上海市事业单位人事争议处理办法

　　第一章　总则

　　第一条　（目的和依据）

　　为了规范事业单位人事争议处理工作，维护争议双方当事人的合法权益，促进人才合理流动，根据国家有关规定，结合本市实际，制定本办法。

　　第二条　（适用范围）

　　本市行政区域内的事业单位与其聘用的工作人员因聘用关系的建立、变更、终止、解除等发生的争议（以下简称人事争议）的处理，适用本办法。

　　民办非企业单位、使用事业编制的社会团体与其聘用的工作人员因聘用关系的建立、变更、终止、解除等发生的争议的处理，可以按照本办法执行。

　　按照国家公务员制度进行人事管理的事业单位，不适用本办法。

　　第三条　（处理原则）

　　人事争议的处理，应当以事实为依据，以法律为准绳，遵循及时、公正、合理的原则。

　　第四条　（处理方式）

　　人事争议发生后，当事人可以通过下列方式解决：

　　（一）自行协商；

　　（二）申请调解；

　　（三）申请仲裁。

　　当事人对人事争议仲裁裁决不服的，可以依法向人民法院提起诉讼。

　　第二章　调解

　　第五条　（调解组织）

　　事业单位可以设立人事争议调解委员会。人事争议调解委员会由下列人员组成：

　　（一）职工代表大会或者职工大会推举产生的职工代表；

　　（二）法定代表人或者其指定的代表；

　　（三）工会指定的代表。

　　人事争议调解委员会主任由工会指定的代表担任，办事机构设在工会委员会。

　　事业单位的上级主管部门可以指定专门调解机构调解人事争议。

　　第六条　（调解规定）

　　人事争议发生后，当事人申请调解的，人事争议调解委员会或者指定的专门调解机构（以下统称调解组织）应当在查清事实的基础上，促使双方自愿达成调解协议。

　　调解协议内容不得违反法律、法规和规章的规定。

　　第七条　（调解程序）

　　当事人向调解组织申请调解的，调解组织应当及时调解。调解申请由当事人一方提出的，调解组织应当征得另一方当事人同意后再行调解。

　　调解组织在调解过程中应当听取双方当事人陈述，并依照有关规定公正调解。

　　经调解达成协议的，调解组织应当制作调解协议书，调解协议书经双方当事人签字后生效；调解不成的，调解组织应当制作调解意见书，并告知当事人可以向人事争议仲裁委员会申请仲裁。

　　调解组织应当督促人事争议双方当事人履行调解协议。

　　第八条　（调解时限）

　　当事人向调解组织申请调解后，调解组织应当自争议发生之日起50日内完成调解；到期未完成的，视为调解不成。

　　第三章　仲裁

　　第九条　（仲裁委员会的设立与组成）

　　市和区（县）设立人事争议仲裁委员会（以下简称仲裁委）。仲裁委由下列人员组成：

　　（一）人事行政主管部门的代表；

　　（二）总工会的代表；

　　（三）政府其他有关部门的代表。

　　仲裁委组成人员应当是单数，主任由人事行政主管部门的代表担任。

　　第十条　（仲裁委办公室）

　　仲裁委下设办公室，具体承办案件受理、仲裁文书送达、档案管理、仲裁费用的收取与管理等日常工作。

　　仲裁委办公室设在同级人民政府人事行政主管部门。

　　第十一条　（仲裁庭）

　　仲裁委处理人事争议案件，实行仲裁庭制度。仲裁庭由三名仲裁员组成，由仲裁委指定一名仲裁员担任首席仲裁员；简单的人事争议案件，可以由仲裁委指定一名仲裁员担任独任仲裁员。

　　第十二条　（仲裁员）

　　仲裁委可以聘任政府有关部门的人员、专家学者和律师等为专职或者兼职仲裁员。

　　兼职仲裁员与专职仲裁员在执行仲裁公务时享有同等权利。

　　第十三条　（仲裁管辖）

　　经市人民政府及其有关主管部门批准成立的事业单位和中央、外省市在本市的事业单位发生的人事争议，由市仲裁委管辖。

　　经区（县）人民政府及其有关主管部门批准成立的事业单位发生的人事争议，由所在区（县）仲裁委管辖。

　　区（县）仲裁委因案件管辖发生异议的，由市仲裁委指定管辖。

　　第十四条　（仲裁申请）

　　当事人应当自人事争议发生之日起60日内，以书面形式向有管辖权的仲裁委申请仲裁。

　　仲裁申请书应当载明下列事项：

　　（一）申请人或者被申请人是个人的，写明姓名、性别、年龄、职业、工作单位和住所；申请人或者被申请人是单位的，写明单位的名称、住所、法定代表人或者主要负责人的姓名、职务；

　　（二）仲裁请求事项和所根据的事实、理由；

　　（三）证据和证据来源、证人姓名和住所。

　　第十五条　（仲裁受理）

　　仲裁委应当自收到仲裁申请书之日起7个工作日内，作出受理或者不予受理的决定。决定不予受理的，应当自作出决定之日起7个工作日内，书面通知申请人，并说明不予受理的理由；决定受理的，应当自作出决定之日起7个工作日内，书面通知申请人，并将仲裁申请书副本送达被申请人，组成仲裁庭。

　　被申请人应当在收到仲裁申请书副本之日起10个工作日内，提交答辩书和有关证据。被申请人没有按时提交或者不提交答辩书的，不影响仲裁程序的进行。

　　第十六条　（仲裁庭调解）

　　当事人愿意调解的，仲裁庭应当在查明事实、分清责任的基础上促使当事人双方自愿达成协议。协议内容不得违反法律、法规和规章的规定。

　　调解达成协议的，仲裁庭应当制作调解书。调解书经双方当事人签收后，即具有法律效力。

　　调解未达成协议或者调解书签收前当事人反悔的，仲裁庭应当及时进行仲裁。

　　第十七条　（仲裁方式）

　　仲裁应当开庭进行。仲裁庭应当将开庭时间、地点、仲裁庭组成人员名单等在开庭的5个工作日前，书面通知当事人。但当事人协议不开庭的，可以书面仲裁。

　　第十八条　（视为撤回申请与缺席仲裁）

　　决定开庭仲裁的，仲裁申请人经书面通知，无正当理由不到庭或者未经仲裁庭许可中途退庭的，可以视为撤回申请。

　　被申请人经书面通知，无正当理由不到庭或者未经仲裁庭许可中途退庭的，可以缺席仲裁。

　　第十九条　（证据）

　　当事人应当对自己的主张提供证据，但国家另有规定的除外。

　　仲裁庭认为有必要时，可以自行收集证据。

　　经过质证的证据，才能作为认定事实的根据。

　　第二十条　（辩论）

　　当事人在仲裁过程中有权进行辩论。辩论终结时，首席仲裁员或者独任仲裁员应当征询当事人的最后意见。

　　第二十一条　（仲裁裁决）

　　仲裁人事争议案件，实行少数服从多数的原则，不同意见应当如实记入笔录。仲裁庭不能形成多数意见时，裁决应当按照首席仲裁员的意见作出。仲裁庭或者独任仲裁员应当在裁决作出后5个工作日内，制作仲裁裁决书。

　　仲裁裁决书应当写明仲裁请求、争议事实、裁决结果及理由、仲裁费用的负担、不服仲裁裁决依法向人民法院提起诉讼的时限和裁决日期。仲裁裁决书由仲裁庭成员署名并加盖仲裁委印章。

　　第二十二条　（特殊案件的处理）

　　仲裁庭对重大或者疑难的人事争议案件的处理，可以提交仲裁委讨论决定。对仲裁委的决定，仲裁庭应当执行。

　　第二十三条　（结案期限）

　　仲裁庭处理人事争议案件，应当在仲裁庭组成之日起60日内结案；但案情复杂需要延期的，经仲裁委批准，可以适当延期，延期不得超过3O日。

　　第二十四条　（委托代理）

　　当事人参加仲裁活动，可以委托一至二人代理。委托他人代理的，必须向仲裁委提交有委托人签名或者盖章的委托书。委托书应当明确委托事项和权限。

　　第二十五条　（仲裁回避）

　　有下列情形之一的，仲裁员应当回避，当事人、代理人也有权提出回避申请：

　　（一）系本案当事人或者当事人、代理人的近亲属的；

　　（二）与本案有利害关系的；

　　（三）与本案当事人、代理人有其他关系，可能影响公正仲裁的。

　　当事人、代理人提出回避申请，应当说明理由，在首次开庭前提出。回避事由在首次开庭后知道的，可以在最后一次开庭终结前提出。

　　仲裁委收到回避申请后，应当在申请提出之日起3个工作日内，以书面形式作出决定。

　　第四章　法律责任与救济

　　第二十六条　（当事人的法律责任）

　　当事人及有关人员在仲裁过程中有下列行为之一的，由仲裁委予以批评教育、责令改正；情节严重，违反《中华人民共和国治安管理处罚条例》的，由公安部门依法进行行政处罚；构成犯罪的，依法追究刑事责任：

　　（一）干扰仲裁活动的；

　　（二）提供虚假情况的；

　　（三）对仲裁员或者其他工作人员、仲裁参加人、证人进行打击报复的。

　　第二十七条　（仲裁员及其他工作人员的法律责任）

　　仲裁员及其他工作人员在仲裁活动中徇私舞弊、收受贿赂、敲诈勒索、滥用职权、侵犯当事人合法权益的，仲裁员由仲裁委取消仲裁员资格并解聘，其他工作人员由仲裁委解聘；构成犯罪的，依法追究刑事责任。

　　第二十八条　（诉讼与执行）

　　当事人对人事争议仲裁裁决不服的，可以自收到仲裁裁决书之日起15日内，依法向人民法院提起诉讼。一方当事人在法定期间内不起诉又不履行仲裁裁决的，另一方当事人可以向人民法院申请执行。

　　第五章　附则

　　第二十九条　（仲裁费）

　　当事人申请人事争议仲裁，应当按照有关规定交纳仲裁费。

　　第三十条　（施行日期）

　　本办法自2004年10月24日起施行。《上海市事业单位聘用合同争议处理办法》（沪府发[2003]3号）同时废止。

　　2004年9月24日

Procedures of Shanghai Municipality on the Settlement of Personnel Disputes in Public Institutions

　　Chapter I General Provisions

　　Article 1 （Purpose and Basis）

　　With a view to regulating the settlement of personnel disputes in public institutions, protecting the legitimate¹ rights and interests of both parties to disputes and facilitating the rational mobility² of qualified³ personnel, these Procedures are formulated⁴ in accordance with relevant provisions of the State, taking into account the actual circumstances of this Municipality.

　　Article 2 （Scope of Application）

　　These Procedures apply to the settlement of disputes （hereinafter referred to as personnel dispute （s）） arising from the establishment, alteration⁵, termination and dissolution of employment relations between public institutions in the administrative⁶ area of this Municipality and their employed staff.

　　Disputes arising from the establishment, alteration, termination and dissolution of employment relations between non-enterprise units run by the local people and social organizations using authorized⁸ posts of public institutions on the one hand and their employed staff on the other may be settled according to these Procedures.

　　These Procedures do not apply to those public institutions that administer personnel in accordance with the state public servant system.

　　Article 3 （Principles of Settlement）

　　The settlement of personnel disputes shall be based on facts, taking law as the criterion and following the principles of timeliness, fairness and reasonableness.

　　Article 4 （Modes of Settlement）

　　After a personnel dispute arises, the parties may resolve it by resorting to the following modes:

　　（1） Consultations⁹ by themselves;

　　（2） Applying for mediation¹⁰;

　　（3） Applying for arbitration¹¹.

　　If the parties refuse to accept the award of arbitration over a personnel dispute, they may file an action in a people's court according to law.

　　Chapter II Mediation

　　Article 5 （Mediation Organizations）

　　Public institutions may establish mediation commissions for the settlement of personnel disputes. The personnel dispute mediation commission shall be composed of the following personnel:

　　（1） Representatives of employees elected by the workers and staff congresses or by the general staff meetings;

　　（2） Legal representatives or their appointed representatives;

　　（3） Representatives appointed by the trade unions.

　　The personnel dispute mediation commission shall be chaired by the representative appointed by the trade union, with its administrative office set up in the trade union committee.

　　Higher departments in charge of the public institution may appoint a special mediation organization to mediate¹² personnel disputes.

　　Article 6 （Mediation Provisions）

　　After a personnel dispute arises, if the parties apply for mediation, the personnel dispute mediation commission or the designated special mediation organization （hereinafter referred to as mediation organization（s）） shall urge both parties to reach a mediation agreement voluntarily on the basis of the facts established.

　　The contents of the mediation agreement may not violate the provisions of laws, rules and regulations.

　　Article 7 （Mediation Procedure）

　　When the parties apply to a mediation organization for mediation, the organization shall mediate in a timely manner. If the mediation application is submitted by one party, the organization shall secure the consent of the other party before undertaking¹³ mediation.

　　In the course of mediation, the mediation organization shall hear presentations by both parties and mediate impartially¹⁴ according to relevant provisions.

　　When an agreement is reached after mediation, the mediation organization shall prepare a written statement of the mediation agreement, which shall go into effect upon signing by both parties; in case mediation fails, the mediation organization shall prepare a written mediation opinion and notify both parties that they may apply to the personnel disputes arbitration commission for arbitration.

　　The mediation organization shall see that both parties to the personnel dispute implement¹⁵ the mediation agreement.

　　Article 8 （Time Limit for Mediation）

　　After the parties apply to a mediation organization for mediation, the mediation organization shall complete the mediation proceeding¹⁶ within 50 days from the date of occurrence of the dispute; if the mediation is not completed by the end of the above time limit, the mediation shall be deemed as a failure.

　　Chapter III Arbitration

　　Article 9 （Establishment and Composition of the Arbitration Commission）

　　Personnel dispute arbitration commissions （hereinafter referred to as arbitration commission（s）） shall be established at the municipal and district/county levels. Arbitration commissions shall be composed of the following personnel:

　　（1） Representatives of competent personnel administrative departments;

　　（2） Representatives of the federation¹⁷ of trade unions;

　　（3） Representatives of other relevant government departments.

　　The arbitration commission shall be composed of an odd number of members, with the representative of the competent personnel administrative department serving as the chairman.

　　Article 10 （Administrative Office of the Arbitration Commission）

　　The arbitration commission shall establish an administrative office under it to handle its day-to-day work, such as accepting cases, serving arbitration documents, file management, arbitration fees collection and management.

　　The administrative office of the arbitration commission shall be set up in the competent personnel administrative department of the people's government at the same level.

　　Article 11 （Arbitration Tribunal）

　　When handling personnel disputes, the arbitration commission shall adopt the arbitration tribunal system. The arbitration tribunal shall be composed of three arbitrators, with an arbitrator appointed by the arbitration commission serving as the chief arbitrator; in a simple case of personnel dispute, the arbitration commission may appoint a single arbitrator as the sole arbitrator.

　　Article 12 （Arbitrators）

　　The arbitration commission may appoint officials of relevant government departments, experts, scholars and lawyers as full-time¹⁸ or part-time arbitrators.

　　In performing their public functions as arbitrators, part-time arbitrators shall enjoy the same rights as full-time arbitrators.

　　Article 13 （Arbitration Jurisdiction¹⁹）

　　Personnel disputes that occur in those public institutions established with the approval of the municipal people's government or its relevant competent departments and the Shanghai-based institutions of central government departments, other provinces and municipalities shall fall within the jurisdiction of the municipal arbitration commission.

　　Personnel disputes that occur in those public institutions established with the approval of district/county people's governments or their relevant competent departments shall fall within the jurisdiction of the district /county arbitration commissions.

　　When district/county arbitration commissions differ in their opinions on the jurisdiction over a case, the municipal arbitration commission shall designate its jurisdiction.

　　Article 14 （Arbitration Application）

　　Parties shall, within 60 days from the date of occurrence of a personnel dispute, apply in writing to the arbitration commission that has jurisdiction for arbitration.

　　The arbitration application shall specify²⁰ the following particulars:

　　（1） If the claimant or respondent is an individual, his/her name, sex, age, occupation, work unit and address of residence shall be stated; if the claimant or respondent is a unit, the name and address of the unit, and the name and position of its legal representative or the leading person-in-charge shall be stated;

　　（2） The matters at issue, the facts the application is based and its grounds;

　　（3） Evidence and its source, the name and the address of residence of the witness（es）.

　　Article 15 （Acceptance of Arbitration）

　　The arbitration commission shall make a decision on acceptance or rejection²¹ within 7 workdays from the date of receipt of the arbitration application. In case of a rejection decision, the commission shall notify the claimant in writing within 7 workdays from the date of making the decision and give the reasons for the rejection. In case of an acceptance decision, the commission shall notify the claimant in writing within 7 workdays from the date of making the decision and serve the duplicate copy of the arbitration application on the respondent and form an arbitration tribunal.

　　The respondent shall submit a statement of defense²² and related evidence within 10 workdays from the date of receiving the duplicate copy of the arbitration application. Failure on the part of the respondent to submit a statement of defense in time or failure to submit defense at all shall not affect the progress of the arbitration proceedings²³.

　　Article 16 （Mediation by the Arbitration Tribunal）

　　In case both parties are willing to accept mediation, the arbitration tribunal, upon establishing the facts and attributing liabilities, shall urge the two parties to reach an agreement voluntarily. The contents of the agreement may not contravene²⁴ the provisions of laws, rules and regulations.

　　Where an agreement is reached through mediation, the arbitration tribunal shall prepare a mediation decision. The mediation decision shall take legal effect upon signing receipt by both parties.

　　In case agreement is not reached through mediation or the parties go back on it before signing receipt of the mediation decision, the arbitration tribunal shall arbitrate without delay.

　　Article 17 （Modes of Arbitration）

　　Arbitration shall be conducted by holding hearings. The arbitration tribunal shall notify in writing both parties of the time and place of the hearing, as well as the list of its members 5 workdays before the hearing. Where the parties agree not to hold a hearing, arbitration in writing is also allowed.

　　Article 18 （Acts Deemed as Withdrawal²⁵ of Application and Arbitration by Default）

　　Where a decision is made to hold a hearing for arbitration but the arbitration claimant fails to be present at the hearing without any proper reasons, though he is notified in writing, or leaves the court before the hearing is over without permission of the arbitration tribunal, the application may be regarded as being withdrawn²⁶.

　　Where the respondent fails to be present at the hearing without any proper reasons, though he has been notified in writing, or leaves the court before the hearing is over without permission of the arbitration tribunal, an arbitration by default may be conducted.

　　Article 19 （Evidence）

　　The parties shall submit evidence to support their respective claims, unless otherwise provided by the State.

　　The arbitration tribunal may collect evidence by itself if it deems it necessary.

　　Only those evidences that have been cross-examined and confirmed may be taken as the basis for establishing the facts.

　　Article 20 （Debate）

　　The parties have the right to debate their case in the course of arbitration. At the end of the debate, the chief arbitrator or the sole arbitrator shall seek final opinions of the parties.

　　Article 21 （Arbitration Award）

　　In arbitrating cases of personnel disputes, the principle of the minority being subordinate to the majority shall be followed and dissenting²⁷ opinions shall be recorded accurately²⁸. When a majority opinion can not be reached by the arbitration tribunal, an award shall be made according to the chief arbitrator's opinion. The arbitration tribunal or the sole arbitrator shall prepare a written arbitration award within 5 workdays after making the award.

　　The arbitration award shall state the arbitration claims, facts under dispute, arbitration results and reasons therefor, the allocation of arbitration fees, the time limit to institute legal proceedings with the people's court according to law in case of refusing to accept the arbitration award and the date of the arbitration award. The arbitration award shall be signed by the members of the arbitration tribunal and sealed by the arbitration commission.

　　Article 22 （Handling of Special Cases）

　　When handling important or difficult personnel dispute cases, the arbitration tribunal may refer them to the arbitration commission for discussion and decision. The arbitration tribunal shall implement the decision of the arbitration commission.

　　Article 23 （Time Limit for Closing a Case）

　　Personnel dispute cases handled by an arbitration tribunal shall be closed within 60 days from the date of forming the arbitration tribunal; where necessary, appropriately deferred²⁹ closure of complicated cases may be allowed upon the approval of the arbitration commission, provided the deferment³⁰ does not exceed 30 days.

　　Article 24 （Authorized Representation）

　　The parties may authorize⁷ one or two persons to participate in the arbitration proceedings on their behalf. In case of authorizing³¹ a third party to act as the representative, a power of attorney signed or sealed by the principal shall be submitted to the arbitration commission. The power of attorney shall specify the entrusted³² matters and the limits of authority.

　　Article 25 （Challenge of Arbitrators）

　　An arbitrator shall withdraw and the parties and their representatives also have the right to challenge him, when:

　　（1） He is a party to the case in question or a family member or close relative of either of the parties or his representatives;

　　（2） He is a stakeholder in the case;

　　（3） He is otherwise related to a party to the case or to his representative, so that the impartiality³³ of the arbitration proceedings may be prejudiced.

　　A challenge put forward by a party or his representative shall state the reason therefor and be submitted before the first hearing. In case the causes for the challenge become known after the first hearing, the challenge may be submitted before the end of the final hearing.

　　After receiving a challenge, the arbitration commission shall make a decision in writing within 3 workdays from the date of the submission³⁴ of the challenge.

　　Chapter IV Legal Liability and Relief

　　Article 26 （Legal Liability of Parties）

　　Where a party or any related person does any one of the following acts in the course of arbitration, the arbitration commission may criticize, educate and order him to make corrections. In serious cases involving violations³⁵ of relevant provisions of"Regulation of the People's Republic of China on Public Security Administration and Imposition of Punishment", the public security department may impose administrative punishments according to law; if the wrongful act constitute a crime, the wrongdoer shall be prosecuted³⁶ for criminal liability as provided by law:

　　（1） Interfering³⁷ with arbitration proceedings;

　　（2） Providing false information;

　　（3） Taking reprisals³⁸ against arbitrators or other working personnel, participants in arbitration or witnesses.

　　Article 27 （Legal Liability of Arbitrators and Other Working Personnel）

　　Where an arbitrator or other working personnel engage in malpractice for selfish ends, accept bribes³⁹, carry out extortions, abuse power, or infringe⁴⁰ upon the legitimate rights and interests of the parties in an arbitration proceeding, the arbitrator shall be disqualified as arbitrator and dismissed by the arbitration commission, while the other working personnel shall be dismissed by the arbitration commission; if the wrongful act constitute a crime, the wrongdoer shall be prosecuted for criminal liability as provided by law.

　　Article 28 （Litigation and Enforcement）

　　If a party refuses to accept the award of a personnel dispute arbitration, he may file an action in a people's court according to law within 15 days from the date of receipt of the arbitration award. Where a party does not file an action or implement the arbitration award within the statutory period, the other party may apply to the people's court for enforcement.

　　Chapter V Supplementary⁴¹ Provisions

　　Article 29 （Arbitration Fees）

　　Parties applying for arbitration over personnel disputes shall pay arbitration fees in accordance with relevant provisions.

　　Article 30 （Effective Date）

　　These Procedures shall become effective on October 24, 2004. The"Procedures of Shanghai Municipality on the Settlement of Disputes over Employment Contracts of Public Institutions"（SMPG G [2003] No.3） shall be annulled⁴² at the same time.

　　September 24,2004

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