二、地方政府职能转变要抓好“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，国务院的改革方案把“职能转变”放进了标题，这次关于地方政府改革的意见又把“职能转变”放到“机构改革”前面，就是为了突出强调职能转变。各方面普遍认为，政府改革的核心是职能转变，职能不转变，机构改革也达不到目的。这次地方政府职能转变要重点抓好“接、放、管”。接，就是把中央放给市场的权力接转放开，把中央下放给地方的职能接好管好；放，就是把本级该放的权力切实放下去、放到位；管，就是把地方该管的事情管起来、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审批事项。中央明令取消的审批事项，要不折不扣地放给市场、放给社会，地方不能变相保留。为了使地方政府更有力有效、就近就便进行经济社会管理，中央要把相应的权力下放给地方。放给省一级的，省里要接好管好；放给市县的，省一级要及时下放，不截留，不梗阻，市县一级也要接好管好。最近新闻联播报道了“蛟龙号”载人深潜器的国家深海中心基地建设，这是国家投资项目，按原来的管理审批程序，有好几道，要盖几十个公章，至少要两年。现在中央把有关权力下放给地方政府，两个月就落地了。从这个例子看，下放权力就是解放生产力，就是提高效率。我们还要注意，下放给市场、社会的权力，要放就要真正放到位。现在有一些社会组织还是政府管理的机构，如果把权力放给这些行政化的社会组织，就可能还是在政府内部“转圈”，要切实防止这种现象。

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审批事项。省级政府对现有的审批事项要严格清理，该取消和下放的坚决取消下放。国务院提出，本届政府任期5年内，至少取消和下放1/3以上的行政审批事项，省级政府也应根据实际情况提出明确要求。而且不光要看数量，还要看质量。今后省一级原则上不得新设行政审批事项。市县一级政府本来就不能设定行政审批，但存在不少以“红头文件”设定的管理事项，包括登记、备案、审定、年检、认证、监制、检查、鉴定以及这个证、那个证等。这些虽然不叫行政审批，但对企业来说都是“门槛”，与审批没什么区别，而且多数是收费的。大家都看过报道，有人画了一张行政审批的“万里长征图”，办一个企业，上一个项目，要盖上百个公章，不仅如此，还被“吃拿卡要”。中央有关部门接到投诉，经查核，有这样一个情况。北京一所高校的一位毕业生，回到家乡创业，办一个书店，在多个部门跑了30多趟，花了不少钱，历时三个多月，总算办起来了。但开业后，各种检查、收费、罚款就跟着来了，没钱就拿书，最多的一次拿走了140多本。最后，他一气之下关门不干了。我们非常希望在大城市上学的大学生，毕业后回到家乡创业，带动当地就业。但如果没有一个好的环境，他怎么回去创业呢？因此，要实行最严格的行政审批“准入制”，对于不符合法律规定、利用“红头文件”设定的管理、收费、罚款项目，要一律取消。国务院已经决定对商事登记制度进行改革，据了解，人民群众特别是青年人、大学生是欢迎的，都期盼着这项改革尽快落地生根，各地要抓紧把改革的配套措施落下去，让创业“火”起来。

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）要加强地方政府管理服务职能。我们说放、放到位，并不是说不管。放和管是两个轮子，只有同时转起来，政府改革才能顺利推进。地方政府面对千千万万生产经营者，必须把市场监管这个职能履行到位。减少了事前审批，事中事后监管就要跟上。这次地方政府改革，要把市场监管重心下移，加强市县政府的市场监管职能和力量，建立横向到边、纵向到底的监管网络，逐步做到疏而不漏，防止再走入“一放就乱、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.

地方政府抓经济，很重要的一条，是为各类市场主体创造统一开放、公平竞争的发展环境，这也是加强管理服务职能的一个重要方面。今后地方政府原则上不要再直接投资办企业，地方政府直接办企业或直接干预企业生产经营，容易在当地形成投资、产业的垄断和市场封锁。多年来，全国统一开放的市场完善不起来，一个重要原因就是地方保护。对一个地方来说，应该是不求所有、但求所在。这是改革开放之初南方一些地区提出的理念，实践证明他们发展起来了。能够发展地方经济，增加就业，政府依法收税，这才是根本。地方政府抓经济，不是当“司机”，不是直接开车上路，而是要管好“路灯”和“红绿灯”，当好“警察”。“路灯”就是为所有的企业照亮道路，对所有的企业一视同仁，不厚此薄彼。“红绿灯”就是讲规则，该走则走、该停则停，也对所有企业一视同仁。当好“警察”，就是加强监管，对假冒伪劣、欺行霸市、坑蒙拐骗、侵犯知识产权，特别是对食品安全等领域损害人民生命健康的违法违规行为，要严惩不贷。这样，对于遵纪守法、诚信经营的企业才是公平的。如果监管不力，坑蒙拐骗之类的反而吃得香、走得开，就会出现“劣币驱逐良币”的现象。我们把更多精力放到这上面来，也是建立一个良好的市场环境，经济转型升级也会有一个良好的基础。

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.

还要改革创新监管方式，建立一套科学监管的规则和方法。过去我们在市场监管上，年度检查、月度检查太多了，还时不时搞“大检查”，不是说不可以搞，但问题是查谁不查谁、罚谁不罚谁、罚多还是罚少，随意性太大。在这方面，我们可以借鉴一些国家的做法，对监管对象按确定的比例随机抽查。随机不是随意，而是有规则。比如100家企业，规定每年抽查百分之几，通过“摇号”来确定，被摇上的，就一查到底。也可以委托给第三方去查。一旦发现有违法行为，就要重罚，让违法者无利可图，甚至倾家荡产。同时要建立健全经营异常名录和黑名单制度，把问题企业和违法经营者列进去，用技术手段来保证这个制度的刚性，一旦被列进去，任凭找什么关系、走什么“路子”都抹不掉。一次经营违法，可能终身不能在这个领域从业。有这样一个具有普遍震慑作用的制度，所有企业都感到头上有一把剑，侥幸心理就会越来越少。诚信经营的，半夜不怕鬼敲门；坑蒙拐骗的，说不定哪一天被“摇”上，就要付出难以承受的代价。这样也可以规范政府监管人员的行为，降低监管成本，提高监管效率。各地可以在这方面进行探索。

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务，也是地方政府需要加强的管理服务职能。这方面，政府的责任主要还是保住基本、补上短板、兜好底线，促进社会公正。现在一些地方保基本的内容走了样，“雪中送炭”的事还没做好，却热衷于搞“锦上添花”。有的义务教育学校变成了所谓“贵族学校”，有的养老院也过于豪华。政府把什么都包起来，把什么费用都免了，看似是在做好事，但实际上包不住、也包不起，社会力量又进不来，因为即使保本微利也难以平等竞争。我们要多动脑筋，调动市场力量来发展服务业。但政府必须把保基本的责任履行到位。最近，国务院明确提出要强化社会救助制度建设，用这个制度来托底。只有把底托住，不让冲破社会道德和心理底线的事情屡屡发生，才能更有力地推进市场化改革，这也是社会主义市场经济的应有之义。

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.

要更加重视基层政府建设。大家常说，“上面千条线，下面一根针”。县（市）和乡镇政府，还有城市市区政府及派出机构，直接和人民群众打交道，直接为人民群众服务。广大基层干部工作很辛苦，收入也不高，有的地方连工资都不能正常发放。可以说一些乱罚款、乱收费也与此有关。我们要给基层干部更多的关心，为他们的生活和工作提供切实保障，特别是不能拖欠工资。中央对地方的转移支付，要优先考虑广大基层干部的工资发放。

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.