No. 1

Procedures of Shanghai Municipality on the Supervision of Administrative Law Enforcement were adopted at the 1st Routine Meeting of the Municipal People’s Government on January 16, 2023, and are hereby promulgated. They shall be effective as of April 1, 2023.

Mayor: Gong Zheng

January 19, 2023

Procedures of Shanghai Municipality on the Supervision of

Administrative Law Enforcement

(Promulgated by Decree No. 1 of Shanghai Municipal People’s Government on January 19, 2023 and to be Effective as of April 1, 2023)

Chapter I  General Provisions

Article 1 (Purposes and Basis)

With a view to strengthening and regulating the supervision of administrative law enforcement, comprehensively promoting a strict, regulated, fair and civilized law enforcement, promoting the building of a law-based government, safeguarding the legitimate rights and interests of citizens, legal persons and other organizations, these Procedures are formulated in accordance with the provisions of the Law of the People’s Republic of China on the Organization of Local People’s Congresses and Local People’s Governments at Various Levels and other laws, rules and regulations, and in the light of the actual circumstances of this Municipality.

Article 2 (Scope of Application)

These Procedures shall apply to the supervision of administrative law enforcement in the administrative area of this Municipality.

The administrative reconsideration, supervision, audit and other supervisory activities shall be carried out in accordance with relevant laws, rules and regulations.

Article 3 (Definition)

The “supervision of administrative law enforcement” mentioned in these Procedures means the supervisory guidance and supervisory administration exercised by the municipal and district people’s governments to their working departments or dispatched organs and dispatched agencies, or by the people’s government at a higher level to the people’s government at a lower level, or by the working departments of the municipal and district people’s governments in their own sectors over the administrative law enforcement work.

The “administrative law enforcement work” mentioned in these Procedures means the work of the people’s governments at various levels, the working departments of the municipal and district people’s governments, and sub-district offices to carry out administrative law enforcement acts according to law and implement the relevant legal systems for administrative law enforcement.

Article 4 (Supervision Principles)

The supervision of administrative law enforcement shall follow the principles of “being lawful and just, correcting mistakes if any, and conducting supervision for the people”, promote the effective and law-based operation of administrative law enforcement systems, mechanisms and rules, and ensure the correct implementation of laws, rules and regulations.

Article 5 (Supervision System)

The municipal and district people’s governments shall lead the supervision of administrative law enforcement work within their respective administrative areas in a unified manner, and the judicial administrative departments shall undertake the specific work on the administrative law enforcement supervision by the people’s governments at the corresponding levels.

The legal affairs sections of the working departments of the municipal and district people’s governments or other designated agencies shall undertake the specific work on the administrative law enforcement supervision in their own sectors.

The comprehensive administrative law enforcement work of sub-district offices and towns/townships shall be subject to the supervision by the local people’s governments and the urban management and law enforcement departments and other relevant functional departments simultaneously. The sub-district and town/township judicial offices shall coordinate and promote the regulation and supervision of administrative law enforcement in their respective sub-districts and towns/townships.

In these Procedures, the government or the department that exercises administrative law enforcement supervision shall be referred to as the administrative law enforcement supervision organ, and the government or department that accepts such supervision shall be referred to as the supervised organ. The municipal administrative law enforcement supervision organ shall be responsible for guiding and supervising the administrative law enforcement supervision exercised by district-level administrative law enforcement supervision organs.

Article 6 (Supervisor)

The administrative law enforcement supervision organ shall strengthen the development of the team of administrative law enforcement supervisors and appoint the supervisors suitable for the administrative law enforcement supervision work.

The administrative law enforcement supervisors shall master relevant laws, rules and regulations, and the specialized knowledge of administrative law enforcement, and possess corresponding professional capabilities.

Article 7 (Social Participation)

The administrative law enforcement supervision organ may, when it is necessary for the administrative law enforcement work, invite deputies to the people’s congress, members of the Chinese people’s political consultative conference, representatives of relevant trades, experts and scholars, media journalists, and representatives of the people to participate in the supervision of administrative law enforcement.

Article 8 (Platform of Administrative Law Enforcement Supervision)

This Municipality shall, through the unified platforms of administrative law enforcement information and administrative law enforcement supervision, collect the information of, and supervise the relevant administrative law enforcement acts, so as to raise the efficiency of administrative law enforcement supervision.

The municipal and district judicial administrative departments and the working departments of the people’s governments at all levels shall, through the platform of administrative law enforcement supervision, carry out such administrative law enforcement supervision as statistical monitoring, case file evaluation and examination, law enforcement evaluation, etc., and promote the use of information technology in administrative law enforcement.

Article 9 (Innovation of Supervision Methods)

This Municipality shall encourage the administrative law enforcement supervision organs to innovate the methods of administrative law enforcement supervision, broaden the channels of administrative law enforcement supervision, and perfect the regular and long-term mechanism of administrative law enforcement supervision.

Chapter II  Contents of Supervision

Article 10 (Contents of Administrative Law Enforcement Supervision)

Administrative law enforcement supervision mainly includes the following contents:

1. the situation of the implementation of the important rules for administrative law enforcement;

2. the situation of the implementation of the responsibility system for administrative law enforcement;

3. the situation of strict, regulated, fair and civilized law enforcement; and

4. other contents that shall be supervised according to law.

Article 11 (Supervision Over the Situation of the Implementation of Important Rules for Administrative Law Enforcement)

The supervision over the situation of the implementation of important rules for administrative law enforcement mainly includes the following contents:

1. the implementation situation of the rule of publicizing administrative law enforcement, the rule of recording the whole process of administrative law enforcement and the rule of legal review of major decisions on administrative law enforcement;

2. the implementation situation of the benchmark rule for administrative discretion power;

3. the situation of the implementation of the rule of exempting minor illegal acts from administrative punishment according to law and its dynamic adjustment;

4. the implementation situation of the rule for linking administrative law enforcement with criminal justice; and

5. the implementation situation of other important rules for administrative law enforcement.

Article 12 (Supervision of the Implementation Situation of the Responsibility System for Administrative Law Enforcement)

The supervision of the implementation situation of the responsibility system for administrative law enforcement mainly includes the following contents:

1. the situation of sorting out law enforcement items;

2. the situation of decomposing law enforcement duties and powers;

3. the situation of determining law enforcement responsibilities;

4. the situation of implementing law enforcement procedures;

5. the situation of evaluating law enforcement status; and

6. the situation of investigating responsibilities in administrative law enforcement.

Article 13 (Supervision of the Situation of Strict, Regulated, Fair and Civilized Law Enforcement)

The supervision of strict, regulated, fair and civilized law enforcement mainly includes the following contents:

1. the implementation situation of the guarantee standards for administrative law enforcement, such as the provision of equipment for administrative law enforcement;

2. the situation of the education and training for law enforcement personnel;

3. the situation of the management and use of uniforms and signs;

4. the situation of the management and use of administrative law enforcement personnel’s administrative law enforcement certificates;

5. whether the entity, authority and procedure of law enforcement are lawful;

6. whether the method of law enforcement and the content of law enforcement decision are lawful;

7. whether the method of law enforcement and the law enforcement decision are consistent with the fact, nature, circumstance, and the degree of social harm of the law-breaking act;

8. whether the law enforcement decision is unbalanced and obviously unfair; and

9. other situations affecting the legality and appropriateness of administrative law enforcement.

Chapter III  Implementation of Supervision

Article 14 (Work Plan for Administrative Law Enforcement Supervision)

The administrative law enforcement supervision organ shall formulate an annual work plan for administrative law enforcement supervision.

The municipal and district people’s governments shall focus on the incorporation of the following matters into the annual work plan for administrative law enforcement supervision: the key areas that involve the overall situation of economic and social development, the immediate interests of the people and the extensive social concern, the prominent and common problems in administrative law enforcement, the implementation situation of the newly promulgated laws, rules and regulations that regulate the acts of joint law enforcement, and the supervision situation over the administrative law enforcement supervision by subordinate administrative law enforcement supervision organs.

The working departments of the municipal and district people’s governments shall focus on the incorporation of the following matters into the annual work plan for administrative law enforcement supervision: the implementation situation of the laws, rules and regulations of their own sectors one year after their new promulgation and implementation, and the rectification of the illegal or improper administrative law enforcement acts of their own sectors.

Article 15 (Statistical Monitoring of Administrative Law Enforcement)

The municipal and district people’s governments shall conduct statistical analysis, monitoring, study and judgment of the general situation of administrative law enforcement in their respective regions.

The working departments of the municipal and district people’s governments shall carry out statistical analysis, monitoring, study and judgment of the status of administrative law enforcement work in their own sectors.

Article 16 (Special Supervision of Administrative Law Enforcement)

The administrative law enforcement supervision organ may carry out a special supervision of administrative law enforcement in response to the suggestions of deputies to the people’s congresses, the proposals of members of the Chinese people’s consultative conferences, judicial suggestions, procuratorial suggestions and supervisory suggestions, as well as hot issues of public concern and cases with greater social impact.

Article 17 (Evaluation and Examination of Administrative Law enforcement Case Files)

The administrative law enforcement supervision organ shall organize the evaluation and examination of administrative law enforcement case files, check whether the administrative law enforcement documents and evidence are true, standard and complete, and judge whether the administrative law enforcement acts are lawful and appropriate.

The evaluation and examination of case files may be carried out by means of general examination, random examination, etc.

Article 18 (Special Inspection of Administrative Law Enforcement)

The administrative law enforcement supervision organ may, according to the situation of administrative law enforcement in its own administrative area, organize and carry out special inspections of administrative law enforcement on the implementation situation of laws, rules and regulations in relevant fields and important rules for administrative law enforcement.

Article 19 (Evaluation of Administrative Law Enforcement)

The administrative law enforcement supervision organ may organize and carry out evaluations of administrative law enforcement, and solicit opinions from all walks of life through discussion, on-site evaluation, questionnaire survey and other forms by combining the methods of organized evaluation and mutual examination and evaluation.

Article 20 (Supervision of Illegal or Improper Acts of Administrative Law Enforcement)

Where an administrative law enforcement supervision organ deems that an illegal or improper circumstance may exist in a supervised organ’s administrative law enforcement act and thus necessitates an administrative law enforcement supervision, the former may initiate the procedures for supervision of the administrative law enforcement act.

The administrative law enforcement supervision organ shall notify the supervised organ in writing within five working days upon the date of its decision to initiate the administrative law enforcement supervision. The supervised organ shall, within 10 working days upon the date of receiving the written notice, submit a written description and the evidence, basis and other relevant materials for the decision of the administrative law enforcement act.

If, after investigation, the administrative law enforcement supervision organ deems that there is no illegal or improper circumstance in the administrative law enforcement act, it shall terminate the supervision and notify the supervised organ thereof.

Article 21 (Measures for Supervision of Administrative Law Enforcement)

To carry out administrative law enforcement supervision, the following measures may be taken:

1. consulting and obtaining administrative law enforcement case files or audio-visual materials, electronic data and other relevant materials;

2. on-the-spot investigation and inspection;

3. identification, evaluation and testing;

4. conducting open and secret investigations and questioning the relevant staff members of the supervised organ, the administrative counterparts and other relevant personnel;

5. hearing reports by the supervised organ on law enforcement situation;

6. organizing and holding discussions and demonstration meetings; and

7. other measures prescribed by laws, rules and regulations.

Article 22 (Obligation of Cooperation and Assistance)

The supervised organ and its relevant staff members shall cooperate in the administrative law enforcement supervision.

Article 23 (Coordination of Disputes over Administrative Law Enforcement Supervision)

If there is a dispute between different administrative law enforcement supervision organs over the same supervision matter, they shall settle the dispute through mutual consultation. If no agreement can be reached through consultation, it shall be handled through coordination by their common superior administrative law enforcement supervision organ at the next higher level.

Chapter IV  Supervision and Handling

Article 24 (Supervision and Handling of Illegal or Improper Administrative Law Enforcement Acts)

Where an administrative law enforcement supervision organ finds that the supervised organ is under any of the following circumstances, it shall order the supervised organ to make corrections within a time limit:

1. Failing to implement important rules for administrative law enforcement;

2. The entity, authority, content and procedure of administrative law enforcement are unlawful;

3. Failing to perform or incorrectly performing its statutory functions and duties; or

4. Other circumstances of violation of laws, rules and regulations.

Article 25 (Recommendation for Administrative Law Enforcement Supervision)

Where any of the circumstances listed in Article 24 exists in a supervised organ, the administrative law enforcement supervision organ shall make and issue a Recommendation for Administrative Law Enforcement Supervision, suggesting that the supervised organ rectify the illegal or improper acts of administrative law enforcement on its own.

Where the municipal or district people’s government functions as the administrative law enforcement supervision organ, the Recommendation for Administrative Law Enforcement Supervision may be made and issued by the judicial administrative department at the same level.

The supervised organ shall, within 30 days upon the date of receiving the Recommendation for Administrative Law Enforcement Supervision, implement the suggested rectification, and report the situation of such implementation to the organ that has made and issued the Recommendation for Administrative Law Enforcement Supervision.

Article 26 (Decision Letter on Administrative Law Enforcement Supervision)

If the supervised organ fails to make corrections within the time limit or involves a serious problem, the administrative law enforcement supervision organ may make and issue a Decision Letter on Administrative Law Enforcement Supervision, and order the supervised organ to correct the illegal or improper act of administrative law enforcement, or to perform the corresponding obligations within a time limit.

Where the administrative law enforcement supervision organ makes and issues a Decision Letter on Administrative Law Enforcement Supervision, it may, within a certain scope, circulate a notice of criticism of the supervised organ, criticize and educate the person-in-charge and relevant person(s) liable, and suspend the use of or withdraw their administrative law enforcement certificates in accordance with relevant provisions; if serious consequences are caused, the liable person(s) shall be punished according to law.

Article 27 (Interview System for Administrative Law Enforcement Supervision)

Where the administrative law enforcement supervision organ finds that there is a prominent problem in the supervised organ’s administrative law enforcement act and has made and issued a Decision Letter on Administrative Law Enforcement Supervision, it may hold an interview with its chief person-in-charge.

Article 28 (Notification of Typical Cases)

The administrative law enforcement supervision organ shall establish a mechanism of typical case notification, study and analyze typical cases according to the situation of supervision, and notify in a certain scope thereof.

Article 29 (Application of Results of Administrative Law Enforcement Supervision)

The results of administrative law enforcement supervision shall be incorporated into the indicator system for the building of a law-based government, and serve as the important basis for the supervised organ’s demonstrative creation of a law-based government, for the duty performance of the chief person-in-charge of the supervised organ as the first responsible person in promoting the construction of rule of law, and for the accountability of its relevant personnel.

Article 30 (Connection Between Supervision and Administrative Law Enforcement Supervision)

Where an administrative law enforcement supervision organ, when carrying out an administrative law enforcement supervision, finds any clue to an administrative law enforcement personnel’s being suspected of corruption, bribery, dereliction of duty, or other duty-related violation or crime, it shall transfer the case to the supervisory organ, which shall make the investigation and handling according to law.

The administrative law enforcement supervision organ shall investigate and handle according to law the relevant issues transferred by the supervisory organ.

Chapter V  Legal Liability

Article 31 (Liability of Supervised Organ and Its Administrative Law Enforcement Personnel)

Where a supervised organ or its administrative law enforcement personnel refuses or obstructs the administrative law enforcement work or refuses to implement a decision on administrative law enforcement supervision, the person-in-charge and other person directly liable shall be punished according to law; if such an act constitutes a crime, the liable person(s) shall be prosecuted for criminal liability according to law.

Article 32 (Liability of Administrative Law Enforcement Supervision Organ and Supervisor)

Where an administrative law enforcement supervision organ or a supervisor conducts an act such as abuse of power or neglect of duty that constitutes a condition for punishment, the person-in-charge directly liable or other person liable shall be punished according to law; if such an act constitutes a crime, the liable person(s) shall be prosecuted for criminal liability according to law.

Article 33 (Liability for Obstructing and Impeding Administrative Law Enforcement Work)

As for the units and individuals that obstruct or impede the administrative law enforcement supervision work, the relevant person(s) liable shall be criticized and educated by the administrative law enforcement supervision organ; if they violate the Law of the People’s Republic of China on Public Security Administration and Imposition of Punishment, they shall be subject to the punishment for public security administration according to law by the public security organ.

Chapter VI  Supplementary Provisions

Article 34 (Provisions on Application)

The administrative law enforcement supervision exercised by the working departments of the municipal and district people’s governments on the administrative law enforcement organs established or dispatched thereby, and that by town/township people’s governments and sub-district offices on their subordinate administrative law enforcement agencies shall be implemented by reference to the relevant provisions of these Procedures.

The administrative law enforcement supervision work on the organizations authorized with law enforcement by laws, rules and regulations and on the organizations entrusted with law enforcement according to law shall be implemented by reference to the relevant provisions of these Procedures.

Article 35 (Effective Date)

These Procedures shall be effective as of April 1, 2023.