Shenzhen explores a new way to apply big data to prevent and control the risks of clean government.
In recent years, Shenzhen attaches great importance to the prevention and control of clean government risks. The Shenzhen Municipal Commission for Discipline Inspection has conducted special research on this work for many times and deployed relevant pilots.
At the end of 2016, Zhang Zixing, member of the Standing Committee of Shenzhen Municipal Committee and secretary of the Municipal Commission for Discipline Inspection, went to Shenzhen Local Taxation Bureau for investigation and pointed out that the bureau should take risk management as the core, promote the deep integration of tax collection and management reform with the prevention and control of clean government risks and the construction of a clean and honest government, and explore new measures to prevent corruption that are highly integrated with business construction.
Under the guidance of the Shenzhen Municipal Commission for Discipline Inspection, Shenzhen Local Taxation Bureau, in combination with its business characteristics, has built a "five-catch" working mechanism, embarked on a new way of using big data to prevent and control the risks of clean government, and achieved gratifying initial results.
Grasp the subject and establish a "three-dimensional" responsibility system
Shenzhen Local Taxation Bureau has 21 grass-roots bureaus and 430 windows, which manage more than 16 million legal and natural taxpayers, and the annual tax revenue exceeds 200 billion. Many points, many lines, and a wide range of work directly involve economic interests, which not only means that there are more risks in clean government, but also urgently needs to compact responsibilities at different levels.
To this end, the party group of Shenzhen Local Taxation Bureau put pressure on the implementation of the main responsibility, and took the initiative to reform the tax management system, focusing on how to solve the problem in the power operation and supervision mechanism.
"The party group of the bureau plans the direction and key points of the reform, the grassroots practice, the solidification and promotion of the municipal bureau, and gradually establishes a management system that effectively prevents corruption." Qianyong, Party Secretary and Director of Shenzhen Local Taxation Bureau, said that the members of the Party Committee of Shenzhen Local Taxation Bureau insisted on going to the front-line posts to experience practice every year, and learned about the implementation and excellent work style at the grassroots level on the spot, looking for problems and promoting reform.
Twenty-one grass-roots bureaus are striving to fulfill their responsibilities in their work practice, actively implementing the decision-making arrangements of the bureau party group, and combining with the actual risk of clean government, carrying out process transformation, information system construction and performance management exploration according to local conditions.
First-line departments should do their duty to play the role of fighting fortress. In the pilot reform, some departments have to work twice as much as the legal working hours, and some have to rely on data analysis instead of "calling" and "going to households".
The discipline inspection and supervision departments take the initiative to play their duties. Under the guidance of the Corruption Prevention Office and the stationed team of the Municipal Commission for Discipline Inspection, they will strengthen the integration of supervision and accountability with tax business, closely focus on tax business platforms and business data, build supervision platforms and functional modules, and embed clean government supervision into the information workflow.
Grasp the object and establish a "data-based" management mode
The tax system generally implements the "contracted" household management mode in which taxpayers are divided according to districts or industries and assigned to tax administrators according to households. However, the rights and responsibilities of tax administrators are generally expressed, which brings hidden dangers of clean government, such as centralized power, unclear boundaries of rights and responsibilities and difficult supervision.
In the reform, according to the decomposition process of "power-matter-data", Shenzhen Local Taxation Bureau combed the object of power into a data carrier with fine granularity and quantitative analysis, and established a data management model.
Deeply sort out the object of power and realize "clarifying power by things" In view of the problem that power and things are often coupled together, the tax law enforcement power and administrative management power are sorted into 130 categories, and the four basic elements of the operation content, output, process and standard of the matter are defined, giving the matter a clearer connotation, thus clarifying the boundary and connotation of power.
Take matters as the starting point of management unit and power balance, and realize "matching between matters and posts" Taking "whether the taxpayer’s tax interests are involved or not, whether the tax personnel make subjective judgment and approval" as the standard, the power matters and non-power matters are clearly divided, so that the risk points of clean government in management matters are clear. For matters that embody power, power is decomposed and restricted in the workflow, and traces are left in all links in the information system.
Carry out data transformation on matters and realize data transformation of matters. Tax collection and management is the logical application of policy basis, financial data and factual evidence. According to the principle of "from easy to difficult", the Municipal Local Taxation Bureau began to transform all kinds of matters into data from 2012, so that the contents, outputs, processes and standards of matters can be incorporated into the information system, laying the foundation for quantitative statistics, data recording and trace management.
Grasp the platform and establish an information system competent for "big data management"
In the past, tax management mainly relied on manual work and old experience. Even if there was an information system, it only copied the original process into the computer. The prevention and control of integrity risks mainly relied on traditional practices such as "man-to-man" and warning education.
In the reform, Shenzhen Local Taxation Bureau put the information system construction at a strategic height, changed the "ecology" of power operation by using informatization, and fundamentally changed the ways and means of tax management and clean government supervision.
"Go into the system" instead of "find someone to do it" to prevent cardiopulmonary bypass. In recent years, Shenzhen Local Taxation Bureau has successively established five platforms, namely, collection, management, service, inspection and administration, to achieve full coverage of local taxation functions, and all tax management and administrative matters need to be handled through the information system.
"Intelligent management" replaces "manual management", which reduces human interference. Twenty-four types of tax source management matters with small risks and large transactions, such as tax arrears announcements and tax reminders, will be automatically handled by the information system in batches on a regular basis after data transformation, with tax administrators "zero intervention".
Work is "automatically generated" instead of "subjective decision" to prevent power rent-seeking. In order to prevent the hidden dangers of "personal tax" and "relationship tax", Shenzhen Local Taxation Bureau established a big data management system, comprehensively refined management experience, and set 181 doubtful indicators as a list of subjects for taxpayers’ "physical examination". In recent years, nearly 160,000 suspicious cases have been screened out every year, greatly reducing the hidden dangers of clean government.
Task "random distribution" replaces "fixed management" to prevent power concentration. Considering the difficulty of each suspect investigation task and the energy level of the tax controller, the system randomly assigns tasks to the tax controller.
"Standard into the system" replaces "system on the wall" to promote the implementation of disciplinary provisions. According to the requirements of clean government, responsibility boundaries and work norms, a comprehensive standard system is established and information systems are implanted. Local tax cadres must meet the standard requirements in operation steps, record contents and output.
"Data integration" replaces "fragmented" and breaks regulatory barriers. Unify the underlying data architecture of all platforms and standardize the format standards of all data sources, so that internal business data, external tax-related data, personnel performance data and task assignment data can be viewed and shared on different platforms, so that tax business and clean government supervision can be integrated.
Integrity and business system "integrate" instead of "two skins" to solve the disconnection phenomenon. Build an internal control platform for integrity risk in the business system, focus on high-risk links, and set up 109 integrity risk indicators in four categories: tax service, process response, inspection and evaluation, and tax-related filing, focusing on checking business compliance from whether it is handled beyond authority and whether it is illegal. Grab data from the business system, use internal control indicators to scan, and screen out the suspected integrity risks, so that integrity supervision and business processes can run simultaneously.
Grasping the trace and establishing the dominant operation chain of "whole process" power
Zhang Jinchuan, head of the 13th Discipline Inspection Team of the Shenzhen Municipal Commission for Discipline Inspection and member of the Party Group of the Municipal Local Taxation Bureau, said that in the past, there was a lack of detailed and complete data traces in tax business work and clean government supervision. After the reform, business work, supervision and inspection can be traced back in the information system by relying on the process management platform.
On the one hand, the business work is completely closed-loop, so that the supervision has no dead ends and can be traced. The task conduction feedback mechanism is established, and the work is divided into four links: task distribution, task allocation, task response and result feedback, all of which flow in the information system in a closed loop.
For example, in the way of issuing tasks, from the past, mainly relying on meetings and documents to be deployed step by step, to relying on information system list distribution, the task list can be left behind and can be viewed at any time. In the past three years, including the investigation of doubtful points, about 300,000 pieces of work have been incorporated into the process management platform every year, and each link has a list and records, so that supervision has a basis, evaluation has data, and accountability has evidence.
On the other hand, supervision and inspection leave traces at the same time, which provides a means for discipline inspection and supervision departments to strengthen self-supervision. According to the closed-loop operation process of the business, we will create a trace operation mechanism for the prevention and control of integrity risks, establish a work chain of "big data integrity risk screening-integrity risk task generation-task allocation-risk investigation-result filling" and incorporate it into the information platform. The response process and the response report of integrity risk prevention and control tasks must be recorded in the system, which also ensures that discipline inspection and supervision cadres reflect "higher standards and stricter discipline" in their work.
Grasp supervision and establish a supervision mechanism of "random sampling+data screening"
Relying on the information platform and work data, we will conduct due diligence supervision and clean government supervision on cadres’ work.
On the one hand, establish a work spot check and review mechanism. Randomly select 10% of the jobs, and conduct comprehensive joint review and cross review on the standardization of the work process, the rationality of the application of policies and regulations, and the fairness of the results according to the work traces. The results of the review will be included in the performance evaluation, and those who have unfair doubts will be promptly transferred to the discipline inspection and supervision department to start the investigation procedure of integrity risks.
On the other hand, carry out clean government risk screening and elimination. In recent years, special inspections such as "disorderly conduct" of risk management and taxation in lobby windows have been carried out, and the suspected integrity risks have been screened out by using internal control indicators, and they have been dealt with according to the verification, and successful experience has been gained in applying big data to prevent and control integrity risks.
Through the above-mentioned series of reform measures, Shenzhen Local Taxation Bureau has made progress in improving the quality and efficiency of work, optimizing the work style and political style, and preventing and controlling the risks of clean government.
According to the statistics of the Supervision Department of Shenzhen Local Taxation Bureau, in recent years, the incidence rate of local taxation system has dropped significantly. At the same time, the inspection results in the past three years show that the overtime rate of the bureau has dropped from 4% to 1%; The taxpayer’s satisfaction has been greatly improved, and the increase rate is the highest in the national tax system, which was praised by State Taxation Administration of The People’s Republic of China; In 2016, the number of letters and visits decreased by 28% year-on-year.