Administrative Measures for the Notification and Commitment of Administrative Examination and Approval in Shanghai

(Promulgated by Decree No. 4 of Shanghai Municipal People's Government on April 18, 2018; amended by Decree No. 15 of Shanghai Municipal People's Government on January 8, 2025)

Article 1 (Purpose)

With a view to optimizing the procedures of administrative examination and approval, improving management modes, improving administrative efficiency, and strengthening the in-process and afterwards supervision, these Measures are formulated in accordance with relevant provisions of the State Council.

Article 2 (Definition)

The notification and commitment as described in these Measures refers to the way in which when citizens, legal persons and other organizations apply for administrative examination and approval, the administrative examination and approval organs give them the one-time notification about the conditions for examination and approval and the materials to be submitted; the applicants make commitments in written form that they meet the requirements of the conditions for administrative examination and approval, and then the administrative examination and approval organs make decisions of administrative examination and approval.

Article 3 (Scope of Application)

These Measures shall apply to the applicants for them the administrative examination and approval organs of this Municipality shall implement the administrative examination and approval by the way of notification and commitment

Article 4 (Organization and Implementation)

The municipal department in charge of the reform of the administrative examination and system (hereinafter referred to as the municipal examination and approval reform department) is responsible for the implementation, coordination and promotion of the notification and commitment work in this Municipality.

The departments for examination and approval reform designated by the district people's governments (hereinafter referred to as the district examination and approval reform departments) are responsible for the implementation, coordination and promotion of the notification and commitment work in their administrative regions.

Article 5 (Determination and Publication of the Notification and Commitment Matters)

The administrative examination and approval organs may carry out administrative examination and approval by the way of notification and commitment for the examination and approval items which are difficult to be verified in advance, and can be rectified through in-process and afterwards supervision and their risks are controllable.

Administrative examination and approval items directly related to national security, state secrets, public safety, prudent supervision of the financial industry, ecological environment protection, and directly related to personal health, life and property safety, important foreign-related risks, high error correction costs, and irreparable damage, as well as the administrative examination and approval items the decisions of which should be made on the spot according to law, are not included in the scope of the notification and commitment implementation.

The specific administrative examination and approval items applicable for the implementation of the notification and commitment shall be determined by the municipal and district administrative examination and approval reform departments in accordance with their respective powers and in conjunction with the relevant administrative examination and approval organs, and they shall be announced to the society.

Article 6 (Applicable Objects)

For administrative examination and approval items that require notification and commitment, if the applicant chooses to apply through the notification and commitment method, the administrative examination and approval organs shall verify the applicant's credit status. If the applicant is lawfully included in the list of serious dishonest entities or falls under the circumstances prescribed in Paragraph 2 of Article 17 of these Measures, the notification and commitment method should not be applicable, except for those who have completed credit repair.

If the applicants do not choose the way of notification and commitment for the items applicable for the implementation of notification and commitment, the administrative examination and approval organs shall implement the examination and approval in accordance with the relevant provisions of laws, rules and regulations.

Article 7 (Format Text of Notification and Commitment Letter)

The administrative examination and approval organs shall provide the format texts of the notification and commitment letters for the items to be examined and approved by the way of` notification and commitment.

The format texts of the notification and commitment letters shall be made by the municipal and district examination and approval reform departments in accordance with their respective powers and jointly with the relevant administrative examination and approval organs.

The administrative examination and approval organs shall publicize the format texts of the notification and commitment letters at the "Government Online-Offline Shanghai" government affairs service platform, their department websites and relevant service providing spaces, so as to facilitate citizens, legal persons and other organizations to obtain or download.

Article 8 (Notification of the Administrative Examination and Approval Organs)

For the items to be examined and approved by the way of notification and commitment, the administrative examination and approval organs shall, upon receiving the applications, inform the applicants of the following by notification and commitment letters:

1. the names and relevant provisions of the major laws, rules and regulations on which the administrative examination and approval items are based;

2. the conditions, standards and technical requirements for permission of administrative examination and approval;

3. the names, methods and time limits of the materials to be submitted by the applicants;

4. the time limits and legal effects of the applicant's commitments, as well as the legal consequences of failing to make commitments within the time limits, making false commitments and breaching commitments; 

5. and other contents that the administrative examination and approval organs deem necessary to inform.

For the administrative examination and approval items that implement the notification and commitment, if their examination and approval materials are also subject to notification and commitment, the administrative examination and approval organs shall inform them together in the notification and commitment letters.

If the applicants submit applications in person, the administrative examination and approval organs shall provide the notification and commitment letters on the spot. If the applicants submit applications by the "Government Online-Offline Shanghai" government affairs service platform, the administrative examination and approval organs shall promptly provide the applicants with the notification and commitment letters; if the applicants submit applications by letters, telexes, faxes, and emails, the administrative examination and approval organs shall provide the applicants with the notification and commitment letters within three working days after receiving the applications.

Article 9 (Applicant's Commitment)

The applicants, upon receiving the notification and commitment letters and willing to make their commitments, shall fill out the basic information of the applicants within the notified periods and make confirmations and commitments to the following:

1. the basic information provided being true and accurate;

2. having already known all the contents notified by the administrative examination and approval organs;

3. themselves meeting the conditions, standards and technical requirements notified by the administrative examination and approval organs;

4. being able to submit relevant materials notified by the administrative examination and approval organs within the prescribed time limits;

5. willing to cooperate with the administrative examination and approval organs to conduct after post verification;

6. willing to bear legal liabilities for false commitments and breach of commitments; 

7. and their commitments being a manifestation of the applicants' true intention.

Article 10 (Submission of Notification and Commitment Letters)

The applicant shall submit the signed commitment letter to the administrative examination and approval organs in person, online, or by mail. After receiving the commitment letter, the administrative approval authority shall provide a receipt voucher.

Two copies of the notification and commitment letters shall be prepared and kept by both the administrative examination and approval organs and the applicants respectively.

Article 11 (Submission of Materials)

The applicants shall submit relevant materials to the administrative examination and approval organs in accordance with the agreement of the notification and commitment letters.

Where it is agreed in the notification and commitment letters that applicants shall submit parts of the materials at the time of submitting the notification and commitment letters, the applicants shall submit parts of the materials at the time of submitting the notification and commitment letters; where it is agreed that the relevant materials shall be submitted within a certain period of time after the administrative examination and approval decisions are made, the applicants shall submit the relevant materials within the agreed time limits.

For administrative examination and approval organs that obtain materials through electronic license application, data sharing verification, and other methods, applicants are no longer required to provide them.

The specific scope of the materials to be submitted by the applicants at the time of submission of the notification and commitment letters shall be determined by the municipal and district administrative examination and approval reform departments in accordance with their respective powers and in conjunction with the relevant administrative examination and approval organs,

Article 12 (Examination and Approval Decision)

Upon receiving the notification and commitment letters with the signatures and/or seals of the applicants and the materials in accordance with the agreement of the notification and commitment letters, the administrative examination and approval organs shall make administrative examination and approval decisions on the spot when they are able to do so. The corresponding administrative examination and approval documents shall be sent to the applicants according to law.

Article 13 (Fellow-up Supervision)

The administrative examination and approval organs shall establish a follow-up notification commitment supervision mechanism, and verify the authenticity of the commitment made by the approved person within 60 days after making the decision to grant administrative approval. With the approval of the head of the administrative examination and approval organs, the verification period may be extended, and shall not exceed 30 days at most. If laws, rules and regulations have other provisions regarding the verification period, such provisions shall prevail.

Administrative examination and approval organs shall strengthen information exchange with relevant regulatory, law enforcement, credit management and other departments, optimize post verification methods, and improve post verification efficiency. For administrative examination and approval items related to enterprises that require follow-up supervision, they shall be implemented in accordance with relevant provisions of this Municipality. The person being approved shall cooperate with the administrative examination and approval organs to conduct follow-up supervision.

If the administrative examination and approval organs find that the actual situation of the persons being approved does not match the promised content, they shall require them to rectify within a specified period of time.

Article 14 (Revocation of Administrative Approval Decision)

If the person being approved falls under any of the following circumstances, the administrative approval authority shall revoke the administrative approval decision in accordance with the law:

1. The approved party fails to submit materials within the deadline specified in the notification and commitment letter or the submitted materials do not meet the requirements;

2. The administrative examination and approval organs are unable to verify the content of the commitment made by the approved parties due to their refusal to cooperate with the follow-up supervision of the commitment;

3. The administrative examination and approval organs require the approved parties to rectify within a specified time limit after verification, and the approved parties refuse to rectify within the specified time or still do not meet the conditions after rectification.

If the administrative examination and approval organ revokes the administrative approval decision in accordance with the law, it may simplify the internal procedures.

Article 15 (Commitment to Integration Notification)

This Municipality shall explore to implement a one-time notification and commitment for the multiple administrative examination and approval items involved in the business starting preparation of specific industries..

Article 16 (Penalty for Breach of Commitment)

When the administrative examination and approval organs carry out follow-up supervision in accordance with the provisions of Items 2, 3 of Clause 1 of Article 14 of these Measures, they may give warnings to those being examined and approved who have breached commitments. A fine of not less than 10,000 yuan but not more than 100,000 yuan may be imposed on those who have breached their commitments and caused harmful consequences. A fine of not less than 100,000 yuan but not more than 300,000 yuan may be imposed on those who have breached their commitments and caused serious harmful consequences.

When the administrative examination and approval organs carry out follow-up supervision in accordance with the provisions of Items 2, 3 of Clause 1 of Article 14 of these Measures, the administrative examination and approval organs may impose heavier penalties on those being examined and approved for their other unlawful acts if there are provisions of laws, rules and regulations for such administrative examination and approval items.

Article 17 (Integrity File)

The administrative examination and approval organs shall establish integrity files for the applicants and those being examined and approved.

When those being examined and approved fail to submit their materials within the time limits, or the submitted materials do not conform to the requirements, and the administrative examination and approval organs find in their examination and follow-up supervision that the applicants, those being examined and approved make false commitments or breach their commitments, the administrative examination and approval organs shall record such information in the integrity files of the applicants and those being examined and approved, and include relevant information into the municipal public credit information platform according to law.

Article 18 (Cancellation of Administrative Examination and Approval Certificates of Notification and Commitment)

Administrative examination and approval organs, upon finding those being examined and approved who obtained examination and approval decisions via the way of nomination and commitment do not have the original examination and approval conditions and cannot be reached, shall cancel their administrative examination and approval certificates in accordance with the law after announcement and publish to the society.

Article 19 (Disclosure of the Effective Notification and Commitment Letter)

The notification and commitment letters signed shall be an integral part of the administrative examination and approval decisions and the administrative examination and approval certificates.

The administrative examination and approval organs shall, according to law, make public the notification and commitment letters. Those being examined and approved shall be encouraged to voluntarily disclose the notification and commitment letters.

Article 20 (Administrative Responsibility)

The administrative examination and approval organs that implement the notification and commitment, with any of the following circumstances shall be ordered to make correction by the higher administrative authorities or the departments concerned; the persons in charge directly responsible and other directly responsible personnel may be punished in accordance with the law:

1. failing to perform the obligation of one-time notification to the applicants;

2. adding or reducing, without authorization, the conditions, standards and technical requirements that shall be met for administrative examination and approval in the notification and commitment letters;

3. forcing the unwilling applicants to make commitments;

4. refusing the willing applicants to make commitments;

5. failing to carry out supervision and inspection for the performance of those being examined and approved in accordance with the provisions of these Measures;

6. failing to make timely decisions on the failure of fulfilling their commitments by those being examined and approved; 

7. or other acts violating the provisions of these Measures.

Article 21 (Work Procedures and Service Guide)

The administrative examination and approval organs shall, in accordance with the provisions of these Measures, formulate the work procedures and make perfect the service guide. The service guide shall be made public.

Article 22 (Reference for Implementation)

When administrative organs handling matters such as relevant certification procedures and administrative confirmation by the way of notification and commitment, these Measures shall be referred.

Article 21 (Effective Date)

These Measures shall be effective as of May 1, 2018.