| Opinions of the State Council on Strengthening the Interim and Ex Post Supervision after the Reform of Business Licenses before Government Permits | | 国务院关于“先照后证”改革后加强事中事后监管的意见 |
| (No. 62 [2015] of the State Council) | | （国发〔2015〕62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 purpose of deepening the commercial affair system reform and strengthening interim and ex post supervision after the reform of “business licenses before government permits,” the following opinions are offered. | | 为深化商事制度改革，强化“先照后证”改革后的事中事后监管，提出以下意见。 |
| I. General Requirements | | 一、总体要求 |
| 1. Guiding Thought. | | （一）指导思想。 |
| The spirit of the 18th National Congress of the Communist Party of China, and the Second, Third and Fourth Plenary Sessions of the 18th CPC Central Committee shall be fully implemented; the decisions and deployment of the CPC Central Committee and the State Council shall be diligently implemented; the commercial affair system reform shall be deepened; the market supervision concept shall be transformed; the supervision responsibilities shall be clarified; the supervision way shall be innovated on; a transparent and efficient interim and ex post supervision mechanism with well-defined power and responsibilities shall be built; the relationship between the government and the market shall be correctly handled; and the market order of fair competition shall be maintained. | | 全面贯彻党的十八大和十八届二中、三中、四中全会精神，认真落实党中央、国务院决策部署，深化商事制度改革，转变市场监管理念，明确监管职责，创新监管方式，构建权责明确、透明高效的事中事后监管机制，正确处理政府和市场的关系，维护公平竞争的市场秩序。 |
| 2. Basic Principles. | | （二）基本原则。 |
| Responsibilities shall be prescribed by law. Prescribing of rights and liabilities by law and administration by law shall be insisted on. Whoever grants approval shall conduct supervision and whoever is in charge shall conduct supervision. In accordance with laws, administrative regulations, and the decision of the State Council, the market supervision responsibilities of all departments shall be clarified, and the development of legalization, rules, standards and procedures for market supervision shall be promoted. | | 职责法定。坚持权责法定、依法行政，谁审批、谁监管，谁主管、谁监管，按照法律、行政法规、国务院决定，厘清各部门市场监管职责，推进市场监管法治化、制度化、规范化、程序化。 |
| Credit restraint. The building of a unified national credit information sharing and exchange platform and an enterprise credit information disclosure system shall be promoted in an accelerated manner; sharing of credit information of government departments, trade associations, and social organizations shall be promoted; the restraint function of credit in market participants shall be strengthened; and a supervision system with information collection and sharing as the basis, with information publicity as the means, and with credit supervision as the core, to make dishonest subjects “limited everywhere upon credit failure in one place.” | | 信用约束。加快推进全国统一的信用信息共享交换平台和企业信用信息公示系统建设，推进政府部门、行业协会、社会组织信用信息共享共用，强化信用对市场主体的约束作用，构建以信息归集共享为基础，以信息公示为手段，以信用监管为核心的监管制度，让失信主体“一处违法，处处受限”。 |
| Collaborative supervision. A market supervision mechanism that enables mutual convergence of registration, administrative approval, and industry supervisors shall be established and improved; and interconnection, interaction and response of information on lawful performance of all departments shall be achieved, to form a supervision pattern with specific division of labor, smooth communication, and concerted efforts, and effectively enhance joint forces of monitoring, and improve the supervision efficiency. | | 协同监管。建立健全登记注册、行政审批、行业主管相互衔接的市场监管机制，实现各部门间依法履职信息的互联互通、联动响应，形成分工明确、沟通顺畅、齐抓共管的监管格局，切实增强监管合力，提升监管效能。 |
| Governance by the entire society. Multiple governance by the entire society shall be promoted on the basis of rule of law; the social supervision mechanism shall be improved; market participants' and the public's right to know, right to participate, and the right of supervision shall be effectively protected; and a pattern of governance by the entire society that enables self-governance of market participants, industry self-regulation, social supervision, and government regulation shall be created. | | 社会共治。推进以法治为基础的社会多元治理，健全社会监督机制，切实保障市场主体和社会公众的知情权、参与权、监督权，构建市场主体自治、行业自律、社会监督、政府监管的社会共治格局。 |
| II. Strictly Administrating the Administrative Approval Items | | 二、严格行政审批事项管理 |
| All localities and departments shall diligently implement the reform of “business licenses before government permits,” regulate approval in accordance with the legal conditions and legal procedures, and grant approval in an open and convenient manner. | | 各地区各部门要切实落实“先照后证”改革，按照法定条件和法定程序规范审批行为，实现审批行为的公开便利。 |
| 3. Implementing the administration of catalogue of administrative approval items. | | （三）实行行政审批事项目录管理。 |
| The State Administration for Industry and Commerce (“SAIC”) shall be responsible for publishing the catalogue of the approval items prerequisite to industrial and commercial registration. Where pre-approval items are to be added, administrative approval items are to be cancelled, or pre-approval items are to be changed to post-approval items as prescribed by laws and administrative regulations, and as decided by the State Council, relevant departments of the State Council that grant approval shall timely notify the SAIC of updating the catalogues, and disclose them to the public, to facilitate the affairs handling and supervision by enterprises and people. Except as prescribed by laws and administrative regulations and as decided by the State Council, no approval items prerequisite to industrial and commercial registration shall be set up, nor shall any pre-approval items be implemented in a disguised form through recordation and other ways. | | 工商总局负责公布工商登记前置审批事项目录。法律、行政法规、国务院决定新增前置审批事项、取消行政审批事项、将前置审批事项改为后置审批事项的，实施审批的国务院相关部门应当及时通知工商总局对目录进行更新，并向社会公布，方便企业、群众办事和监督。除法律、行政法规和国务院决定外，一律不得设定工商登记前置审批事项，也不得通过备案等方式实施变相前置审批。 |
| Operators that are engaged in the items in the catalogue of approval items prerequisite to industrial and commercial registration shall, with approval of relevant approval departments, apply to the administrative departments for industry and commerce for registration upon strength of their licensing documents and certificates according to the law, and such administrative departments for industry and commerce shall issue business licenses according to the law. Operators that are engaged in the items in the catalogue of approval items prerequisite to industrial and commercial registration shall, with approval of relevant approval departments, apply to the administrative departments for industry and commerce for registration upon strength of their licensing documents and certificates according to the law, and the administrative departments for industry and commerce shall issue business licenses according to the law. | | 经营者从事工商登记前置审批事项目录中事项的，应当依法报经相关审批部门审批后，凭许可文件、证件向工商部门申请登记注册，工商部门依法核发营业执照。经营者从事工商登记前置审批事项目录外事项的，直接向工商部门申请登记注册，工商部门依法核发营业执照。 |
| Provincial people's governments shall, before the end of 2015, develop the catalogues of approval items subsequent to industrial and commercial registration according to the law, and disclose them to the public. | | 省级人民政府应当于2015年底前依法制定工商登记后置审批事项目录，并向社会公布。 |
| 4. Ensuring that approval is granted in strict accordance with law and in an open and transparent manner. | | （四）确保审批行为严格依法、公开透明。 |
| All approval departments shall, in strict accordance with the statutory conditions and procedures, develop approval criteria term by term and disclose them to the public. They shall cancel repetitive and formal approval procedures, implement online approval, disclose the approval criteria, acceptance, examination, approval, and other information on approval to the public through the Internet, and discover and correct illegal approval in a timely manner. | | 各审批部门要严格按照法定条件和法定程序，逐项制定审批标准并予以公示。取消重复性、形式化的审批手续，推行网上审批，对审批标准和受理、审查、批准等审批信息通过互联网向社会公示，及时发现和纠正违规审批行为。 |
| All localities and departments shall improve the supervision and constraint mechanism for administrative approval and constantly improve the scientific and standardized level of government administration. | | 各地区各部门要健全对行政审批的监督制约机制，不断提高政府管理科学化规范化水平。 |
| III. Clarifying the Responsibilities of Market Supervision. | | 三、厘清市场监管职责 |
| Under the principle that whoever grants approval shall conduct supervision and whoever is in charge shall conduct supervision, the responsibilities of market supervision shall be effectively fulfilled, and interim and ex post supervision after the reform of “business licenses before government permits” shall be strengthened, to prevent absence of regulation. | | 按照谁审批、谁监管，谁主管、谁监管的原则切实履行市场监管职责，加强“先照后证”改革后的事中事后监管，防止出现监管真空。 |
| 5. Administrative departments for industry and commerce shall fulfill the responsibility of “double notification.” | | （五）工商部门履行“双告知”职责。 |
| When handling registration, administrative departments for industry and commerce shall, according to the catalogues of the approval items subsequent to industrial and commercial registration announced by provincial people's governments, notify applicants of the operating items that require approval and the corresponding approval departments, and the applicants shall promise in writing not to engage in relevant business activities without authorization before acquisition of approval. | | 在办理登记注册时，工商部门要根据省级人民政府公布的工商登记后置审批事项目录告知申请人需要申请审批的经营项目和相应的审批部门，并由申请人书面承诺在取得审批前不擅自从事相关经营活动。 |
| Where, after handling registration, administrative departments for industry and commerce are required to clarify the approval departments for the operating items by information means, relevant approval departments at the same level shall be notified of the registration information of market participants; where the approval departments for the operating items are not clarified or approval is not involved, the registration information of market participants shall be disclosed on the enterprise information sharing platform in a timely manner, and relevant approval departments or competent industry departments shall inquire about such information in a timely manner and effectively complete subsequent supervision in light of their responsibilities. | | 在办理登记注册后，工商部门要运用信息化手段，对经营项目的审批部门明确的，将市场主体登记注册信息及时告知同级相关审批部门；对经营项目的审批部门不明确或不涉及审批的，将市场主体登记注册信息及时在企业信息共享平台上发布，相关审批部门或行业主管部门应及时查询，根据职责做好后续监管工作。 |
| 6. Clarifying the responsibilities of market supervision. | | （六）明确市场监管责任。 |
| Market supervision departments and the supervision responsibilities as prescribed in laws and regulations shall be implemented in strict accordance with the law. | | 法律法规明确市场监管部门和监管职责的，严格依法执行。 |
Where market supervision departments or the supervision responsibilities are not prescribed in laws or regulations or the provisions are unspecific, administrative departments for industry and commerce, approval departments, and competent industry departments shall, in light of division of labor, effectively fulfill the responsibilities of market supervision, and discover, investigate, and handle problems in a timely manner. After discovering illegal acts, the approval departments or competent industry departments that have dedicated law enforcement forces shall be the leading department responsible for investigation and handling; those departments that have not dedicated law enforcement forces or have inadequate law enforcement forces shall fully maximize the role of administrative departments for industry and commerce as backbones of market supervision; and approval departments or competent industry departments may, according to the law, submit them to the administrative departments for industry and commerce, for joint investigation and handling under its leadership. Administrative departments for industry and commerce that find any clues on illegal acts during their enforcement process falling under the scope of supervision responsibilities of other departments shall notify relevant departments in a timely manner. Provincial people's governments may, under this principle and in light of local circumstances, determine market supervision departments and supervision responsibilities, make specific provisions, and ensure that people are arranged to be in charge of everything and to be liable. Localities where documents on strengthening interim and ex post supervision have been issued shall be actively supported in continuously making exploration.
．．．．．． | | 法律法规没有规定市场监管部门和监管职责或规定不明确的，工商部门、审批部门和行业主管部门要按照分工履行好市场监管职责，及时发现和查处问题。审批部门或行业主管部门在发现违法违规行为后，有专门执法力量的，由其牵头负责查处；没有专门执法力量或执法力量不足的，应充分发挥工商部门市场监管骨干作用，审批部门或行业主管部门可依法提请工商部门牵头共同予以查处。工商部门在执法过程中，发现违法违规行为线索，属于其他部门监管职责的，应及时告知相关部门。省级人民政府可根据这一原则并结合当地实际确定市场监管部门及监管职责，作出具体规定，确保事有人管、责有人负，实现无缝衔接。积极支持已出台加强事中事后监管文件的地方继续探索。
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