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Implementation Recommendations of Shanghai Municipal People’s Government on Strengthening and Standardizing the On-processing and Post-event Supervision

04-02-2021

                                        (September 29, 2020)

SMPG G [2020] No. 7

Attention: all District People’s Governments, and all Commissions, Offices and Bureaus (Administrations) of the Municipal People’s Government:

With a view to implementing the decisions and arrangements of the CPC Central Committee, the State Council and the Municipal Committee of CPC on profoundly transforming government functions, deepening the reform of streamlining administration and decentralizing powers, combining decentralization with appropriate control, and optimizing services, and continuously improving Doing Business Environment, in accordance with Guiding Opinions of the State Council on Strengthening and Standardizing the On-processing and Post-event Supervision (SC G [2019] No.18) and Regulations of Shanghai Municipality on Optimizing Doing Business Environment, the following Implementation Recommendations on strengthening and standardizing the on-processing and post-event supervision are hereby proposed.


I . General Requirements

1. Guiding ideology. Take the Xi Jinping Thought on Socialism with Chinese Characteristics in a New Era as the guidance, fully implement the spirit of the 19

th

CPC National Congress and the Second, Third and Fourth Plenary Sessions of the 19

th

CPC Central Committee, further advance the Integrated Online Platform of government services and the Integrated Online Administration of city operation, continue to deepen the reform of streamlining administration and decentralizing powers, combining decentralization with appropriate control, and optimizing services, further consolidate the supervision responsibilities, perfect the supervisory rules and approaches, accelerate the building of the On-processing and post-event supervision system with clearly defined powers and responsibilities, fairness and impartiality, openness and transparency, simplification and efficiency, strive to establish a standardized and orderly market environment, make effort to protect and stimulate the vitality of market participants and promote high-quality economic development.

2. Basic principles

(1) Abiding by laws and rules. In line with “whoever makes approval, makes supervision; whoever is responsible, makes supervision” , clarify the supervision duties of all departments in accordance with laws and rules, strictly perform supervision responsibilities in accordance with the provisions of laws and rules and promote the legalization, institutionalization and standardization of supervision.

(2) Impartiality and transparency. Regulate the operation of power to ensure equality of market participants in rights, opportunities and rules. Make public the matters, approaches, procedures and results of supervision in accordance with the law so as to protect the public’s right to know, to participate and to supervise.

(3) Grading and classification. Tailor differentiated supervision measures for market participants of different types in different fields to improve the precision level of On-processing and post-event supervision. Implement tolerant and prudent supervision over emerging industries to promote the development of new momentum.

(4) Scientificness and high efficiency. Enhance data sharing and implement intelligent supervision by making full use of such advanced technologies as big data and strive to achieve maximum supervision efficacy, most optimized supervision costs, and minimum interference with market participants.

(5) Coordination and co-governance. Implement responsibilities of market participants, give full play to the role of platform supervision and industry self-discipline and advance social supervision at multiple levels and in all fields, and strive to achieve a supervision pattern oriented by social coordination and co-governance.

(6) Systematicness and integration. Carry out the establishment of supervision scenes for key industries and fields, with the whole life cycle of market participants as the center, innovate the supervision mechanism, integrate and apply various supervision approaches, form a closed-loop of supervision and resolutely guard the bottom line of quality and safety.

3. Work objectives. In the next two to three years, strive to further strengthen the ideas of the On-processing and post-event supervision, basically form a supervision pattern in which the government guards its bottom line, the market participants discipline themselves, the industries have norms and autonomy, society makes participation, and the rule of law is sure to be sound and perfect, and the On-processing and post-event supervision system based on comprehensive supervision, supported by industry supervision, and relying on social coordination and supervision shall be more complete, fully improve the risk prevention and resolution capabilities, and make the market fairer, more efficient, and more dynamic.

II . Consolidating Supervision Responsibilities

4. Specifying supervisees and scope of supervision. In strict accordance with the duties and matters of supervision provided by laws and rules and the provisions on “Three Fixed Solutions”, and supervise market participants in accordance with the law. Unless otherwise provided by laws, rules and regulations, all examination and approval departments and competent departments of industry shall be responsible for On-processing and post-event supervision of administrative examination and approval items they are responsible for examining or guide the examination of. For matters the examination of which has been cancelled, the competent departments shall be responsible for on-processing and post-event supervision; for matters the examination of which has been replaced by filing, the competent departments shall strengthen verification, guidance and standardization; for those who have obtained approval through false promises or breaking promises, the examination and approval departments shall investigate and give punishment in accordance with the law; for matters the examination authority of which has been delegated to lower levels, the supervision levels shall be concurrently adjusted, so as to ensure integration of powers and responsibilities between the examination and approval and the supervision; for industries and fields where there are no special law enforcement forces, or for administrative examination and approval matters which have been transferred, the mechanism of entrusted law enforcement and joint law enforcement in accordance with the law shall be established, and the relevant comprehensive law enforcement departments shall offer support.

5. Clarifying the duties of regulators. Further improve the system of lists of supervision lists. All departments shall specify their supervision duties in accordance with laws and rules, on the basis of the supervision matter lists of departments of the State Council, in combination with local rules and government regulations in this Municipality, further comb through the supervision matters within the scope of their respective duties, establish and improve supervision standards, specify the regulators, supervisees, and supervisory approaches, and ensure that things are managed and accountable. Supervision matters shall be dynamically adjusted according to the enactment, revision, repeal, and interpretation of laws and rules and the changes in institutional functions. In respect of major and complex supervision fields and matters with large coverage, the responsible departments shall play a leading role in work with relevant departments’ coordination and cooperation, so as to establish and improve the work coordination mechanism.

III . Improving Supervision Approaches

6. Intensifying the application of big data technology and further advancing the Internet Plus Supervision. By relying on the Internet Plus Supervision system, promote the interconnection of supervision systems of various departments and strengthen the collection, sharing and application of supervision information. Promote such off-site supervisions as remote supervision, mobile supervision, early warning, prevention and control to provide support for implementation of regulation of random selection of inspection objects and inspectors and timely public disclosure, classified supervision, credit supervision, and joint law enforcement. Incorporate the Internet Plus Supervision into the Integrated Online Administration and both shall be developed and improved in an overall and coordinated manner. Strengthen the sharing and application of such functions as situation awareness, intelligent prediction and resource coordination. Use such new technologies as big data, Internet of Things, and artificial intelligence to explore the model of the Internet Plus Supervision featuring dynamic monitoring, intelligent early warning, rapid processing and tracking and feedback.

7. Giving full play to the fundamental role of credit and promoting the implementation of credit supervision. Give play to the fundamental role of credit in innovating supervision mechanisms and improving supervision capacity and level. Fully promote the credit commitment system for administrative services, formulate a list of notification and commitment administrative licenses and expand the system of notification and commitment certification matters. With the data exchange and sharing platform of the Municipality as the hub, push the necessary due collection of governmental department-mastered credit information by the municipal public credit information service platform. Study and explore the comprehensive evaluation of the public credit of market participants, push the implementation of industrial credit evaluation in various fields to provide basis for graduated and classified supervision of credit. Carry out credit rewards and punishments in accordance with laws and rules, and improve and strengthen the credit repair mechanism. Support the establishment of a public credit evaluation system in Lin-gang Special Area and the Yangtze River Delta Integrated Development Demonstration Area, and carry out the evaluation of credit rating.

8. Improving differentiated supervision mechanisms and precisely implementing classified supervision. Based on classified supervision information, evaluate and determine supervision types in a scientific way and implement differentiated supervision and administration on market participants. As for matters under classified supervision, formulate and publish implementation rules for classified supervision, and specify the information of classified supervision, evaluation index, classification standards, supervision types, evaluation periods, and supervision measures. Push graduated and classified supervision aiming at market participants in such areas as production safety, food and drug, local finance, private education, and civil defense, and establish a perfect system for classified supervision. For special and key fields that directly involve public safety and people’s lives and health, study and establish a system of lists of key supervision matters, strictly control the quantity of key supervisees, determine key supervision objects, standardize key supervision procedures, and carry out key supervision with full coverage in accordance with laws and rules.

9. Building a risk prevention and control system and strengthening the implementation of risk supervision. Make full use of technologies such as big data and so on to strengthen the analysis, study, identification, tracking and early alarming of risks. Comb through the risks involved in supervision activities, regulate such work procedures as discovery, verification, disposal and feedback of risk warning clues, establish a linkage mechanism for risk monitoring and evaluation, early alarming and tracking, prevention and control aiming at abnormally dangerous industries, key projects, key fields and key commodities, and prevent regional, industrial and systemic risks. Focus on such key fields as market regulation, drug, construction, transportation and emergency response, and build several early alarming models for risks. Support Lin-gang Special Area to build up a comprehensive risk management system and a comprehensive risk prevention and control system based on the integrated information management service platform.

10. Strengthening linkage and coordination among departments and advancing the implementation of coordinated supervision. Establish and perfect a coordinated supervision mechanism featuring mutual docking of examination and approval, regulation, law enforcement and administration of justice and push the interconnection of duty performing information, and achieve the cross-departmental and cross-regional linkage response of supervision law enforcement. Establish and improve a supporting work mechanism for data intercommunication and connection between the examination and approval and the supervision departments. Based on the Internet Plus Supervision system, make a list for joint supervision, specify procedures and rules for joint supervision, and advance cross-departmental joint supervision. Strengthen the connection between supervision law enforcement and administration of justice, establish a case notification mechanism among supervision departments, and public security and procuratorial organs, and perfect standards and procedures for case transfer. Explore cross-regional coordinated supervision in the Yangtze River Delta, and establish a system of regional integrated communication, coordination and cooperation. Deepen the innovation of the “Six Pairs” comprehensive government supervision mechanism in Pudong New Area.

11. Improving supporting work mechanisms and comprehensively implementing the regulation of random selection of inspection objects and inspectors and timely public disclosure. Take the the regulation of random selection of inspection objects and inspectors and timely public disclosure as the basic means and approaches for market supervision, and except for special and key fields, in principle all enterprise-related administrative inspection shall be conducted in this way, the application of which shall also be promoted in other departments. Make and perfect the lists of items subject to random inspections, and multiple inspection items for the same inspection object shall be combined or included in the scope of cross-departmental joint random inspection. Efforts shall be made to standardize such random inspection work procedures as planning, list selection, results announcement, and data archiving, and all the work done shall be recorded to achieve whole-process traces and traceability of responsibility. The random inspection ratio, frequency, and probability shall be linked up with the credit, classification and risk degrees of objects under random inspection. Systematically conduct the regulation of random selection of inspection objects and inspectors and timely public disclosure, based on the Internet Plus Supervision in principle, and if the department builds its own supervision system, it shall share information and interconnect with the Internet Plus Supervision system.

12. Continuously optimizing institutional supply and implementing tolerant and prudent supervision. Build an innovative atmosphere and leave enough room for the innovation and development of new technologies, new industries, new business forms, and new patterns. Attach importance to guidance and regulation, and promptly correct the first minor offence committed by enterprises. Adhere to bottom-line thinking, and remove the market participants who subjectively, deliberately and seriously violate the law and rule causing bad influence from the market so as to maintain the normal order of the market. Strengthen studies on the development law of new things. Tailor supervision rules and standards by classification, advance online and offline integrated supervision and unify the standard and scale of law enforcement. Explore to establish a supervision mechanism of “sandbox”. Exercise “observation period” management and give market participants “fault tolerance” and “trial and error” space. Prudently exercise the discretion of administrative penalty, expand the coverage of the exemption list for minor offences, clarify concrete conditions of minor violations of laws and rules and impose no administrative penalty in accordance with the law.

Ⅳ . Building a Social Co-Governance Pattern

13. Guiding the self-discipline of enterprises and intensifying the first liability of market participants. Establish a sound system for market participants bearing the first liability, urge market participants to strengthen self-governance and fulfill legal obligations in such aspects as production safety, quality management, marketing publicity, after-sale services and information announcement. Standardize the enterprise information disclosure and the annual reports publication system. Promote the pattern of “self-declaration plus credit management”, and push enterprises to carry out self-declaration of standards and public commitment of service quality. Implement the compulsory reporting system for product quality safety accidents so as to effectively safeguard the public’s right to know.

14. Exploring industry self-governance and giving play to the self-discipline role of industry associations and chambers of commerce. Push industry associations and chambers of commerce to establish and improve self-discipline rules, pacts, and codes of professional ethics for operations in the industries and to regulate the acts of their members. Support the formulation and issuance of industry standards of products and services and take the opinions and advice of industry associations and chambers of commerce as important references for the formulation of policies, rules, local standards and industry plans, and the evaluation of enforcement effects. Give play to the role of industry associations and chambers of commerce in the protection of rights and interests, settlement of disputes, confirmation of qualification, building of industry credit, and credit supervision, and support industry associations and chambers of commerce in carrying out or participating in public interest litigation and professional mediation. Regulate the collection of fees, awards making, and certification by industry associations and chambers of commerce.

15. Promoting social supervision and improving social constraints and disciplinary mechanisms. Establish the system of “whistle blowers” and internal informants and handsomely reward and strictly protect persons who are meritorious for reporting serious violations of laws and rules and major risks and hidden troubles. Explore a mutual flow mechanism of government supervision information and market credit information and further improve cooperative regulation pattern of government with platform enterprises and credit agencies. Give play to the supervision roles of professional service organizations in market and take into consideration more appraisal opinions of such professional institutions as accounting, tax affairs, legal services, and assets evaluation in supervision law enforcement. By using new media and other means, open the channels of public supervision and complaints, promptly collect the problems reflected by the public, expose typical cases, deter illegal and criminal acts, and improve the public’s awareness and preventive capabilities.

V. Improving the Standardization and Transparency of Supervision

16. Improving rules and standards. Improve the discretionary benchmark system of administrative law enforcement, rationally determine the scope, category, and range of discretion, and strictly define the exercise of discretion. Strengthen the establishment of rules and standards related to such fields as people’s livelihood, public security, people’s lives and health, and clarify standards for management, technology, safety and products that market participants shall execute.

17. Ensuring openness and transparency. Focus on the source, process, result and other key links in administrative law enforcement and fully implement such systems as the publicity system of administrative law enforcement, the whole-process recording system of law enforcement, and the legal review system of major law enforcement decisions. According to the principle of “he who enforces the law shall conduct publication and bears the responsibility”, through the China Shanghai portal website, the Credit China (Shanghai) website and the National Enterprise Credit Information Publicity System (Shanghai), publish relevant supervision law enforcement information. Record and archive the entire process of administrative supervision and law enforcement through text, and audio and video recording, and achieve whole-process traces and traceable administration. Implement the legal review of major administrative law enforcement decisions, and no decision shall be made without the legal review or the when review fails.

VI . Improving Supervision Efficiency

18. Improving supervision law enforcement capacities. Actively advance the reform of comprehensive administrative law enforcement, coordinate the allocation of administrative penalty functions and law enforcement resources, promote the extension and sinking of administrative law enforcement authority and power to grassroots sub-districts and towns, and decrease law enforcement tiers, so as to gradually realize that one team is in charge of law enforcement in basic-level. Accelerate the building of high-quality, professional, and specialized supervision law enforcement teams, and conduct regular personnel training. Advance the sinking of such supervision resources as human, fund and materials to the grassroots and carry out the standardization of law enforcement equipment. Introduce the third-party technology cooperation and improve the application level of modern technologies in law enforcement and case-handling.

19. Carrying out case investigation and handling in accordance with the law. For any violation of laws or rules found in the supervision, comprehensively take such means as administrative compulsion and penalty, joint punishment, and transfer to the judicial organ for handling and impose punishments in accordance with the law. For emerging problems with some bad hints, minor circumstances and less adverse impacts, while adhering to law-based administration, mainly take such measures as interviews, warnings, and ordering to make correction, and correct such problems in a timely manner. Where the circumstances and consequences are serious, it is imperative to order for recall, suspension of work and production, or revocation of the relevant certificates and licenses or disqualification, and those involving crimes shall be promptly transferred to the judicial organ for handling. Establish and improve the system of severe punishments for violations, the system of punitive damages and huge fines, and the system of lifelong access prohibition to make serious violators pay high costs.

20. Advancing evaluation of supervision efficiency. Establish the efficiency evaluation system of on-processing and post-event supervision, carry out efficiency evaluation through information technology means focusing on such aspects as work efficiency, social effects and management benefits, conduct evaluation on the efficiency of supervision system design and implementation and operation, and put forward countermeasures for improving supervision work. Find the problems in the supervision work of departments through such channels as Citizen Service Hotline “12345”, and make timely study and settlement, so as to form a closed-loop in work. Establish and improve the assigning and implementation supervising mechanism that the Internet Plus Supervision system assigns tasks, and enhance supervision over the supervision work of departments. Incorporate the results of supervision efficiency evaluation into the performance appraisal systems of all districts and departments.

VII . Intensifying Organizational Guarantee

21. Making well the responsibility implementation. All districts and departments shall establish and improve the leading and coordination mechanisms for on-processing and post-event supervision, comprehensively use various types of supervisory approaches, formulate and improve procedures for on-processing and post-event supervision for different industries, fields and markets, allocate supervision resources in a scientific manner, and itemize and consolidate supervisory measures. Leading departments in building Doing Business Environment shall incorporate the fair supervision level of all districts and departments into the evaluation index system of Doing Business Environment of this Municipality. The General Office of the Municipal People’s Government shall strengthen the tracing and urging of the carrying out of these Implementation Recommendations, and shall prepare the annual list for key supervision tasks in an overall manner.

22. Improving the systems for exemption from liability for due diligence and accountability for neglect of duties. All departments shall accelerate the study and establishment of the procedures for exemption from liability for due diligence in supervision law enforcement. Those who perform supervision duties in strict accordance with laws and rules, in case of any problems of the supervision objects, and those who perform duties in accordance with relevant provisions and decisions with due diligence and without seeking personal benefits, in case of any errors or deviations during innovation and exploration, shall not be given negative evaluation and their responsibility shall be exempted or mitigated. Those who fail to perform, unduly perform, or illegally perform the supervision duties shall be seriously held accountable; and those who are suspected of committing crimes shall be transferred to the relevant organ for handling in accordance with the law.

23. Strengthening guarantee for rule of law. According to the requirement that any major reform shall have a legal basis and as required by the supervision work and changes in economic and social development, advance the enactment, revision, repeal, and interpretation of local rules, government regulations and normative documents to provide sound guarantee for rule of law for on-processing and post-event supervision. Strengthen the legality review of normative documents on on-processing and post-event supervision.