Notice of the Ministry of Finance on Printing and Distributing the "Working Rules of the Ministry of Finance for Administrative Examination and Approval"

财政部行政审批工作规程

 

Promulgating Institution:Ministry of Finance

Document Number:Cai Fa [2008] No. 16

Promulgating Date:12/23/2008

Effective Date:01/01/2009

颁布机关:财政部

文      号:财法[2008]16号

颁布时间:12/23/2008

实施时间:01/01/2009

Chapter 1: General Provisions

第一章  总则

  Article 1   These Rules are formulated in accordance with the Working Rules of the Ministry of Finance and other relevant provisions for the purposes of implementing the guiding principles of the State Council for the reform of the administrative examination and approval system, regulating the administrative examination and approval work of the Ministry of Finance, strengthening the supervision and administration of the matters concerning administrative examination and approval, and improving work efficiency.

       第一条  为了贯彻落实国务院行政审批制度改革精神,规范财政部行政审批工作,加强对行政审批事项的监督管理,提高工作效率,根据《财政部工作规则》等有关规定,制定本规程。

  Article 2   The administrative examination and approval matters governed by these Rules shall mean non-administrative licensing matters that shall be handled by the Ministry of Finance or jointly with other departments under the State Council, subject to the State Council's examination, approval and announcement.

These Rules shall not be applicable to administrative licensing matters that shall be handled in accordance with the provisions of the relevant laws, administrative regulations and departmental rules.

With regard to the examination and approval by the Ministry of Finance of the matters concerning personnel, finance, foreign affairs, etc. of all departments and bureaus of the Ministry of Finance, the local resident financial supervision offices of all provinces, autonomous regions, municipalities directly under the Central Government, and specially designated cities in the State Plan (hereinafter referred to as "supervision office") and public institutions under the Ministry of Finance, these Rules shall not apply.

       第二条  本规程所规范的行政审批事项,是指经国务院审核、公布,由财政部办理或者由财政部与国务院其他部门联合办理的非行政许可审批事项。

    行政许可事项,依照有关法律、行政法规、部门规章的规定办理,不适用本规程。

    财政部对部内各司局,驻各省、自治区、直辖市、计划单列市财政监察专员办事处(以下简称专员办),部属事业单位的人事、财务、外事等事项的审批,不适用本规程。

  Article 3   With respect to administrative examination and approval matters handled by the departments and bureaus of the Ministry of Finance, supervision Offices and public institutions under the Ministry of Finance (hereinafter referred to as "agency"), these Rules shall apply.

       第三条  财政部各司局、专员办、部属事业单位(以下统称承办单位)办理行政审批事项,适用本规程。

  Article 4   When handling the matters concerning administrative examination and approval, an agency shall, according to provisions of the relevant laws, administrative regulations, departmental rules and these Rules, fulfill its statutory functions and responsibilities, comply with statutory procedures and time limits, and improve work efficiency.

       第四条  承办单位办理行政审批事项,应当依照法律、行政法规、部门规章和本规程的规定,履行法定职责,遵守法定程序和时限,提高工作效率。

  Article 5   An agency shall publicly handle the matters concerning administrative examination and approval in accordance with the provisions of the Regulations on the Disclosure of Government Information.

       第五条  承办单位办理行政审批事项,应当依据《政府信息公开条例》的规定公开。

  Article 6   An agency shall, when handling the matters concerning administrative examination and approval, provide parties concerned with facilitation and shall ensure the parties concerned to be entitled to the information right, the right to expression, the right to defend and other relevant rights and interests in accordance with the law.

       第六条  承办单位办理行政审批事项,应当为行政审批的有关当事人提供便利,保障其依法享有知情权、陈述权、申辩权等相关权益。

  Article 7   Unless otherwise specified by laws or administrative regulations, where a new matter concerning administrative examination and approval is required indeed, sufficient research and demonstration shall be carried out in strict accordance with the provisions of the State Council. The application to set up the new matter shall be reported to the relevant departments for verification and approval according to the relevant procedures.

       第七条  除法律、行政法规另有规定外，确需新设立行政审批事项的，应当严格按照国务院的规定，进行充分的研究论证，按程序报有关部门审核批准。

Chapter 2: Functions and Responsibilities

第二章  职责

  Article 8   The administrative examination and approval of the Ministry of Finance shall be centrally governed by the Ministry of Finance and shall be handled by the agencies.

       第八条  财政部行政审批工作由财政部统一领导,各承办单位具体办理。

  Article 9   An agency shall undertake the following responsibilities:

(1) Formulating specific rules and system for the matters concerning administrative examination and approval undertaken by such agency;

(2) Handling specific matters concerning administrative examination and approval;

(3) Analyzing, sorting out, appraising and carrying out daily supervision over its own administrative examination and approval; and

(4) Other matters that are required to be handled.

       第九条  承办单位履行下列职责:

    (一)拟订本单位承办的行政审批事项具体规章制度;

    (二)具体办理行政审批事项;

    (三)对本单位行政审批工作进行分析、清理、评价和日常监督;

    (四)需要办理的其他事项。

  Article 10   If the Ministry of Finance authorizes a Supervisor Office to handle the matters concerning administrative examination and approval or hands over such matters to a supervision office, the supervision Office shall handle the matters in accordance with the provisions of the laws and administrative regulations and requirements of the Ministry of Finance.

       第十条  专员办对财政部授权或者交办的行政审批事项,应当依照法律、行政法规规定和财政部的要求办理。

  Article 11   Where it is necessary to authorize a public institution under the Ministry of Finance to handle the matters concerning administrative examination and approval of the Ministry of Finance, such authorization shall be made in writing within the authority limit and the authorized matters shall be specified explicitly.

A public institution under the Ministry of Finance shall handle the matters concerning administrative examination and approval authorized by the Ministry of Finance according to the specified authority limit and requirements.

       第十一条  财政部的行政审批事项,需要委托部属事业单位办理的,应当在职权范围内以书面形式委托,并对委托事项提出明确要求。

    部属事业单位办理财政部委托的行政审批事项,应当按照受委托的权限和要求办理。

  Article 12   Where two or more agencies are required to jointly handle the matters concerning administrative examination and approval of the Ministry of Finance, the agency in charge shall be determined. The agency in charge shall be responsible for the coordination with other agencies. Other agencies shall provide active cooperation.

After an administrative examination and approval decision is made, the agency in charge shall provide other agencies with feedback on the relevant information in a timely manner.

       第十二条  财政部的行政审批事项,需要由两个以上承办单位共同办理的,应当确定主办的承办单位,并由其负责与其他承办单位协调。其他承办单位应当积极配合。

    行政审批决定作出后,主办的承办单位应当将有关信息及时反馈其他承办单位。

  Article 13   With regard to the matters concerning administrative examination and approval jointly examined and approved by the Ministry of Finance and other departments under the State Council, if the Ministry of Finance is in charge of such matters, the agency shall give other departments the time limit and requirements for completing such matters, and complete such matters within the given time limit according to the statutory procedures; if other departments are in charge of such matters, the agency shall, according to the requirements of the departments in charge, complete such matters within the given time limit according to the statutory procedures.

       第十三条  财政部与国务院其他部门联合审批的行政审批事项，由财政部主办的，承办单位应当向其他部门提出办结的期限和要求，并依照法定程序在规定期限内完成;由其他部门主办的，承办单位应当按照主办部门的要求，依照法定程序在规定期限内完成。

Chapter 3: Procedures

第三章  程序

  Article 14   An agency shall begin the administrative examination and approval procedure based on its functions and authority limit or the application filed by an applicant for administrative examination and approval.

Where the matters concerning administrative examination and approval are handled based on the agency's functions and authority limit, the administrative examination and approval procedure shall commence according to the relevant provisions and in consideration of the specific work requirements.

Where the matters concerning administrative examination and approval are handled after the application of an applicant, the administrative examination and approval procedure shall commence from the date on which the agency receives the application documents that comply with the provisions.

       第十四条  行政审批程序,由承办单位依职权启动或者依行政审批申请人的申请启动。

    依职权办理行政审批事项的,应当按照有关规定,结合具体工作需要,启动行政审批程序。

    依申请人的申请办理行政审批事项的,自承办单位收到符合规定的申请材料之日起,启动行政审批程序。

  Article 15   With regard to the matters concerning administrative examination and approval that are required to be submitted to the Ministry of Finance for decision upon examination and approval of a supervision office, the relevant finance department at the level of province, or other department according to the relevant provisions, the relevant departments and bureaus shall make requirements on the time limit and procedures for completing such matters. The administrative examination and approval procedure shall commence after the preliminary opinions on the examination and approval and all the application documents have been submitted to the Ministry of Finance.

       第十五条  按照有关规定,应当先经专员办、省级财政部门或者其他部门审核后报财政部决定的行政审批事项,有关司局应当对专员办、省级财政部门或者其他部门办结的期限和程序等提出要求,在其将初步审核意见和全部申请材料报送财政部后,启动行政审批程序。

  Article 16   With respect to an application for administrative examination and approval filed by an applicant, an agency shall provide its opinions thereon within the specified time limit and shall handle the application according to the following circumstances:

(1) Where the matters applied fall under the administrative examination and approval of which the Ministry of Finance is in charge, such application shall be accepted;

(2) Where the matters applied do not fall under the administrative examination and approval of which the Ministry of Finance is in charge, the applicant shall be notified to file an application with the relevant authorities;

(3) Where the applicant does not meet the conditions for filing an application, the applicant shall be notified of the same; and

(4) Where the matters applied are not required to be subject to the administrative examination and approval, but shall be handled by the Ministry of Finance in other ways, such matters shall be handled according to the relevant provisions and shall be notified to the applicant.

       第十六条  承办单位对申请人提出的行政审批申请,应当在规定时间内提出审核意见,并根据下列情况分别作出处理:

    (一)申请事项属于财政部负责办理的行政审批事项的,应当予以受理;

    (二)申请事项不属于财政部负责办理的行政审批事项的,应当告知申请人向有关机关申请;

    (三)申请人不符合申请条件的,应当告知申请人;

    (四)申请事项依法不需要行政审批,但应当由财政部以其他形式办理的,应当按照有关规定办理,并告知申请人。

  Article 17   Where the application documents of an applicant are incomplete or non-conforming to the statutory form, the Agency shall notify the applicant at one time of all the contents that need to be supplemented or corrected within the specified time limit.

       第十七条  申请人的申请材料不齐全或者不符合法定形式的,承办单位应当在规定期限内一次性告知申请人需要补正的全部内容。

  Article 18   An agency shall, pursuant to the statutory conditions, standards and the provisions of management of administrative examination and approval, review the application documents and opinion on such examination and approval.

Where verification through investigation is required, the check shall be conducted according to the specified procedures and requirements. The agency shall provide verification opinions after checking the matters concerning administrative examination and approval.

       第十八条  承办单位应当依据法定条件、标准和行政审批管理的规定,对申请材料和审核意见进行复核。

    需要调查核实的,应当按照规定的程序和要求进行核查。承办单位对行政审批事项核查后,应当依照有关规定,提出核查意见。

  Article 19   An administrative examination and approval shall be decided respectively by the Ministry of Finance or a supervision office according to their functions and power.

The matters concerning general administrative examination and approval shall be decided by the leader of the Ministry of Finance or the responsible person of a Supervisor Office.

The matters concerning major administrative examination and approval shall, according to working rules, be decided by the Ministry of Finance or a Supervisor Office through collective discussion.

       第十九条  行政审批的决定,应当由财政部或者专员办按照职权分别作出。

    一般行政审批事项,应当由财政部部领导或者专员办负责人决定。

    重大行政审批事项,应当由财政部或者专员办按照工作规则,集体讨论决定。

  Article 20   An agency shall, according to the relevant provisions, establish and improve an internal supervision and restriction system. The authority limit and functions of the personnel who handle preliminary examinations, reviews, and examination and approval shall be explicitly specified, and the personnel shall perform their own functions respectively.

       第二十条  承办单位应当按照有关规定,建立健全内部监督制约机制。行政审批事项初审人员、复核人员与审批人员的职责权限应当明确,各司其职。

  Article 21   If laws, administrative regulations or departmental rules specify that the matters concerning administrative examination and approval require a hearing, or if other agencies believe that other matters concerning administrative examination and approval require a hearing, the agency shall conduct a hearing in accordance with the law.

       第二十一条  法律、行政法规、部门规章规定应当组织听证的行政审批事项,以及承办单位认为需要听证的其他行政审批事项,承办单位应当依法举行听证。

  Article 22   If an agency believes that demonstration and review is necessary for handling the matters concerning administrative examination and approval that require high level technical and special knowledge, such demonstration and review shall be conducted as required.

       第二十二条  办理专业性、技术性强的行政审批事项,承办单位认为需要论证、评审的,应当按照规定组织论证、评审。

  Article 23   Where a time limit for the matters concerning administrative examination and approval is explicitly specified in laws, administrative regulations and departmental rules, the relevant agency shall complete the matters within the statutory time limit.

If a time limit for handling the matters concerning administrative examination and approval is not specified in laws, administrative regulations and departmental rules, the agency shall specify a reasonable time limit.

       第二十三条  法律、行政法规、部门规章对行政审批事项有明确期限规定的,承办单位应当在法定期限内办结。

    法律、行政法规、部门规章对行政审批事项没有规定办理期限的,承办单位应当确定合理的办理期限。

  Article 24   With regard to the matters concerning administrative examination and approval that involve the emergencies such as natural disasters, accidents, public health incidents and social security incidents, the relevant agency shall handle such matters according to the provisions of emergency mechanism and relevant requirements.

       第二十四条  对涉及自然灾害、事故灾难、公共卫生事件和社会安全事件等突发事件的行政审批事项,承办单位应当根据应急机制的规定和有关要求办理。

  Article 25   With regard to the matters concerning administrative examination and approval that are related to secrets, an Agency shall, according to the relevant provisions, formulate a specific management system and clarify the procedures and requirements for handling such matters, but shall not disclose the information on such matters.

Except for the matters related to secrets, an agency shall, according to the relevant provisions of the Ministry of Finance on information disclosure, make an announcement on the names, basis, conditions, procedures and time limit of the matters concerning administrative examination and approval as well as the list of all documents and sample applications.

       第二十五条  涉密的行政审批事项,承办单位应当根据有关规定,制定具体的管理制度,明确办理的程序和要求,但不予公开。

    除涉密的事项外,承办单位应当将行政审批事项名称、依据、条件、程序、期限,以及需要提交的全部材料的目录和申请书示范文本等,按照财政部信息公开的相关规定予以公布。

  Article 26   An agency shall take measures to strengthen the management of administrative examination and approval and follow up and appraise the situation and effect of the implementation of the matters concerning administrative examination and approval.

       第二十六条  承办单位应当采取措施,加强对行政审批工作的管理,对行政审批事项的实施情况和效果进行跟踪、评估。

  Article 27   An agency shall, according to the relevant provisions of the Ministry of Finance on archive administration, establish and improve a system for archiving the matters concerning administrative examination and approval.

       第二十七条  承办单位应当按照财政部档案管理的有关规定，建立健全行政审批事项的档案。

Chapter 4: Supervision

第四章  监督

  Article 28   Agencies, supervision and inspection bureaus, the Department of Personnel and Education, the authorities and Party committee (commission for disciplinary inspection) of the Ministry of Finance, the Supervision and Inspection Administration at the Ministry of Finance shall, according to their respective functions and responsibilities, supervise and inspect the administrative examination and approval and handle the problems discovered.

       第二十八条  承办单位、监督检查局、人事教育司、部机关党委(纪委)、驻部监察局根据各自职责对行政审批工作进行监督检查,对发现的问题依法进行处理。

  Article 29   An agency shall perform its function of daily supervision and administration of the administrative examination and approval that it handles.

The relevant supervision and inspection bureau shall supervise and inspect the administrative examination and approval of its internal units, and conduct the guidance, supervision and inspection when a supervision office handles the matters concerning administrative examination and approval.

The Department of Personnel and Education, the authorities and commission for disciplinary inspection of the Ministry of Finance, the Supervision and Inspection Administration at the Ministry of Finance shall, according to the administrative authority limit for cadres, be responsible for dealing with the acts in violation of laws and disciplines that are committed in administrative examination and approval process and the relevant personnel subject to liability.

       第二十九条  承办单位履行对本单位办理的行政审批事项的日常监督管理职责。

    监督检查局应当对部内单位行政审批工作进行监督检查,并对专员办办理行政审批事项的情况进行指导和监督检查。

    人事教育司、部机关纪委、驻部监察局按照干部管理权限,负责对办理行政审批事项中的违法违纪行为以及相关责任人员进行处理。

  Article 30   The supervision and inspection of administrative examination and approval shall include the following main contents:

(1) Information on the establishment and improvement of an internal management system for administrative examination and approval;

(2) Information on legal performance of administrative examination and approval functions and responsibilities;

(3) Information on compliance with the provisions on incorrupt government; and

(4) Other matters shall be subject to supervision and inspection.

       第三十条  行政审批的监督检查包括以下主要内容:

    (一)建立健全行政审批内部管理制度的情况;

    (二)依法履行行政审批职责的情况;

    (三)遵守廉政规定的情况;

    (四)其他需要监督检查的事项。

  Article 31   The supervision and inspection of administrative examination and approval may be carried out in the following ways:

(1) Listening to the reports on the information on administrative examination and approval;

(2) Inspecting the information on handling the matters concerning administrative examination and approval;

(3) Appraising and assessing the administrative examination and approval;

(4) Investigating and punishing the illegal examination and approval acts in accordance with laws and disciplines; and

(5) Other methods of supervision and inspection.

       第三十一条  行政审批的监督检查工作可以采取下列方式:

    (一)听取行政审批工作情况报告;

    (二)对办理行政审批事项情况进行检查;

    (三)对行政审批工作进行评议、考核;

    (四)依法依纪对行政审批违法行为进行查处;

    (五)其他监督检查方式。

  Article 32   Agencies, supervision and inspection bureaus, the Department of Personnel and Education, the authorities and Party committee (commission for disciplinary inspection) of the Ministry of Finance, the Supervision and Inspection Administration at the Ministry of Finance shall, according to their respective functions, investigate and handle the matters concerning denouncement and complaint in administrative examination and approval.

       第三十二条  承办单位、监督检查局、人事教育司、部机关党委(纪委)、驻部监察局应当分别依照各自的职责,对行政审批中的检举和投诉事项,进行调查和处理。

  Article 33   Where an act of administrative examination and approval violates laws due to intentional or gross negligence, thereby causing serious consequences, under the following circumstances, the relevant agency and its relevant personnel subject to liability shall be subject to liability in accordance with the relevant laws and disciplines:

(1) Failure to perform, or delay in the performance of, the statutory functions and responsibilities;

(2) Handling the matters concerning administrative examination and approval without or beyond the authority limit for administrative examination and approval or by abusing the power of office;

(3) Handling the matters concerning administrative examination and approval in violation of the statutory procedures;

(4) The acts of administrative examination and approval are determined to be invalid, illegal or cancelled; and

(5) Other acts of serious violation of laws and disciplines.

       第三十三条  因故意或者重大过失,导致行政审批行为违法,并且产生严重危害后果,有下列情形之一的,应当依法依纪追究承办单位及有关责任人员的责任:

    (一)不履行或者拖延履行法定职责的;

    (二)不具有行政审批权限、超越或者滥用职权办理行政审批事项的;

    (三)违反法定程序办理行政审批事项的;

    (四)行政审批行为被确认无效、违法、撤销的;

    (五)其他严重违法违纪行为。

  Article 34   Where any unit or individual that is subject to liability is dissatisfied with the decision on handling the acts, such unit or individual shall file an application for review or petition with the relevant authority according to the relevant provisions.

       第三十四条  被追究责任的单位和个人对处理决定不服的，可以按照有关规定向有关机关申请复核或者申诉。

Chapter 5: Supplementary Provisions

第五章  附则

  Article 35   With regard to the performance of other functions of examination and approval, public institutions under the Ministry of Finance shall establish the specific process for the examination and approval and other supporting systems by reference to the provisions of these Rules.

       第三十五条  部属事业单位履行其他审批职责,应当参照本规程的规定,制定有关审批事项的具体流程等配套制度。

  Article 36   These Rules shall become effective from January 1, 2009.

       第三十六条  本规程自2009年1月1日起施行。