Notice of the Shanghai Municipal People's Government on Issuing the Measures of the Shanghai Municipality for Notification and Undertaking in Administrative Approval

· Document Number：No. 82 [2017] of the Shanghai Municipal People's Government

· Area of Law： State Organs

· Level of Authority： Local Regulatory Documents

· Date issued：10-26-2017

· Effective Date：11-01-2017

· Status： Effective

· Issuing Authority： People's Government of Shanghai Municipality

Notice of the Shanghai Municipal People's Government on Issuing the Measures of the Shanghai Municipality for Notification and Undertaking in Administrative Approval
(No. 82 [2017] of the Shanghai Municipal People's Government)
The people's governments of all districts; and all commissions, offices and bureaus of the Shanghai Municipal People's Government:
The Measures of the Shanghai Municipality for Notification and Undertaking in Administrative Approval are hereby issued for your compliance and implementation.
The Measures of the Shanghai Municipality for Notification and Undertaking in Administrative Approval (No. 46 [2012], Shanghai Municipal People's Government) issued by the municipal government on April 28, 2012 shall be repealed on the date when these Measures come into force.
Shanghai Municipal People's Government
October 26, 2017
Measures of the Shanghai Municipality for Notification and Undertaking in Administrative Approval
Article 1 Purpose
These Measures are developed for the purposes of optimizing the administrative approval procedures, improving the management method, and enhancing the administrative efficiency.
Article 2 Definition
For the purpose of these Measures, “notification and undertaking” means the method by which a citizen, legal person, or another organization applies for administrative approval, the administrative approval authority notifies the applicant of the approval conditions and the materials required to be submitted at one time, the applicant undertakes to meet the approval conditions in writing, and the administrative approval authority makes a decision of administrative approval.
Article 3 Scope of Application
Where the administrative approval authority of this municipality implements administrative approval by means of notification and undertaking, these Measures shall apply.
Article 4 Organization of Implementation
The Office of the Municipal Leading Group of the Reform of the Administrative Approval System (hereinafter referred to as the “municipal approval reform authority”) shall be responsible for organizing, implementing, coordinating and promoting the work of notification and undertaking in this municipality.
The approval reform department determined by the district government (hereinafter referred to as the “district approval reform authority”) shall be responsible for organizing, implementing, coordinating and promoting the work of notification and undertaking within its respective administrative region.
Article 5 Determination and Announcement of the Notification and Undertaking Matters
For administrative approval matters directly involving public security and ecological environment protection and directly relating to personal health, life and property safety, the approval authority may implement notification and underwriting for the administrative approval matters for which the acts failing to meet the approval conditions may be corrected through ex post supervision and that will not cause serious consequences.
The specific administrative approval items for which notification and undertaking shall be implemented shall be determined by the municipal and district approval reform authorities according to their own powers and in conjunction with the relevant approval authority, and be announced to the public.
Article 6 Letter of Notification and Undertaking
For an administrative approval matter to be subject to notification and undertaking, the administrative approval authority shall develop a notification and undertaking letter.
The municipal and district approval reform authorities shall, according to their own powers and in conjunction with the relevant administrative approval authority, develop a model text for a notification and undertaking letter.
Article 7 Notification by the Administrative Approval Authority
For an administrative approval matter to be subject to notification and undertaking, an administrative approval authority shall, upon receipt of an application, notify the applicant of the following contents through a Letter of Notification and Underwriting:
(1) the names and relevant clauses of the main laws, rules and regulations as the basis for the administrative approval matters;
(2) the conditions, standards and technical requirements to be satisfied for affirmative administrative approval;
(3) the names, methods and time limit of the materials required to be submitted by the applicant;
(4) the deadline and legal force of the undertaking made by the applicant, and the legal consequences for failure to make undertaking within the prescribed time limit, making false undertaking and breaking undertaking; and
(5) other contents that the administrative approval authority deems necessary to be notified.
Where an applicant submits an application in person, the administrative approval authority shall issue a notification and undertaking letter on the spot; and where an applicant submits an application by letter, telex, fax, electronic data interchange, email and other means, the administrative approval authority shall, within 3 working days of the receipt of an application, send the notification and undertaking letter to the applicant by mail.
Article 8 Undertaking of Applicants
Upon receipt of a notification and undertaking letter, an applicant willing to make undertaking shall, within the time limit notified, enter the basic information on the applicant and make confirmation and undertaking for the following contents:
(1) The basic information entered is authentic and accurate.
(2) It has been aware of all the contents notified by the administrative approval authority.
(3) It is able to satisfy the conditions, standards and technical requirements notified by the administrative approval authority.
(4) It is able to submit the relevant materials notified by the administrative approval authority within the agreed time limit.
(5) It is willing to assume legal liabilities for breaking undertaking.
(6) The undertaking made is the true intention of the applicant.
The applicant shall submit the signed notification and undertaking letter to the administrative approval authority in person or by mail.
Article 9 Entry into Force and Keeping of the Notification and Undertaking Letter
A notification and undertaking letter shall come into force after the administrative approval authority and applicant affix seal and signature thereto.
A notification and undertaking letter shall be in duplicate and the administrative approval authority and applicant shall respectively hold one.
Article 10 Submission of Materials
An applicant shall, as agreed in the notification and undertaking letter, submit relevant materials to the administrative approval authority.
Where it is agreed in a notification and undertaking letter that an applicant shall submit some materials when submitting the notification and undertaking letter, the applicant shall submit these materials when submitting the notification and undertaking letter; and where it is agreed that an applicant shall submit relevant materials within a specific time limit after a decision of administrative approval is made, the applicant shall submit these materials within the agreed time limit.
The specific scope of materials to be submitted by an applicant when submitting a notification and undertaking letter shall be determined by the municipal and district approval reform authorities according to their respective powers in conjunction with relevant administrative approval authority.
Article 11 Decision of Approval
Where an administrative approval authority is able to make a decision of administrative approval on the spot upon receipt of a notification and undertaking letter signed by an applicant and the materials as agreed in the notification and undertaking letter, the authority shall make a decision of administrative approval on the spot, make a corresponding certificate of administrative approval, and serve them on the applicant according to the law.
Article 12 Follow-up Supervision and Administration
Where, after an affirmative administrative approval is made, a person subject to approval fails to submit materials or submit materials failing to satisfy the requirements within the time limit as agreed in the notification and undertaking letter, the administrative approval authority shall revoke the decision of administrative approval according to the law.
The administrative approval authority shall, within 2 months after making an affirmative administrative approval, check whether the undertaking made by the person subject to approval is authentic. Where the reality of a person subject to approval is inconsistent with the undertaking, the administrative approval authority shall request the person subject to approval to make rectification within the prescribed time limit; and after the conditions are still not met after rectification, the administrative approval authority shall revoke the decision of administrative approval according to the law.
The administrative approval authority shall strengthen supervision and inspection of the activities of engaging in administrative approval matters by the person subject to approval, and handle the violations of a person subject to approval according to the law in a timely manner when the violations are found.
Article 13 Credit Files
The administrative approval authority shall create credit files for applicants and persons subject to approval.
Where a person subject to approval fails to submit materials within the prescribed time limit or submits materials failing to satisfy the requirements, and the administrative approval authority finds that an applicant or a person subject to approval makes a false undertaking in the examination and follow-up supervision and administration, it shall be recorded in the credit file of the applicant and person subject to approval, and the approval method of notification and undertaking shall no longer apply to the applicant and person subject to approval.
Article 14 Administrative Supervision
The municipal and district supervisory authorities shall strengthen supervision of the implementation of notification and undertaking.
Article 15 Handling of Applicant's Refusal to Undertake
Where an applicant refuses to make any undertaking for any administrative approval matter to be subject to notification and undertaking, the administrative approval authority shall, according to the relevant provisions of the laws, regulations and rules, conduct administrative approval.
Article 16 Effective Date
These Measures shall come into force on November 1, 2017 and be valid until October 31, 2022.