、犯罪行为，要彻底清查，从严惩处。
二、法律责任重合问题
金融“三乱”虽一定程度上是政府行为，但部分单位，个人利用国家金融政策的偏差，大搞违纪、违法、犯罪活动，因而在整顿、查处“三乱”过程中必须追究有关单位、个人的法律责任、纪律责任。然而涉嫌“三乱”的案件往往表现为行政违法（违反金融、经济法律、法规、规章），刑事违法，甚至民事违法的交织重合，对三者的界定不仅是法学理论而且也是行政执法和司法实践中的难题。
“法律责任是有责主体因法律义务违反之事实而应当承受的由专门国家机关依法确认并强制其承受的合理的负担”，是“法律义务，可归责性和法律负担……三位一体的复杂实体。”[1]根据违法性质和危害程度不同，法律责任分为民事责任、行政责任和刑事责任三类。司法实践中行为人所承担的法律责任往往表现单一，然而三种或两种责任重合的情况亦不鲜见。
法律责任重合是指行为人的同一行为符合两个或两个以上不同的法律责任之构成要件，依法应当承担各种不同性质的法律责任。法律责任的重合是近代法律制度区分不同法律部门的结果。[2]《民法通则》第110条规定：“对承担民事责任的公民、法人需要追究行政责任的，应当追究行政责任，构成犯罪的，对公民、法人的法定代表人应当追究刑事责任。”这就是关于法律责任重合的规定。根据法律责任重合制度，行为人不因承担了某一性质的法律责任而免除其所承担的另一种不同性质的法律责任。司法实践中的法律责任重合主要表现为民事责任与行政责任，民事责任与刑事责任，行政责任与刑事责任的重合，但亦有民事责任，行政责任，刑事责任的重合。法律责任重合情况下，其责任实现方式之所以不实行单类罚而实行数类罚，理由在于民事责任是私法责任，行政责任和刑事责任是公法责任，行为人的行为可能既侵犯了公民或法人的民事权利，同时又侵犯了国家整体法秩序和利益，根据法律的法益保护和公正原则宜实行数类罚，然而对数类罚应作限制解释，它不是绝对的数类罚，而是以一种法律责任为主，其它法律责任仅起补充辅助作用。民事责任与刑事责任重合时，追究民事责任仅限于行为人对受害人造成了实际物质损失的情况；行政责任与刑事责任重合时，由于刑事责任与行政责任种类及功能上的差异决定了在适用刑罚时还可以适用行政处罚、行政处分以补刑罚之不足，如责令停业整顿、吊销营业执照等，同时行政处罚中的罚款应转为刑罚中的罚金。至于三大责任重合时，以刑事责任为主，民事责任可在行政责任中处理，即由行政机关责令返还或赔偿损失，亦可在刑事责任中的非刑罚处置方法中处理（刑法第37条）。
司法实践中行为人的违法行为究竟是民事违法、行政违法、刑事违法主要应从行为人的行为目的、情节、数额、结果上予以区分。
金融“三乱”中的违法、犯罪行为的法律责任重合主要表现为行政责任与刑事责任的重合，当然还有法律责任与纪律责任的重合。明白了法律责任重合的原理及处罚原则后，对“三乱”中的违法、犯罪行为的法律责任、纪律责任的追究就有了理论依据。
三、金融“三乱”中的犯罪
“三乱”中的犯罪行为主要表现为违反金融法律、法规、规章，以欺诈、伪造以及其他方法侵犯银行管理、货币管理、票据管理、信贷管理、证券、外汇、保险管理及其它金融管理，破坏金融管理秩序，依法应受刑罚处罚的金融犯罪行为以及发生在“三乱”活动中的侵占、贪污、贿赂、挪用资金、渎职等犯罪行为。
（一） 乱集资中的犯罪
《取缔办法》第四条规定“未经依法批准，以任何名义向社会不特定对象进行的非法集资”为非法金融业务活动。非法集资即为乱集资。根据《公司法》第84条，第86条，《企业债券管理条例》第10条，第11条，《商业银行法》第24条，第28条，《证券法》第10条之规定，向社会不特定对象集资必须经有权部门的批准，有权部门指中国人民银行，证监会、国务院，部分情况下包括省政府（《公司法》第139条）。合法集资主体仅限于股份有限公司，有限责任公司或其他依法设立的具有法人资格的经济组织，且须严格按法定方式、程序、条件、期限、额度、募集对象进行。《实施方案》对此进一步地作了扩张解释，规定地方政府发行地方政府债券，企业内部针对以内部职工为特定对象的有偿集资亦属非法集资。非法集资是乱集资犯罪的温床，由此构成的犯罪主要有集资诈骗罪，擅自发行股票、债券罪、欺诈发行股票、债券罪以及非法吸收公众存款罪。
四罪均是法定犯、数额犯、结果犯，均侵犯了国家集资管理制度，破坏了国家正常金融秩序。具体而言，集资诈骗罪、非法吸收公众存款罪侵犯了国家对金融的管理制度，擅自发行股票、债券罪，欺诈发行股票、债券罪，侵犯了国家对股票、债券的管理制度，同时集资诈骗罪、欺诈发行股票、债券罪还侵犯了公私财产所有权。四罪在主观上均出于直接故意，集资诈骗罪还具有非法占有数额较大集资款的目的。这是该罪区别于其余三罪的关键，其余三罪仅仅是为了获得集资款的使用权以应用于生产经营活动。四罪在行为特征上表现为违反金融法律、法规、规章，集资诈骗罪须有诈骗和非法集资二行为特征；非法吸收公众存款罪表现为非法吸收或变相吸收公众存款；擅自发行股票、债券罪表现为违反国家证券法律、法规，未经证监会批准发行股票、债券；欺诈发行股票、债券罪表现为在招股说明书、认股书、公司股票、企业债券募集办法中隐瞒重要事实或编造重大虚假内容，发行股票、债券，不论其是否经过有权部门批准。四罪在行为结果上均要求数额较大或巨大，至于数额的确认应坚持总额说，即非法集资总额，非法吸收公众存款总额，欺诈发行、擅自发行股票、债券的面值总额。
自然人或单位均可成为四罪主体。单位构成犯罪须是体现单位整体意志，为单位整体利益并由单位主管人员或其指定的人员实施的行为。自《民法通则》第49条规定可以追究法人的法定代表人的刑事责任以来，单位的违法行为逐渐进入了刑法调控范围，但对单位主体的认定有时显得极其困难。根据《最高人民法院关于审理单位犯罪案件具体应用法律有关问题的解释》，上述四罪在以下三种情况下不以单位犯罪处理而视为自然人犯罪。一是行为人成立公司、企业的目的就是为了实施上述犯罪行为；二是成立公司、企业等单位的目的最初不是为了实施上述四类犯罪行为，但成立后，主要活动不是生产经营，而是实施上述行为；三是直接盗用公司、企业等单位名义实施上述行为，且非法所得由自然人私分。
（二） 乱批设金融机构中的犯罪
根据《中国人民银行法》第4条，《商业银行法》第11条，第146条，第157条，《保险法》第70条等之规定设立金融机构必须经中国人民银行、证监会或国务院批准，否则是非法金融机构。乱批设金融机构中的犯罪主要是擅自设立金融机构罪。
该罪是指未经国家金融主管部门批准擅自设立商业银行、证交所、期货交易所、证券公司、期货经纪公司、保险公司或其他金融机构（包括外国金融机构）行为。该罪侵犯的客体是国家对金融机构的审批制度；主观上是故意且明知其行为违反了国家金融法律、法规；客观上表现为未向国务院或国务院金融主管部门提出申请而设立，或虽已向国务院或金融主管部门提出申请，但在经审查未批准情况下设立金融机构，或虽经批准但许可证失效后，仍经营金融业务的机构。[3]金融机构擅自设立的金融分支机构亦是非法金融机构。至于已经有权部门批准但未到工商行政管理部门领取营业执照的情况下设立的金融机构不属非法金融机构，仅是金融机构成立瑕疵的问题。该罪是行为犯，只要客观上“擅自设立”的行为完成即构成既遂，而不以开始营业为既遂标志。至于将非法金融机构筹备组织的成立也视为该罪既遂，[4]我们认为不妥。《取缔办法》第三条规定“非法金融机构的筹备组织，视为非法金融机构”，这仅是行政法规定，其目的是为了对其予以取缔，刑法上对此无明确规定，立法、司法上亦无相应解释。若将非法金融机构的筹备组织成立视为既遂，那么非法金融机构正式成立又是什么犯罪形态呢？我们认为非法金融机构的筹备组织的成立仅是该罪的着手。
自然人或单位均可成为本罪主体。无权批准设立金融机构的单位擅自批准成立非法金融机构，致使公共财产、国家和人民利益遭受重大损失的，直接负责人构成滥用职权罪。
国务院关于口岸开放的若干规定(附英文)
国务院
国务院关于口岸开放的若干规定(附英文)
1985年9月18日，国务院
规定
随着我国对外贸易、国际交往和旅游事业的发展，将进一步开放新的口岸。为加强口岸开放的审批工作，特制定本规定。
一、本规定所指口岸是供人员、货物和交通工具出入国境的港口、机场、车站、通道等。口岸分为一类口岸和二类口岸。一类口岸是指由国务院批准开放的口岸（包括中央管理的口岸和由省、自治区、直辖市管理的部分口岸）；二类口岸是指由省级人民政府批准开放并管理的口岸。
二、口岸的开放和关闭，由国务院或省级人民政府审批后公布执行。
三、凡开放口岸，应根据需要设立边防检查、海关、港务监督、卫生检疫、动植物检疫、商品检验等检查检验机构，以及国家规定的其他口岸机构。
四、两类口岸的具体划分：
（一）以下为一类口岸：
1、对外国籍船舶、飞机、车辆等交通工具开放的海、陆、空客货口岸；
2、只允许我国籍船舶、飞机、车辆出入国境的海、陆、空客货口岸；
3、允许外国籍船舶进出我国领海内的海面交货点。
（二）以下为二类口岸：
1、依靠其他口岸派人前往办理出入境检查检验手续的国轮外贸运输装卸点、起运点、交货点；
2、同毗邻国家地方政府之间进行边境小额贸易和人员往来的口岸；
3、只限边境居民通行的出入境口岸。
五、报批程序：
（一）一类口岸：由有关部（局）或港口、码头、车站、机场和通道所在地的省级人民政府会商大军区后，报请国务院批准，同时抄送国务院口岸领导小组、总参谋部和有关主管部门。
（二）二类口岸：由口岸所在地的人民政府征得当地大军区和海军的同意，并会商口岸检查检验等有关单位后，报请省级人民政府批准。批文同时送国务院口岸领导小组和有关主管部门备案。
六、报批开放口岸应附具下列资料：
（一）对口岸开放进行的可行性研究报告，以及口岸的基本条件、近三年客货运量、经济效益和发展前景的资料。
（二）根据客货运输任务提出的有关检查检验单位、口岸办公室、中国银行等机构设置和人员编制方案。
（三）检查检验场地和办公、生活设施等规划，以及投资预算和资金来源。
七、对外开放前的验收：
（一）新开放的口岸，在开放前必须对其交通安全设施、通信设施、联检场地、检查检验等单位的机构设置和人员配备，以及办公、生活设施等进行验收。验收合格后，才能宣布开放。
（二）一类口岸，由国务院口岸领导小组办公室负责组织验收；二类口岸，由所在省、自治区、直辖市口岸办公室或其他主管口岸工作的部门负责组织验收。
八、临时进出我国非开放区域的审批权限：
（一）临时从我国非开放的港口或沿海水域进出的中、外国籍船舶，由交通部审批，并报国务院口岸领导小组备案。报批前应征得军事主管部门和当地人民政府以及有关检查检验单位的同意，并安排好检查检验工作。
（二）临时从我国非开放机场起降的中、外国籍民用飞机，由中国民用航空局征得军事主管部门同意后审批，非民用飞机由军事主管部门审批，并报国务院口岸领导小组备案。报批前应征得当地人民政府和有关检查检验部门的同意，并安排好检查检验工作。
（三）临时从我国非开放的陆地边界区域进出境的中、外国籍车辆和人员，由省级人民政府审批。报批前应征得当地省军区和公安部门的同意，并安排好检查检验工作。
九、口岸开放应有计划地进行，按隶属关系分别列入国家或地方口岸开放计划。国务院有关部门和省、自治区、直辖市应将口岸开放计划（草案），于计划年度前两个月报国务院口岸领导小组，并抄报国家计委、劳动人事部和检查检验单位的有关主管部门。
十、开放口岸检查检验设施建设资金来源：
（一）中央管理的口岸，由中央负责解决；地方管理的口岸，由地方负责解决。
（二）国家新建开放的港口、码头、车站和机场（含军用改为军民合用的机场）等口岸建设项目（包括利用外资和中外合资项目），以及老口岸新建作业区和经济开发区的新港区等项目，所需联检场地应与港口、码头、车站、机场等主体工程统一规划。所需投资包括在主体工程之内。
检查检验单位办公、生活土建设施（包括宿舍）的投资，由口岸建设项目的主管部门组织有关单位研究，统一汇总报国家计委审批。批准后，投资划拨给口岸所在地的省、自治区、直辖市，由地方统一规划，统一设计施工。军用改建为军民合用机场的口岸项目，应事先征得空军或海军同意，如在机场内建设，建设单位可提出要求，由空军或海军统一规划。
（三）各部（局）直属的原有港口、码头、车站和机场需要对外开放时，所需联检场地，原则上要利用原有建筑设施。如确需扩建、新建，应由港口、码头、车站和机场的主管部门投资建设。检查检验单位的办公、生活土建设施（包括宿舍）的投资，原则上由各自主管部门解决。对确有困难的，国家或地方给予适当补助，由地方统一建设，投资交地方包干使用。
（四）地方新开口岸，所需联检场地和检查检验单位的办公、生活土建设施（包括宿舍），由地方统一投资，统一建设。
（五）国际海员俱乐部的建设规划和投资来源，比照（二）、（三）、（四）项规定解决。
（六）检查检验单位所需的交通工具、仪器设备等，由各自主管部门解决。
（七）联检场地内，划给检查检验单位的办公和业务用房（包括水、电、市内电话），应由港口、码头、车站和机场（包括军民合用的机场）的经营单位免费提供。
十一、本规定由国务院口岸领导小组办公室负责解释。
十二、本规定自发布之日起施行。
PROVISIONS OF THE STATE COUNCIL ON THE OPENING OF PORTS
Important Notice: (注意事项)
英文本源自中华人民共和国务院法制局编译, 中国法制出版社出版的《中华人民
共和国涉外法规汇编》(1991年7月版).
当发生歧意时, 应以法律法规颁布单位发布的中文原文为准.
This English document is coming from the "LAWS AND REGULATIONS OF THE
PEOPLE'S REPUBLIC OF CHINA GOVERNING FOREIGN-RELATED MATTERS" (1991.7)
which is compiled by the Brueau of Legislative Affairs of the State
Council of the People's Republic of China, and is published by the China
Legal System Publishing House.
In case of discrepancy, the original version in Chinese shall prevail.
Whole Document (法规全文)
PROVISIONS OF THE STATE COUNCIL ON THE OPENING OF PORTS
(Promulgated on September 18, 1985)
With the development of our foreign trade, international exchanges and
tourisms, more ports will be opened. These Provisions are formulated in
order to strengthen the work in the examination and approval for opening
ports to foreign countries.
1. The term "ports" referred to in these Provisions denotes the harbours,
airports, stations, thoroughfares, etc., which are used for personnel,
goods or means of transport to enter or leave the country. The ports in
our country are divided into two categories. Category-1 ports refer to
those ports which have been opened upon the approval of the State Council
(including those administered by the Central Government and some of the
ports administered by the provinces, autonomous regions and municipalities
directly under the Central Government); category-2 ports refer to those
ports which have been opened upon approval by the people's governments at
the provincial level and are administered by them.
2. The opening and closing of ports shall be announced and executed after
the examination and approval by the State Council or the people's
governments at the provincial level.
3. Organs in charge of frontier inspection, Customs, harbour
superintendency, quarantine, quarantine for animals and plants, commodity
inspection, etc., as well as other port organs stipulated by State shall
be set up at the open ports according to the actual needs.
4. Criteria for the division of the two categories of ports:
(1) The following are category-1 ports:
A. ports open to vessels, planes, vehicles and other means of transport of
foreign nationality used to transport passengers and goods into or out of
China through sea, land or air;
B. ports for use only by Chinese vessels, planes and vehicles transporting
passengers and goods out of or into the country through sea, land or air;
C. spots on the sea within our territorial waters where vessels of foreign
nationality are allowed to enter or leave for the purpose of delivering
goods.
(2) The following are category-2 ports:
A. spots for loading and unloading, starting shipment and delivering goods
for Chinese vessels engaged in foreign trade where the formalities for
exit and entry inspection and examination are conducted by personnel sent
from other ports;
B. ports where border trade in small amounts and contacts between people
are carried out with local governments of neighbouring countries;
C. ports restricted to the exit or entry of the local residents in the
border areas.
5. The procedures for report and approval:
(1) Category-1 ports: the relevant ministries (or bureaus) or the people's
governments of the provinces where the harbours, wharves, stations,
airports and thoroughfares in question are situated shall, after
consultation with the military area commands, submit the application to
the State Council for approval, with copies of the application sent to the
Leading Group for Port Affairs of the State Council, the Headquarters of
the General Staff of the People's Liberation Army and the relevant
competent departments.
(2) Category-2 ports: The people's governments of the regions where the
ports in question are situated shall first obtain the agreement of the
military area commands concerned and the Navy, and hold consultations with
the units in charge of port inspection and examination. Applications shall
then be submitted to the people's governments at the provisional level for
approval, with copies of which sent to the Leading Group for Port Affairs
under the State Council and the relevant competent departments for the
record.
6. The following materials should be attached to application for opening a
port:
(1) A feasibility report, the materials concerning the basic conditions of
the ports, the volume of passenger transport and freight volume in the
last three years, and the potential economic results and the prospects for
development.
(2) The plan for the establishment of such port organs as offices in
charge of inspection and examination, offices for port affairs and
branches of the Bank of China, according to the task for transporting
passengers and goods.
(3) Plans for constructing inspection and examination grounds and for
building facilities for office work and the daily life of the staff
members, as well as investment budget and source of funds.
7. Final check-up and acceptance before a port is opened:
(1) Before a new port is opened, the establishment of organs and the
provisions of staff members of offices in charge of traffic safety, for
telecommunications, combined inspection and examination as well as
facilities for office work and daily life must go through the procedure of
final check-up and acceptance. New ports may be opened only after the
facilities are finally checked and accepted.
(2) The office of the Leading Group for Port Affairs of the State Council
shall be responsible for the check-up and acceptance of category-1 ports.
The offices for port affairs in the provinces, autonomous regions and
municipalities directly under the Central Government or other competent
departments in charge of port affairs shall be responsible for the check-
up and acceptance of category-2 ports.
8. The competence for examination and approval of applications for
temporarily entry and exit at the non-open areas of our country:
(1) Applications by vessels of Chinese or foreign nationality for
temporarily entry or exit at non-open harbours or coastal waters of China
shall be examined and approved by the Ministry of Communications and
reported to the Leading Group for Port Affairs of the State Council for
the record. Before the applications are submitted for approval, the
agreement of the competent authorities for military affairs, the local
people's governments and the relevant units in charge of examination and
inspection shall be obtained, and the details of the examination and
inspection work shall be arranged.
(2) Applications by civil planes of Chinese or foreign nationality for
temporarily take-offs or landings at China's non-open airports shall be
examined and approved by the Civil Aviation Administration of China,
which, however, should obtain the agreement of the competent authorities
for military affairs. Applications by non-civil planes shall be examined
and approved by the competent authorities for military affairs. Both kinds
of applications must be reported to the Leading Group for Port Affairs of
the State Council for the record. Before the applications are submitted
for approval, the agreement of the local people's governments and the
relevant departments for examination and inspection should be obtained,
and the details of the examination and inspection work shall be arranged.
(3) Applications by vehicle and personnel of Chinese or foreign
nationality for temporarily entry and exit at our non-open border areas on
land shall be examined and approved by the people's governments at the
provincial level. Before the applications are submitted for approval, the
agreement of the relevant provincial military area command and the
department of public security shall be obtained, and the details of the
examination and inspection work shall be arranged.
9. New ports shall be opened according to the relevant State or local
plans. The competent departments under the State Council, and the
provinces, autonomous regions and municipalities directly under the
Central Government, shall send plans (drafts) of opening ports to the
Leading Group for Port Affairs of the State Council two months before a
planned year begins, with copies sent to the State Planning Commission,
the Ministry of Labour and Personnel and the relevant competent
departments of the units in charge of inspection and examination.
10. The sources of funds for building facilities for inspection and
examination at the open ports:
(1) The Central Government shall be responsible for providing the funds
for the ports under its administration. The local people's governments
shall be responsible for providing funds for the ports under their
administration.
(2) Where grounds for combined inspection and examinations are needed in
such port construction projects (including projects with foreign
investment and Chinese and foreign equity joint-venture projects) as
harbours, wharves, railway stations and airports (including those which
have been transformed from military airports used for both military and
civilian purposes) as well as in such projects as newly-built operation
areas at old ports and new harbour areas in economic development zones,
the construction of these grounds shall be incorporated into the plans of
the main projects of the prescribed harbours, wharves, railway stations
and airports. The investment needed for the construction of these grounds
shall be incorporated in the investment for the main projects. The
competent departments for port construction projects shall organize the
relevant units to carry out research on the investment structure for the
construction of the facilities for office work and for the daily life of
the staff members (including dormitories) of the units in charge of
inspection and examination and present itemized reports to the State
Planning Commission for examination and approval. After the approval is
obtained, the investment shall be transferred to the provinces, autonomous
regions and municipalities directly under the Central Government where the
ports are situated. The local people's governments shall be responsible
for the unified planning, designing and construction of the ports. Where
military airports are to be transformed into airports for both military
and civilian purposes, agreement should be obtained from the Air Force or
the Navy beforehand. In the case that the construction is to be carried
out within the airports, the units responsible for the construction may
submit draft plans, which shall be incorporated in the unified plans of
the Air Force or the Navy.
(3) Where the existing harbours, wharves, railway stations and airports
directly under the administration of various ministries (or bureaus) need
to be opened, the grounds for combined inspection and examination for
these ports shall, in principle, be set up by making use of the existing
buildings and facilities. If it is necessary to extend the original
buildings or build new grounds for combined inspection and examination,
the competent departments for the harbours, wharves, railway stations and
airports shall be responsible for the investment. The investment for the
construction of the facilities for office work and the daily life of the
staff members (including dormitories) of the units in charge of inspection
and examination shall, in principle, be provided by their respective
competent departments. In the extreme cases of difficulty with respect to
investment, the State or the local governments may provide appropriate
subsidies. The investment shall be turned over to the relevant people's
governments, which are held responsible for the completion of the
construction.
(4) The local people's governments shall be responsible for the investment
and construction of the grounds for combined inspection and examination
and the infrastructure facilities for office work and the daily life of
the staff members (including dormitories) of the units in charge of
inspection and examination, which are needed in their newly-opened ports.
(5) The construction plans and sources of investment for international
seamen's clubs shall be provided in accordance with the provisions of
Paragraphs (2), (3) and (4) of this Article.
(6) The means of transport, instruments, equipment, etc., needed by the
units in charge of inspection and examination shall be provided by their
respective competent departments.
(7) Within grounds for combined inspection and examination, the rooms for
office work and other related purposes (including water, electricity and
inner-city telephone) which have been assigned to the units in charge of
inspection and examination shall be provided free of charge by the
business units of the harbours, wharves, railway stations and airports
(including those used for both military and civilian purposes).
11. These Provisions shall be interpreted by the office of the Leading
Group for Port Affairs of the State Council.
