《海南省矿业权网上交易规则（试行）》

政策解读

Interpretation of theRules for Online Transaction of Mining Rights in Hainan Province (Trial)

近日，海南省自然资源和规划厅印发了《海南省矿业权网上交易规则（试行）》（琼自然资规〔2021〕5号以下简称《规则》），规范矿业权权网上交易行为（以下简称网上交易），提高交易效率，促进交易公平，现解读如下：

Recently,the Department of Natural Resources and Planning of Hainan Provinceissuedthe Rules for Online Transaction of Mining Rights in Hainan Province (Trial)(Hainan DNRP - Regulation - 2021 - No. 5)(hereinafter referred to the Rules) to regulate the online transaction of mining rights (hereinafter referred to as online transaction), improve the efficiency of the transaction and promote fairness in the transaction. The Rules is explained as follows:

1. 出台背景

1. Background

依据《中共中央 国务院关于构建更加完善的要素市场化配置体制机制的意见》《国家发展改革委关于深化公共资源交易平台整合共享指导意见》《海南省深化公共资源交易平台整合共享实施方案》等文件精神和要求，为建设统一开放、竞争有序的市场体系，深化“放管服”改革，构建矿产资源全流程电子化交易体系，做好网上交易制度集成创新，确保网上交易工作有据可循、有据可依，结合我省矿业权出让实际，制定出台本《规则》。

According to the "Central Committee of the Communist Party of China State Council on building a more complete institutional mechanism for market-based allocation of factors" "National Development and Reform Commission on deepening the integration and sharing of public resources transactionplatform guidance" "Hainan Province to deepen the integration and sharing of public resources transactionplatform implementation plan"and other documents and requirements, in order to build a unified, open, competitive and orderly market system, deepen the reform of “decentralization, management and service”, build a full-process electronic trading system for mineral resources, advancethe integration and innovation of online trading systems, and ensure that online trading is evidence-based and evidence-based,the "Rules" were formulated and released based on the reality.

1. 主要内容

1. Key points

《规则》共十章五十三条，包括总则、一般规定、信息发布、竞买申请和资格审核、网上挂牌、网上拍卖、成交确认和结果公示、交易中止和终止、监督监管以及附则。主要内容如下：

The Rules" consists of ten chapters and fifty-three articles, including general provisions, general provisions, information dissemination, bid application and qualification review, online listing, online auction, transaction confirmation and results announcement, transaction suspension and termination, supervision and regulation, and by-laws. The main contents are as follows.

1. 明确了基本概念、适用范围和交易原则。

(1)Clarifythe basic concepts, scope of application and transaction principles.

《规则》对矿业权网上交易、出让人和竞买人等基本概念作出解释，概述了网上挂牌和网上拍卖工作的一般流程，明确了各级自然资源和规划主管部门及省矿业权交易中心网上交易的工作职责，明确了《规则》的适用范围以及网上交易应当遵循的信息保密、网络安全以及公开、公平、公正和诚实信用等原则。

The Rules explain the basic concepts of online transactionof mining rights, grantors and bidders, outline the general process of online listing and online auction, clarify the work responsibilities of the competent departments of natural resources and planning at all levels and the provincial mining rightstransactioncenter online transaction, clarify the scope of application of the Rules and online transactionshould follow the confidentiality of information, network security and open, fair, just and Honesty and credit and other principles.

1. 明确了网上交易系统相关管理要求。

(2)Explainthe management requirements related to the online transactionsystem.

《规则》明确了网上交易实行CA数字认证制度，对网上交易系统交易数据信息时间的准则和数据存证作出明确要求，同时对底价录入的监管措施和保密要求作出规定。

The Rules clarify the implementation of the CA digital authentication system for online transactions, the guidelines for online transactionsystem transaction data information time and data deposition to make clear requirements, while the regulatory measures and confidentiality requirements for reserve price entry.

1. 规范了矿业权网上交易流程和规则。

(3) standardize the process and rules for online mining rights transactions

一是信息发布。对网上交易的信息录入、材料审核及公告发布等作出具体规定。二是竞买申请和资格审核。对矿业权网上交易的竞买申请注意事项、责任风险和竞买流程等均作出详细的规定，对竞买人的资格审核等作出具体规定。三是网上挂牌和网上拍卖。明确了矿业权网上挂牌和网上拍卖两种交易方式的具体流程，对网上挂牌、网上拍卖配套的报价规则、5分钟倒计时规则和竞得人确定规则进行了具体规定。四是成交确认和结果公示。对矿业权网上挂牌、网上拍卖结束后，成交确认、结果公示退转作出具体规定，还明确了在网上交易系统撤销交易结果的情形和程序。五是交易中止和终止。对中止、终止网上交易过程中涉及的补充公告发布、应急处置要求作出具体规定。

First, the release of information. Online transactions of information entry, material review and announcement release and other specific provisions. Second is the bid application and qualification audit. Online transactionof mining rights application notes, liability risks and bidding process are made in detail, the qualifications of bidders audit and other specific provisions. Third, the online listing and online auction. The specific process of the online listing and online auction of mining rights, the online listing, online auction supporting the rules of the offer, the five-minute countdown rule and the rules for determining the bidder are specified. Fourth, the transaction confirmation and results announcement. Online listing of mining rights, online auction after the end of the transaction confirmation, results announcement to make specific provisions, but also clear in the online transactionsystem to withdraw the transaction results of the circumstances and procedures. Five is the suspension and termination of the transaction. Suspension, termination of the online transaction process involves the release of additional announcements, emergency disposal requirements to make specific provisions.

1. 明确了相关监督监管措施和责任。

(4)Define the relevant supervisory and regulatory measures and responsibilities.

明确了网上交易活动中相关工作人员、出让人、竞买人、竞得人等的法律责任，尤其是3种竞得无效的情况，对监督检查以及举报和投诉的责任主体和处理方式等作出具体规定。

Definethe legal responsibilities of the relevant staff, grantors, bidders, bidders, etc. in the online transactionactivities, especially the three kinds of invalid bids, and make specific provisions for supervision and inspection, as well as the responsibility of reporting and complaint subjects and handling.

1. 实施期限

1. Implementation period

《规则》自印发之日起实施，有效期5年。

From the date of issue and implementation,the Rules isvalid for five years.

1. 注意事项

1. Matters need attention

1. 规则适用的范围为以挂牌和拍卖方式在网上交易系统交易的矿业权（不含海砂采矿权和自然资源部委托省厅实施出让的油气等矿业权）招标方式暂不纳入网上交易。

1. The scope of the rules apply to the listing and auction in the online transaction system for mining rights (excluding sea sand mining rights and the Ministry of Natural Resources entrusted the provincial department to implement the transfer of oil and gas and other mining rights) bidding method is not included in the online transaction.

（二）网上交易可以按照本规则采取全流程网上交易方式，也可以采取“线上+线下”相结合的半流程网上交易方式，由出让人在交易方案中予以明确。全流程网上交易，网上竞买申请、资格审核、报价竞价程序按网上交易系统预先设定的程序运行。“线上+线下”相结合的半流程网上交易方式，竞买申请和资格审核以及结果公布等交易环节在网上交易系统进行，报价竞价、成交确认等交易环节在线下交易现场进行，并按照国家和省相关规定执行。

II. The online transaction of Construction Land-Use Rightsmay adopt a whole-process online transaction method according to these Rules, or a semi-process online transaction method combining "online + offline", which shall be specified by the transferor in the transaction scheme. The semi-process online transaction mode of "online + offline" means that the transaction links such as project registration and information release, bidding application, qualification review and results publicity shall be carried out in the online transaction system and implemented in accordance with the relevant provisions of these Rules; the transaction links such as quotation, bidding and transaction confirmation shall be conducted at the offline transaction site, and implemented in accordance with the relevant national and provincial regulations.

（三）网上交易实行CA数字认证制度，用户实名登录网上交易系统进行操作。竞买人应当妥善保管CA数字证书，竞买人通过网上交易系统实施的任何行为，其产生的法律责任由竞买人自行承担。竞买人的信息资料如有任何变动，须及时更新CA数字证书，否则由此引起的法律责任由竞买人自行承担。

III. For online transactions, CA digital authentication system is implemented. Bidders shall properly keep the CA digital certificate, and bear the legal liability arising from any of their acts through the online transaction system. In case of any change in the bidder's information, the CA digital certificate must be updated in time, otherwise the bidder shall bear the legal liability arising therefrom.

（四）网上交易过程所涉及时间均以网上交易系统服务器时间为准，数据记录时间以数据信息到达网上交易系统服务器的时间为依据。

IV.The time involved in the online transaction shall be subject to the server time of the online transaction system. The data recording time shall be based on the time when the data information reaches the server of the online transaction system.

（五）竞买人应在公告规定的竞买申请时间内登录网上交易系统，提交竞买申请、上传竞买申请文件。竞买申请文件审核通过的竞买人即可获得竞买资格。

5.Bidders shall log in to the online transaction system within the bidding application time stipulated in the announcement, submit bidding application and upload bidding application documents. Bidders who bid for multiple mining rights at the same time shall apply separately.

（六）网上竞价有时间限制，竞买人应当尽量避免在挂牌报价截止或限时竞价倒计时截止前最后1分钟内进行报价，以免因网络延迟等造成网上交易系统无法接受数据导致报价无效。竞买人应当谨慎报价，报价一经系统接受将即时公布。

VI. Online bidding has a time limit. Bidders shall try their best to avoid making quotations within the last minute before the end of the listing quotation or the deadline of the time-limited bidding countdown, so as to avoid the failure of the online transaction system to accept the data and result in the invalid quotation due to network delay, for which the transferor shall not bear any responsibility.

1. 竞买人无法出价的，应当提交有关佐证材料及时向出让人反映。出让人应当在第一时间内对竞买人反映的疑似交易异常情况书面通知省土地交易中心。省土地交易中心应当立即组织技术支撑力量查找原因，排除故障。因竞买人使用的计算机遭遇网络堵塞、病毒入侵、软硬件故障或者损毁、遗失数字证书，遗忘或者泄露密码等原因，导致不能正常登录网上交易系统或进行申请、报价、竞价等，其后果由竞买人自行承担，网上交易活动不中止或终止。

VII.If a bidder is unable to make a bid, it shall submit relevant supporting materials to the transferor in a timely manner. The transferor shall, within the first time, notify the Mining Rights Transaction Center of Hainan Provincein writing of the suspected abnormal situation of the transaction reported by the bidder. the Mining Rights Transaction Center of Hainan Provinceshall immediately organize technical personnel to help find out the causes and eliminate faults.If the computer used by the bidder encounters network blockage, virus intrusion, software and hardware failure or damage, loss of digital certificate, forgetting or divulging password, resulting in a failure to log in to the online transaction system or make an application, quotation or bid, the consequences shall be borne by the bidder, and the online transactions shall not be suspended or terminated.

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