Measures for Handling the Issue of Falsification in Cadre and Personnel Files (Trial)

Article 1 In order to implement the requirements of exercising full and rigorous governance over the Party and of strictly managing and supervising cadres, resolutely address the issue of falsification in cadre personnel files, safeguard the authenticity and integrity of such files, and enhance public trust in cadre work, this Measures is formulated in accordance with the Archives Law of the People’s Republic of China, the Regulations on the Selection and Appointment of Leading Cadres of the CPC and the Government, the Regulations on Cadre File Work, and other relevant laws and regulations.

Article 2 This Measures shall apply to the handling of cases involving the falsification of personnel records pertaining to civil servants, personnel managed in accordance with the Civil Service Law, and leading personnel of state-owned enterprises and public institutions.

Article 3 Addressing the issue of falsification in cadre personnel files, we will adhere to the principles of seeking truth from facts and accurate classification; ensure that cases are handled appropriately on a case-by-case basis; and strike a balance between leniency and strictness, combining punishment with education.

Article 4 For the purposes of these Measures, “falsification of cadre personnel files” refers to acts that, with the intent of obtaining improper benefits, employ methods such as tampering or forgery to render cadre information inaccurate or misleading.

Article 5 Any of the following circumstances shall be deemed to constitute falsification of cadre personnel files:

(1) Those who alter or falsify information regarding date of birth, date of commencement of employment, date of admission to the Communist Party, educational background, work history, ethnic identity, or other such details;

(2) Altering or forging identity documents of civil servants (cadres), employees of enterprises and public institutions, and other relevant materials;

(3) Those who alter or falsify academic credentials, degrees, or other related documents;

(4) Altering or falsifying materials related to the evaluation (appointment) of professional and technical titles (positions), etc.;

(5) Falsifying or forging materials related to membership in the Communist Party of China or in democratic parties, etc.;

(6) Tampering with or falsifying materials pertaining to delegates to Party congresses, deputies to people’s congresses, members of the Chinese People’s Political Consultative Conference, and the like;

(7) Altering or forging documents related to recruitment, employment, enlistment, demobilization placement, salary and benefits, etc.;

(8) Tampering with or falsifying materials related to performance evaluations, investigations, appointments and removals, assessments, political reviews, and the like;

(9) Altering or falsifying materials related to performance evaluations, awards, and other forms of recognition;

(10) Unauthorized removal, replacement, addition, or destruction of archival materials;

(11) Using or impersonating another person’s identity, or submitting falsified documents, to seek improper benefits in matters such as enrollment, military enlistment, employment, or recruitment;

(12) Where other circumstances of tampering or falsification exist.

Article 6 Where any of the following circumstances exists, the parties shall be subject to disciplinary action:

(1) Directly or by soliciting others to falsify one’s own personnel records;

(2) Where one’s relatives, persons with whom one has a specific relationship, or other relevant individuals have falsified one’s personnel records, and the individual was aware of or acquiesced in such falsification, or was unaware at the time but, upon becoming aware, failed to report it promptly to the organization;

(3) Failing to cooperate with the organization’s investigation into matters pertaining to the archives, or providing inaccurate or false information;

(4) Where other circumstances of violation of rules, discipline, or law exist.

Article 7 Where any of the following circumstances exist, the persons directly responsible—including those in the departments that prepare cadre personnel archive materials, the cadre management bodies, the agencies responsible for cadre personnel archives, as well as other individuals involved in falsification—shall be subject to disciplinary action:

(1) Directly engaging in fraudulent practices upon receiving requests from others or by taking advantage of one’s official position or work-related conveniences;

(2) Illegally accessing, borrowing, or forwarding archives, thereby facilitating the fabrication of false documents for others;

(3) Failing to conscientiously perform one’s duties, failing to promptly report archival materials found to contain obvious problems, or failing to handle such materials in accordance with applicable regulations;

(4) In the course of investigating falsification in cadre and personnel files, concealing or distorting the truth, submitting false materials, or destroying relevant evidence;

(5) Where other circumstances of violation of rules, discipline, or law exist.

Article 8 Where any of the following circumstances exist, the relevant leading personnel shall be subject to disciplinary action:

(1) Those who instruct, direct, or connive at, or tacitly approve of relevant departments and personnel in engaging in the falsification of archives;

(2) Interfering with or obstructing the competent authorities in their investigation and handling of cases involving falsification of archives;

(3) Refusing to implement the instructions of higher authorities or improperly modifying such instructions;

(4) Where the problem of falsification of archives is particularly serious in this region or unit, and where investigations and disciplinary actions have been inadequate;

(5) Where other circumstances of violation of rules, discipline, or law exist.

Article 9 Where any of the circumstances set forth in Articles 6, 7, and 8 of these Measures apply, the relevant parties and related personnel shall be subject to appropriate organizational measures. For cases involving relatively minor circumstances, disciplinary actions may include criticism and education, an order to submit a written self‑examination, or admonishment; for more serious cases, suspension pending investigation, reassignment from the current post, or restrictions on promotion and appointment may be imposed; and for cases that are particularly grave, or where strong complaints have been voiced by cadres and the general public and which have resulted in adverse consequences, measures such as resignation upon taking responsibility, compulsory resignation, removal from office, or demotion may be taken.

Where falsification of cadre and personnel files constitutes a violation of discipline, the disciplinary inspection and supervision authorities shall handle the matter in accordance with the Regulations on Disciplinary Measures of the Communist Party of China and other relevant provisions; where it constitutes a crime, the judicial organs shall handle it in accordance with the applicable laws and regulations.

Prior to the entry into force of these Measures, where a conclusion has already been reached and a review or reconsideration is required, the provisions or policies in effect at that time shall apply. Where no conclusion has yet been reached, if the provisions or policies in force at the time the act was committed did not deem it to be a violation, it shall be handled in accordance with those provisions or policies; if, however, the provisions or policies in force at the time deemed it to be a violation, but these Measures do not consider it to be a violation or prescribe a lighter penalty, it shall be handled in accordance with the provisions of these Measures.

Article 10 Any improper benefits obtained through the falsification of cadre personnel files shall, upon verification by the organization, be rectified, revoked, or annulled in accordance with relevant regulations.

Article 11 In the selection and appointment of cadres, personnel files must be rigorously reviewed. Any instance suspected of falsification shall result in the immediate suspension of the relevant selection and appointment procedures for investigation and verification; no promotion or re-employment shall be permitted until the matter has been fully clarified.

Article 12 In addressing the issue of falsification in personnel records, decisions should be made on the basis of thorough investigation and verification, careful scrutiny and appraisal, and, where necessary, by hearing the individual’s explanation, following collective deliberation. It is essential to adopt a case-by-case approach, clearly distinguishing between acts of tampering with or forging archival materials and situations such as “inconsistent entries” or “corrections of factual errors,” thereby ensuring that the outcomes are objective and impartial.

Article 13 Where leading cadres are subject to organizational measures or disciplinary sanctions under the Party or government regulations due to falsification in their personnel files, the duration of such sanctions shall be governed by the relevant provisions.

Article 14 This Measures shall be interpreted by the Organization Department of the CPC Central Committee.

Article 15 These Measures shall come into force as of November 18, 2015.