中国保险监督管理委员会行政许可实施办法 Implementation Measures for Administrative Licensing Of the China Insurance Regu

中国保险监督管理委员会令2004年第5号

颁布日期：20040630 　实施日期：20040701 　颁布单位：中国保险监督管理委员会

　　Reviewed and adopted by the Chairman Meeting of the China Insurance Regulatory Commission on June 3， 2004， the Implementation Measures for Administrative Licensing of the China Insurance Regulatory Commission is hereby promulgated and shall come into effect as of July 1， 2004.

　　Chairman： Wu Dingfu

　　June 30， 2004

　　Article 1

　　These measures are formulated in accordance with Administrative Licensing Law of the People's Republic of China and Insurance Law of the People's Republic of China in order to regulate the implementation of administrative licensing of the China Insurance Regulatory Commission （hereafter referred to as the “CIRC”） and the local offices of the CIRC （hereafter referred to as the “local offices”）， to improve the efficiency of insurance supervision， and to safeguard the legitimate rights and interests of citizens， insurance institutions， other legal persons and organizations.

　　Article 2

　　Administrative licensing hereof refers to the action that the CIRC or its local offices examine the applications of citizens， insurance institutions， other legal persons and organizations in accordance with laws， administrative rules and the authorization as decided by the State Council， and permit them to conduct certain activities.

　　Article 3

　　The CIRC and its local offices shall implement administrative licensing in accordance with limits of authority， scope， conditions and procedures as prescribed by law， pursuing the principles of “open， fair， justified and convenient for people”， so as to raise work efficiency and provide good service.

　　Article 4

　　The CIRC may enact regulations to authorize its local offices to implement administrative licensing. The local offices concerned shall implement administrative licensing with its limits of authority as prescribed by the regulations and in their own name.

　　The CIRC may enact normative documents and entrust its local offices with the implementation of administrative licensing. The local offices concerned shall implement administrative licensing according to the CIRC's entrustment and in the name of the CIRC. The CIRC shall take the legal responsibility for the result of the action.

　　Article 5

　　The CIRC shall not enact regulations or normative documents to create administrative licensing requirements. The local offices shall neither create administrative licensing requirements nor make specified stipulations on the implementation of administrative licensing.

　　Article 6

　　The CIRC may， in its regulations and normative documents， make specified stipulations on the implementation of administrative licensing of activities that require administrative licenses according to laws and administrative regulations or decisions by the State Council， but shall satisfy the requirements as follows：

　　1. No other conditions in violation of laws， administrative regulations or decisions of the State Council shall be added；

　　2. The conditions of administrative licensing shall be enumerated clearly；

　　3. Materials which the applicant needs to submit shall be enumerated clearly；

　　4. Conditions and materials not directly related to administrative licensing items shall not be enumerated.

　　Article 7

　　The normative documents enacted by the CIRC as stipulated in Article 6 hereof shall be announced and published in time on the CIRC proclamations or newspapers distributed across the country.

　　Article 8

　　Specific qualification tests of the insurance sector shall be implemented uniformly by the CIRC and held publicly. The local offices shall not add separate tests. The CIRC shall announce the conditions， measures， subjects and program of the tests in advance. The CIRC shall issue qualificati

on certificates with the seal of the CIRC to those who have passed the tests and meet other legal conditions.

　　The licensing procedure of specific qualifications of the insurance sector， if otherwise stipulated by the CIRC， shall follow such stipulations.

　　Article 9

　　The CIRC or its local offices shall provide the applicant with the format of administrative licensing application if a standardized application is required.

　　The CIRC shall publish the administrative licensing items and the format of administrative licensing application on its official website so as for the applicants to browse and download conveniently.

　　Article 10

　　The General Office of the CIRC and the Offices of the local offices are institutions to uniformly accept administrative licensing applications （hereinafter referred to as the “accepting institution”）。 An accepting institution shall assume the responsibilities as follows：

　　1. It shall uniformly accept administrative licensing applications within the limits of authority of the CIRC or its local offices；

　　2. It shall conduct a preliminary examination of the completeness of the application materials and make suggestions on whether the application can be accepted or not；

　　3. It shall accept the inquiries of the public about insurance administrative licensing；

　　4. It shall superintend the handling of administrative licensing items；

　　5. It shall uniformly serve insurance administrative licensing decisions and certificates.

　　Article 11

　　The CIRC and its local offices shall announce the addresses and ways of contact of the accepting institutions on their official websites.

　　Article 12

　　An accepting institution shall have full-time personnel to accept administrative licensing applications uniformly in fixed office premises.

　　Article 13

　　An accepting institution shall display the following materials in office premises where administrative licensing applications are accepted for the public to look up.

　　1. Document（s） providing the basis for the implementation of administrative licensing；

　　2. Stipulations of the conditions， procedures， and time limit of the implementation of administrative licensing；

　　3. Catalogue of all materials which the applicant needs to submit；

　　4. Sample text of the standardized application.

　　In case an applicant asks for explanations of the displayed materials mentioned above， an accepting institution shall explain the materials concerned with accurate and reliable information.

　　Article 14

　　An accepting institution shall handle applicants' administrative licensing applications separately according to different circumstances as follows：

　　1. In case an application item does not need an administrative license according to law， an accepting institution shall inform the applicant immediately that the application shall not be accepted.

　　2. In case an application item is not within the limits of authority of the CIRC or its local offices according to law， an accepting institution shall immediately decide not to accept the application and shall inform the applicant to apply to the administrative authority concerned.

　　3. In case application materials contain any error（s） that can be corrected on the spot， an accepting institution shall allow the applicant to correct the error（s） on the spot and shall request the applicant to confirm the correction（s） by signing his/her name on the correction（s）。

　　4. In case application materials are incomplete or do not accord with the legal format， an accepting institution shall make out a notice of materials supplement and correction on the spot or within 5 days， informing the applicant of what to be supplemented.

　　5. In case an application item is within the limits of authority of the CIRC and its local of

fices， and the application materials are complete and comply with the legal format or materials have been duly supplemented or corrected in accordance with requirement， an accepting institution shall accept the administrative licensing application.

　　In case an accepting institution cannot decide on the spot whether an application should be accepted or not， it shall， after receiving the applicant's application materials， provide the applicant with a note acknowledging receipt of the application materials and a list clearly enumerating the names of materials submitted.

　　Article 15

　　After deciding to or not to accept an application， an accepting institution shall provide a dated written decision certificate with a seal for the exclusive use of administrative licensing.

　　An accepting institution shall regard the date on which complete materials are received as the date to be indicated on the accepting certificate.

　　Article 16

　　An accepting institution shall inform an applicant to get the written decision certificate concerned on the day when a notice of material supplement and correction is made out or a decision to or not to accept the application is made.

　　If the applicant refuses to get the decision certificate， the accepting institution may serve the document by post.

　　Article 17

　　The CIRC and its local offices shall examine an applicant's application materials submitted.

　　If the CIRC or its local offices find that the administrative licensing item is directly related to others' material interests， the interested parties shall be informed. The applicant and the interested parties have the right to state their views and argue. The CIRC and its local offices shall hear the

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