上海市行政许可办理规定

　　《上海市行政许可办理规定》已经2004年12月1日市政府第58次常务会议通过，现予发布，自2005年2月1日起施行。

市长　韩正
二00四年十二月十三日

上海市行政许可办理规定

　　第一条　（目的与依据）

　　为了规范行政许可办理活动，保护公民、法人和其他组织的合法权益，保障和监督行政机关依法履行职责，根据《中华人民共和国行政许可法》（以下简称《行政许可法》）和其他有关法律、法规的规定，结合本市实际，制定本规定。

　　第二条　（适用范围）

　　本市行政区域范围内的公民、法人或者其他组织申请行政许可，行政机关和法律、法规授权的具有管理公共事务职能的组织（以下统称行政机关）接收、受理、审查行政许可申请，作出和送达行政许可决定的活动，适用本规定。

　　第三条　（与政务公开的衔接）

　　行政机关办理行政许可的依据、过程和结果的公开，应当与实施政务公开相结合。

　　第四条　（申请书格式文本）

　　行政许可申请书需要采用格式文本的，行政机关应当向申请人提供格式文本。

　　格式文本应当包含下列主要内容：

　　（一）申请人姓名或者名称；

　　（二）申请从事的行政许可事项名称；

　　（三）申请人应当具备的条件以及申请人的承诺；

　　（四）申请人提供的材料目录以及申请人对其所提供材料真实性的保证；

　　（五）申请人的联系方式；

　　（六）申请人签章及申请日期。

　　行政机关应当在办公场所和本单位在因特网的网站上公示申请书格式文本，方便公民、法人或者其他组织索取或者下载。

　　第五条　（申请的委托代理）

　　申请人委托代理人办理行政许可申请的，应当向代理人出具有明确委托权限的委托书。代理人应当向受理申请的行政机关提交委托书。

　　第六条　（申请的登记）

　　申请人到行政机关办公场所提出行政许可申请的，行政机关应当指派工作人员接收行政许可申请，并当场登记。

　　申请人通过信函、电报、电传、传真、电子数据交换和电子邮件等方式提出行政许可申请的，行政机关应当在收到后的一个工作日内予以登记。

　　第七条　（一个机构统一受理和送达）

　　行政机关按照《行政许可法》第二十六条第一款的规定，确定由一个机构统一受理和送达行政许可申请的，应当建立行政许可申请接收、审查、决定和送达的内部流转程序和工作规范，并在办公场所和本单位在因特网的网站上予以公示。

　　第八条　（申请的审核和处理）

　　行政机关对申请人提出的行政许可申请，应当审核下列内容：

　　（一）申请事项是否属于行政许可事项；

　　（二）是否属于本行政机关职权范围；

　　（三）申请材料是否齐全，是否符合法定形式。

　　行政机关应当根据审核结果，按照《行政许可法》第三十二条的规定，对申请分别作出处理。

　　第九条　（当场决定）

　　经审查，申请人提交的申请材料齐全、符合法定形式，能够根据书面材料判定是否符合行政许可条件，并且可以即时制作行政许可决定和行政许可证件的，行政机关应当当场作出行政许可决定。对符合条件的，作出准予行政许可的书面决定，向申请人颁发行政许可证件；不符合条件的，作出不予行政许可的书面决定，并说明理由。

　　第十条　（实地核查）

　　行政机关根据《行政许可法》第三十四条第二款的规定需要对申请材料的内容进行实地核查的，应当事先告知申请人核查的内容、时间、方式。

　　实地核查时，行政机关指派的两名以上工作人员应当向申请人出示证件表明身份，并告知申请人具有的权利和义务。对核查结果，应当制作核查笔录或者现场勘查记录，并作出核查结论。

　　第十一条　（听取利害关系人意见）

　　拟决定的行政许可直接关系他人重大利益的，行政机关应当书面告知利害关系人拟作出行政许可决定的内容、提出陈述和申辩的权利、方式和期限。

　　利害关系人提出意见的，行政机关应当制作陈述笔录，并经陈述人签名认可。

　　行政机关决定不采纳利害关系人意见的，在向申请人送达行政许可审查决定的同时，应当向利害关系人书面说明理由。

　　第十二条　（办理期限）

　　除可以当场作出行政许可决定的外，行政机关应当在《行政许可法》以及其他法律、法规规定的期限内，作出是否准予行政许可的决定。

　　依照《行政许可法》第二十六条第二款的规定实行统一办理的，负责统一受理和送达的行政机关应当在受理行政许可申请之日起5日内，将申请书及相关材料转送统一办理的相关行政机关。相关行政机关应当自收到行政许可申请及相关材料之日起20日内，提出审核意见，送交受理的行政机关。

　　行政机关书面承诺的办理期限短于法定办理期限的，应当在承诺的办理期限内作出决定。

　　第十三条　（证件的颁发）

　　行政机关作出准予行政许可的决定，应当按照《行政许可法》第三十九条的规定，向申请人颁发行政许可证件。行政许可证件应当载明下列主要事项：

　　（一）证件名称和编号；

　　（二）发证机关名称；

　　（三）持证人姓名或者名称；

　　（四）行政许可事项名称及适用范围；

　　（五）证件有效期；

　　（六）发证日期；

　　（七）发证机关印章；

　　（八）法律、法规、规章规定的其他内容。

　　第十四条　（送达）

　　除当场作出行政许可决定的外，行政机关作出是否准予行政许可的决定，应当自作出决定之日起10日内，按照法定的方式，将行政许可决定送达申请人。决定准予行政许可的，应当向申请人送达准予行政许可的决定、行政许可证件。不予行政许可的，应当向申请人送达不予行政许可的书面决定并说明理由。

　　申请人和行政机关对送达方式和期限另有约定或者行政机关有承诺的，行政机关应当按照约定或者承诺的方式和期限送达。

　　第十五条　（变更的申请与决定）

　　被许可人要求变更行政许可事项的，应当向作出行政许可决定的行政机关提出申请。变更申请可以参照行政许可申请的方式提出。申请的内容应当包括要求变更的事项、变更的理由，并提供与申请变更事项有关的材料。

　　行政机关应当按照《行政许可法》和本规定关于行政许可申请审查的有关规定，对被许可人提出的变更申请进行审查。符合法定条件、标准的，行政机关应当依法办理变更手续；不符合法定条件、标准的，应当作出不予变更的书面决定，并说明理由。

　　第十六条　（延续的申请与决定）

　　被许可人需要延续依法取得的行政许可有效期的，应当按照《行政许可法》和其他法律、法规、规章规定的程序提出申请。

　　行政机关应当按照《行政许可法》和本规定关于行政许可申请审查的有关规定，对被许可人提出的延续申请进行审查，并作出是否准予延续的决定。符合法定条件、标准的，行政机关应当依法办理准予延续的手续；行政机关作出不予延续决定的，应当书面告知申请人，并说明理由。

　　行政机关逾期未作出决定，依法视为准予延续的，行政机关事后应当及时补办准予延续的手续。

　　第十七条　（重新申请）

　　被许可人未在行政许可有效期届满前提出延续申请的，该行政许可在有效期届满后自然失效。被许可人需要继续从事该行政许可事项活动的，应当重新提出行政许可申请。

　　第十八条　（行政机关的主动变更与撤回）

　　为了公共利益的需要，行政机关依法拟变更或者撤回已经生效的行政许可的，应当事先书面告知被许可人，并说明理由，告知被许可人依法享有的陈述、申辩等权利。被许可人要求陈述和申辩的，行政机关应当认真听取，并作好陈述笔录；必要时，行政机关可以举行听证会。

　　因行政机关依法变更或者撤回已经生效的行政许可，给被许可人造成财产损失的，行政机关应当按照公正、合理的原则，依法给予补偿。

　　第十九条　（救济权利的告知）

　　行政机关决定不予行政许可，或者不予变更、延续行政许可，以及主动变更、撤回行政许可的，应当书面告知申请人享有依法申请行政复议、提起行政诉讼的权利。

　　第二十条　（电子政务）

　　行政机关应当通过本单位在因特网上的网站，公布行政许可事项，建立和完善网上内部流转程序；有条件的，应当实现行政许可申请的网上受理、办理过程的网上查询和办理结果的网上公开。

　　行政机关实行统一办理行政许可的，应当创造条件，通过互联网络，共享有关行政许可信息，实现网上统一办理。

　　第二十一条　（抄告）

　　法律、法规、规章规定行政许可决定应当向相关行政机关抄告的，负有抄告责任的行政机关作出准予、变更或者延续行政许可的决定，均应当抄告相关行政机关。

　　第二十二条　（不良记录档案）

　　行政许可申请人隐瞒有关情况或者提供虚假材料申请行政许可，申请人在一年内依法不得再次申请该行政许可的，行政机关查实后，应当建立该申请人的不良记录档案，通过互联网实现信息共享，供有关行政机关备查。

　　第二十三条　（实施细则）

　　本市行政机关应当依据《行政许可法》以及有关法律、法规和规章关于行政许可办理的规定，制定办理行政许可操作规程，并向社会公布。

　　第二十四条　（实施日期）

　　本规定自2005年2月1日起实施。

Provisions of Shanghai Municipality on the Handling of Administrative¹ License²

　　Promulgated³ on December 13, 2004 by Decree No. 39 of the Shanghai Municipal People's Government）

HanZheng Mayor
December 13, 20

Provisions of Shanghai Municipality on the Handling of Administrative License

　　Article 1 （Purpose and Basis）

　　With a view to normalizing the activity of handling administrative license, protecting the legitimate⁴ rights and interests of citizens, legal entities⁵ and other organizations, safeguarding and supervising administrative organs in performing their functions and duties in accordance with law, these Provisions are formulated⁶ in accordance with the"Law of the People's Republic of China on Administrative Licenses⁷"（hereinafter referred to as"Administrative Licenses Law"） and the provisions of other relevant laws and regulations, and in the light of this Municipality's actual circumstances.

　　Article 2 （Application Scope）

　　These Provisions apply to activities of citizens, legal entities or other organizations in this Municipality's administrative area in applying for administrative license and to activities of administrative organs and organizations having the functions of administering public affairs empowered by laws and regulations （hereinafter referred to jointly⁸ as the administrative organ） in accepting, handling and examining the application for administrative license, making and serving the decisions on administrative license.

　　Article 3 （Link to Opening Government Affairs to the Public）

　　The opening of the basis, process and results of the administrative organ's handling of administrative license shall be combined with the exercise of opening government affairs to the public.

　　Article 4 （Standard Text of Application Form）

　　Where administrative license application needs the adoption⁹ of a standard text, the administrative organ shall provide applicants¹¹ with the standard text.

　　The standard text shall cover the following main contents:

　　（1） The name or appellation¹² of the applicant¹⁰;

　　（2） The name of the administrative license item the application is made for ;

　　（3） Conditions the applicant must meet and the promise made by the applicant;

　　（4） A catalogue of materials furnished by the applicant and the guarantee for the truth of materials furnished by the applicant;

　　（5） The contact mode of the applicant; and

　　（6） The signature and seal of the applicant and the application date.

　　The administrative organ shall publish the standard text of application form at its office place and on its website on Internet to render convenience to citizens, legal entities or other organization for them to get access to or download the text.

　　Article 5 （Application Agent）

　　An applicant who entrusts¹³ an agent to make an administrative license application shall issue to the agent a power of attorney with clear limits of authority. The agent shall submit the power of attorney to the administrative organ that processes the application.

　　Article 6 （Registering Application）

　　Where an applicant goes to the office place of an administrative organ to lodge¹⁴ an application for administrative license, the administrative organ shall appoint its functionary¹⁵ to accept and register the application on the spot.

　　Where an applicant lodges¹⁶ an application for administrative license by letter, telegram, fax, electronic data exchange or e-mail, the administrative organ shall register the application within one workday after receiving it.

　　Article 7 （One Institution Making Uniform Acceptance, Handling and Service）

　　Where the administrative organ determines one institution to uniformly accept, handle and serve the applications for administrative license under the provision of Article 26, Clause 1 of the"Administrative Licenses Law", the administrative organ shall establish the internal circulating procedure and work norm for accepting and examining the administrative license application and for making and serving the decision thereon, and make publication thereof at its office place as well as on its Internet website.

　　Article 8 （Examining and Verifying, and Processing Application）

　　With respect to the administrative license application lodged¹⁷ by the applicant, the administrative organ shall examine and verify the following contents:

　　（1） Whether the application item falls into the administrative license items;

　　（2） Whether it falls into the limits of its functions and powers; and

　　（3） Whether the application material is complete and in compliance¹⁸ with the prescribed form.

　　The administrative organ shall, depending on the examination and verification results, deal with the applications separately in accordance with Article 32 of the"Administrative Licenses Law".

　　Article 9 （Making a Decision on the Spot）

　　Where, upon examination, the application material submitted by the applicant is complete and in compliance with the statutory form, it can be judged by the written material whether the conditions for administrative license are met or not, and the decision and certificate of administrative license may be made immediately, the administrative organ shall make a decision on administrative license on the spot. In respect of compliance with conditions, the administrative organ shall make a written decision of granting administrative license and issue the certificate of administrative license to the applicant; in respect of failure to comply with conditions, it shall make a written decision of denying the administrative license and give explanations.

　　Article 10 （On-the-spot Check）

　　Under Article 34 Clause 3 of the"Administrative Licenses Law", the administrative organ in need of conducting on-the-spot check on the contents of the application material shall notify in advance the applicant of the content, time and mode of the check.

　　When conducting on-the-spot check, more than two functionaries¹⁹ appointed by the administrative organ shall produce to the applicant the certificate showing their identification and advise the applicant of his or her rights and duties. They shall put down check notes or on-the-spot survey records for check results, and make a check conclusion.

　　Article 11 （Soliciting²⁰ Opinions from Interested Persons）

　　Where an administrative license planned to be decided²¹ on has something to do directly with the major interests of other persons, the administrative organ shall notify in writing the interested persons of the content of the administrative license planned to be decided on and of the right, mode and time limit to make a statement and defense²².

　　Where a interested person puts forward opinions, the administrative organ shall put down notes of the statement signed and confirmed by the person who makes the statement.

　　Where the administrative organ decides to turn down the opinions of the interested person, the administrative organ shall give written explanations to the interested person at the same time when serving the examination decision on the administrative license on the applicant.

　　Article 12 （Processing Time Limit）

　　Apart from the administrative license decision that may be made on the spot, the administrative organ shall make a decision on whether to grant the administrative license within the time limit prescribed by the"Administrative Licenses Law"and other laws and regulations.

　　Where processing is done in a uniform way as provided in Article 26 Clause 2 of the"Administrative Licenses Law", the administrative organ taking charge of processing and serving in a uniform way shall, within five days from the date of accepting the administrative license application, refer the application form and relevant material to the relevant administrative organ that will process the application in a uniform way. The relevant administrative organ shall, within 20 days from the day on which the organ receives the administrative license application and relevant material, put forward an examination and verification comments and send them to the accepting and handling administrative organ.

　　Where the processing time limit promised in writing by the administrative organ is shorter than the prescribed time limit, the decision shall be made within the processing time limit promised.

　　Article 13 （Issuing Certificate）

　　The administrative organ, when making the decision on granting administrative license, shall issue a certificate of administrative license to the applicant in accordance with Article 39 of the"Administrative Licenses Law". The certificate of administrative license shall state the following main items:

　　（1） The name and serial²³ number of the certificate;

　　（2） The name of the issuing organ;

　　（3） The name or appellation of the holder²⁴ of the certificate;

　　（4） The name and application scope of the administrative license item;

　　（5） The certificate's term of validity;

　　（6） The issuing date;

　　（7） The seal of issuing organ; and

　　（8） Other contents provided by laws, rules and regulations.

　　Article 14 （Service）

　　Apart from making the administrative license decision on the spot, the administrative organ, when making a decision on whether to grant the administrative license, shall, within 10 days after the date of decision, serve the administration license decision on the applicant in the prescribed mode. In case of decision on granting administrative license, the decision and certificate of administrative license shall be served on the applicant. In case of a denial of administrative license, a written decision of a denial of administrative license together with statement of reasons shall be served on the applicant.

　　Where the serving mode and time limit are otherwise agreed on by the applicant and the administrative organ, or where the administrative organ has made a promise, the administrative organ shall have the service done in the mode and time limit as agreed on or promised.

　　Article 15 （Altering Application and Decision）

　　The licensee who requests the alteration²⁵ of an administrative license item shall apply to the administrative organ that has made the administrative license. The alteration application may be lodged in reference to the mode of administrative license application. The application content shall cover the alteration item asked for, the reason for alteration, and the material related to the alteration item applied²⁶ for shall be furnished.

　　The administrative organ shall, in accordance with relevant provisions in the"Administrative Licenses Law"and these Provisions respecting the examination of administrative license application, examine the alteration application lodged by the licensee. With regard to compliance with statutory conditions and standards, the administrative organ shall process the alteration formalities in accordance with law; with regard to failure to comply with statutory conditions and standards, it shall make a written decision on denying the alteration and give reasons.

　　Article 16 （Renewing Application and Decision）

　　The licensee who needs to extend the term of validity of the administrative license obtained in accordance with law shall lodge an application in accordance with the procedure provided by the"Administrative Licenses Law"and other laws, rules and regulations.

　　The administrative organ shall, in accordance with relevant provisions in the"Administrative Licenses Law"and these Provisions respecting the examination of administrative license application, examine the renewal²⁷ application lodged by the licensee, and make a decision on whether to grant a renewal. With regard to compliance with prescribed conditions and standards, the administrative organ shall process the formalities for granting a renewal in accordance with law; the administrative organ, in case of making a decision on denying a renewal, shall notify in writing the applicant and give reasons.

　　Where the administrative organ does not make a decision before the deadline, and a renewal is construed²⁸ as granted in accordance with law, and the administrative organ shall, after the event, make timely retroactive formalities for granting a renewal.

　　Article 17 （Re-application）

　　Where the licensee does not lodge a renewal application before the expiry date of the administrative license, the administrative license shall be invalid²⁹ naturally after the expiry date. The licensee, who has need of going on with the activity of the administrative license item, shall make a fresh application for the administrative license.

　　Article 18 （Alteration and Withdrawal³⁰ by Administrative Organ）

　　The administrative organ, when, for the need of public interests, intending in accordance with law to alter or withdraw the administrative license already effective, shall notify in writing the licensee in advance and give reasons, informing the licensee of the rights he or she legally enjoys to make a statement and argument. Where the licensee requests to make a statement and argument, the administrative organ shall hear conscientiously³¹ and put down the notes of statement; if necessary, the administrative organ may hold a hearing.

　　Where the alteration or withdrawal of the already effective administrative license made by the administrative organ in accordance with law causes losses of property to the licensee, the administrative organ shall, in accordance with law, make compensation in the principle of fairness and rationality.

　　Article 19 （Notification of Remedy Rights）

　　The administrative organ, when making a decision on a denial of administrative license, or on a refusal of alteration or a renewal of administration license, or when altering or withdrawing on its own initiative an administrative license, shall notify in writing the applicant of the rights he or she enjoys to apply for administrative reconsideration or bring an administrative lawsuit³² in accordance with law.

　　Article 20 （Electronic Government）

　　The administrative organ shall, through its Internet website, publish administrative license items, establish and perfect the on-line internal circulating procedure; where conditions permit, it shall carry out on-line accepting of administrative license application, on-line inquiry³³ of handling process and on-line release of handling results.

　　The administrative organ, which exercises the uniform handling of administrative license, shall create conditions, share information on administrative license through Internet and carry out the uniform handling on line.

　　Article 21 （Sending Copies）

　　Where copies of administrative license decision shall be sent to relevant administrative organs as provided by laws, rules and regulations, the administrative organ which has responsibility for sending copies shall, upon making a decision on granting, altering or renewing administrative license, send copies thereof to relevant administrative organs.

　　Article 22 （Files of Bad Records）

　　The applicant for administrative license who conceals³⁴ relevant matters or furnishes false material to apply for administrative license shall not apply again for that administrative license within a year; the administrative organ shall, upon finding out the fact, place the applicant's bad records on file, carry out information sharing through Internet for future reference by relevant administrative organs.

　　Article 23 （Detailed³⁵ Rules for Implementation³⁶）

　　This Municipality's administrative organs shall, based on the"Administrative Licenses Law"and relevant laws, rules and regulations respecting the processing of administrative license, draw up operational rules for processing administrative license, and publish the rules to the general public.

　　Article 24 （Effective Date）

　　These Provisions shall become effective on February 1, 2005

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