上海市监督检查从事行政许可事项活动的规定

第一条 （目的与依据）

为了规范行政机关对从事行政许可事项活动的监督检查，及时纠正违法行为，维护社会秩序和公共利益，保障公民、法人或者其他组织的合法权益，根据《中华人民共和国行政许可法》（以下简称《行政许可法》），结合本市实际，制定本规定。

第二条 （适用范围）

本市行政区域内的行政机关和法律、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），对公民、法人或者其他组织从事行政许可事项活动实施监督检查及其处理的活动，适用本规定。

第三条 （监督检查原则）

行政机关对公民、法人或者其他组织从事行政许可事项活动实施监督检查，应当遵循合法合理、高效便民、程序规范、公开透明的原则。

第四条 （监督检查方式）

行政机关可以通过下列方式，对从事行政许可事项活动的公民、法人或者其他组织实施监督检查：

（一）对反映被许可人从事行政许可事项活动情况的有关材料进行书面检查；

（二）对被许可人的生产经营场所等进行实地检查；

（三）对直接关系公共安全、人身健康、生命财产安全的重要设备、设施进行定期检验；

（四）对被许可人生产经营的产品进行抽样检查、检验、检测；

（五）法律、法规、规章规定的其他方式。

第五条 （书面检查）

对从事行政许可事项活动采取书面检查方式的，行政机关应当通过书面或者公告等方式，事先通知被许可人书面检查的内容、期限，以及要求报送的书面材料。

要求报送的书面材料，法律、法规、规章有规定的，从其规定；法律、法规、规章没有规定的，应当根据行政许可的性质，能够反映被许可人是否依法从事行政许可事项的活动。

行政机关收到书面材料后，应当及时核查被许可人是否按照被许可的条件、范围等从事特定的活动。经核查合格的，行政机关可以不向被许可人反馈检查结果；发现被许可人从事行政许可事项的活动存在不当但尚不严重的，应当书面告知被许可人并提出相应整改要求。

必要时，行政机关可以采取其他监督检查方式进一步核查。

第六条 （实地检查）

行政机关可以对被许可人的生产经营场所依法进行实地检查。

行政机关进行实地检查时，应当指派两名以上工作人员。除有明确举报被许可人违法从事行政许可活动，或者事先告知可能妨碍检查过程中获得真实情况的外，行政机关进行实地检查应当事先告知被许可人。

实地检查可以依法采取勘察现场、查阅有关材料、询问有关人员、听取当事人陈述等方法。

实地检查时，行政机关工作人员应当向被许可人出示证件表明身份，并告知被许可人具有的权利和义务。发现被许可人从事行政许可活动中存在违法行为的，行政机关应当当场责令其改正或限期改正。

第七条 （定期检验）

行政机关根据法律、行政法规的规定，对直接关系公共安全、人身健康、生命财产安全的重要设备、设施，应当进行定期检验。

行政机关进行定期检验的，应当事先告知被许可人具体的检验期限、方式和要求。法律、行政法规对定期检验期限有明确规定的，行政机关应当在规定期限内完成检验；法律、行政法规无明确规定的，行政机关应当按照保障公共安全、人身健康、生命财产安全的需要，根据设备、设施的实际情况，确定定期检验的合理期限，并事先告知被许可人或者予以公告。

对《行政许可法》第十二条第（四）项以外的行政许可事项进行监督检查，行政机关一般不采取定期检验的方式。但是，法律、行政法规另有规定的，从其规定。

第八条 （抽样检查、检验、检测）

行政机关可以对被许可人生产经营的产品依法进行抽样检查、检验、检测。

抽样应当有科学依据；检查、检验、检测应当按照有关技术规范、标准执行。

抽样检查、检验、检测结果应当在法定或者约定的期限内告知被许可人。检后样品尚有经济价值的，应当归还被许可人。

第九条 （委托专业技术机构抽样检查、检验、检测）

抽样检查、检验、检测，可以委托具备法定资质的专业技术机构进行。

受委托专业技术机构应当按照技术规程或者约定的期限，出具检查、检验、检测结果报告。行政机关应当依据结果报告，作出监督检查结论。

第十条 （处理决定）

经过监督检查后，发现公民、法人或者其他组织从事行政许可事项的活动存在违法行为的，行政机关应当依法作出处理决定。

第十一条 （监督检查材料的归档与公开）

行政机关应当将下列监督检查材料归档保存：

（一）被许可人报送的书面材料；

（二）由监督检查人员签字的监督检查书面记录；

（三）行政机关根据监督检查书面记录作出的处理结果书面记录；

（四）举报材料；

（五）法律、法规、规章规定应当归档保存的其他材料。

公众有权向行政机关要求查阅行政机关监督检查和处理结果书面记录。行政机关公开监督检查和处理结果书面记录，应当按照《上海市政府信息公开规定》执行。

第十二条 （违法行为的抄告）

行政许可事项由本市行政区域外的行政机关作出决定，被许可人在本市行政区域内违法从事行政许可事项活动的，作出查处决定的本市行政机关应当在作出决定后的7日内，依法将被许可人的违法事实、处理结果抄告作出行政许可决定的外地行政机关。

行政许可事项由本市区县及乡镇行政机关作出决定，被许可人在本市其他区县、乡镇行政区域内违法从事行政许可事项活动的，作出查处决定的本市区县、乡镇行政机关在作出决定后，应当及时通过互联共享的网络，告知作出行政许删龆ǖ那?亍⑾缯蛐姓??亍?

第十三条 （举报的处理）

行政机关收到对违法从事行政许可事项活动举报的，应当立即记录，及时立案，并指派相关执法人员进行实地核查。

经核实，被举报人确实存在违法行为的，行政机关应当依法作出处理。

第十四条 （被许可人的配合义务）

对行政机关的实地检查、定期检验和抽样检查、检验、检测，被许可人应当积极配合监督检查人员进行现场勘察或者抽样，如实提供书面材料，接受询问，真实陈述、反映有关情况。

对监督检查人员所作的监督检查记录属实的，被许可人应当在监督检查记录上签字。

第十五条 （自检制度）

从事直接关系公共安全、人身健康、生命财产安全的重要设备、设施的设计、建造、安装和使用的单位，应当建立相应的自检制度。对自检情况应当作好记录，并妥善保管，以备行政机关核查。

第十六条 （可以撤销的行政许可）

对于依照《行政许可法》第六十九条第一款的规定可以撤销行政许可的情形，行政机关应当建立调查核实、审核批准等工作的内部程序规范。

属于《行政许可法》第六十九条第一款的规定可以撤销行政许可的情形，作出行政许可决定的行政机关不撤销行政许可，其上级行政机关认为应当撤销的，可以撤销行政许可。

第十七条 （不良记录档案）

被许可人以欺骗、贿赂等不正当手段取得行政许可，依法属于直接关系公共安全、人身健康、生命财产安全的事项，被依法撤销行政许可后，在3年内不得再次申请该行政许可的，行政机关应当建立该被许可人的不良记录档案，通过互联网实现信息共享，供有关行政机关备查。

第十八条 （注销手续的简化）

有《行政许可法》第七十条第（四）项情形的，行政机关可以简化行政许可的内部注销手续。

第十九条 （撤销、注销行政许可的告知）

撤销或者注销行政许可的，行政机关应当作出书面决定，说明理由，并告知当事人享有依法申请行政复议、提起行政诉讼的权利。

第二十条 （对未经行政许可行为的查处）

对未经行政许可而擅自从事依法应当取得行政许可的活动的行为，行政机关应当作出书面处理决定，责令停止违法活动，并依法给予行政处罚；构成犯罪的，依法追究刑事责任。

第二十一条 （实施日期）

本规定自2005年2月1日起实施。

2004年12月13日

Provisions of Shanghai Municipality on Supervision and Inspection of the Participation in the Administrative License Matters Activities
Promulgated on December 13, 2004 by Decree No. 40 of the Shanghai Municipal People's Government）

Article 1 （Purpose and Basis）

With a view to normalizing administrative organs'supervision and inspection of the participation in the administrative license matters activities, timely correcting wrongful acts, maintaining social order and public interests, and safeguarding the legitimate rights and interests of citizens, legal entities or other organizations, these Provisions are formulated in accordance with the"Law of the People's Republic of China on Administrative Licenses"（hereinafter referred to as the"Administrative Licenses Law"） and in the light of this Municipality's actual circumstances.

Article 2 （Application Scope）

These Provisions apply to the activities of administrative organs and organizations in this Municipality's administrative area which have functions of administering public affairs empowered by laws and regulations （hereinafter referred to jointly as the administrative organ） in exercising supervision, inspection and handling of administrative license matters activities in which citizens, legal entities or other organizations participate.

Article 3 （Principle of Supervision and Inspection）

The administrative organ shall, in exercising supervision and inspection of the administrative license matters activities in which citizens, legal entities or other organizations participate, observe the principle of legality and rationality, high-efficiency and convenience to the people, normal procedure, openness and transparency.

Article 4 （Modes of Supervision and Inspection）

The administrative organ may, through the following modes, exercise supervision and inspection over citizens, legal entities or other organizations engaged in administrative license matters activities:

（1） Making written inspections of relevant material reflecting the matters of the licensee participating in the administrative license matters activities;

（2） Making on-the-spot inspections of the licensee's production and operation premises;

（3） Making regular inspections of major equipment and facilities that have a direct bearing on public security, personal health, life and property safety;

（4） Making sampling inspections, tests and checks of products the licensee produces and operates; and

（5） Other modes as may be provided by laws, rules and regulations.

Article 5 （Reading Inspections）

Where a reading inspection mode is adopted for the participation in the administrative license matter activity, the administrative organ shall, in written form or by public notice, notify in advance the licensee of the content and term of the reading inspection as well as written material to be submitted as required.

Where there are provisions governing the written material to be submitted set out in laws, rules and regulations, such provisions shall apply; where there are no provisions set out in laws, rules or regulations, the written material shall, based on the nature of the administrative license, reflect whether the licensee participates in the administrative license matter activity in compliance with law.

The administrative organ, upon receiving the written material, shall timely check whether the licensee participates in the particular activity in compliance with the licensed condition and scope. Where it passes the check, the administrative organ need not feed back the inspection results to the licensee; where something is found improper but not serious in the administrative license matter activity the licensee participates in, the administrative organ shall notify in writing the licensee and put forward a corresponding request for rectification.

When necessary, the administrative organ may take other modes of supervision and inspection to make further checks.

Article 6 （On-the-spot Inspections）

The administrative organ may, in accordance with law, make on-the-spot inspections of the licensee's production and operation premises.

When making on-the-spot inspections, the administrative organ shall appoint two functionaries or more. Except for a clear report that the licensee participates in the administrative license activity in violation of law, or for the fact that prior notification may impede the availability of true matters in the course of inspection, the administrative organ shall, when making on-the-spot inspections, notify the licensee in advance.

For on-the-spot inspections, such methods as surveying the scene, consulting relevant material, inquiring relevant persons and hearing the statement of the party concerned may be adopted in accordance with law.

During on-the-spot inspections, the functionaries of the administrative organ shall produce to the licensee certificates showing their identification, and inform the licensee of his or her rights and duties. Where a wrongful act is found in the administrative license activity the licensee participates in, the administrative organ shall order the licensee to make correction immediately or within a time limit.

Article 7 （Regular Tests）

The administrative organ shall, on a regular basis as provided by laws and administrative regulations, test major equipment and facilities that have a direct bearing on public security, personal health and life and property safety.

When making tests on a regular basis, the administrative organ shall notify the licensee in advance of the specific test term, mode and requirement. Where the regular test time limit is explicitly provided for by laws and administrative regulations, the administrative organ shall complete the tests in the prescribed time limit; where there is no such explicit provision prescribed by laws and administrative regulations, the administrative organ shall, according to the need of safeguarding public security, personal health and life and property safety, and in line with actual conditions of the equipment and facilities, determine a rational time limit for the regular tests, and notify in advance the licensee, or give out a public notice.

In making supervision and inspection of administrative license matters other than those set out in Article 12 Item （4） of the"Administrative Licenses Law", the administrative organ generally does not adopt the mode of making regular tests. But where there are provisions otherwise provided by laws and administrative regulations, such provisions shall apply.

Article 8 （Sampling Inspections, Tests and Checks）

The administrative organ may, in accordance with law, conduct sampling inspections, tests and checks of products the licensee produces and operates.

Sampling shall be done on a scientific basis; inspections, tests and checks shall be conducted in accordance with relevant technical norms and standards.

The results of sampling inspections, tests and checks shall be notified to the licensee within the statutory or agreed time limit. Samples that are still economically valuable after test shall be returned to the licensee.

Article 9 （Entrusting Specialized Technical Institutions to Do Sampling Inspections, Tests, and Checks）

Specialized technical institutions with legal qualification may be entrusted to conduct sampling inspections, tests and checks.

The entrusted specialized technical institution shall, in line with the technical rules or agreed time limit, issue reports on the result of inspection, test and check. The administrative organ shall make a conclusion of supervision and inspection based on the report.

Article 10 （Handling Decision）

Where, upon supervision and inspection, any wrongful act is found in the administrative license matter activity a citizen, legal entity or other organization participates in, the administrative organ shall make a handling decision in accordance with law.

Article 11 （Placing on File and Making Public the Supervision and Inspection Material）

The administrative organ shall keep the following supervision and inspection material on file:

（1） Written material submitted by the licensee;

（2） Written records of supervision and inspection signed by the persons making the supervision and inspection;

（3） Written records of handling results the administrative organ has made on the basis of the written records of supervision and inspection;

（4） Tip-off material; and

（5） Other material that shall be kept on file as provided by laws, rules and regulations.

The public has the right to request the administrative organ for access to the written records of results of supervision, inspection and handling conducted by the administrative organ. The administrative organ, when making public the written records of results of supervision, inspection and handling, shall follow the"Provisions of Shanghai Municipality on Open Government Information".

Article 12 （Notification of Wrongful Acts and Sending Its Copies）

Where the decision on an administrative license matter is made by the administrative organ outside of this Municipality's administrative area, and the licensee participates in the administrative license matter in violation of law within this Municipality's administrative area, this Municipality's administrative organ that makes the investigating and handling decision shall, within seven days after making the decision, in accordance with law, send written notification of the licensee's wrongful act and handling results to the out-of-town administrative organ that made the decision on the administrative license.

Where the decision on an administrative license matter is made by this Municipality's district, county or township administrative organ, and the licensee participates in the administrative license matter in violation of law within the administrative area of other district, county or township, this Municipality's district, county or township administrative organ that makes the investigating and handling decision shall, upon making the decision, timely inform the district, county or township administrative organ that made the decision on the administrative license, through the interconnected and intershared network

Article 13 （Treatment of Tip-off）

The administrative organ, upon receiving tip-off of the wrongful participation in administrative license matter activity, shall forthwith take notes, promptly place a case on file, and appoint relevant law-enforcers to make an on-the-spot check.

Where, upon verification, the person involved in the tip-off has really committed a wrongful act, the administrative organ shall handle in accordance with law.

Article 14 （Licensee's Duty to Cooperate）

In respect of on-the-spot inspections, regular tests and sampling inspections, tests and checks by the administrative organ, the licensee shall actively cooperate with the persons who make supervision and inspection in conducting on-site survey or sampling, furnish written materials as things really are, answer inquiries, make true statements and reflect related matters.

The licensee shall sign the records of supervision and inspection made by the persons who conducted the supervision and inspection, if such records are accurate.

Article 15 （Self-inspection System）

The units designing, building, installing and using the major equipment and facilities that have a direct bearing on public security, personal health, life and property safety shall establish a corresponding self-inspection system. They shall make a good record of the self-inspection matters and put such a record in safekeeping for the future check by the administrative organ.

Article 16 （Administrative License that May Be Revoked）

In respect of the case where an administrative license may be revoked under Article 69 Clause 1 of the"Administrative Licenses Law", the administrative organ shall establish an internal procedure norm for investigation, verification, examination, approval and other work.

Where, in respect of the case where an administrative license may be revoked under Article 69 Clause 1 of the"Administrative Licenses Law", the administrative organ that made a decision on the administrative license does not revoke the administrative license, its superior administrative organ, considering the administrative license subject to revocation, may revoke the administrative license.

Article 17 （Filing Bad Records）

Where a licensee who obtains by devious means such as fraud and bribing an administrative license for a matter which falls into those having a direct bearing on public security, personal health and life and personal safety as provided by law is not allowed to re-apply for the administrative license within three years after the revocation of the administrative license in accordance with law, the administrative organ shall put the licensee's bad record on file and make such information shared through Internet for future reference by relevant administrative organs.

Article 18 （Simplifying Cancellation Formalities）

Where there is a case set out in Article 70 Item （4） of the"Administrative Licenses Law", the administrative organ may simplify internal cancellation formalities of administrative license.

Article 19 （Notification of Revocation and Cancellation of Administrative License）

When revoking or canceling an administrative license, the administrative organ shall make a written decision, give reasons and notify the party concerned of the rights it enjoys to apply for administrative reconsideration and bring an administrative lawsuit in accordance with law.

Article 20 （Investigating and Handling Acts Without Administrative License）

In respect of an act of arbitrarily carrying out, without administrative license, an activity subject to administrative license in accordance with law, the administrative organ shall make a handling decision in writing, order the cessation of illegal activity and impose administrative punishment in accordance with law; if the wrongful act constitutes a crime, the wrongdoer shall be prosecuted for criminal liability as provided by law.

Article 21 （Effective Date）

These Provisions shall become effective on February 1, 2005.

December 13, 2004