SECURITIES (CLEARING HOUSES) ORDINANCE ——附加英文版
Hong Kong
SECURITIES (CLEARING HOUSES) ORDINANCE
(CHAPTER 420)
CONTENTS
ion
I PRELIMINARY
hort title
nterpretation
II DECLARATION OF CLEARING HOUSES FOR PURPOSES OF THIS
NANCE AND RULES OF CLEARING HOUSES
ecognized clearing houses
ules of recognized clearing houses, etc.
III MODIFICATIONS OF THE LAW OF INSOLVENCY TO SAFEGUARD
ATIONS AND PROCEDURES OF RECOGNIZED CLEARING HOUSES, ETC.
roceedings of recognized clearing house take precedence over law
of
lvency
upplementary provisions as to default proceedings
uty to report on completion of default proceedings
et sum payable on completion of default proceedings
isclaimer of property, rescission of contracts, etc.
Adjustment of prior transactions
Right of relevant office-holder to recover certain amounts
arising
certain transactions
Application of market collateral not affected by certain other
rests, etc.
Enforcement of judgments over property subject to market charge,
etc.
Law of insolvency in other jurisdictions
IV MISCELLANEOUS
Participant to be party to certain transactions as principal
Securities deposited with recognized clearing house
Immunity, etc.
Preservation of rights, etc.
Amendment of Schedules 1 and 2
(Omitted as spent)
Transitional
dule 1 Property which may be subject to a market charge or provided
as
et collateral
dule 2 Requirements for default rules of recognized clearing
houses
dule 3 (Omitted as spent)
Whole document:
rdinance to empower the Commission to declare clearing houses
to be
gnized clearing houses for the purposes of this Ordinance, to
provide
the approval by the Commission of the rules of recognized
clearing
es, to make provision for safeguarding the operations and
procedures
ecognized clearing houses, and to provide for matters
incidental
eto or connected therewith.
ctober 1992] L. N. 324 of 1992
PART I PRELIMINARY
hort title
This Ordinance may be cited as the Securities (Clearing
Houses)
nance.
(Omitted as spent)
nterpretation
In this Ordinance, unless the context otherwise requires--
rge" means any form of security, including a mortgage;
aring house" means a person--
whose activities or objects include the provision of services for
the
ring and settlement of transactions in securities effected
on, or
ect to the rules of, the Unified Exchange; or
who guarantees the settlement of any such transactions;
mission" means the Securities and Futures Commission
established by
ion 3 of the Securities and Futures Commission Ordinance (Cap.
24);
stitution", in relation to a clearing house, means the memorandum
and
cles of association of the clearing house;
ault proceedings" means any proceedings or other action taken
by a
gnized clearing house under its default rules;
ault rules", in relation to a recognized clearing house, means
such of
rules of the clearing house which it is required to have by virtue
of
ion 4 (2);
aulter" means a participant who is the subject of any
default
eedings; "functions" includes duties and powers;
ket charge" means a charge, whether fixed or floating,
granted in
ur of a recognized clearing house--
over any property specified in Schedule 1 which is held
by or
sited with the clearing house; and
for the purpose of securing liabilities arising directly in
connection
the clearing house's ensuring the settlement of one or more
market
racts; "market collateral" means any property specified in
Schedule 1
h is held by or deposited with a recognized clearing house for
the
ose of securing liabilities arising directly in connection
with the
ring house's ensuring the settlement of one or more market
contracts;
ket contract" means a contract subject to the rules of a
recognized
ring house entered into by the clearing house with a
participant
uant to a novation which is both in accordance with those rules
and
the purposes of the clearing and settlement of
transactions in
rities effected on, or subject to the rules of, the Unified
Exchange;
icer" means an officer within the meaning of section 2
of the
anies Ordinance (Cap. 32);
ticipant" means a person who, in accordance with the rules
of a
gnized clearing house, may participate in one or more of the
services
ided by the clearing house in its capacity as a clearing house;
formance", in relation to a function, includes discharge and
exercise;
ognized clearing house" means a clearing house declared under
section
) to be a recognized clearing house for the purposes
of this
nance;
evant office-holder" means--
the Official Receiver appointed under section 75 of the
Bankruptcy
nance (Cap. 6);
any person acting in relation to a company as its
liquidator,
isional liquidator, receiver or manager;
any person acting in relation to an individual as his
trustee in
ruptcy or interim receiver of his property; or
any person appointed pursuant to an order for the
administration in
ruptcy of an insolvent estate of a deceased person;
es", in relation to a clearing house--
means the constitution, rules, regulations or directions, by
whatever
called, governing the membership, management,
operations and
edures of the clearing house; and
without restricting the generality of paragraph (a), includes
rules,
lations or directions relating to--
the provision of clearing and settlement services, and the
suspension
ithdrawal of such services;
the provision of services other than the services referred
to in
aragraph (i);
) the persons who may participate in one or more of the
services
rred to in subparagraphs (i) and (ii); and
setting and levying fees and charges;
urities" means securities within the meaning of section 2
of the
rities Ordinance (Cap. 333);
tlement", in relation to a market contract, includes
partial
lement; "Unified Exchange" means the Unified Exchange
established
r section 27 of the Stock Exchanges Unification Ordinance (Cap.
361).
Where--
a charge is granted partly for the purpose specified in the
definition
market charge" and partly for other purposes, the charge is in
this
nance a market charge in so far as it has effect for that
specified
ose;
collateral is provided partly for the purpose specified
in the
nition of "market collateral" and partly for other
purposes, the
ateral is in this Ordinance market collateral in so far as it has
been
ided for that specified purpose.
References in this Ordinance to the law of insolvency
include
rences to every provision made by or under--
the Bankruptcy Ordinance (Cap. 6);
the Companies Ordinance (Cap. 32); and
any other enactment which is concerned with or in any way related
to
insolvency of a person.
References in this Ordinance to settlement in relation to a
market
ract are to the discharge of the rights and liabilities of the
parties
he contract, whether by performance, compromise or otherwise.
PART II DECLARATION OF CLEARING HOUSES FOR PURPOSES OF THIS ORDI-
NANCE AND RULES OF CLEARING HOUSES
ecognized clearing houses
Where the Commission is satisfied that it is appropriate to do
so in
interest of the investing public or in the public interest, or
for the
er regulation of services for the clearing and
settlement of
sactions in securities, it may, with the consent in writing
of the
ncial Secretary, by notice in the Gazette, declare a clearing
house to
recognized clearing house for the purposes of this Ordinance.
Where the Commission makes a declaration under subsection
(1) in
ect of a clearing house--
it shall give notice thereof in writing to the clearing house;
and
the rules of the clearing house in operation immediately
before the
aration shall continue to have effect unless otherwise
specified, or
l such time as is specified, in the notice referred to in paragraph
ules of recognized clearing houses, etc.
Subject to section 3 (2) (b) and subsection (4), no rules
of a
gnized clearing house (including any default rules of the
clearing
e) or any amendment thereto shall have effect unless
approved in
ing by the Commission.
A recognized clearing house shall have rules which provide
for the
ng of proceedings or other action in the event of a
participant
aring to be unable, or likely to become unable, to
meet his
gations in respect of all unsettled market contracts to which he
is a
y, and such rules shall comply with the requirements of Schedule
2.
Where a recognized clearing house takes any default proceedings,
all
equent proceedings or other action taken under its rules
for the
oses of the settlement of market contracts of which the
defaulter
erned is a party shall be treated as done under the default rules
of
clearing house notwithstanding that, but for this subsection,
such
equent proceedings or other action would not be treated as done
under
default rules of the clearing house.
The Commission may, by notice in the Gazette, declare any
class of
s of a recognized clearing house (except any default rules
of the
ring house) to be a class of rules which are not required
to be
oved under subsection (1) and, accordingly, any rules of that
clearing
e which belong to that class (including any amendment thereto)
shall
effect notwithstanding that they have not been so approved.
Without prejudice to the operation of subsection (4), a
recognized
ring house shall submit or cause to be submitted to the
Commission,
the information of the Commission, any of its rules
(including any
dment thereto )--
which belong to a class of rules the subject of a declaration
under
ection (4); and
as soon as practicable after those rules (or amendment thereto,
as the
may be) are made.
A recognized clearing house shall submit or cause to be
submitted to
Commission for its approval the rules of the clearing house and
every
dment thereto except any rules (including any amendment thereto)
which
ng to a class of rules the subject of a declaration under
subsection
Subject to subsections (8) and (9), the Commission shall,
within 6
s after the receipt of any submission under subsection (6)
from a
gnized clearing house, give notice in writing to the clearing
house
its approval of; or
its refusal to approve,
rules or amendment of the rules, as the case may be, or any
part
eof, the subject of the submission.
The Commission may, in a particular case, with the agreement of
the
gnized clearing house concerned, extend the time
prescribed in
ection (7).
The Financial Secretary may, on the advice of the
Commission and
er generally or in a particular case, extend the time
prescribed in
ection (7).
The Commission may request in writing a recognized clearing
house--
to make rules--
specified in the request; and
within the period specified in the request; or
to amend rules--
referred to in the request;
in the manner specified in the request; and
) within the period specified in the request.
Where the Commission is satisfied that a recognized clearing
house
not complied with a request referred to in subsection (10) within
the
od specified in the request, the Commission may direct in writing
the
ring house to comply with the request within such further period
as is
ified in the direction and, accordingly, the clearing house
shall
ly with that request within that further period.
For the purposes of subsection (10), "rules", in relation
to a
gnized clearing house, do not include the constitution of the
clearing
e.
PART III MODIFICATIONS OF THE LAW OF INSOLVENCY TO SAFEGUARD OPE-
RATIONS AND PROCEDURES OF RECOGNIZED CLEARING HOUSES, ETC.
roceedings of recognized clearing house take precedence over
law of
lvency
None of the following shall be regarded as to any extent
invalid at
on the ground of inconsistency with the law relating
to the
ribution of the assets of a person on insolvency,
bankruptcy or
ing-up, or on the appointment of a receiver over any of the assets
of
rson--
a market contract;
the rules of a recognized clearing house relating to the
settlement of
rket contract;
any proceedings or other action taken under the rules of a
recognized
ring house relating to the settlement of a market contract;
a market charge;
the default rules of a recognized clearing house; or
any default proceedings.
Subject to subsection (3), the powers of a relevant office-
holder in
capacity as such, and the powers of a court under the
law of
lvency, shall not be exercised in such a way as to
prevent or
rfere with--
the settlement in accordance with the rules of a recognized
clearing
e of a market contract; or
any default proceedings.
Subsection (2) shall not operate to prevent a relevant
office-holder
seeking to recover any amount under section 11 after the
completion
matter referred to in paragraph (a) or (b) of that subsection.
upplementary provisions as to default proceedings
A court may on an application by a relevant office-holder make
such
r as it thinks fit altering or releasing him from compliance with
such
he functions of his office as are affected by the fact that
default
eedings are pending or could be taken, or have been or could have
been
n and, accordingly, such functions of the relevant officeholder
shall
onstrued subject to such order.
Nothing in--
section 12, 14 or 20 of the Bankruptcy Ordinance (Cap. 6); or
section 166, 181, 183, 186 or 254 of the Companies Ordinance
(Cap.
shall prevent or interfere with any default proceedings.
uty to report on completion of default proceedings
A recognized clearing house shall, upon the completion by it of
any
ult proceedings, make a report on such proceedings stating in
respect
ach defaulter--
the net sum, if any, certified by the clearing house to be payable
by
o the defaulter; or
the fact that no sum is so payable,
he case may be, and the clearing house may include in that report
such
r particulars in respect of such proceedings as it thinks fit.
A recognized clearing house which has made a report
pursuant to
ection (1) shall supply the report to--
the Commission;
any relevant office-holder acting in relation to--
the defaulter to whom the report relates; or
that defaulter's estate;
if there is no relevant office-holder referred to in paragraph
(b),
defaulter to whom the report relates.
Where the Commission receives pursuant to subsection (2) a report
made
uant to subsection (1), it may publish notice of that fact in
such
er as it thinks appropriate to bring it to the attention of
creditors
he defaulter to whom the report relates.
Where a relevant office-holder or defaulter receives
pursuant to
ection (2) a report made pursuant to subsection (1), he shall,
at the
est of a creditor of the defaulter to whom the report relates--
make the report available for inspection by the creditor;
on payment of such reasonable fee as the relevant office-
holder or
ulter, as the case may be, determines, supply to the creditor all
or
part of that report.
In subsections (2), (3) and (4), "report" includes a copy of a
report.
et sum payable on completion of default proceedings
The provisions of this section shall apply with respect to any
net sum
ified under section 7 (1) (a) by a recognized clearing house, upon
the
letion by it of any default proceedings, to be payable by or
to a
ulter.
Where a receiving or winding-up order has been made, or a
resolution
voluntary winding-up has been passed, any net sum
shall,
ithstanding any of the provisions of section 34 or 35
of the
ruptcy Ordinance (Cap. 6) or section 264 of the Companies
Ordinance
. 32), be--
provable in the bankruptcy or winding-up or, as the case
may be,
ble to the relevant office-holder; and
taken into account, where appropriate, under section 35
of the
ruptcy Ordinance (Cap. 6) or that section as applied in the case
of a
ing-up order under the Companies Ordinance (Cap. 32).
isclaimer of property, rescission of contracts, etc.
Neither section 59 of the Bankruptcy Ordinance (Cap. 6) nor
section
of the Companies Ordinance (Cap. 32) shall apply in relation to--
a market contract;
a contract effected by a recognized clearing house for the purpose
of
izing property provided as market collateral;
a market charge; or
any default proceedings.
Neither section 42 of the Bankruptcy Ordinance (Cap. 6) nor
section
of the Companies Ordinance (Cap. 32) shall apply in relation to
any
matter or thing which has been done pursuant to--
a market contract;
a disposition of property pursuant to a market contract;
the provision of market collateral;
a contract effected by a recognized clearing house for the purpose
of
izing property provided as market collateral, or any
disposition of
erty pursuant to such a contract;
a disposition of property in accordance with the rules of a
recognized
ring house as to the application of property provided as
market
ateral;
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森林抚育补贴试点检查验收管理办法(试行)
国家林业局
国家林业局关于印发《森林抚育补贴试点检查验收管理办法(试行)》的通知
林造发〔2010〕254号
国家林业局关于印发《森林抚育补贴试点检查验收管理办法(试行)》的通知
各省、自治区、直辖市林业厅(局),内蒙古、吉林、龙江、大兴安岭森工(林业)集团公司,新疆生产建设兵团林业局,各计划单列市林业局:
根据《财政部 国家林业局关于开展2009年森林抚育补贴试点工作的意见》(财农〔2009〕464号)和《森林抚育补贴试点管理办法》(林造发〔2010〕20号)的要求,我局组织制定了《森林抚育补贴试点检查验收管理办法(试行)》,现印发给你们,请遵照执行。执行过程中有何意见建议,请及时与我局造林绿化管理司联系。
附件:森林抚育补贴试点检查验收管理办法(试行)
http://www.forestry.gov.cn/uploadfile/main/2010-11/file/2010-11-16-99a3e5f8b9de4825bb078069277ed0f8.doc
森林抚育补贴试点检查验收管理办法(试行)
第一章 总 则
第一条 检查目的
为加强森林抚育补贴试点管理与监督,掌握全国森林抚育试点开展情况,监测和评价森林抚育补贴试点的实绩与成效,为科学管理、科学决策提供依据,全面推进全国森林抚育工作,特制定本办法。
第二条 编制依据
(一)《财政部 国家林业局关于开展2009年森林抚育补贴试点工作的意见》(财农〔2009〕464号)。
(二)《国家林业局关于印发〈森林抚育补贴试点省级实施方案编制框架意见〉的通知》(林规发〔2010〕27号)。
(三)《国家林业局关于印发<森林抚育补贴试点管理办法>和<中幼龄林抚育补贴试点作业设计规定>的通知》(林造发〔2010〕20号)等文件及有关规定。
第三条 检查对象
依据《国家林业局关于印发〈森林抚育补贴试点省级实施方案编制框架意见〉的通知》(林规发〔2010〕27号)编制森林抚育补贴试点实施方案的单位。
第四条 检查形式
检查验收采取县级自查、省级核查验收、国家抽查的形式,由县级试点单位对所有抚育地块进行实测自查;省级单位在县级自查的基础上,会同本级财政部门组织核查验收,核查面积比例不低于计划任务量的5%;国家林业局根据省级林业主管部门上报的核查验收报告,会同财政部组成抽查工作组,开展抽查工作。
第五条 检查内容
(一)中央财政森林抚育补贴试点任务分解下达情况
1、省(自治区、直辖市、森工集团公司,以下简称省)森林抚育补贴试点年度任务分解下达情况。以省为单位自上而下逐级核对森林抚育补贴试点年度任务总量和分解下达情况。
2、县级(林场、林业局,以下简称县)森林抚育补贴试点作业设计编制情况。依据《中幼龄林抚育补贴试点作业设计规定》以及省级森林抚育补贴试点实施方案,对县级森林抚育补贴试点作业设计进行检查。重点检查作业设计是否与省级森林抚育补贴试点实施方案紧密衔接,是否经上级林业主管部门审核批准并备案;作业设计内容和格式是否符合有关要求等。
(二)抚育作业实施情况
1、任务完成情况。重点核实抚育面积完成情况,是否存在虚报、多报以及重复上报抚育面积问题等。
2、抚育作业质量。重点检查是否存在因不按作业设计施工,出现超证采伐、越界采伐、乱砍滥伐、采好留坏以及开林窗等问题;是否存在擅自变更小班作业位置、改变抚育对象、改变抚育方式等问题;是否存在其他违规行为等。
3、抚育采伐许可证的核发及管理情况等。
(三)组织管理情况
1、是否成立森林抚育补贴试点工作领导小组。
2、项目审批、公示制度和程序是否依法合规。
3、是否组织相关人员进行技术和管理培训。
4、是否按规定建立森林抚育补贴试点管理档案。
5、是否开展省级核查验收。
(四)成效监测情况
1、成效监测任务是否已经落实到科技支撑单位,省级成效评估结果是否按要求报国家林业局。
2、是否根据不同森林类型、抚育措施、区域分布等情况,选择确定森林抚育监测点,科学布设对照监测样地(以下简称“对照样地”)。
3、是否在抚育后一年内以及第三、第五年定期对森林生长、森林结构、森林健康、林下植被、森林碳汇变化等进行调查。
4、是否对森林抚育补贴试点的经济、社会效益进行全面的定量统计和定性分析。
5、是否建立森林抚育补贴试点成效监测档案,是否做到档案资料完备齐全,图表、数据和影像资料一一对应。注:2009年度任务只检查成效监测基准数据。
第六条 准备工作
(一)技术准备:组织检查验收人员学习《国家林业局关于印发<森林抚育补贴试点管理办法>和<中幼龄林抚育补贴试点作业设计规定>的通知》(林造发〔2010〕20号)、《森林抚育技术规程》(GB/T 15781-2009)、《森林采伐更新管理办法》等有关法律、法规及相关规定,开展好技术培训。
(二)资料设备准备
1、检查验收调查表和统计表及电子文档。
2、便携式电脑、GPS定位仪、测绳、围尺等设备。
3、受检县级单位地形图(1:5万或1:1万)或带有准确坐标网格的小班作业图纸。
第二章 技术标准
第七条 标准依据
(一)《森林抚育规程》(GB/T 15781-2009)。
(二)《森林资源规划设计调查技术规程》(DB23/T 1250-2008)。
(三)《生态公益林建设技术规程》(GB/T 18337.3-2001)。
(四)《森林采伐作业规程》 (LY/T 1646-2005)。
(五)《低效林改造技术规程》(LY/T1690-2007)。
(六) 省级森林经营技术规程(标准)等。
第八条 主要检查因子
(一)小班检查因子
1、实测面积:指现地实测的小班面积。
2、平均胸径:指实测标准样地推算的小班伐前、伐后平均胸径。抚育小班林分平均胸径不得低于伐前林分平均胸径。
3、树种组成:指实测标准样地推算的小班主要树种株数或蓄积比例。
4、小班株数:指实测标准样地推算的小班抚育前株数。
5、郁闭度:指实测标准样地推算的小班抚育后郁闭度。
(二)对照样地调查因子
1、对照样地面积:对照样地实测面积。
2、树种径级株数:不同树种各径级的株数。
3、树种径级蓄积:不同树种各径级的蓄积。
4、郁闭度:同上。
第九条 抚育方式及要求
(一)抚育间伐
1、透光伐:在林分的幼龄林阶段、开始郁闭后进行的抚育采伐。间密留均、留优去劣,调整林分组成,为保留木留出适宜的营养空间。天然林抚育采伐后郁闭度不低于0.6,人工林郁闭度不低于0.7。
2、生态疏伐:在特用林和防护林的中龄林中进行。按照有利于林冠形成梯级郁闭、主林层和次林层立木都能受光的要求,将林木分为优良木、有益木盒伐除木。保留优良木、有益木和适量的灌木;对风景林的景观疏伐,按《生态公益林件建设 技术规程》(GB/ T18337.3-2001)中的5.2.1.2.4条规定执行。
3、生长伐:在中龄林阶段进行的抚育采伐。伐除生长过密、生长不良和影响目标树生长发育的林木,进一步调整树种组成与林分密度,加速保留木生长,缩短工艺成熟期,提高林分质量和经济效益。抚育后郁闭度应保留在0.6-0.7,飞播林伐后郁闭度控制在0.7-0.8。
4、卫生伐:在遭受自然灾害的森林中进行,选择性地伐除已被危害、丧失培育前途的林木。抚育后林分郁闭度保持在0.6以上。
(二)人工修枝
在中幼龄林阶段进行,主要适用于天然整枝不良的林木。要求幼龄林阶段修枝高度不超过树高1/3,中龄林阶段修枝高度不超过树高的1/2。
(三)割灌
在下木生长旺盛、与林木生长争水争肥严重的中幼龄林中进行。采取机割、人割等不同方式,清除妨碍树木生长的灌木、藤条和杂草。
第十条 小班作业质量合格的条件
(一)主要调查因子准确无误。
(二)抽检小班无作业设计图、改变作业地点、改变抚育方式、越界采伐、无证采伐、禁伐区采伐、作业设计未经批准已作业的为否定因子,满足其一即为不合格小班。
其他详见《抚育间伐小班作业质量综合评价表》、《修枝割灌小班作业质量综合评价表》。
第十一条 抚育作业设计合格的条件
(一)由具有林业调查规划设计资质的单位完成的抚育作业设计,内容符合森林抚育补贴试点实施方案和森林采伐更新的有关规定。
(二)主要调查因子准确无误。
(三)抚育措施和抚育对象符合有关技术规定的要求。
(四)作业设计的内容和格式符合有关要求,图表数据完备且一一对应。
(五)抚育作业设计档案管理规范。
其他详见《抚育作业设计质量综合评价表》。
第十二条 对照样地的合格条件
(一)对照样地的布设具有典型代表性,能真实反映抚育成效。
(二)对照样地的调查因子准确无误。
第三章 检查验收方法
第十三条 听取汇报
(一)受检单位在森林抚育补贴试点方面的政策、实施方案、作业设计等执行情况以及制定的管理办法。
(二)受检单位执行森林抚育补贴试点方案、组织管理、抚育技术等方面的经验和做法以及存在的问题。
(三)受检单位对森林抚育补贴试点的意见和建议。
第十四条 查阅和收集资料
(一)省级资料
1、森林抚育补贴试点任务分解下达的文件。
2、省级森林抚育补贴试点实施方案。
3、省级成效监测实施方案。
4、制定出台的相关政策、规定等。
5、省级核查验收报告和有关材料、省级成效监测结果和有关档案资料。
6、全省主要树种(组)根径材积表、一元或二元立木材积表、树种出材率表等。
7、省级森林抚育补贴试点汇报材料。
(二)县级资料
1、县级自查报告及相关说明。
2、县级森林抚育补贴试点作业设计和有关材料。
3、森林抚育补贴试点施工作业合同,补贴资金支付使用情况的说明及相关票据或凭证。
4、最新森林资源调查数据和森林资源统计表和档案。
5、森林资源分布图和林相图。
6、抚育试点在促进农林增收、调整产业结构、创造就业机会等方面的量化数据和典型资料。
7、森林抚育补贴试点采伐许可证发放情况及说明。
第十五条 检查样本的组织和确定
检查采取按类型抽样的方法,以省为单位,依次确定县级单位和受检小班,具体方法如下:
(一)省级样本
省级试点单位抽查率为100%。
(二)县级样本
县级样本的检查包括对省级核查验收情况的复查和国家检查验收抽查两部分内容(以下简称“复查”和“抽查”),这两部分采用相同的检查验收方法。
1、受检县个数的确定:
按照县级单位个数15%-25%确定受检县,具体计算方法如下:
①县级单位个数不超过12个的,抽取25%。
②县级单位个数超过12个的,抽取15%。
③县级单位个数超过30个的,抽取12%(以上均四舍五入取整)。
复查受检县个数占受检县总数的30-50%。
2、受检县的确定:由国家林业局森林经营业务主管部门确定各省县级样本的起始号和间隔号,按复查和抽查分别抽取,具体方法:
复查:将省级核查验收过的受检县按上报面积从大到小排序(任务相同的按行政顺序排序),按照起始号和间隔号循环抽取(遇死循环,可从下一县重新开始抽取,间隔号不变),直至满足复查受检县个数。
抽查:将省级核查验收未检查到的受检县按上报面积从大到小排序(任务相同的按行政顺序排序),进行循环抽取(遇死循环,可从下一县重新开始抽取,间隔号不变),直至满足复查受检县个数。
如果省级检查验收未检查到的受检县个数不能满足抽查所需县的个数,则可在小班抽样中进一步区分。
3、受检县检查面积的确定:根据受检县上报面积的1%-10%确定检查面积,具体计算方法如下:
①受检县上报面积1000-5000亩,检查10%。
②受检县上报面积5001-10000亩,检查5%。
③受检县上报面积10001-20000亩,检查3%。
④受检县上报面积20001-35000亩,检查2.5%。
⑤受检县上报面积35001-45000亩,检查2%。
⑥受检县上报面积45000-55000亩,检查1.5%。
⑦受检县上报面积55000亩以上,检查1%(以上均四舍五入取整)。
(三)受检小班
将受检县小班按上报面积从大到小排序,根据起始号、间隔号循环抽取受检小班(遇死循环,可从下一小班重新开始抽取,间隔号不变),直至实抽面积满足受检县应查面积(相差±10%以内)。每个县受检小班不应少于3个。
当复查和抽查受检县同为一个县,则按照复查小班和抽查小班分别抽样,具体方法同上。
(四)受检对照样地
根据省级对照样地,每种作业方式抽取一个样地进行检查,每个省级单位不低于两个。
第十六条 外业调查
外业调查对象为抽查县所抽中的森林抚育试点受检小班和部分对照区监测样地。检查时应携带伐区调查作业设计和伐区作业质量检查验收单等资料。
(一)小班调查
1、面积检查:采用GPS控制点与地形图(或作业设计图)调绘相结合的方法求算面积,当实测面积与设计面积相差≦±5%时,认可小班上报面积,否则以实测面积为准。
具体方法和要求:
当小班全部以山脊、沟壑、河流、道路等明显地物为边界时,经与作业设计核对后,可在明显地物处设置1个GPS控制点。
当小班部分以山脊、沟壑、河流、道路等明显地物为边界时,其余边界用GPS实地测量,且GPS控制点不少于三个。
小班无明显地物边界的,按照小班面积设置GPS控制点,要求GPS点能够精确反映小班面积和空间位置,正确反映小班基本轮廓形状。
1-100亩小班设置4个及以上GPS控制点。
100-500亩小班设置5个及以上GPS控制点。
500亩以上小班设置6个及以上GPS控制点(以上均四舍五入取整)。
2、样地布设和检查:采用实测样地的方法推算小班检查因子,根据小班作业情况布设面积为1000m2的样地,75亩以下(含75亩)小班设置1个样地,75亩以上小班按照面积的2%确定样地个数(四舍五入),最多不超过5个样地。
检查人员应根据小班作业设计图纸事先确定好样地的基本位置,到作业区后,选择有代表性的地段布设样地,按照小班调查表测量和记录样地内各项调查因子,并记录样地中心点GPS定位数据。
(二)对照样地调查
1、面积检查:采用GPS控制点与地形图(或作业设计图)调绘相结合的方法求算面积,当实测面积与设计面积相差≦±5%时,认可设计面积,否则以实测面积为准。
2、主要因子的检查:实测对照样地,按不同树种进行每木检尺,并填写《对照样地调查表》。
3、对照样地的定位:用GPS定位对照样地,每个对照样地至少设置4个定位控制点,并填写《小班边界/样地GPS点(公里网格)记录表》。
(三)其他要求
外业调查如遇洪水冲路、塌方等特殊原因无法检查小班时,应先查其他小班,待道路通行后再查;确实无法进入检查的,请县级林业主管部门提交书面报告和相关证明(盖公章),检查验收小组应及时上报备案,并另行抽取面积相近的小班进行检查。
第十七条 内业工作
(一)检查验收阶段
1、要求当天完成检查小班检查因子的计算和数据填表工作,每个县外业检查验收完成后,检查组应安排在受检县完成内业数据处理工作,并建立检查验收外业调查电子文档。
2、检查组组长负责组织收集整理各类资料、表格、图件,避免遗漏调查数据和资料,做好成果汇总的前期准备工作,检查组完成受检县检查任务后,应向受检县就检查验收情况进行意见反馈。
(二)成果汇总阶段
1、认真梳理检查验收阶段的外业调查资料,按照省、县、乡、小班建立层级分明的检查验收资料档案。
2、建立和完善电子文档,做到小班、图形、数据、表格一一对应。
3、根据外业调查数据、收集的资料,提炼汇总检查验收中发现的突出问题,值得推广借鉴的经验和做法,意见和建议等。
第四章 检查验收成果
第十八条 提交成果
检查成果包括省级森林抚育补贴试点年度检查验收报告。具体内容包括,检查验收工作开展情况、抚育任务完成情况、抚育作业质量、抚育试点的组织管理情况、抚育采伐限额执行情况;森林抚育补贴试点的生态、经济、社会效益等,并总结各地在森林抚育补贴试点的主要经验、存在的问题、以及意见和建议等。
第五章 附 则
第十九条 本办法主要适用于国家林业局对各试点省份、森工集团公司森林抚育补贴试点项目的抽查工作。本办法由国家林业局负责解释
第二十条 本办法自公布之日起执行
第二十一条 附表
调查表1 抚育间伐小班调查表
调查表2 修枝割灌小班调查表
调查表3 对照样地调查表
调查表4 小班(对照样地)边界/样地GPS点(公里网格)记录表
调查表5 小班(对照样地)形状和样地布设示意图
调查表6 抚育间伐小班作业质量综合评价表
调查表7 修枝割灌小班作业质量综合评价表
调查表8 对照样地布设情况评价表
调查表9 抚育作业设计质量综合评价表
调查表10 县级森林抚育补贴试点组织管理情况调查表
调查表11 县级森林抚育补贴试点成效调查表
统计表1 省(区、市、森工集团公司)县级抽样表
统计表2 县(林业局、林场、市)小班抽样表
统计表3 小班调查情况统计表
统计表4 县(林业局、林场、市)检查工作量统计表
统计表5 检查验收资料收集统计表
统计表6 省(区、市、森工集团公司)年度森林抚育补贴试点检查验收综合评价表
统计表7 县(林业局、林场、市)年度森林抚育补贴试点检查验收综合评价表
二〇一〇年十一月五日