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Guiding Opinions of the State Council on Strengthening and Standardizing the Interim and Ex-post Regulation [Effective]
国务院关于加强和规范事中事后监管的指导意见 [现行有效]

Guiding Opinions of the State Council on Strengthening and Standardizing the Interim and Ex-post Regulation 


(No. 18 [2019] of the State Council) (国发〔2019〕18号)

The people's governments of all provinces, autonomous regions, and municipalities directly under the Central Government; all ministries and commissions of the State Council, and all institutions directly under the State Council: 各省、自治区、直辖市人民政府,国务院各部委、各直属机构:
For the purposes of profoundly transforming government functions, deepening the simplification of procedures and decentralization of powers, combining decentralization with appropriate control, and optimizing the service reform, further strengthening and standardizing the interim and ex-post regulation, promoting fair competition with impartial regulation, and accelerating the creation of the market-oriented, legal, and international business environment, the following opinions are hereby raised: 为深刻转变政府职能,深化简政放权、放管结合、优化服务改革,进一步加强和规范事中事后监管,以公正监管促进公平竞争,加快打造市场化法治化国际化营商环境,提出以下意见。
I. General Requirements   一、总体要求
1. Guiding ideology. Xi Jinping Thought on Socialism with Chinese Characteristics in a New Era shall serve as the guidance, the spirit of the 19th CPC National Congress and the Second and Third Plenary Sessions of the 19th CPC Central Committee shall be implemented in an overall manner, a new development concept shall be firmly developed, the decisive role of the market shall be maximized in the resource allocation, the roles of governments shall be better brought into play, the reform of “simplifying procedures, decentralizing powers, combining decentralization with appropriate control, and optimizing services” shall continue to be deepened, the combination of and equal attention to decentralization and appropriate control shall be adhered to, more administrative resources shall be transferred from ex-ante approval to strengthened interim and ex-post regulation, the regulatory responsibilities shall be implemented, the regulatory rules shall be improved, innovative regulatory methods shall be explored, the building of an interim and ex-post regulatory system with clearly defined powers and responsibilities, fairness and impartiality, openness and transparency, simplification and efficiency shall be accelerated, and the cooperative regulation pattern with mutual support of market discipline, government regulation, and social supervision shall be formed, so as to effectively achieve fairness, efficiency, and vitality through regulation, promote the improvement of competitiveness of market players and market efficiency, and promote the sustainable and sound economic and social development. (一)指导思想。以习近平新时代中国特色社会主义思想为指导,全面贯彻党的十九大和十九届二中、三中全会精神,牢固树立新发展理念,充分发挥市场在资源配置中的决定性作用,更好发挥政府作用,持续深化“放管服”改革,坚持放管结合、并重,把更多行政资源从事前审批转到加强事中事后监管上来,落实监管责任,健全监管规则,创新监管方式,加快构建权责明确、公平公正、公开透明、简约高效的事中事后监管体系,形成市场自律、政府监管、社会监督互为支撑的协同监管格局,切实管出公平、管出效率、管出活力,促进提高市场主体竞争力和市场效率,推动经济社会持续健康发展。
2. Basic principles (二)基本原则。
Law-based regulation. Adhering to the principles that law creates powers and responsibilities, law-based administration is advanced, statutory duties must be fulfilled, and no action may be taken without legal authority, performing regulatory responsibilities in strict accordance with the provisions of laws and regulations, standardizing regulatory conduct, and promoting the legalization, institutionalization, and standardization of interim and ex-post regulation. 依法监管。坚持权责法定、依法行政,法定职责必须为,法无授权不可为,严格按照法律法规规定履行监管责任,规范监管行为,推进事中事后监管法治化、制度化、规范化。
Fairness and impartiality. Equally treating all market players, resolutely breaking down institutional barriers obstructing fair competition, legally safeguarding the lawful rights and interests of all market players, and ensuring fairness in rights, opportunities, and rules. 公平公正。对各类市场主体一视同仁,坚决破除妨碍公平竞争的体制机制障碍,依法保护各类市场主体合法权益,确保权利公平、机会公平、规则公平。
Openness and transparency. Adhering to the principle of taking public disclosure as the norm and non-disclosure as the exception, comprehensively promoting the legal disclosure of government regulatory rules, standards, process, and results, exercising the regulatory law enforcement in the sunshine, and providing market players with stable anticipation. 公开透明。坚持以公开为常态、不公开为例外,全面推进政府监管规则、标准、过程、结果等依法公开,让监管执法在阳光下运行,给市场主体以稳定预期。
Hierarchical classification. According to characteristics and risk degrees of various fields, differentiating general fields from key fields that may cause serious adverse consequences or involve safety, separately determining the regulatory content, methods, and frequency, and improving the level of precision of interim and ex-post regulation. Implementing inclusive and prudent regulation of emerging industries and promoting the development and growth of new momentum. 分级分类。根据不同领域特点和风险程度,区分一般领域和可能造成严重不良后果、涉及安全的重要领域,分别确定监管内容、方式和频次,提升事中事后监管精准化水平。对新兴产业实施包容审慎监管,促进新动能发展壮大。
Scientificity and high efficiency. Giving full play to the roles of modern technologies in the interim and ex-post regulation, promoting regulatory innovations by depending on such new technologies as the Internet, big data, the Internet of Things, cloud computing, AI, and blockchain, and making efforts to achieve maximum regulatory effectiveness, optimized regulatory costs, and minimum interference to market players. 科学高效。充分发挥现代科技手段在事中事后监管中的作用,依托互联网、大数据、物联网、云计算、人工智能、区块链等新技术推动监管创新,努力做到监管效能最大化、监管成本最优化、对市场主体干扰最小化。
Management focusing on providing services. Advancing the combination and mutual promotion of government regulation and services, adhering to the exercise of simplified procedures, achieving simplicity of procedures and elements and convenience for enterprises and the people, creating good development environment, and enhancing the people's happiness, sense of gain, and sense of safety. 寓管于服。推进政府监管与服务相互结合、相互促进,坚持行“简约”之道,做到程序、要件等删繁就简、利企便民,营造良好发展环境,增强人民群众幸福感、获得感和安全感。
II. Consolidating Regulatory Responsibilities 下跌你应该笑还是哭  二、夯实监管责任
3. Specifying regulatees and scope. In strict accordance with the regulatory duties and regulatory matters specified by laws and regulations and the provisions on the main duties, organizational structure, and staffing of all departments under the State Council, all departments shall conduct regulation of market players according to the law, achieve full coverage of regulation, and put an end to regulatory dead zones and vacuum. Unless otherwise provided by the laws and regulations, they shall be responsible for interim and ex-post regulation of administrative licensing items they are responsible for approval or guided implementation; where the reform of relatively centralized administrative licensing power is implemented, the competent departments shall strengthen connection between approval and regulation, implement the regulatory responsibilities, and ensure that matters are managed and duties are shouldered; for matters the approval of which has been cancelled but still requiring government regulation, the competent departments shall be responsible for interim and ex-post regulation; for matters the approval authority of which has been delegated to lower levels, the regulation levels shall be concurrently adjusted, so as to ensure integration of powers and responsibilities in the approval regulation; for matters the approval of which has been replaced by recordation, the competent departments shall strengthen verification and investigate and punish market players engaging in the relevant business activities without recordation; for industries and fields where there are no special law enforcement forces, the approving or competent departments may, through entrusted law enforcement, joint law enforcement, and other methods, investigate and punish violations of laws and regulations jointly with the relevant comprehensive law enforcement departments and the relevant comprehensive law enforcement departments shall actively offer support. (三)明确监管对象和范围。要严格按照法律法规和“三定”规定明确的监管职责和监管事项,依法对市场主体进行监管,做到监管全覆盖,杜绝监管盲区和真空。除法律法规另有规定外,各部门对负责审批或指导实施的行政许可事项,负责事中事后监管;实行相对集中行政许可权改革的,要加强审管衔接,把监管责任落到实处,确保事有人管、责有人负;对已经取消审批但仍需政府监管的事项,主管部门负责事中事后监管;对下放审批权的事项,要同时调整监管层级,确保审批监管权责统一;对审批改为备案的事项,主管部门要加强核查,对未经备案从事相关经营活动的市场主体依法予以查处;对没有专门执法力量的行业和领域,审批或主管部门可通过委托执法、联合执法等方式,会同相关综合执法部门查处违法违规行为,相关综合执法部门要积极予以支持。
4. Clarifying the regulatory powers. All departments shall give full play to their roles in setting of rules and standards, calculation of risks, and overall coordination and guide interim and ex-post regulation in their respective systems. For key and complex regulatory fields and regulatory matters involving a wide range, the departments assuming primary responsibilities shall play a leading role and the relevant departments shall provide coordination and cooperation and establish a sound mechanism for work coordination. The people's governments at the provincial level shall prepare regulatory plans and tasks within their administrative regions in an overall manner, guide and urge the departments at the provincial level and the people's governments at the city and county levels to strengthen and standardize regulatory law enforcement; and the vertical administrative departments shall prepare regulatory plans and tasks within their respective systems in an overall manner and strengthen collaboration and cooperation with the competent governments. The people's governments at the city and county levels shall put their emphasis on strengthening impartial regulation and maintaining good market order. (四)厘清监管事权。各部门要充分发挥在规则和标准制定、风险研判、统筹协调等方面的作用,指导本系统开展事中事后监管。对涉及面广、较为重大复杂的监管领域和监管事项,主责部门要发挥牵头作用,相关部门要协同配合,建立健全工作协调机制。省级人民政府要统筹制定本行政区域内监管计划任务,指导和督促省级部门、市县级人民政府加强和规范监管执法;垂直管理部门要统筹制定本系统监管计划任务,并加强与属地政府的协同配合。市县级人民政府要把主要精力放在加强公正监管上,维护良好的市场秩序。
III. Improving the Regulatory Rules and Standards   三、健全监管规则和标准
5. Improving the institutionalized regulatory rules. All departments shall, by centering on serving the development of enterprises, formulate by fields and disclose to the public nationally unified, concise, and operable regulatory rules and standards, improve the regulatory effectiveness with scientific and reasonable rules and standards, and reduce the compliance and law enforcement costs. For regulatory rules and standards with obscure boundaries and high flexibility in implementation, all departments shall review, standardize, revise, and improve them as soon as possible. In light of the compilation of the lists of powers and responsibilities and on the basis of the lists of regulatory items in the national system of “Internet plus regulation,” the regulatory matters within the scope of duties of governments and departments at all levels shall be comprehensively reviewed, the regulators, regulatees, regulatory methods, basis of establishment, and handling methods shall be specified, and such regulatory matters shall be incorporated into the national system of “Internet plus regulation” for centralized administration and dynamic update, so as to improve the level of standardization of regulation. The foundational status of competition policies shall be intensified, the review system for fair competition shall be implemented and improved, and the review of all provisions and practices impeding the national integrated market and fair competition shall be accelerated. (五)健全制度化监管规则。各部门要围绕服务企业发展,分领域制订全国统一、简明易行的监管规则和标准,并向社会公开,以科学合理的规则标准提升监管有效性,降低遵从和执法成本。对边界模糊、执行弹性大的监管规则和标准,要抓紧清理规范和修订完善。要结合权责清单编制,在国家“互联网+监管”系统监管事项目录清单基础上,全面梳理各级政府和部门职责范围内的监管事项,明确监管主体、监管对象、监管措施、设定依据、处理方式等内容,纳入国家“互联网+监管”系统统一管理并动态更新,提升监管规范化、标准化水平。强化竞争政策的基础性地位,落实并完善公平竞争审查制度,加快清理妨碍全国统一市场和公平竞争的各种规定和做法。
6. Strengthening the building of standards system. The establishment and improvement of national standards and industrial standards in various fields shall be accelerated, the management standards, technical standards, safety standards, and product standards that market players should implement shall be specified, and regulation shall be carried out in strict accordance with the standards. The compulsory standards shall be simplified and integrated, priority shall be given to the building of standards in such fields as safety, health, energy conservation, and environmental protection, and the limits of compulsory standards shall be optimized. Enterprises and social groups shall be encouraged to formulate standards higher than the compulsory standards, carry out the self-declaration disclosure of standards and make a commitment to implementing such standards, and promote the integration and mutual recognition of the relevant standards on products, technologies, quality, and services with international conventions. For the purpose of adapting to the development trends of new economy and new technologies, the existing standards shall be revised and adjusted in a timely manner and the research and formulation of standards for new industries and new business forms shall be accelerated. The building of the quality certification system shall be strengthened and products involving safety, health, and environmental protection shall be subject to compulsory certification according to the law.

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