中英文對照!《上海市優化營商環境條例》全文公布→

《上海市優化營商環境條例》已全文公布。該《條例》結合本市實際，明確了優化營商環境的原則和要求」「主要圍繞市場主體可能遇到的痛點、難點、堵點問題提出破解之道」「在做好政務服務之外，積極協調、推動公用事業、公共法律服務、金融等單位為市場主體提供全方位服務」等。來看中英文兩版《條例》全文↓

上海市優化營商環境條例

（2020年4月10日上海市第十五屆人民代表大會常務委員會第二十次會議通過）

第一章 總則

第一條 為了持續優化營商環境，激發市場主體活力，維護市場主體合法權益，推動經濟高質量發展，推進政府治理體系和治理能力現代化建設，將上海建設成為卓越的全球城市、具有世界影響力的社會主義現代化國際大都市，根據《優化營商環境條例》等法律、行政法規，結合本市實際，制定本條例。

第二條 本條例適用於本市行政區域內優化營商環境的相關工作。

本條例所稱營商環境，是指企業等市場主體在市場經濟活動中所涉及的體制機制性因素和條件。

第三條 優化營商環境應當堅持市場化、法治化、國際化原則，以市場主體獲得感為評價標準，以政府職能轉變為核心，以「一網通辦」為抓手，全面深化「放管服」改革，踐行「有求必應、無事不擾」的服務理念，對標最高標準、最高水平，打造貿易投資便利、行政效率高效、政務服務規範、法治體系完善的國際一流營商環境，為各類市場主體投資興業營造穩定、公平、透明、可預期的發展環境。

第四條 市、區人民政府應當加強優化營商環境工作的組織領導，按照優化營商環境的原則和要求，建立健全優化營商環境的統籌推進工作機制，完善服務企業聯席會議機制，加強統籌本行政區域企業服務工作。政府主要負責人是優化營商環境的第一責任人。

市、區發展改革部門是本行政區域內優化營商環境工作的主管部門，負責指導、組織、協調優化營商環境日常工作。

本市經濟信息化、商務、政務服務、市場監管、住房城鄉建設、規劃資源、司法行政、地方金融、智慧財產權等部門應當按照各自職責，做好優化營商環境相關工作。

第五條 市、區人民政府及其有關部門應當結合實際，充分運用現行法律制度及國家政策資源，探索具體可行的優化營商環境新經驗、新做法，並複製推廣行之有效的改革措施。

中國(上海)自由貿易試驗區和臨港新片區、張江國家自主創新示範區、虹橋商務區等區域應當在優化營商環境方面發揮引領示範作用，先行先試有利於優化營商環境的各項改革措施。

第六條 本市加強與長江三角洲區域相關省、市的交流合作，以長三角生態綠色一體化發展示範區營商環境建設為重點，推動建立統一的市場準入和監管規則，著力形成要素自由流動的統一開放市場，提升長江三角洲區域整體營商環境水平。

第七條 市、區人民政府應當建立優化營商環境工作激勵機制，對在優化營商環境工作中作出顯著成績的單位和個人，按照有關規定給予表彰和獎勵。

各區、各部門可以結合實際情況，在法治框架內積極探索優化營商環境具體措施。對探索中出現失誤或者偏差，但有關單位和個人依照國家和本市有關規定決策、實施，且勤勉盡責、未牟取私利的，不作負面評價，依法予以免責或者減輕責任。

第八條 本市按照營商環境評價體系要求，以市場主體和社會公眾滿意度為導向推進優化營商環境改革，發揮營商環境評價對優化營商環境的引領和督促作用。

各區、各部門應當根據營商環境評價結果，及時調整完善優化營商環境的政策措施。

第二章 市場環境

第九條 本市充分發揮市場在資源配置中的決定性作用，構建覆蓋企業全生命周期的服務體系，在企業開辦、融資信貸、糾紛解決、企業退出等方面持續優化營商環境。

第十條 國家市場準入負面清單以外的領域，各類市場主體均可以依法平等進入。國家外商投資準入負面清單以外的領域，按照內外資一致的原則實施管理。

本市根據城市功能定位、發展規劃以及環保安全等相關規定，按照規定程序制定產業引導政策，並向社會公開。

第十一條 本市對標國際高標準投資貿易規則，推進貿易便利化，鼓勵和促進外商投資；按照國家部署，在中國(上海)自由貿易試驗區和臨港新片區實行外商投資試驗性政策措施，擴大對外開放。

鼓勵各類企業在本市設立總部機構、研發中心，鼓勵與上海國際經濟、金融、貿易、航運和科創中心建設密切相關的國際組織落戶本市，支持創設與本市重點發展的戰略性新興產業相關的國際組織。

第十二條 本市依法保護各類市場主體的經營自主權、財產權和其他合法權益，保護企業經營者的人身和財產安全。

任何單位和個人不得幹預應當由市場主體依法自主決策的定價、內部治理、經營模式等事項，不得對市場主體實施任何形式的攤派，不得非法實施行政強制或者侵犯市場主體及其經營者合法權益的其他行為。

除法律、法規另有規定外，市場主體有權自主決定加入或者退出行業協會、商會等社會組織，任何單位和個人不得幹預。

第十三條 各類市場主體依法平等適用國家及本市支持發展的政策，享有公平使用資金、技術、人力資源、土地使用權以及其他自然資源等各類生產要素和公共服務資源的權利。

市、區人民政府及其部門應當平等對待各類市場主體，不得制定和實施歧視性政策。

招標投標和政府採購應當公開透明、公平公正，不得設定不合理條件，或者以其他任何形式排斥、限制潛在投標人或者供應商，保障各類市場主體依法平等參與。

本市完善公共資源交易管理制度，建立健全公共資源交易平臺，優化交易服務流程，依法公開公共資源交易規則、流程、結果、監管和信用等信息。

第十四條 本市建立健全公平競爭工作協調機制，加大執法力度，預防和制止市場壟斷和濫用行政權力排除、限制競爭的行為，以及不正當競爭行為，營造公平競爭的市場環境。

第十五條 本市營造中小企業健康發展環境，保障中小企業公平參與市場競爭，支持中小企業創業創新。

市、區人民政府應當在財政扶持、費用減免、金融支持、公共服務等方面制定專項政策，並在本級預算中安排中小企業發展專項資金，支持中小企業發展。

第十六條 本市加大對中小投資者權益的保護力度，完善中小投資者權益保護機制，保障中小投資者的知情權、表決權、收益權和監督權，發揮中小投資者服務機構在持股行權、糾紛調解、支持訴訟等方面的職能作用，提升中小投資者維護合法權益的便利度。

第十七條 本市將涉企經營許可事項全部納入「證照分離」改革範圍，通過直接取消審批、審批改為備案、實行告知承諾、優化審批服務等方式，分類推進改革。除法律、行政法規規定的特定領域外，涉企經營許可事項不得作為企業登記的前置條件。

本市支持「一業一證」審批模式改革探索，將一個行業準入涉及的多張許可證整合為一張行業綜合許可證。

市場監管部門應當根據企業自主申報的經營範圍，明確告知企業需要辦理的許可事項，同時將需要申請許可的企業信息告知相關主管部門。相關主管部門應當依企業申請及時辦理涉企經營許可事項，並將辦理結果即時反饋市場監管部門。

第十八條 對依法設立的政府性基金、涉企保證金、涉企行政事業性收費、政府定價的經營服務性收費，實行目錄清單管理，目錄清單之外一律不得執行。市財政、發展改革等部門應當編制目錄清單，並向社會公開。

本市推廣以金融機構保函、保證保險等替代現金繳納涉企保證金，市發展改革、住房城鄉建設等相關主管部門應當明確具體規範和辦事指南。

第十九條 本市培育和發展各類行業協會、商會，依法規範和監督行業協會、商會的收費、評比、認證等行為。

行業協會、商會應當加強內部管理和能力建設，及時反映行業訴求，組織制定和實施團體標準，加強行業自律，為市場主體提供信息諮詢、宣傳培訓、市場拓展、權益保護、糾紛處理等服務。

第二十條 本市各級人民政府及其有關部門應當履行向市場主體依法作出的政策承諾以及依法訂立的各類合同，不得以行政區劃調整、政府換屆、機構或者職能調整以及相關責任人更替等為由違約、毀約。因國家利益、社會公共利益需要改變政策承諾、合同約定的，應當依照法定權限和程序進行，並依法對市場主體受到的損失予以補償。

政府依照法律規定的條件和程序變更或者撤回已經生效的行政許可、採取徵用等措施的，應當依法對市場主體予以補償。

第二十一條 本市各級人民政府及其有關部門、事業單位不得違反合同約定拖欠市場主體的貨物、工程、服務等帳款，也不得在約定付款方式之外變相延長付款期限。

本市探索建立拖欠帳款行為約束懲戒機制，通過預算管理、績效考核、審計監督等，防止和糾正拖欠市場主體帳款的問題。

第二十二條 本市加強智慧財產權保護工作，理順智慧財產權綜合管理和執法體制，加強跨區域智慧財產權執法協作機制。

本市依法實行智慧財產權侵權懲罰性賠償制度，推動建立智慧財產權快速協同保護機制，完善行政保護與司法保護銜接機制，探索開展智慧財產權公益訴訟，完善智慧財產權維權援助機制，提供智慧財產權保護的侵權預警、法律服務和司法救濟。

本市完善智慧財產權糾紛多元解決機制，充分發揮行業協會和調解、仲裁、智慧財產權服務等機構在解決智慧財產權糾紛中的積極作用。

第三章 政務服務

第二十三條 本市建設全流程一體化在線政務服務平臺（以下簡稱「一網通辦」平臺），推動線下和線上政務服務融合，整合公共數據資源，加強業務協同辦理，優化政務服務流程，推動市場主體辦事線上一個總門戶、一次登錄、全網通辦。

本市政務服務事項全部納入「一網通辦」平臺辦理，但法律、法規另有規定或者涉及國家秘密、公共安全等情形的除外。市場主體可以通過「一網通辦」平臺辦理政務服務，並可以通過企業專屬網頁獲得精準化政務服務。

市政務服務部門負責統籌規劃、協調推進、指導監督「一網通辦」工作。各區、各部門推進政務服務標準化規範化建設，細化量化政務服務標準，編制政務服務辦事指南，明確事項辦理條件、辦事材料、辦理流程、容缺受理等內容，線上辦理和線下辦理標準應當一致。政務服務事項辦理條件不得含有兜底條款，相關部門不得要求市場主體提供辦事指南規定之外的申請材料。

市場主體可以自主選擇政務服務辦理渠道，相關部門不得限定辦理渠道。已在線收取規範化電子材料的，不得要求申請人再提供紙質材料。

本市推進「一網通辦」平臺涉外服務專窗建設，為外商投資企業、外國人提供便利化政務服務。

第二十四條 本市政務服務大廳推行綜合窗口服務，實行綜合受理、分類辦理、統一出件。

服務窗口應當加強標準化管理，推進規範化建設，健全一次告知、首問負責、收件憑證、限時辦結等服務制度，完善預約、全程幫辦、聯辦以及錯時、延時服務等工作機制。

各區、各部門應當加強窗口服務力量配置和窗口工作人員業務培訓。服務窗口應當按照政府效能建設管理規定，綜合運用效能評估、監督檢查、效能問責等手段，提高服務質量和效能。

除法律、法規有明確規定的情形外，窗口工作人員不得對申請人提出的申請事項不予收件。窗口工作人員不予收件的，各部門應當加強核實監督。

第二十五條 本市對行政許可事項實施清單管理制度。市審批改革部門應當會同相關行政管理部門及時向社會公布清單並進行動態調整。

在行政許可事項清單之外，不得違法設定或者以備案、登記、註冊、目錄、規劃、年檢、年報、監製、認定、認證、審定以及其他任何形式變相設定或者實施行政許可。對國家和本市已經取消的行政許可事項，不得繼續實施、變相恢復實施或者轉由行業協會、商會以及其他組織實施。

各相關部門應當將本年度行政許可辦理、費用收取、監督檢查等工作情況，向同級審批改革部門報告並依法向社會公布。

第二十六條 本市全面推行行政審批告知承諾制度。對審批條件難以事先核實、能夠通過事中事後監管糾正且風險可控的行政審批事項，行政審批機關可以採取告知承諾方式實施行政審批，但直接涉及公共安全、生態環境保護和直接關係人身健康、生命財產安全的以及依法應噹噹場作出行政審批決定的行政審批事項除外。告知承諾的具體事項，由審批改革部門會同相關部門確定，並向社會公布。

實行行政審批告知承諾的，相關部門應當一次性告知申請人審批條件和需要提交的材料。申請人以書面形式承諾符合審批條件的，應當直接作出行政審批決定，並依法對申請人履行承諾情況進行監督檢查。申請人未履行承諾的，審批部門應當責令其限期整改；整改後仍未滿足條件的，應當撤銷辦理決定，並按照有關規定納入信用信息平臺。

第二十七條 本市遵循合法、必要、精簡的原則，規範行政審批中介服務事項。行政審批中介服務事項清單由市審批改革部門會同相關行政管理部門編制，並向社會公布。

除法律、法規另有規定外，市場主體有權自主選擇中介服務機構，任何行政管理部門不得為其指定或者變相指定中介服務機構，不得強制或者變相強制市場主體接受中介服務。

各區、各部門在行政審批過程中需要委託中介服務機構提供技術性服務的，應當通過競爭性方式選擇中介服務機構，並自行承擔服務費用。

中介服務機構應當明確辦理法定行政審批中介服務的條件、流程、時限、收費標準，並向社會公開。

第二十八條 市人民政府有關部門應當在市政府網站上公布證明事項清單，逐項列明設定依據、索要單位、開具單位等內容。新證明事項實施或者原有證明事項取消之日起七個工作日內，有關部門應當完成清單更新。

各區、各部門應當加強證明的互認共享，不得重複向市場主體索要證明，並按照國家和本市的要求，開展證明事項告知承諾制試點等工作，進一步減證便民。

第二十九條 本市實施政務服務「好差評」制度，提高政務服務水平。「好差評」制度覆蓋本市全部政務服務事項、被評價對象、服務渠道。評價和回復應當公開。

本市各級人民政府及其有關部門應當建立差評和投訴問題調查核實、督促整改和反饋機制。對實名差評事項，業務辦理單位應當在一個工作日內聯繫核實。對於情況清楚、訴求合理的事項，立即整改；對於情況複雜、一時難以解決的事項，限期整改。整改情況及時向企業和群眾反饋。政務服務主管部門應當對實名差評整改情況進行跟蹤回訪。

第三十條 本市推行企業開辦全流程「一表申請、一窗領取」。申請人可以通過「一窗通」網上服務平臺申辦營業執照、印章、發票、基本社會保險等業務。材料齊全、符合法定形式的，政府有關部門應噹噹場辦結；不能當場辦結的，應當在一個工作日內辦結。

申請企業設立、變更登記事項，申請人承諾所提交的章程、協議、決議和任職資格證明等材料真實、合法、有效的，市場監管部門可以對提交的材料進行形式審查，但法律、法規另有規定的除外。當事人提供虛假材料申請登記的,應當依法承擔責任。

企業可以在政務服務大廳開辦企業綜合窗口一次領取從事一般性經營活動所需的營業執照、印章和發票。

企業設立試行名稱告知承諾制和企業住所自主申報制，推廣實施開辦企業全程電子化。多個企業可以根據本市相關規定，使用同一地址作為登記住所。

第三十一條 本市按照電子證照相關規定，建立健全電子證照歸集和應用機制。除法律、法規另有規定外，市、區人民政府及其部門籤發的電子證照應當向市電子證照庫實時歸集，確保數據完整、準確。

申請人在申請辦理有關事項時，可以通過市電子證照庫出示業務辦理所需要的電子證照，受理單位不得拒絕辦理或者要求申請人提供實體證照，但依法需要收回證照原件的除外。

第三十二條 本市建立統一的電子印章系統，推進電子印章在政務服務、社區事務受理等領域的應用，鼓勵市場主體和社會組織在經濟和社會活動中使用電子印章。各部門已經建立電子印章系統的，應當實現互認互通。

企業電子印章與企業電子營業執照同步免費發放。企業可以根據實際需要，自主刻制實體印章。

第三十三條 企業辦理政務服務事項，使用的符合法律規定條件的可靠的電子籤名，與手寫籤名或者蓋章具有同等法律效力；電子印章與實物印章具有同等法律效力；電子證照與紙質證照具有同等法律效力，但法律、行政法規另有規定的除外。

第三十四條 企業固定資產投資項目實行告知承諾制，其範圍由市發展改革部門擬訂，報市人民政府批准後向社會公布。

第三十五條 本市推行工程建設項目風險分級分類審批和監管制度。市住房城鄉建設、交通等部門應當制定並公布各類工程建設項目的風險劃分標準和風險等級，並會同市發展改革、規劃資源等部門實行差異化審批、監督和管理。

本市實施工程建設項目審批全流程、全覆蓋改革。市住房城鄉建設部門依託「一網通辦」總門戶，牽頭建立統一的工程建設項目審批管理系統，實現立項、用地、規劃、施工、竣工驗收等各審批階段「一表申請、一口受理、一網通辦、限時完成、一次發證」，推動工程建設項目審批實現全流程網上辦理。對社會投資的低風險工程建設項目，建設工程規劃許可和施工許可可以合併辦理，全流程備案、審批時間不超過十個工作日。

市、區人民政府應當設立工程建設項目審批審查中心，依託工程建設項目審批管理系統，實行聯合會審、聯合監督檢查和綜合竣工驗收等一站式服務模式。

本市加強對重大工程建設項目跨前服務，對不影響安全和公共利益的非關鍵要件在審批流程中探索試點「容缺後補」機制，允許市場主體在竣工驗收備案前補齊相關材料。

本市推行工程質量潛在缺陷保險制度，探索推行建築師負責制。

第三十六條 本市在產業基地和產業社區等區域實施綜合性區域評估。各區域管理主體應當組織開展水資源論證、交通影響評價、地質災害危險性評估、雷擊風險評估等區域評估，區域評估結果向社會公開，並納入相關部門管理依據。

市場主體在已經完成綜合性區域評估的產業基地和產業社區建設工程項目的，不再單獨開展上述評估評審，但國家和本市另有規定的除外。

第三十七條 本市企業新建社會投資低風險產業類項目的竣工驗收與不動產登記合併辦理，竣工驗收後一次性獲得驗收合格相關證書和不動產權證電子證書，並可以當場獲得紙質權證。

不動產登記機構辦理不動產轉移登記，實行一窗收件、當場繳稅、當場發證、一次完成。不動產登記機構應當與公用企事業單位、金融機構等加強協作，逐步實現電力、供排水、燃氣、網絡過戶與不動產登記同步辦理。本市推廣在商業銀行申請不動產抵押登記等便利化改革。

任何單位和個人有查詢需要的，可以根據國家和本市不動產登記資料查詢的相關規定，按照地址查詢非住宅類不動產權利人信息等登記信息和地籍圖信息。

第三十八條 本市依託市、區兩級人才服務中心，提供人才引進、落戶、交流、評價、諮詢等便利化專業服務。

本市為外籍高層次人才出入境、停居留和工作學習生活提供便利，通過「外國人工作、居留單一窗口」辦理工作許可和居留許可的，應當在七個工作日內一次辦結。

第三十九條 本市通過國際貿易單一窗口，為申報人提供進出口貨物申報、運輸工具申報、稅費支付、貿易許可和原產地證書申領等全流程電子化服務，並推廣貿易融資、信用保險、出口退稅等地方特色應用。

各收費主體應當在國際貿易單一窗口公開收費標準，實現口岸相關市場收費「一站式」查詢和辦理。市口岸、交通、發展改革、市場監管等部門應當加強口岸收費管理。

本市依託國際貿易單一窗口，推動與其他經濟體的申報接口對接，促進信息互聯互通，便利企業開展跨境業務。

第四十條 本市運用各類口岸通關便利化措施，壓縮貨物口岸監管和港航物流作業時間，實現通關與物流各環節的貨物狀態和支付信息可查詢，便利企業開展各環節作業。

本市推動優化口岸監管，鼓勵企業提前申報通關，提前辦理通關手續。對於申報通關存在差錯的，按照有關容錯機制處理。

對符合條件的企業，依照有關規定，實行先驗放後檢測、先放行後繳稅、先放行後改單等管理。海關應當公布報關企業整體通關時間。

第四十一條 本市構建面向納稅人和繳費人的統一稅費申報平臺，推動相關稅費合併申報及繳納。相關部門應當精簡稅費辦理資料和流程，減少納稅次數和稅費辦理時間，提升電子稅務局和智慧辦稅服務場所的服務能力，推廣使用電子發票。

本市嚴格落實國家各項減稅降費政策，積極開展宣傳輔導，確保各項政策落實到位。

第四十二條 企業可以在本市自主選擇主要辦事機構所在地，並依法登記為住所。各區、各部門應當對企業跨區域變更住所提供便利，不得對企業變更住所設置障礙。

對區級層面難以協調解決的企業跨區域遷移事項，由市服務企業聯席會議機制協調解決，並推動落實。

第四十三條 企業可以通過本市「一窗通」網上服務平臺申請註銷，由市場監管、稅務、人力資源社會保障等部門分類處置、同步辦理、一次辦結相關事項。

對領取營業執照後未開展經營活動、申請註銷登記前未發生債權債務或者債權債務清算完結的，可以適用簡易註銷登記程序。企業可以通過國家企業信用信息公示系統進行公告，公告時限為二十日。公告期內無異議的，登記機關可以為企業辦理註銷登記。

第四章 公共服務

第四十四條 市經濟信息化部門組織開展全市企業服務體系建設，依託上海市企業服務雲，實現涉企政策統一發布、專業服務機構集中入駐、企業訴求集中受理。

市、區經濟信息化部門應當建立中小企業服務中心，受理企業各類訴求，完善訴求快速處理反饋機制，一般問題五個工作日辦結，疑難問題十五個工作日辦結，無法辦理的應當向企業說明情況。

各區應當建立網格化企業服務模式，在鄉鎮、街道、園區及商務樓宇等設立企業服務專員，為協調解決企業訴求提供服務。

第四十五條 市經濟信息化部門應當會同市財政等部門建立本市財政資金類惠企政策統一申報系統，為企業提供一站式在線檢索、訂閱、匹配、申報服務。

各區應當設立財政資金類等惠企政策服務窗口，有條件的區可以設立惠企政策綜合服務窗口。

第四十六條 本市建立政企溝通機制，通過調研、座談、問卷調查、新媒體等多種形式，及時傾聽和回應市場主體的合理訴求。

本市設立優化營商環境諮詢委員會，負責收集、反映市場主體對營商環境的訴求，為營商環境改革提供決策諮詢，推動優化營商環境精準施策。

第四十七條 本市鼓勵電力、供排水、燃氣、網絡等公用企事業單位為市場主體提供全程代辦服務。鼓勵公用企事業單位全面實施網上辦理業務，在「一網通辦」總門戶開設服務專窗，優化流程、壓減申報材料和辦理時限。

公用企事業單位應當推行接入和服務的標準化，確保接入標準、服務標準公開透明，並提供相關延伸服務和一站式服務。公用企事業單位應當對收費項目明碼標價，並按照規定履行成本信息報送和公開義務。

公用企事業單位同步申請多種市政接入的，規劃資源、綠化市容、交通等政府部門應當予以支持並提供便利。

第四十八條 本市實行統一的動產擔保登記制度，推動市場主體通過人民銀行動產融資登記系統辦理動產擔保登記，為市場主體提供融資便利。

鼓勵金融機構為誠信經營的中小企業提供無抵押信用貸款，支持為科技型企業提供全生命周期綜合金融服務，加大科技型企業培育力度，鼓勵符合條件的科技型企業在科創板上市。

第四十九條 本市設立中小微企業政策性融資擔保基金，建立健全融資擔保體系，為中小微企業融資提供增信服務。市財政部門應當會同市地方金融等部門，建立信貸風險補償和獎勵機制。

本市推進公共數據開放及大數據普惠金融應用，依法與金融機構共享市場監管、稅務、不動產登記、環保等政務數據和電力、供排水、燃氣、網絡等公用事業數據，並依法保護商業秘密、個人信息。

第五十條 本市扶持產業園區建設，推進產業與城市融合發展。相關政府部門根據需要在產業園區設立政務服務窗口。鼓勵各類產業園區的管理運營單位設立一站式企業服務受理點，提供企業開辦、項目建設、人才服務等政策諮詢和代辦服務。

園區管理運營單位通過推薦函等方式為園區企業辦事提供證明、保證等服務的，相關政府部門應當予以支持。

第五十一條 本市支持創新創業集聚區建設，支持發展科技企業孵化器、眾創空間等各類創新創業載體。對於符合條件的創新創業載體，按照有關規定給予稅收優惠和財政支持。

鼓勵和支持高校、科研院所通過建設專業團隊、委託第三方服務機構等方式開展技術轉移服務，推動科技成果轉移轉化。

第五十二條 本市實行重大產業項目目錄製管理，並定期動態調整。市、區人民政府應當建立重大項目聯繫制度和協調處理機制，為企業提供全流程服務保障。

市經濟信息化部門應當推進市級投資促進平臺建設，制定發布上海市產業地圖，推進建設重點項目信息庫和載體資源庫，推動項目與產業地圖精準匹配。

市商務部門應當推動完善海外招商促進網絡。

第五十三條 本市加快推進公共法律服務體系建設，整合律師、公證、司法鑑定等公共法律服務資源，以公共法律服務中心、公共法律服務熱線等為載體，提升公共法律服務質量和水平。

鼓勵律師創新法律服務模式，通過專業化的法律服務，幫助中小企業有效防範法律風險，及時高效地解決各類糾紛。

持續優化公證服務，實現簡易公證事項和公證信息查詢的「自助辦、網上辦、一次辦」。

鼓勵鑑定機構優化鑑定流程，提高鑑定效率。與委託人有約定時限的，在約定的時限內完成鑑定；沒有約定的，一般應當在三十個工作日內完成鑑定，但重大複雜或者法律、法規、部門規章有專門規定的除外。

第五章 監管執法

第五十四條 相關政府部門應當按照鼓勵創新的原則，對新技術、新產業、新業態、新模式等實行包容審慎監管，針對其性質、特點分類制定和實行相應的監管規則和標準，預留發展空間，同時確保質量和安全，不得予以禁止或者不予監管。

本市建立健全市場主體輕微違法違規經營行為包容審慎監管制度，明確輕微違法違規經營行為的具體情形，並依法不予行政處罰。

第五十五條 市審批改革部門應當會同相關行政管理部門編制監管事項目錄清單，明確監管主體、監管對象、監管措施、處理方式等，並向社會公開。監管事項目錄清單實行動態調整。

本市基於監管對象信用狀況及風險程度等，對市場主體實施差異化分類監督管理。各部門應當根據分類結果建立相應的激勵、預警、懲戒等機制。對直接涉及公共安全和人民群眾生命健康等特殊行業、重點領域，依法實行全覆蓋全過程重點監管。

實施分類監管的部門和履行相應公共事務管理職能的組織，應當制定分類監管實施細則，並向社會公布。

第五十六條 相關行政管理部門應當充分運用信用信息，在實施行政許可過程中，對守信主體給予優先辦理、簡化程序等便利服務，同時嚴格規範聯合懲戒名單認定，依法依規開展失信聯合懲戒。

本市建立健全信用修復機制，明確失信信息修復的條件、標準、流程等要素。對於符合條件的修復申請，失信信息提供單位應當在規定的期限內，向市公共信用信息服務中心書面反饋意見，由其將該信息從本市公共信用信息服務平臺查詢界面刪除。各部門應當同步刪除相關網站上的公示信息。失信信息提供單位應當將處理情況告知申請人。

本市結合行業特點，探索建立政府採購領域重大違法記錄中較大數額罰款認定標準體系，完善政府採購領域的聯合懲戒機制。

第五十七條 本市全面落實行政執法公示、行政執法全過程記錄和重大行政執法決定法制審核制度，通過考核、定期報告、協調指導、執法數據共享等方式，推進行政執法嚴格規範公正文明。

各行政執法部門應當根據監管需求，加強執法協作，明確聯動程序，提高跨部門、跨領域聯合執法效能。

本市深化行政綜合執法改革，推進相對集中行使行政處罰權，統籌配置行政執法資源。

第五十八條 本市依託「網際網路+監管」系統，推動各部門監管業務系統互聯互通，加強監管信息歸集共享和應用，推行遠程監管、移動監管、預警防控等非現場監管，為開展「雙隨機、一公開」監管、分類監管、信用監管、聯合執法等提供支撐。在監管過程中涉及的市場主體商業秘密，各部門應當依法予以保密。

第五十九條 除直接涉及公共安全和人民群眾生命健康等特殊行業、重點領域外，市場監管領域各相關部門在監管過程中通過隨機抽取檢查對象、隨機選派執法檢查人員的方式開展行政檢查。

隨機抽查的比例頻次、被抽查概率應當與抽查對象的信用等級、風險程度掛鈎。針對同一檢查對象的多個檢查事項，應當合併或者納入跨部門聯合抽查範圍。

市場監管領域各相關部門應當及時通過國家企業信用信息公示系統等平臺向社會公開抽查情況及查處結果。

第六十條 各行政執法部門實施行政強制，應當遵循合法、適當、教育與強制相結合的原則，對採用非強制性手段能夠達到行政管理目的的，不得實施行政強制；對違法行為情節輕微或者社會危害較小的，可以不實施行政強制；確需實施行政強制的，應當限定在所必需的範圍內，儘可能減少對市場主體正常生產經營活動的影響。

市人民政府有關部門可以探索建立不予實施行政強制措施清單。

第六十一條 市人民政府有關部門應當按照國家和本市的規定科學規範行政處罰裁量權，對行政處罰裁量基準實行動態管理，根據法律、法規、規章等調整情況和執法實踐，及時制定、修訂、廢止行政處罰裁量基準。各行政執法單位應當按照本市有關規定，規範適用行政處罰裁量基準。

第六十二條 除涉及人民群眾生命安全、發生重特大事故或者舉辦國家重大活動，並報經有權機關批准外，市、區人民政府及其部門不得在相關區域採取要求相關行業、領域的市場主體普遍停產、停業等措施。採取普遍停產、停業等措施的，應當提前書面通知企業或者向社會公告，法律、法規另有規定的除外。

第六章 法治保障

第六十三條 本市制定與市場主體生產經營活動密切相關的地方性法規、規章、行政規範性文件，應當通過報紙、網絡等向社會公開徵求意見，充分聽取市場主體、行業協會、商會的意見，並建立健全意見採納情況反饋機制。

涉及市場主體權利義務的地方性法規、規章、行政規範性文件，應當通過便於公眾知曉的方式及時公布。行政規範性文件應當錄入本市統一的行政規範性文件資料庫。地方性法規、規章、行政規範性文件公布時，應當同步進行宣傳解讀。與外商投資密切相關的地方性法規、規章、行政規範性文件，應當提供相應的英文譯本或者摘要。

第六十四條 本市各級人民政府及其有關部門制定與市場主體生產經營活動密切相關的規範性文件、政策措施，應當進行合法性審查，並由制定機關集體討論決定。

起草或者制定涉及市場主體經濟活動的地方性法規、規章、規範性文件和其他政策措施時，應當按照規定進行公平競爭審查。鼓勵社會第三方機構參與公平競爭審查工作。

對涉嫌違反公平競爭審查標準的政策措施，任何單位和個人有權舉報。制定機關要建立健全涉及公平競爭審查投訴舉報的受理回應機制，及時糾正排除、限制競爭的政策措施；對適用例外規定製定的政策措施，要向同級公平競爭審查聯席會議報送備案。

第六十五條 本市各級人民政府及其有關部門制定與市場主體生產經營活動密切相關的政策措施，應當為市場主體留出必要的適應調整期，但涉及國家安全和公布後不立即施行將有礙施行的除外。

第六十六條 本市積極完善調解、仲裁、行政裁決、行政複議、訴訟等有機銜接、相互協調的多元化糾紛解決機制，充分發揮市、區兩級非訴訟爭議解決中心功能，支持金融等專業領域建立糾紛解決機構，為市場主體提供高效、便捷的糾紛解決途徑。

本市支持仲裁和調解機構加入「一站式」國際商事糾紛多元化解決平臺，合力營造公平、公正、透明、便捷的法治化國際化營商環境。

本市支持境外知名仲裁及爭議解決機構按照規定在臨港新片區就國際商事、海事、投資等領域發生的民商事爭議開展仲裁、調解業務。

第六十七條 本市支持各級人民法院依法公正審理涉及市場主體的各類案件，平等保護各類市場主體合法權益；支持各級人民檢察院對人民法院審判活動實施法律監督。

本市根據國家統一部署，加強國際商事糾紛審判組織建設，支持國際商事糾紛審判組織對接國際商事通行規則，加快形成與上海國際商事糾紛解決需求相適應的審判體制機制。

本市強化執行難源頭治理制度建設，推動完善執行聯動機制，支持人民法院加強和改進執行工作。政府各有關部門、人民檢察院、人民團體、企事業單位、金融機構等，應當加強與人民法院執行工作的配合與協作，協同推進本市執行工作水平和效率。

第六十八條 本市推行企業法律文書送達地址先行確認及責任承諾制。企業在本市辦理設立、變更、備案等登記註冊業務或者申報年報時，經市場監管部門告知企業先行確認法律文書送達地址以及承諾相關責任等事項後，企業可以通過國家企業信用信息公示系統，在線填報本企業法律文書送達地址，並承諾對填報地址真實性以及及時有效接受本市各級人民法院和行政管理部門送達的法律文書負責。

第六十九條 本市各級人民法院應當加強網上訴訟服務平臺建設，推進全流程網上辦案模式，並嚴格遵守法律及司法解釋關於規範民商事案件延長審限和延期開庭的規定。當事人通過網上立案方式遞交訴狀材料的，可以不再提交紙質版本。

市高級人民法院應當建立健全對從事司法委託的鑑定、資產評估、審計審價等中介機構的遴選、評價、考核規則和標準，向社會公布，並定期向相關部門通報對中介機構的考核評價結果。

相關部門應當與人民法院建立信息共享機制，支持人民法院依法查詢有關市場主體的身份、財產權利、市場交易等信息，支持人民法院對涉案不動產、動產、銀行存款、股權、智慧財產權及其他財產權利實施網絡查控和依法處置，提高財產查控和強制執行效率。

相關部門應當與人民法院加強協同聯動，將拒不履行生效裁判確定義務的被執行人納入失信懲戒名單，強化對失信被執行人的懲戒力度。

第七十條 本市推進完善市場化、法治化的破產制度，支持人民法院探索建立重整識別、預重整等破產拯救機制，探索破產案件繁簡分流、簡易破產案件快速審理等機制，簡化破產流程。

本市建立市人民政府和市高級人民法院共同牽頭、相關部門參加的企業破產工作協調機制，統籌推進企業破產處置工作，依法支持市場化債務重組，及時溝通解決企業破產過程中的問題。

本市各級人民法院依照相關法律和司法解釋的規定，建立重整計劃草案由權益受到調整或者影響的債權人或者股東參加表決的機制，促進具有營運價值的困境企業及時獲得重整救濟。

第七十一條 本市建立破產案件財產處置聯動機制。市高級人民法院會同市規劃資源、公安等有關部門統一破產企業土地、房產、車輛等處置規則，提高破產財產處置效率。

本市建立破產企業職工權益保障機制。各級人力資源社會保障部門應當協調解決職工社會保險關係轉移等事項，保障職工合法權益。

破產企業按照有關規定履行相關義務後，自動解除企業非正常戶認定狀態。企業因重整取得的債務重組收入，依照國家有關規定適用企業所得稅相關政策。對於破產企業涉及的房產稅、城鎮土地使用稅等，稅務機關應當依法予以減免。

第七十二條 破產管理人處分破產企業重大財產的，應當經債權人會議逐項表決通過。

破產管理人有權查詢破產企業註冊登記材料、社會保險費用繳納情況、銀行開戶信息及存款狀況，以及不動產、車輛、智慧財產權等信息，相關部門、金融機構應當予以配合。

破產管理人依據人民法院終結破產程序裁定文書、清算組依據人民法院強制清算終結裁定文書提出申請的，市場監管部門依法為企業辦理註銷登記。

市破產管理人協會應當加強行業自律，加大對破產管理人的培訓力度，提高破產管理人的履職能力和水平。

第七十三條 本市建立營商環境投訴維權機制，任何單位和個人可以通過「12345」市民服務熱線、上海市企業服務雲、中小企業服務中心以及「一網通辦」平臺等，對營商環境方面的問題進行投訴舉報。

各有關部門應當暢通投訴舉報反饋渠道，保障市場主體合理、合法訴求得到及時響應和處置，無法解決的，應當及時告知並說明情況。

第七十四條 本市探索在生態環境和資源保護、食品藥品安全、公共衛生安全等領域建立內部舉報人制度，發揮社會監督作用，對舉報嚴重違法、違規行為和重大風險隱患的有功人員予以獎勵，並對其實行嚴格保護。

第七十五條 本市建立由機關單位、專業院校、社會組織等共同參與的優化營商環境法治保障共同體，暢通政策和制度的設計、執行、反饋溝通渠道，重點疏通協調營商環境建設中存在的制度性瓶頸和體制機制問題，為各區、各部門提供依法推進營商環境建設的智力支持。

第七十六條 本市探索創建適合市場主體的法治宣傳新模式，採取以案釋法、場景互動等方式提升法治宣傳效能。

本市遵循「誰執法誰普法」「誰服務誰普法」的原則，探索將優化營商環境法治宣傳工作納入普法責任制考核。

第七十七條 市、區人民代表大會常務委員會通過聽取專項工作報告、開展執法檢查等方式，加強本行政區域內優化營商環境工作監督。

市、區人民代表大會常務委員會充分發揮代表作用，組織代表圍繞優化營商環境開展專題調研和視察等活動，匯集、反映各類市場主體的意見和建議，督促有關方面落實優化營商環境的各項工作。

第七章 法律責任

第七十八條 違反本條例規定的行為，法律、行政法規有處罰規定的，從其規定。

第七十九條 本市各級人民政府和有關部門及其工作人員在優化營商環境工作中，有下列情形之一的，由有關部門責令改正；情節嚴重的，依法追究責任：

（一）違反「一網通辦」工作要求，限定市場主體辦理渠道的；

（二）對情況清楚、訴求合理的實名差評事項，拒不整改的；

（三）對企業變更住所地違法設置障礙的；

（四）妨礙破產管理人依法履職的；

（五）其他不履行優化營商環境職責或者損害營商環境的。

第八章 附則

第八十條 本條例自2020年4月10日起施行。

Regulations of Shanghai Municipality on Optimizing Doing Business Environment

(Adopted at the 20thRoutine Meeting of the Standing Committee of the 15thShanghai Municipal People’s Congress on April 10, 2020)

Chapter I General Provisions

Article 1 For purposes of continuously optimizing Doing Business environment, stimulating the vitality of market participants, maintaining the legitimate rights and interests of market participants, promoting high-quality economic development, enhancing the modernization of government governance systems and capabilities, and building Shanghai into an outstanding global city and a socialist modern international metropolis with world influence, these Regulations are formulated in light of the reality of this Municipality, and in accordance with the Regulations on Optimizing Doing Business Environment and other laws and administrative regulations.,

Article 2 These Regulations apply to work related to optimizing Doing Business environment within the administrative area of this Municipality.

Doing Business environment as mentioned in these Regulations refers to the institutional mechanism factors and conditions involved in the market economic activities of enterprises and other market participants.

Article 3 The business environment shall be optimized with adherence to the principles of marketization, the rule of law and internationalization, by taking the needs of market participants as the evaluation criteria and the transformation of government functions as the core, taking 「Integrated Online Platform」 as the starting point to comprehensively 「deepen the reform of streamlining administration, delegating powers and optimizing services」. This Municipality shall practice the service concept of 「being responsive to requests without making any unnecessary intervention」, benchmark against the highest standard and level, and create an international first-class Doing Business environment with facilitation of trade and investment, high administrative efficiency, standardized government services, and enhanced legal system so as to create a stable, fair, transparent and predictable development environment for the investment and business development of all kinds of market participants.

Article 4 The municipal and district people’s governments shall strengthen the organization and leadership of optimizing Doing Business environment, and establish and improve the overall working mechanism for optimizing Doing Business environment, improve the joint meeting mechanism to serve the enterprises and strengthen the overall planning of the service for enterprises in the corresponding administrative area in accordance with the principles and requirements for optimizing Doing Business environment. The main person in charge of the government is the first person responsible for optimizing Doing Business environment.

The development and reform departments at municipal and district levels are the competent departments for optimizing Doing Business environment within their administrative areas, and are responsible for guiding, organizing, and coordinating the daily work of optimizing Doing Business environment.

The municipal departments of economyand informatization, commerce, government services, market regulation, housing and urban-rural development, planning resources, judicial administration, local finance, intellectual property rights and other departments shall fulfill its duties in optimizing Doing Business environment.

Article 5 The municipal and district people’s governments and their relevant departments shall fully utilize the existing legal system and national policy resources, explore specific and feasible new experience and methods for optimizing Doing Business environment, and reproduce and promote the effective reform measures.

China (Shanghai) Pilot Free Trade Zone, Lin-gang Special Area, Zhangjiang National Innovation Demonstration Zone, Hongqiao Business District and other areas shall play a leading role in optimizing Doing Business environment, piloting various reform measures conducive to optimizing Doing Business environment.

Article 6 This Municipality shall strengthen communication and cooperation with relevant provinces and cities in the Yangtze River Delta region, focus on improving Doing Business environment in the demonstration area in the Yangtze River Delta on ecologically friendly development, promote the establishment of unified market access and supervision rules, and strive to form a unified open market with the free flow of various factors of production and enhance the overall Doing Business environment in the Yangtze River Delta region.

Article 7 The municipal and district people’s governments shall establish an incentive mechanism for optimizing Doing Business environment, and shall commend and reward units and individuals that have made outstanding achievements in optimizing Doing Business environment in accordance with the relevant rules.

All districts and departments can actively explore specific measures to optimize Doing Business environment within the framework of the rule of law and in relation to their actual situations. The relevant entities and individuals who make mistakes or deviate in their exploratory work, but make and implement decisions in accordance with the relevant provisions of the State and this Municipality in a diligent and responsible attitude, without making any private gains, then no negative evaluation shall be made upon such entities and individuals, and they may be exempted from or relieved of their liabilitiesaccording to the law.

Article 8 As required by Doing Business environment evaluation system, this Municipality promotes the reform of optimizing Doing Business environment which is oriented towards the satisfaction of market participants and the public, and give play to the leading, supervising and urging role of Doing Business environment evaluation in optimizing Doing Business environment.

All districts and departments shall timely adjust and improve the policy measures for optimizing Doing Business environment based on the results of Doing Business environment evaluation.

Chapter II Market Environment

Article 9 This Municipality shall give full play to the decisive role of the market in the allocation of resources, build a service system covering the entire life cycle of enterprises, and continue to optimize Doing Business environment in terms of enterprise start-up, financing and credit, dispute resolution, and business withdrawal.

Article 10 All kinds of market participants can, equally and according to the law, enter fields which are outside of the negative list for national market access. Fields outside the negative list of national foreign investment access shall be managed in accordance with the principle of treating domestic investments and foreign investments equally.

This Municipality shall formulate industry guidance policies and make them public to society in accordance with the relevant regulations on urban function positioning, development planning, environmental protection and safety, and the established procedures.

Article 11 This Municipality shall benchmark against international high-standard investment and trade rules to promote trade facilitation, encourage and promote foreign investment. This Municipality shall carry out the experimental foreign investment policies and measures in China (Shanghai) Pilot Free Trade Zone and Lin-gang Special Area to expand the opening up of the country to the outside world in accordance with the national deployment.

All types of enterprises are encouraged to set up headquarters and R&D centers in this Municipality. International organizations that are closely related to the construction of Shanghai’s international economic, financial, shipping, trade and science and technology innovation centers are encouraged to register in this Municipality, and this Municipality supports the establishment of international organizations related to this Municipality’s key strategic emerging industry.

Article 12 This Municipality shall, according to the law, protect the decision-making power in operation, the property rights and other legitimate rights and interests of market participants, and protect the personal safety and property securityof enterprise operators.

No entity or individual may intervene in matters such as pricing, internal governance, and business model that should be independently decided by market participants in accordance with the law. It is prohibited to require market participants to provide any form of apportionment. It is prohibited to illegally implement administrative coercion or infringe on the legitimate rights and interests of market participants and their operators.

Except as otherwise provided by laws and regulations, market participants are entitled to decide independently whether to join or withdraw from social organizations such as industry associations and chambers of commerce.

Article 13 Development support policies of the State and this Municipality shall equally apply to all kinds of market participants according to the law. All kinds of market participants are entitled to the equal use of capital, technology, human resources, land use rights and other natural resources and other production factors and public service resources.

The municipal and district people’s governments and their departments shall treat all kinds of market participants equally and shall not formulate or implement discriminatory policy measures.

Tendering and bidding and government procurement shall be open, transparent, fair and just, and all kinds market participants shall be treated equally according to the law, and shall not be subject to any unreasonable conditions or any restriction or exclusion by way of potential bidder or vendor.

This Municipality shall improve the management system of public resource trading, establish and improve a public resource trading platform, optimize the transaction service process, and publicly disclose information on public resource trading rules, procedures, results, supervision ,credit and other related matter.

Article 14 This Municipality shall establish and improve a fair competition coordination mechanism, strengthen law enforcement, prevent and prohibit acts of market monopoly and abuse of administrative power to exclude and restrict competition in market economic activities, and unfair competition, so as to create a fair market environment for competition.

Article 15 This Municipality shall create a healthy development environment for small and medium-sized enterprises, guarantee their fair participation in market competition, and support their entrepreneurship and innovation.

The municipal and district people’s governments shall formulate special policies in fiscal support, fees reduction and exemption, financial support, public services, etc., and arrange special funds for the development of small and medium-sized enterprises in the financial budget at the same level of government in order to support the development of small and medium-sized enterprises.

Article 16 This Municipality shall enhance the protection on minority investors, improve the protection mechanism on the rights and interests of minority investors, safeguard the rights to information, voting, dividends and supervision of minority investors, and give play to the function role of minority investor service agencies in equity holding, right exercising, dispute mediation, and litigation resolving, and improve the convenience of minority investors in regard to safeguarding their legitimate rights and interests.

Article 17 This Municipality shall include all enterprise-related business licensing items in the reform scope of 「Separating Permits from the Business License」 and adopt methods as directly abolishing examination and approval, changing examination and approval to record-filing, implementing notification and commitment and optimizing examination and approval services to promote such reform. Except for specific fields as prescribedin laws and administrative regulations, no enterprise-related business licensing items shall be used as preconditions for enterprise registration.

This Municipality supports the exploration of the reform of 「One Permit for One Industry」 approval model, integrating multiple permits involved in one industry access into a comprehensive industry permit.

The department of market regulation shall clearly inform the enterprise of the licensing items that need to be handled according to the business scope self-declared by the enterprise, and synchronously inform the relevant competent department of the information of the enterprise applying for the license. The relevant competent department shall timely handle the enterprise-related business licensing items in accordance with the application of the enterprise, and shall promptly report the results to the market regulation department.

Article 18 For legally established government funds, enterprise-related deposits and enterprise-related administrative and institutional fees, and operating service fees priced by the government, catalog list management shall be implemented, and no fees or deposits which are outside of the catalog list shall be implemented. The municipal finance department and the municipal development and reform department shall compile such catalog list and make it public.

This Municipality shall promote the use of letters of guarantee from financial institutions and guarantee insurances instead of cash payment of enterprise-related deposits. The municipal development and reform department, the municipal housing and urban-rural development department and other relevant competent departments shall clarify specific requirements and guidelines.

Article 19 This Municipality shall cultivate and develop various types of industry associations and chambers of commerce, and shall regulate and supervise the charging, comparison-based evaluation, certification and other conduct of industry associations and chambers of commerce pursuant to the law.

Industry associations and chambers of commerce shall strengthen internal governance and capacity building, reflect industry demands in a timely manner, organize the formulation and implementation of group standards, strengthen industrial self-discipline, and provide market participants with information consulting, publicity and training, market expansion, rights and interests protection, disputesresolution and other services.

Article 20 The people’s governments at all levels and their relevant departments in this Municipality shall fulfill the policy commitments which they have made to market participants according to the law and all kinds of contracts entered into with market participants according to the law, and shall not default on or break contracts on the grounds of adjustment of administrative division, change of government, institutional or functional adjustments, replacement of relevant responsible persons, etc. Where policy commitments or contractual provisions need to be changed due to the needs of national interests or social and public interests, such change shall be carried out in accordance with statutory authority and procedures, and losses suffered by market participants as a result shall be compensated according to the law.

If the government alters or withdraws the administrative permitsthat has taken effect or adopts expropriation or other measures in accordance with the conditions and procedures prescribedby law, the market participants shall be compensated pursuant to the law.

Article 21 The people’s governments at all levels, and their relevant departments and institutions in this Municipality shall not default on or be in arrears of the payment of goods, projects, services and other items to market participants, and shall not extend any payment period in disguise beyond the agreed payment mechanism.

This Municipality shall explore the establishment of a restrictive and disciplinary mechanism for default payment behaviors, prevent and correct the arrears in market participants』 accounts through budget management, performance appraisal, audit supervision and other measures.

Article 22 This Municipality shall strengthen the intellectual property rights protection, rationalize the comprehensive management and enforcement system of intellectual property rights and strengthen the enforcement cooperation mechanism for cross-regional intellectual property laws.

This Municipality shall implement a punitive compensation system against infringement of intellectual property rights, promote the establishment of a mechanism of rapid and collaborative protectionon intellectual property rights, improve the cohesive mechanism in between administrative and judicial protection, explore the public interest litigation in intellectual property rights, enhance the aid mechanism in safeguarding intellectual property rights, and provide the infringement early warning, legal services and judicial relief for intellectual property protections.

This Municipality shall improve diversified mechanisms for the settlement of intellectual property disputes, give full play to the active role of industry associations and mediation, arbitration, intellectual property services and other institutions in resolving intellectual property disputes.

Chapter III Government Services

Article 23 This Municipality shall accelerate the construction of an integrated online government service platform (hereinafter referred to as the 「Integrated Online Platform」), promote the integration of offline and online government services, consolidate public data resources, strengthen business collaboration, and optimize government services, promote a main portal, one-time login, and integrate online services for market participants to handle affairs.

All government services in this Municipality are included in the Integrated Online Platform, unless otherwise provided by laws and regulations or involving state secrets and public safety. Market participants can handle government services through the Integrated Online Platform, and can obtain precise government services through enterprise-specific web pages.

The municipal governmentservice department is responsible for overall planning, coordination and promotion, and guidance and supervision of work in relation to Integrated Online Platform. All districts and departments shall promote the standardization and construction of government services, refine and quantify government service standards, compile government affairs service guidelines, clarify matters such as application requirements, materials, procedures, tolerance acceptance and other contents, the standards for online and offline applications must be consistent. The conditions for handling government servicesmust not contain any miscellaneous provisions, and relevant departments must not require market participants to provide application materials other than those specified in the guidelines.

The market participants can independently choose the service channels for handling government services, and the relevant departments must not designate such channels for government services. If the standardized electronic materials have been collected online, the applicant shall not be required to provide hard copies.

This Municipality shall promote the establishment of a special window for foreign-related services on the Integrated Online Platform to provide convenient government services for foreign-invested enterprises and foreigners.

Article 24 The government services hall shall promote a comprehensive window service, implementing comprehensive acceptance, categorized dealing, and unified delivery.

The service window shall strengthen standardized management, promote standardized construction, improve service systems such as one-time notification, first-inquired person in charge, receiving documents with vouchers and time-limited processing; improve the working mechanisms such as appointments, full-time assistance, joint processing, stagger and extended services.

All districts and departments shall allocate more staffs for window service and strengthen their professional training.The service window staffs shall,in accordance with the government’s efficiency improvement regulations, comprehensively apply efficiency assessment, supervision and inspection, efficiency accountability and other means to improve service quality and efficiency.

Except in the circumstances clearly prescribed by laws and regulations, the window service staffs shall not refuse to accept the application submitted by the applicant. If the window staff fails to accept the material, all departments shall strengthen verification and supervision.

Article 25 This Municipality shall implement a list management system for government permits. The municipal approval reform department shall, together with the relevant administrative departments, publish the list to the public in a timely manner and make dynamic adjustments.

Except as specified within the list of administrative permits, any establishment or the disguised establishment or implementation of governmentpermits in the manner of files, record, registration, catalog, planning, annual inspection, annual report, production supervision, recognition, certification, review and any other forms shall be prohibited. The governmentpermits that have been cancelled by the State and this Municipality shall not be continued, resumed in disguised form or transferred to perform by industrial associations, chambers of commerce and other organizations for implementation.

The relevant departments shall submit reports containing government permits, fees collection, supervision and inspection of the current year to the approval reform department at the same level and publish such reports to the public according to the law.

Article 26 This Municipality shall fully implement the system of administrative approval via Notification andCommitment. For administrative approval items that are difficult to verify approval requirements in advance but incompleteness can be corrected,with controllable risks, through the on-processing and post-event supervision, the administrative approval authority may adopt a Notification andCommitment method to implement the administrative approval, except for those directly involving public safety, ecological environmental protection and personal health, life and property safety, and those in need for approval on the spot according to the law. The specific and Commitment items shall be determined by the approval reform department in conjunction with the relevant departments and published to the public.

As for administrative approval with Notification andCommitments, the relevant department shall inform the applicant of the approval requirements and the materials to be submitted at one time. If the applicant makes commitment in writing to meet the requirements for examination and approval, an administrative approval decision shall be made directly, and supervise the fulfilling status of applicant’s commitment according to the law. If the applicant fails to fulfill its commitment, the approval department shall order the applicant to rectify within a time limit; if the conditions are not met after such rectification period, the approval decision shall be revoked and brought into the credit information platform in accordance with the relevant regulations.

Article 27 This Municipality shall follow the principles of lawfulness, necessity, simplicity and regulate the intermediary services for administrative approval. The list of intermediary services for administrative approval shall be compiled by the municipal approval reform department in conjunction with the relevant administrative department, and published to the public.

Except as otherwise provided by laws and regulations, the market participants shall have the right to choose the intermediary service agency independently. No administrative department may designate or designate in a disguised manner an intermediary serviceagency for them, and may not force or force in a disguised manner the market participants to accept any intermediary services.

If the district or department needs to entrust an intermediary service agency to provide technical services during the administrative approval process, it must choose an intermediary service agency through a competitive method and pay its own service fees.

The intermediary service agency shall clarify and publish to the public with the conditions, procedures, time limits, and charging standards for intermediary services for statutory administrative approval.

Article 28 The relevant departments of the Municipal People’s Governmentshall publish a list of proof items on the website of the municipal government, list item by item the requirement basis, requesting entity, issuing entity and other items. Within seven working days after the implementation of the new proof items or the cancellation of the original proof items, the relevant department shall complete the update of the list.

All districts and departments shall strengthen the mutual recognition and sharing of proof, and avoid repeated requests for proof from the market participants, and shall carry out pilot Notification and Commitment for proof as required by the State and this Municipality so as to provide further convenience by reducing the burden of proof.

Article 29 This Municipality shall implement the government service evaluation system to improve the government service level. The government service evaluation system covers all municipal government services, evaluated objects and service channels. Evaluations and responses shall be made public.

The people’s governments at all levels and their relevant departments in this Municipality shall,in response to bad reviews and complaints, establish mechanisms for investigation and verification, supervision, rectification and feedback. As for the real-name based bad review, the department in charge shall contact and verify within one working day. Matters that are clear with reasonable complaints shall be rectified immediately; matters that are complex and difficult to resolve at once shall be rectified within a limited period. The rectification shall be reverted to the enterprise and the public in a timely manner. The administrative department in charge of government services shall follow up on the rectification results of the real-name based bad review.

Article 30 This Municipality shall implement the whole process of enterprise start-up with 「One Form Application and One Window Collection」. Applicants can apply for business licenses, seals, invoices, basic social insurance and other services through the 「One Window」 online service platform. If the materials are complete and conform to the legal form, the relevant government department shall handle such application on site; if it cannot be handled on site, it shall be handled within one working day.

When applying for the establishment of enterprise and change of registration items, the applicant promises that the submitted articles of association, agreements, resolutions, and qualification certificates are true, lawful and effective, the administrative department of market regulation may conduct a formal review of the submitted materials, except for otherwise provided by the laws and regulations. The applicant who provides false materials for registration shall undertake the responsibility specified under the law.

An enterprise may receive the business license, seal and invoice required for general business activities synchronously at the Starting a BusinessComprehensive Window in the government service hall.

As for the establishment of enterprise, the name pickingvia Notification and Commitment system and the enterprise’s domicile self-declaration system shall be tentatively launched, and the integrated electronic process of starting a business shall be promoted. Multiple enterprises may use the same address as their registered domicile in accordance with the relevant regulations of This Municipality.

Article 31 This Municipality shall, in line with the relevant provisions of electronic licenses, establish and improve mechanisms for the collection and application of electronic licenses. Except as otherwise provided by laws and regulations, electronic licenses issued by the municipal and district people’s governments and their departments shall be collected in real time and transferred into the municipal electronic license database to ensure that the data is complete and accurate.

The applicant may present the electronic licenses required for business processing through the municipal electronic license database when applying for relevant matters. The accepting unit shall not refuse to process or require the applicant to provide physical licenses, except for retrieving original licenses pursuant to the law.

Article 32 This Municipality shall establish a unified electronic seal system, promote the application of electronic seals in government services, community affairs and other fields, and encourage market participants and social organizations to use electronic seals in economic and social activities. Each department that has established an electronic seal system shall accomplish mutual recognition and intercommunication.

The enterprise electronic seal shall be issued free of charge together with the enterprise electronic business license. Enterprises can independently engrave the physical seal according to actual needs.

Article 33 The reliable electronic signatures that meet the conditions prescribed by laws that enterprises use in dealing with government affairs shall have the same legal effect as handwritten signatures or seals; electronic seals and physical seals shall have the same legal effect; electronic and physicalcertificates shall have the same legal effect, except as otherwise prescribedby laws and administrative regulations.

Article 34 Notification andCommitment system shall be implemented for the enterprise’s fixed assets investment project, the scope of which shall be formulated by the municipal development and reform department, and publish to the public subject to the approval of the Municipal People’s Government.

Article 35 This Municipality shall implement a category-based review and approval mechanism construction projects. The municipal departments of housing and urban-rural development, transportation and other departments shall formulate and publish the risk categorizing standards and risk levels of various construction projects, and implement differentiated approval, supervision and management together with the municipal departments of development and reform, planning resources and other departments.

This Municipality shall implement the whole process and full coverage reform of construction projects approval. The municipal housing and urban-rural development department shall take the lead in establishing a unified construction projects approval management system, through the main portalof Integrated Online Platform, to realize 「One Form Application, One Acceptance, Integrated Online Services, Completion within a Limited Period and Certificate Issuance at One-time」 for various approval stages of project approval, land use, planning, construction, and completion acceptance, and promote the approval of construction projects to achieve the entire process to be handled online. For low-risk construction projects with social investment, construction project planning permits and construction permits can be handled in a consolidated manner, and the entire period of filing and approval process shall not exceed ten working days.

The municipal and district people’s governments shall establish construction project approval and reviewcenters, through the construction project approval management system, and implement a one-stop service model such as joint review, joint supervision and inspection, and comprehensive completion acceptance.

This Municipality shall strengthen the services in advance for major construction projects, and explore a pilot mechanism as 「Tolerance for Deficiencies and Supplement Later」 in the approval process for non-critical elements that do not affect safety and public interests, allowing market participants to supplement relevant documents prior to the filing of inspection and acceptance.

This Municipality shall implement the insurance policy for potential defects in engineering quality and explore the implementation of the architect accountability system.

Article 36 This Municipality shall implement comprehensive areas assessments in areas such as industrial bases and industrial communities. Each area management authority shall organize and carry out area assessments such as water resources demonstration, traffic impact assessment, geological disaster risk assessment, and lightning strike risk assessment, disclose the results of the area assessment to the public and take the results into consideration when relevant departments perform the management duties.

Market participants, which operate construction projects in industrial bases and industrial communities that have completed comprehensive area assessments, no longer need to carry out the above-mentioned assessments separately, unless otherwise provided by the State and this Municipality.

Article 37 For the new low-risk industrial project with social investment of the enterprise in this Municipality, the inspection and acceptance together with the real estate registration can be applied simultaneously and, after the final inspection, the relevant certificates of acceptance and the electronic certificates of real estate can be obtained at one-time, and physical certificates can be received on site.

The real estate registration institution shall handle the real estate transfer registration and realize 「single window collection, tax payment on site, certificate issuance on site and completion at one-time. The real estate registration institution shall strengthen cooperation with public utility enterprises, financial institutions, etc., and gradually achieve the simultaneous processing of transfer of electricity, water supply and drainage, gas and network, together with real estate registration. This Municipality shall promote the facilitation reform such as applying for real estate mortgage registration at commercial banks.

Any entity or individual may inquire the registration information such as owners of non-residential real estate and cadastral map information by address, in accordance with the relevant provisions of the State and this Municipality in relation to the inquiry of real estate registration materials.

Article 38 This Municipality shall rely on the municipal and district talents service centers to provide facilitated professional services such as talents introduction, obtaining permanent residence permit, communication, evaluation and consultation.

This Municipality shall facilitate the entry, exit, stay and residence, work, study and living of high-level foreign talents. The application for work and residence permits through the 「Foreigners Work and Residence Single Window」 shall be handled at one time within seven working days.

Article 39 This Municipality shall provide the declaring person with integrated electronic services such as import and export goods declaration, transportation methods declaration, tax payment, trade permit and Certificate of Origin application through the International Trade Single Window, promote trade financing, credit insurance, export tax rebate and other local special applications.

Each charging department shall publish the charging standards at the International Trade Single Window, and accomplish the 「One-Stop」 inquiry and settlement of port-related market charges. The municipal departments of ports, transportation, development and reform, and market regulation shall strengthen port charge management.

This Municipality shall, through the International Trade Single Window, push forward the connection with the declaration interfaces of other economies, promote the interconnection of information, and facilitate enterprises to carry out cross-border business.

Article 40 This Municipality shall apply various port customs clearance facilitation measures to reduce the time for cargo port supervision and port and shipping logistics operation, so that the cargo status and payment information of each link of customs clearance and logistics is traceable and so as to facilitate enterprises to carry out operations in various link.

This Municipality shall promote the optimization of port supervision and encourage enterprises to declare at customs and go through customs clearance procedures in advance. If there is any error in the customs declaration, the relevant fault tolerance mechanism shall be applicable.

Pursuant to relevant regulations, eligible enterprises shall qualify for management measures such as check and release prior to inspection, release prior to tax payment, and release prior to instrument correcting. The customs shall publish the overall customs clearance time of the customs declaration enterprise.

Article 41 This Municipality shall establish a unified taxes and fees declaration platform for taxpayers and fee payers, and promote the combined declaration and payment of relevant taxes and fees. Relevant departments shall simplify materials and procedures for handling payment of taxes and fees, reduce the frequency of tax payments and the time for handling payment of taxes and fees, improve the service capabilities of electronic tax bureaus and smart tax service sites, and promote the use of electronic invoices.

This Municipality shall strictly implement various national policies of taxes and fees reduction, and actively conduct the publicity and guidance to ensure the effective implementation of all policies.

Article 42 An enterprise can independently choose the location of its main office within this Municipality and register such location as its domicile according to law. All districts and departments shall provide facilitation to enterprises for their changes of domicile across districts, and shall not impose obstacles to such changes.

Any cross-district relocation that can't be addressed at the district level shall be coordinated, resolved and implemented by this Municipality’s Serving Enterprises Joint Meeting mechanism.

Article 43 An enterprise can apply for deregistration through this Municipality's "Integrated Registration Service system", and the departments of market regulation, taxation, human resources and social security shall conduct categorized dealing and simultaneous processing, and conclude the relevant matters once and for all.

The expedited deregistration procedures may apply to those who have not carried out business activities after obtaining a business license, and have not incurred creditor's rights and debts or have completed the liquidation of creditor's rights and debts before applying for deregistration. An enterprise can make announcements through the National Enterprise Credit Information Publicity System. The time limit for announcements is 20 days. If there is no objection during the announcement period, the registration authority may conduct the deregistration for the enterprise.

Chapter IV Public Services

Article 44 The municipal economy and informatization department shall organize the establishment of a city-wide enterprise service system, realize the unified release of enterprise-related policies, co-location of professional service agencies, and the centralized acceptance of enterprises』 requests on Shanghai Enterprise Service Cloud.

The municipal and district economy and informatization departments shall establish service centers for small and medium-sized enterprises, accept various requests by the enterprises, and improve the mechanism for rapid processing and feedback of requests. General issues shall be settled within five working days and complicated issues within fifteen working days. Where the issue is impossible to be concluded, explanations shall be given to the enterprise.

Each district shall establish a grid-based enterprise service model, designating specific people in villages, towns, sub districts, industrial parks, and business buildings to respond to enterprises』 requests.

Article 45 The municipal economy and informatiztion department shall, together with the municipal finance department and other departments, establish a unified application system for the municipal fiscal funds based enterprise-benefiting policies , to provide enterprises with one-stop service of online search, subscription, matching, and application.

All districts shall establish service windows for fiscal funds based enterprise-benefiting policies, and comprehensive service windows for enterprise-benefiting policies can be established in districts where the conditions permit.

Article 46 This Municipality shall establish a communication mechanism between the government and enterprises, where the government shall, through various forms such as survey, discussion, questionnaire survey, and new media, listen to and respond to reasonable requests of market participants in a timely manner.

This Municipality shall establish an Advisory Committee on Optimizing Doing Business Environment, which is responsible for collecting and reporting the requests of the market participants on Doing Business environment, providing decision-making advice for the reform of Doing Business environment, and promoting precise implementation of the policies for optimizing Doing Business environment.

Article 47 This Municipality encourages public utility units of electricity, water supply and drainage, fuel gas, network and others to provide whole-process agent services to market participants. Public utility enterprises are encouraged to fully carry out online business operations, set up special service windows on the general portal of 「Integrated Online Platform」 to optimize the procedure, and reduce the application materials and the processing time.

Public utility units shall promote the standardization of access and services, ensure the openness and transparency of access standards and service standards, and provide related extended services and one-stop services. Public utility enterprises shall clearly mark the price of chargeable items and perform the obligations of reporting and disclosing cost information in accordance with regulations.

Where public utility units make simultaneous application for multiple municipal accesses, the government departments such as planning and resources, landscaping and city appearance, and transportation shall provide support and convenience.

Article 48 This Municipality shall implement a unified movable collateral registration system, promote market participants to conduct movable collateral registration through the Movables Financing Registry System of PBOC, and to provide financing convenience for market participants.

Financial institutions are encouraged to provide unsecured credit loans to small and medium-sized enterprises operating in good faith, support the provision of complete life-cycle financial services for science and technology-oriented enterprises, intensify the cultivation of science and technology-oriented enterprises, and encourage qualified science and technology-oriented enterprises to be listed on STAR market.

Article 49 This Municipality shall establish a policy-based financing guarantee fund for micro, small and medium-sized enterprises, establish and improve a financing guarantee system, and provide credit enhancement services for the financing of micro, small and medium-sized enterprises. The municipal finance department shall establish a credit risk compensation and reward mechanism together with local financial department and other relevant departments in this Municipality.

This Municipality shall promote the opening of public data and Big Data Inclusive Financial Applications, share with financial institutions the government data related to, among others, market regulation, taxation, real estate registration, environmental protection, and public utility data such as electricity, water supply and drainage, fuel gas, network and so on, and protect business secrets and personal information in accordance with laws.

Article 50 This Municipality shall support the construction of industrial parks and promote the integrated development of industries and cities. Relevant government departments shall set up government service windows in industrial parks as needed. The management and operation units of various industrial parks are encouraged to set up a one-stop enterprise service acceptance office to provide policy consulting and agency services such as enterprise start-up, project construction, and talents services.

Where the management and operation unit of the park provides services, such as certification and guarantee, to the park enterprises by means of recommendation letters, the relevant government departments shall be supportive.

Article 51 This Municipality shall support the construction of innovation and entrepreneurship clusters, and support the development of various types of innovation and entrepreneurship carriers such as science and technology-oriented enterprises incubators and makerspaces. For qualified innovation and entrepreneurship carriers, tax incentives and financial support shall be granted in accordance with relevant provisions.

Universities and scientific research institutes are encouraged to develop technology transfer services by building professional teams and entrusting third-party service agencies, and to promote the transfer and transformation of scientific and technological achievements.

Article 52 This Municipality shall implement the catalogue-based administration of major industrial projects with dynamic adjustment on a regular basis. The municipal and district people's governments shall establish a major project contact system and a coordinated handling mechanism to provide whole-process service guarantee for enterprises.

The municipal economy and informatization department shall promote the construction of a municipal investment promotion platform, formulate and publish an industrial map of Shanghai, promote the construction of information database and carrier resource database of key projects, and promote the precise matching of projects and industrial maps.

The municipal commerce department shall push forward the improvement of the overseas investment attraction network.

Article 53 This Municipality shall accelerate the construction of a public legal service system, integrate public legal service resources such as lawyers, notaries, and judicial authentication, and improve the quality and level of public legal services with public legal service centers and public legal service hot-lines as carriers.

Lawyers are encouraged to innovate the legal service model and help small and medium-sized enterprises to effectively prevent legal risks through professional legal services, and resolve various disputes in a timely and efficient manner.

This Municipality shall continue to optimize the notary services, and realize the 「Self-service, Online Handling, and One-off Handling」 of simple notary matters and notary information inquiry.

Authentication institutions are encouraged to optimize the authentication procedure and improve the authentication efficiency. Where there is an agreed time limit with the client, the authentication shall be completed within the agreed time limit; where there is no agreement, the authentication shall generally be completed within thirty working days, except for cases with great complexity or as specifically provided by laws, rules and regulations.

Chapter V Regulation and Law Enforcement

Article 54 The relevant government departments shall, in accordance with the principle of encouraging innovation, implement tolerant and prudential regulation of new technologies, industries, forms of business and models, among others, and formulate and implement corresponding regulatory rules and standards by categories according to their nature and characteristics, and leave room for development while ensuring quality and safety, and may neither impose prohibition nor simply deny regulation.

This Municipality shall establish and improve a system of tolerant and prudential regulation of a market participant’s business practice with trivial violations of laws and regulations, clarify the specific circumstances of business practices with trivial violations of laws and regulations, and impose no administrative punishment in accordance with the law.

Article 55 The municipal approval and reform department shall, together with the relevant administrative departments, compile a list of regulatory items catalogue, specifying, among others, the regulators, supervisees, regulatory measures, disposition methods, and disclose the above to the public. The list of regulatory items shall be dynamically adjusted.

This Municipality shall implement differentiated and categorized regulation and management upon market participants based on the supervisees』 credit status and risk level. All departments shall establish corresponding mechanisms of incentives, early warnings, and punishments based on the categorization results. Blanket and whole-process key regulation shall be implemented on special industries and key areas directly involving public safety and masses』 lives in accordance with the law.

The departments implementing categorized regulation and the organizations performing corresponding public affairs management functions shall formulate detailed implementation rules for categorized supervision and disclose them to the public.

Article 56 Relevant administrative departments shall make full use of credit information, grant convenient services such as processing with priority and simplified procedures to the trustworthy participants in the process of implementing administrative permits, and synchronously strictly regulate the determination of the list for joint punishment as well as carry out joint punishment on dishonesty according to laws and regulations.

This Municipality shall establish and improve the credit repair mechanism, and define the conditions, standards, procedures and other elements of repairing dishonesty information. For the eligible repair application, the unit that provides the dishonesty information shall, within the prescribed time limit, provide feedback in writing to the Municipal Public Credit Information Service Center, and shall delete the said information from the inquiry interface of the Municipal Public Credit Information Service Platform. Each department shall simultaneously delete the publicity information on the relevant websites. The unit providing the dishonesty information shall inform the applicant of the disposition.

This Municipality shall, based on the characteristics of the industry, explore the establishment of a system for determining the criteria for relatively large sum of fines in the record of major violations in government procurement field, and improve the joint punishment mechanism in the government procurement field.

Article 57 This Municipality shall comprehensively implement the administrative law enforcement publication system, the whole process recording system of law enforcement and the legal review system for major administrative law enforcement decisions. This Municipality shall promote strict, well-regulated, impartial and civilized enforcement of administrative law through manners such as evaluation, periodic reports, coordinated guidance, and law enforcement data sharing.

Each administrative law enforcement department shall, based on needs of regulation, strengthen law enforcement collaboration, clarify joint efforts procedures, and improve the effectiveness of joint law enforcement across departments and fields.

This Municipality shall deepen the reform of comprehensive administrative law enforcement, promote the relatively concentrated exercise of administrative punishment power, and coordinate the allocation of administrative law enforcement resources.

Article 58 This Municipality shall rely on the "Internet plus Regulation" system to promote the interconnection of the regulation systems of various departments, strengthen the collection, sharing and application of regulatory information, and conduct off-site regulation such as remote regulation, mobile regulation, early warning and prevention, to provide support for carrying out 「regulation of random selection of inspection objects and inspectors and timely public disclosure」, categorized regulation, credit regulation, and joint law enforcement. The business secrets of market participants involved in the course of regulation shall be kept confidential by all departments according to law.

Article 59 Apart from special industries and key areas directly involving public safety and masses』 lives and health, relevant departments in the field of market regulation shall, in the process of regulation, conduct administrative inspections by randomly selecting inspection objects and randomly selecting law enforcement inspectors.

The frequency and probability of random inspection shall be linked to the credit rating and risk level of the inspection objects. Multiple items subject to inspection concerning the same inspection object shall be integrated or be included in the scope of cross-department joint random inspection.

Relevant departments in the field of market regulation shall promptly disclose to the public the random inspections and the results of inspections and disposition through the National Enterprise Credit Information Publicity System and other platforms.

Article 60 Where administrative coercion shall be implemented by an administrative law enforcement department, it shall follow the principles of lawfulness, appropriateness, and the combination of education and coercion. If the purpose of administrative management can be achieved by non- coercion means, administrative coercion shall not be carried out; if an illegal act is trivial or of insignificant social harm, administrative coercion may not be required; if administrative coercion is compellingly required, such coercion shall be executed within the necessary limits, with the impact on the normal production and operation activities of the market participants being reduced to the least.

The relevant departments of the Municipal People's Government may explore to create a list of items not necessarily subject to administrative compulsory measures.

Article 61 Relevant departments of the Municipal People’s Government shall, in accordance with the provisions at the national and municipal level, scientifically normalize the discretion over administrative penalty, practice dynamic management of the criterion for discretion over administrative penalty, and formulate, revise and repeal such criterion in a timely manner based on the adjustments made to laws, rules and regulations and in the law enforcement practices. All administrative law enforcement units shall normalize the application of the criterion for discretion over administrative penalty in accordance with relevant provisions of this Municipality.

Article 62 The municipal and district people’s governments and their respective departments shall not take such measures as requiring market participants to generally suspend production and operation in relevant industries and sectors or in relevant regions, unless such measures involve the safety of life of the masses, or are taken in the occurrence of grave or serious accidents or to hold major national activities, and are filed with competent authorities for approval. The enterprises shall be notified in writing beforehand or a public announcement shall be made for the adoption of measures such as general suspension of production and operation, unless otherwise provided by laws and regulations.

Chapter VI Safeguard by Rule of Law

Article 63 In formulating local laws, rules and regulations, and administrative normative documents that are closely related to the production and operation activities of market participants, this Municipality shall solicit opinions openly from the public through newspapers or networks among others, listen to the opinions of market participants, industry associations and chambers of commerce extensively, and establish a sound feedback mechanism for the adoption of opinions.

Local laws, rules and regulations, and administrative normative documents involving the rights and obligations of market participants shall be published in a timely manner in a way that facilitates public awareness. Administrative normative documents shall be entered into the unified database of administrative normative documents of this Municipality. When local laws, rules and regulations, and administrative normative documents are published, publicity and interpretation shall be carried out synchronously. With respect to any local laws, rules and regulations and administrative normative documents closely related to foreign investment, corresponding English translations or abstracts shall be provided.

Article 64 When formulating normative documents, policies and measures that are closely related to the production and business activities of market participants, the people’s governments at all levels and their relevant departments of this Municipality shall conduct a legitimacy review and the formulating authorities shall carry out collective deliberation.

In drafting or formulating local laws, rules and regulations, normative documents and other policies and measures that involve the economic activities of market participants, fair competition review shall be conducted in accordance with relevant provisions. The participation of third-party institutions in the society in fair competition review is encouraged.

Any entity or individual may report any policies and measures suspected of violating the criterion for fair competition review. The formulating authorities shall establish and improve a mechanism for accepting and responding to complaints and reports concerning fair competition review, and promptly correct policies and measures that exclude or restrict competition; policies and measures formulated by applying exceptions shall be submitted to the joint meeting of fair competition review at the same administrative level for record.

Article 65 The people’s governments at all levels and their relevant departments of this Municipality shall, when formulating policies and measures that are closely related to the production and business activities of market participants, allow for a necessary adaption period for market participants, except where national security is involved and failure to implement forthwith upon promulgation will hinder implementation.

Article 66 This Municipality shall actively improve a diversified dispute resolution mechanism with smooth convergence and inter-coordination of mediation, arbitration, administrative adjudication, administrative review, and litigation, give full play to the functions of the non-litigation dispute resolution centers at the municipal and district levels, support the establishment of dispute resolution institutions in professional sectors such as the financial sector, and provide market participants with efficient and convenient dispute resolution approaches.

This Municipality supports arbitration and mediation institutions to join the 「one-stop」 international commercial dispute resolution platform, and to jointly create a fair, just, transparent and convenient law-based international Doing Business environment.

This Municipality supports well-known arbitration and dispute resolution institutions from abroad to conduct arbitration and mediation with respect to civil and commercial disputes in international commercial, maritime, investment and other fields in accordance with relevant provisions in Lingang New Area.

Article 67 This Municipality supports the people’s courts at all levels to conduct fair trial of various cases involving market participants in accordance with the law, and to equally protect the legitimate rights and interests of various market participants and supports the people’s procuratorates at all levels to exercise legal supervision over the trial activities of the people’s courts.

According to the unified deployment at the national level, this Municipality shall strengthen the construction of international commercial dispute trial organizations, support international commercial dispute trial organizations in connecting with international commercial common rules, and accelerate the formation of a trial system and mechanism that meets the needs of international commercial dispute resolution in Shanghai.

This Municipality shall strengthen the institutional construction of source control over difficulties in enforcement, promote and improve the coupling mechanism for enforcement, and support the people’s courts to strengthen and improve enforcement. Relevant government departments, people’s procuratorates, non-governmental organizations, enterprises and public institutions, and financial institutions shall strengthen the cooperation and coordination with the people’s courts in carrying out enforcement, and coordinate in promoting the quality and efficiency of enforcement in this Municipality.

Article 68 This Municipality shall implement a system of prior confirmation of address for service of legal documents and responsibilities undertaking by enterprises. When attending to registration formalities such as incorporation, corporate changes or record-filings or annual report filings in this Municipality, after being informed by the market regulation department of matters such as prior confirmation of the address for service of legal document and undertakings of relevant responsibilities, the enterprise may, through the National Enterprise Credit Information Publicity system, fill in its address for service of the legal documents online, and undertake to be responsible for the authenticity of the address filed and the timely and effective acceptance of the legal documents served by the people’s courts and administrative departments of this Municipality at all levels.

Article 69 The people’s courts at all levels in this Municipality shall strengthen the construction of an online litigation services platform, promote the case handling model in which the whole process is conducted online, and strictly abide by the laws and judicial interpretations on regulating the extension of time limit for concluding a trial and postponement of court hearings for civil and commercial cases. The party that submits the complaint materials by filing the case online does not need to submit the hard copies.

The Municipal High People’s Court shall establish and improve the rules and standards for the selection, evaluation and assessment of intermediary agencies engaged in judicial authentication, asset evaluation, auditing and price review, make the same public, and notify relevant departments of the assessment and evaluation results of intermediary agencies on a regular basis.

Relevant departments shall establish an information sharing mechanism with the people’s court, support the people’s court to inquire about information on the identity, property rights, market transactions etc. of relevant market participants, and support the people’s court to conduct online investigation and control on, and disposal according to law of, real estate, movables, bank deposits, equity, intellectual properties and other property rights involved in the case, in order to improve the efficiency of property investigation and control and compulsory enforcement.

Relevant departments shall strengthen synergy with the people’s courts to include the person concerned who has refused to perform the duties determined by the effective judgment into the list of dishonesty disciplinary punishment, and strengthen the punishment for the dishonesty person subject to enforcement.

Article 70 This Municipality shall promote and improve a market-oriented and rule-of-law bankruptcy system, support the people’s courts in exploring the establishment of bankruptcy rescue mechanisms such as reorganization recognition and pre-reorganization, and explore a mechanism for separation of complicated and simple bankruptcy cases and quick trial of summary bankruptcy cases to streamline bankruptcy procedures.

This Municipality shall establish a coordination mechanism for enterprise bankruptcy jointly led by the Municipal People’s Government and the Municipal High People’s Court and joined by relevant departments to collectively propel the advancement of handling enterprise bankruptcy, support market-oriented debt restructuring in accordance with the law, and promptly communicate and solve problems occurred in the process of enterprise bankruptcy.

The people’s courts at all levels in this Municipality shall, in accordance with the provisions of relevant laws and judicial interpretations, establish a mechanism for creditors or shareholders whose rights and interests are adjusted or affected to participate in the voting of draft reorganization plan, and promote the timely acquisition of reorganization relief by ailing enterprises with operational value.

Article 71 This Municipality shall establish a coupling mechanism for assets disposal in bankruptcy cases. The Municipal High People’s Court shall, in conjunction with the municipal planning and resources, public security and other relevant departments, unify the rules for disposal of bankrupt enterprise’s land, real estate, vehicles, etc., and improve the efficiency of disposing bankruptcy assets.

This Municipality shall establish a mechanism for safeguarding the rights and interests of employees of bankrupt enterprises. Human resources and social security departments at all levels shall coordinate and resolve matters such as the transfer of employees』 social security relationship to protect the legitimate rights and interests of employees.

After the bankrupt enterprise fulfills the relevant obligations in accordance with relevant regulations, the abnormal account status of the enterprise shall be automatically removed. Revenue of debt restructuring obtained by the enterprise as a result of reorganization shall be subject to relevant corporate income tax policies in accordance with relevant national regulations. The tax authority shall, according to law, reduce or exempt real estate tax and urban land use tax of the bankrupt enterprise.

Article 72 Disposal of significant assets of the bankrupt enterprise by the bankruptcy administrator shall be approved and adopted by the creditors』 meeting item by item.

The bankruptcy administrator has the right to enquire about the registration materials, contribution of social insurance premiums, bank account opening information and deposit status, as well as information on real estate, vehicles, intellectual properties of the bankrupt enterprise, and relevant departments and financial institutions shall render cooperation.

If a bankruptcy administrator files an application in accordance with ruling of the people’s court on termination of bankruptcy procedures, or a liquidation group files an application in accordance with the ruling of the people’s court on the termination of compulsory liquidation, the market regulation department shall handle the deregistration of the enterprise according to law.

The Municipal Association of Bankruptcy Administrators shall strengthen industry self-regulation, enhance the training for bankruptcy administrators, and improve the bankruptcy administrators』 abilities to perform their duties.

Article 73 This Municipality shall establish a complaints and rights protection mechanism for Doing Business environment. Any unit or individual may make complaints and report on issues relating to Doing Business environment through the 「12345」 citizen service hotline, Shanghai Enterprise Service Cloud, small and medium-sized enterprises service center, and 「Integrated Online Services Platform」.

Relevant departments shall keep the feedback channels for complaints and reports unblocked to ensure that market participants』 reasonable and legitimate requests are responded to and handled in a timely manner. If such requests cannot be resolved, notification and explanation shall be given in a timely manner.

Article 74 This Municipality shall explore the establishment of an internal whistleblower system in areas such as ecological environment and resource protection, food and drug safety and public health to give full play social supervision, and shall reward the meritorious persons who have reported serious violations of law, violations of regulations and major hidden risks and dangers, and put them under strict protection.

Article 75 This Municipality shall establish a Legal Community of Safeguarding Optimizing Doing Business Environment joined by government organs, professional institutions, social organizations etc., and ensure unimpeded design, implementation, feedback and communication channels of policies and systems, with a focus on unblocking and coordinating the institutional bottlenecks and systematic and mechanism issues in the construction of Doing Business environment, so as to provide intellectual support to various districts and departments to propel the construction of Doing Business environment according to law.

Article 76 This Municipality shall explore and create a new model of rule of law publicity suitable for market participants, and adopt methods such as citing cases to interpret the law and scene interaction to improve the effectiveness of rule of law publicity.

This Municipality shall follow the principles of 「the one who enforces the law popularizes the law」 and 「the one who serves popularizes the law」, and shall explore to incorporate the publicity of rule of law in optimizing Doing Business environment in the assessment of law popularizing responsibility system.

Article 77 The standing committees of the municipal and district people’s congresses shall strengthen the supervision of the optimization of Doing Business environment within their respective administrative area by hearing special work reports and conducting law enforcement inspections.

The standing committees of the municipal and district people’s congresses shall give full play to their deputies』 role in organizing deputies to the congress to carry out special surveys and inspections on optimizing doing business environment, collecting and reporting the opinions and suggestions of various market participants, and urging relevant parties to implement various work on optimizing Doing Business environment. .

Chapter VII Legal Liability

Article 78 Where the laws and administrative regulations have provided for penalties for violation of the provisions of these Regulations, such provisions shall prevail.

Article 79 The people’s governments at all levels and relevant departments and their respective functionaries of this Municipality, if committing any of the following acts in the work of optimizing Doing Business environment, shall be ordered by relevant departments to make corrections; in case of gross violation, the wrongdoer shall be held accountable according to law:

1. limiting the channels for market participants in violation of the requirements of 「Integrated Online Services」;

2. refusing to make rectification for real-name negative reviews with clear descriptions and reasonable complaints;

3. illegally setting obstacles to an enterprise changing its domicile;

4. obstructing the bankruptcy administrator from performing its duties according to law; or

5. other nonperformance of the responsibility to optimize doing business environment or damaging Doing Business environment.

Chapter VIII Supplementary Provisions

Article 80 These Regulations shall be effective as of April 10, 2020.

消息來源：上海發布

法治浦東綜合編輯

原標題：《中英文對照！《上海市優化營商環境條例》全文公布→》