No. 74

Procedures of Shanghai Municipality for the Management of Administrative Law Enforcement Certificates were adopted at the 189th Routine Meeting of the Municipal People’s Government on January 3, 2023 and are hereby promulgated. They shall be effective as of April 1, 2023.

Mayor Gong Zheng

January 12, 2023

Procedures of Shanghai Municipality for the Management of Administrative Law Enforcement Certificates

(Promulgated by Decree No. 74 of Shanghai Municipal People's Government on January 12, 2023 and effective on April 1, 2023)

Article 1(Purpose)

With a view to strengthening the management of administrative law enforcement certificates in this Municipality, standardizing administrative law enforcement behaviors, and promoting administration by law, these Procedures are formulated in accordance with relevant laws and rules and in the light of the actual circumstances of this Municipality.

Article 2 (Scope of Application)

These Procedures apply to the application, issuance, use and related management activities of administrative law enforcement certificates (hereinafter referred to as "law enforcement certificates") within the administrative area of this Municipality.

Article 3 (Definition of Law Enforcement Certificate)

The law enforcement certificate in these Procedures means the certificate issued in the name of the Municipal People's Government, indicating the identity of administrative law enforcement personnel and having the qualifications to implement administrative law enforcement activities.

Article 4 (Contents of Law Enforcement Certificate)

The following contents shall be printed on the law enforcement certificate:

1. the photo of the certificate holder;

2. the name of the certificate holder;

3. the name of the law enforcement agency;

4. certificate number;

5. the issuing authority; and

6. validity period.

Article 5 (Implementing Department)

The municipal judicial administrative department is the supervision and management department of law enforcement certificates in this Municipality. It is responsible for the review of the initial application for law enforcement certificates, the review of renewals, and the supervision and management of the printing, issuance and use of law enforcement certificates.

The district judicial administrative department is the supervision and management department of the law enforcement certificate in the district. It is responsible for the initial review of the initial application for law enforcement certificates , the review of the renewal and the supervision and management of the use in the district.

Article 6 (Responsibilities of Administrative Law Enforcement Units)

Units with administrative law enforcement functions in accordance with laws, rules, and regulations (hereinafter referred to as "administrative law enforcement units") shall perform the following duties:

1. responsible for the application for the law enforcement certificate of the unit or the system;

2. responsible for the daily management of the use of law enforcement certificates of the unit or the system; and

3. responsible for the qualification review and information management of the administrative law enforcers of the unit or the system.

Article 7 (Informatization-based Management)

This Municipality’s law enforcement certificates shall be managed through the entire process by the law enforcement certificate informatization-based management system.

The municipal judicial administrative department and the municipal organizational establishment department shall establish an information query mechanism for administrative law enforcement units and personnel establishment. The municipal judicial administrative department shall, in the process of applying for law enforcement certificates, review the status of administrative law enforcers on staff.

Article 8 (Scope of Application for Law Enforcement Certificate)

Administrative law enforcement units shall apply for law enforcement certificates for their staff who plan to engage in the following administrative law enforcement activities:

1. administrative punishment;

2. administrative compulsion;

3. administrative inspection; or

4. other administrative law enforcement activities in which law enforcement certificates are required.

Article 9 (Application Conditions)

A person who applies for a law enforcement certificate shall meet the following conditions:

1. being an official member of the administrative law enforcement unit; and

2. having received basic legal knowledge training and passed the examination.

Passing the national unified legal professional qualification examination is regarded as passing the basic legal knowledge examination.

In addition to the conditions listed in the first paragraph, the working department of the Municipal People's Government may, according to the law enforcement needs of the system and the provisions of the superior competent department, add additional conditions for professional legal knowledge training.

The working department of the Municipal People's Government shall promptly inform the municipal judicial administration department of the addition of conditions.

Article 10 (Unified Application and Pre-examination)

The law enforcement certificate shall be uniformly applied for by the administrative law enforcement unit. Each administrative law enforcer can only obtain one law enforcement certificate.

When an administrative law enforcement unit applies for a law enforcement certificate for its staff, it shall, in accordance with the provisions of Article 9 of these Procedures, pre-examine the conditions of the relevant person, and truthfully submit the relevant materials. It is not allowed to apply for a law enforcement certificate for unqualified person by submitting false materials.

Article 11 (Submission of Application Materials)

An administrative law enforcement unit applying for a law enforcement certificate shall submit the application materials through the law enforcement certificate informatization-based management system in accordance with the following provisions:

1. If the working department of the Municipal People's Government and its affiliated institutions apply, the working department of the Municipal People's Government shall submit the application materials to the municipal judicial administrative department in a unified manner;

2. With the approval of the municipal judicial administrative department, the working department of the Municipal People's Government, may submit application materials in a unified manner to the municipal judicial administrative department for the administrative law enforcement unit of the system;

3. If the vertically leading departments below the city level and their affiliated institutions apply, the corresponding working departments of the Municipal People's Government shall submit the application materials to the municipal judicial administrative department in a unified manner; And

4. If the working department of the district people's government and its affiliated institutions, the town/township people's government, and the sub-district office apply, the working department of the district people's government, the town/township people's government, and the sub-district office shall submit the application materials to the district judicial administrative department where they are located.

Article 12 (Examination of Application for Law Enforcement Certificate)

The municipal judicial administrative department shall complete the review within 5 working days from the date of receipt of the application materials submitted by the working department of the Municipal People's Government, and issue law enforcement certificates to those who meet the conditions; and notify the working department of Municipal People's Government of those who do not meet the conditions and explain why.

The district judicial administrative department shall complete the preliminary review of the application materials within 5 working days from the date of receipt of the application materials, and submit those that meet the requirements to the municipal judicial administrative department for review; and those that do not meet the requirements, notify the applicant unit and explain the reasons. The municipal judicial administrative department shall complete the review within 5 working days from the date of receipt of the application materials submitted by the district judicial administrative department, and issue law enforcement certificates to those who meet the conditions; and notify the district judicial administrative department if they do not meet the conditions and explain why.

Article 13 (Printing and Receiving)

Law enforcement certificates shall be uniformly printed by the municipal judicial administrative department. No unit or individual may forge or alter law enforcement certificates.

After the law enforcement certificate is printed, the municipal judicial administrative department shall promptly notify the relevant working department of Municipal People's Government or the district judicial administrative department to collect it.

After receiving the law enforcement certificate, the district judicial administrative department shall promptly notify the relevant district people's government working department and its affiliated agencies, town/township people's government, and sub-district office to obtain it.

Article 14 (Validity and Re-issuance of Law Enforcement Certificate)

The law enforcement certificate is valid for no more than 6 years.

Where the law enforcement certificate is damaged or lost within the validity period, the administrative law enforcer shall immediately report to the unit where they work and explain the situation in writing. After verification by the unit where the law enforcement certificate is damaged, it is imperative to apply for re-issuance in accordance with the procedures prescribed in Article 11 of these Procedures; if the law enforcement certificate is lost, it is imperative to make an announcement to the public through newspapers, websites, etc., and after 30 days from the date of announcement, to apply for re-issuance in accordance with the procedures prescribed in Article 11 of these Procedures.

Article 15 (Renewal of Law Enforcement Certificate)

The administrative law enforcement unit shall, three months before the expiry of the law enforcement certificate, apply for the renewal of the law enforcement certificate for its administrative law enforcer in accordance with the procedures prescribed in Article 11 of these Procedures, but the administrative law enforcer has not passed the basic legal knowledge rotation training and examination in accordance with the provisions is not eligible for the renewal.

The renewal of the law enforcement certificate of the working department of the Municipal People's Government shall be reviewed by the municipal judicial administrative department.

The renewal of law enforcement certificates by the working departments of the district people's government, town/township people's governments, and sub-district offices shall be reviewed by the district judicial administrative department, and the information on the law enforcement certificate shall be submitted to the municipal judicial administrative department for review.

Article 16 (Use and Safekeeping of Law Enforcement Certificate)

Where, under relevant laws, rules, and regulations. law enforcement identity documents should be produced, an administrative law enforcer engaging in administrative law enforcement activities, shall produce the law enforcement certificate and inform the parties or relevant persons of the identity of the administrative law enforcer.

An administrative law enforcer shall not engage in administrative law enforcement activities beyond the jurisdiction of the administrative law enforcement unit to which they belong. In the same district, if the town/township people's government or sub-district office needs to engage in administrative law enforcement activities beyond its jurisdiction area, it shall obtain the approval of the corresponding district people's government working department;to engage in administrative law enforcement activities across districts, it shall be approved by the corresponding working department of the Municipal People's Government. Where laws, rules, and regulations provide otherwise, those provisions shall prevail.

Administrative law enforcers shall keep law enforcement certificates properly, and shall not alter, copy, lend or trade law enforcement certificates.

Every administrative law enforcer shall not use law enforcement certificates beyond their statutory powers, and shall not use law enforcement certificates for non-administrative law enforcement activities.

Article 17 (Random Examination)

The municipal or district judicial administrative department or the working department of the Municipal People's Government shall organize a random examination of basic legal knowledge for law enforcement certificate holders.

An administrative law-enforcer who fails the random examination of basic legal knowledge shall take a make-up examination within the specified time. For those who still fail to pass the make-up examination, the municipal or district judicial administrative department or the working department of the Municipal People's Government may order the unit to suspend the use of their law enforcement certificate, and the unit shall arrange for them to participate in the study of basic legal knowledge for not less than one month, and retake the basic legal knowledge exam.

An administrative law enforcer may not engage in administrative law enforcement activities during the period when his or her law enforcement certificate is suspended.

Article 18 (Withdrawal of Law Enforcement Certificate)

If the administrative law enforcement unit decides to expel or revoke the law enforcement qualifications of the law enforcement certificate holder according to law, it shall withdraw the law enforcement certificate in a timely manner.

The law enforcement certificates obtained by any administrative law enforcement unit by submitting false materials and other means shall be taken back by the municipal and district judicial administrative departments.

Article 19 (Cancellation of Law Enforcement Certificate)

In any of the following circumstances, the administrative law enforcement unit shall promptly go through the cancellation procedures of the law enforcement certificate with the municipal or district judicial administrative department:

1. Failing to apply for a new law enforcement certificate in time without justified reasons upon expiration of the validity period;

2. The law enforcement certificate holder is transferred from the law enforcement post, or leaves the original administrative law enforcement unit due to transfer, resignation, dismissal, retirement or other reasons;

3. According to the provisions of Article 18 of these Procedures, the law enforcement certificate is withdrawn;

4. Failing to pass the basic legal knowledge random examination, and still failing after re-taking the basic legal knowledge test; Or

5. Other circumstances for due cancellation

If the administrative law enforcement unit fails to go through the formalities for canceling the law enforcement certificate in a timely manner in accordance with the provisions of the preceding paragraph, the municipal and district judicial administrative departments may directly cancel it.

Article 20 (Destruction of Law Enforcement Certificate)

For law enforcement certificates under any of the following circumstances, the administrative law enforcement unit shall promptly send them to the municipal and district judicial administrative departments for destruction:

1. law enforcement certificates that have been renewed in accordance with the provisions of Article 15 of these Procedures;

2. law enforcement certificates that have been canceled in accordance with the provisions of Article 19 of these Procedures; or

3. other circumstances that require destruction.

Article 21 (Supervision of Administrative Law Enforcement Units)

Under any of the following circumstances, the municipal and district judicial administrative departments may issue a Proposal for the Supervision of Administrative Law Enforcement to the relevant administrative law enforcement units:

1. violating the provisions of Paragraph 2 of Article 10 of these Procedures, applying for law enforcement certificates for unqualified persons;

2. violating the provisions of Paragraph 2 of Article 17 of these Procedures, failing to organize the administrative law enforcers who fail to pass the random examination in a timely manner to study basic legal knowledge as required;

3. violating the provisions of Paragraph 3 of Article 17 of these Procedures, arranging administrative law enforcers whose law enforcement certificates have been suspended to engage in administrative law enforcement activities;

4. violating the provisions of Paragraph 1 of Article 18 of these Procedures, failing to withdraw the law enforcement certificate on its own initiative and in a timely manner;

5. violating the provisions of Article 20 of these Procedures, failing to submit relevant law enforcement certificates in time; or

6. the administrative law enforcers of the unit using law enforcement certificates beyond their statutory powers, or using law enforcement certificates for non-administrative law enforcement activities.

Where the administrative law enforcement unit cheats and applies for law enforcement certificates for those who do not meet the requirements, the person directly responsible shall be given a warning, a demerit or a major demerit; if the circumstances are serious, a demotion or dismissal shall be given.

Article 22 (Legal Liability)

Natural persons, legal persons or other organizations who forge, alter or buy and sell law enforcement certificates shall be punished by the public security organs according to law; if a crime is constituted, the criminal responsibility shall be investigated according to law.

Article 23 (Other Provisions)

An administrative law enforcement unit in this Municipality that applies for a law enforcement certificate from a relevant department of the State Council shall follow the provisions of the relevant department of the State Council, and shall enter the law enforcement certificate information into the law enforcement certificate informatization-based management system.

With the approval of the municipal judicial administrative department, exploration and innovation in the application for law enforcement certificate may be made in special areas such as Lin-gang New Area of the China (Shanghai) Pilot Free Trade Zone.

Article 24 (Electronic Law Enforcement Certificate)

This Municipality shall promote electronic law enforcement certificates in administrative law enforcement activities, and electronic law enforcement certificates shall have the same effect as physical law enforcement certificates.

Article 25 (Date of Implementation)

These Procedures shall be effective as of April 1, 2023. The Procedures of Shanghai Municipality for the Management of Administrative Law Enforcement Certificates promulgated by Decree No. 88 of Shanghai Municipal People's Government on September 24, 2012 shall be abolished simultaneously.