北京市工商行政管理局

  关于印发企业登记容缺受理操作规程（试行）的通知

京工商发〔2017〕61号

  各区分局、专业分局、市局机关各处室、稽查总队、各事业单位、各协会、学会：

  现将《企业登记容缺受理操作规程（试行）》印发给你们，请认真遵照执行。

北京市工商行政管理局

  企业登记容缺受理操作规程（试行）

第一章 总则

  第一条 为进一步推动简政放权和政府职能转变，强化信用激励作用，优化行政审批流程，提高审批效率和服务效能，根据《国务院关于建立完善守信联合激励和失信联合惩戒制度加快推进社会诚信建设的指导意见》（国发[2016]33号）等文件精神，结合本市工商登记实际，制定本规程。

  第二条 本规程所称容缺受理是指在申请人提交的申请材料基本符合登记条件，但部分申请材料需要完善和补充的情况下，登记机关先行受理并在申请人补交材料后做出登记决定的登记服务措施。

第二章 工作原则

  第三条 依法行政原则。登记机关依照《行政许可法》等法律法规的规定开展容缺受理。申请人补交材料后，经工作人员审查确保登记材料齐全且符合法定形式，方可作出准予登记的决定。

  第四条 公平公正原则。在实施容缺受理的过程中，不得选择性地对待企业，凡符合容缺受理条件的，登记机关应当予以办理。

  第五条 便捷高效原则。有力有序推进容缺受理服务模式，改变以往申请材料必须全部齐全登记机关才予受理的传统工作模式。减少申请人往返跑路，提升行政审批效率。

第三章 适用范围

  第六条 符合以下情形的适用容缺受理程序：

  （一）证照数量不全，经申请人确认未丢失可补交的；

  （二）决议、章程等文件未提交原件，经申请人确认可以更换原件的；

  （三）住所证明等可以提交复印件的文件未加盖印章，经申请人确认可以更换的；

  （四）申请文件的文字错误处需加盖印章，经申请人确认可以补盖印章的；

  （五）决议、章程等企业自制文件中存在文字错误，经申请人确认可以更换的；

  （六）营业执照、身份证明等复印件不齐全或不清晰，经申请人确认可以补交和更换的；

  （七）未提交法定代表人等人员的照片，经申请人确认可以补交的；

  （八）根据实际情况，需要补充提交相关书面说明，经申请人确认可以补交的；

  （九）可适用容缺受理程序的其他情形。

  第七条 各分局可以结合本地区实际情况，在本规程规定范围的基础上，确定适用容缺受理程序的范围。

第四章 登记程序

  第八条 申请人向登记机关提交申请材料后，经受理人员审查符合容缺受理条件的，应当一次性告知申请人需补齐的材料，指导申请人填写《容缺受理承诺书》（见附件），并将《容缺受理承诺书》复印件与《受理通知书》一并发给申请人。《容缺受理承诺书》原件随登记材料流转到核准环节。

  第九条 补交材料的时限原则上不超过受理后规定的领取证照文书的时间。超过时限的，可以根据实际情况，本着方便申请人的原则确定受理、核准和核发营业执照的时间。

  第十条 申请人补交申请材料时，原则上由原受理人员负责审查，审查无误后提交核准人员，由核准人员作出准予登记决定，出具《准予登记通知书》并核发营业执照。受理人员收回《容缺受理承诺书》复印件并记录台账。《容缺受理承诺书》原件归入登记档案附卷。

  第十一条 申请人对所补交材料的真实性、合法性、完整性负责。如不履行承诺，登记机关将作出不予登记决定。

第五章 工作要求

  第十二条 登记工作人员应本着为申请人提供便利的原则，在不违反法律规定的前提下，积极主动开展容缺受理，降低企业的办事成本。

  第十三条 登记工作人员应当熟练掌握登记业务，落实容缺受理规范化、标准化要求，提高容缺受理工作透明度，提升登记准入服务效能。

  第十四条 登记工作人员审查补交材料时，要对补交材料与已受理材料的内容一致性、文件签署时间逻辑关系等重点审查。加强前后台的协作配合，确保申请材料内部流转畅通。适用于直接核准的登记业务，由核准人员履行本规程规定的受理人员的工作职责。

第六章 附则

  第十五条 本规程由北京市工商行政管理局登记注册处负责解释。

  第十六条 本规程自试行。

  附件：容缺受理承诺书

附件

容缺受理承诺书

企业名称

  统一社会信用代码（注册号）

  承诺补齐补正的文件材料 1、

2、

3、

  本人承诺以上文件在 年 月 日前补交，经登记机关审核同意领取证照文书。因故无法补交或补交材料不符合规定的，造成的法律后果和相关损失由本人自行承担。

  申请人签字： 年 月 日

  Notice of Administration for Industry and Commerce on Operating Rules for Fault Tolerance Acceptance ofRegistration (Trail)

  Document ofAdministration for Industry and Commerce [2017] No. 61

  To all district sub-bureaus and professional bureaus， sections and offices of BAIC， the General Audit Agency， all nonprofit organizations， all associations and all societies，

  The "Operating Rules for Fault Tolerance Acceptance of Enterprise Registration (trial)" is hereby printed and distributed to you. Please follow it carefully.

  Administration for Industry and Commerce

  December 25， 2017

  The Operating Rules for Fault Tolerance Acceptance of Enterprise Registration (trial)

  Chapter 1 General Provisions

  Articleorder to further promote streamlining government and delegating authorities and changing government functions， strengthen the role of credit incentives， optimize the administrative verification and approval process and improve the efficiency of examination and approval and service effectiveness， according to the spirit of the Guiding Opinions of the State council on Establishing a Sound System of Joint Incentive to Keeping Faith and Joint Punishment for Losing Faith to Accelerate the Construction of Social Integrity (State Council Document [2016] No. 33) and other documents and combining with the city's industrial and commercial registration practice， formulate the operating rules.

  Article 2 The fault tolerance acceptance in the operating rules refers to a registration service measure when the application materials submitted by an applicant are basically in compliance with the registration conditions， but some application materials need to be improved and supplemented， the registration authority accepts the application in advance and make a registration decision after the applicant has submitted the complementary materials.

  Chapter 2 Working Principles

  Article 3 The principle of administration according to the law The registration authority conducts fault tolerance acceptance in accordance with the "Administrative Licensing Law" and other laws and regulations. After the applicant has submitted the complementary materials and the staff make sure the registration materials are complete and in a statutory form after examination， then a decision of approving registration can be made.

  Article 4 The principle of fairness and justice In the course of implementing fault tolerance acceptance， enterprises shall not be treated selectively. Any enterprise meeting the conditions for fault tolerance acceptance， the registration authority shall handle it.

  Article 5 The principle of convenience and efficiency Vigorously and orderly push forward the fault tolerance acceptance service mode and change the previous traditional work mode that the registration authority will accept until all application materials must be complete. Reduce the number of running back and forth of applicants to improve the efficiency of administrative verification and approval.

  Chapter 3 Scope of Application

  Article 6 The following circumstances are applicable to the fault tolerance acceptance procedure.

  1. The number of licenses is not complete and it is confirmed by applicants not to be lost but can be complemented.

  2. Original scripts of documents such as resolutions and articles of association have not been submitted but are confirmed by applicants to be able to be submitted.

  3. Copies of documents such as residence certificates that can be submitted are not stamped and are confirmed by applicants to be able to be replaced.

  4. Where the text of application documents is wrong， a seal must be stamped and applicants can confirm that the seal can be filled.

  5. There are written mistakes in the documents made by enterprises， such as resolutions and articles of association， which are confirmed by applicants to be able to be replaced.

  6. Copies of business licenses， identity certificates and other documents are incomplete or unclear and are confirmed by applicants to be able to be supplemented or replaced.

  7. Photographs of legal representatives and other personnel have not been submitted and are confirmed by applicants to be able to be supplemented.

  8. According to the actual situation， relevant written explanations are needed to be supplemented and are confirmed by applicants to be able to be supplemented.

  9. Other circumstances applicable to the fault tolerance acceptance procedure

  Article 7 Each branch office can determine the applicable scope of the fault tolerance acceptance procedure on the basis of the scope of the operating rules in accordance with the actual conditions.

  Chapter 4 Registration Procedures

  Article 8 After applicants submit application materials to the registration authority， the accepting personnel， after reviewing it meets the fault tolerance acceptance conditions， shall notify the applicants once and for all the materials that need to be filled up， guide the applicants to fill out the “Fault Tolerance Acceptance Commitment Letter” (see attachment) and send copies of the “Fault Tolerance Acceptance Commitment Letter” and the "Notice of Acceptance" to the applicants together. Original scripts of the “Fault Tolerance Acceptance Commitment Letter” are transferred with the registration material to the verification and approval link.

  Article 9 The time limit for submitting complementary materials in principle does not exceed the time for receiving the license documents specified after acceptance. If the time limit is exceeded， the time for accepting， verifying and approving， and issuing a business license may be determined based on the actual situation and on the principle of facilitating applicants.

  Article 10 When applicants supplement complementary materials， in principle， the original person in charge shall be responsible for the review， shall submit it to the verification and approval personnel after it is reviewed to be correct and the verification and approval personnel shall make a decision of approving registration and issue the Notice of Approval for Registration and issue a business license. The acceptance personnel take back copies of the “Fault Tolerance Acceptance Commitment Letter” and record the ledger. Original scripts of the “Fault Tolerance Acceptance Commitment Letter” are included into the registration file attachment.

  Article 11 Applicants are responsible for the authenticity， legality and completeness of the materials submitted. If the commitment is not fulfilled， the registration authority will make a decision of not registering.

  Chapter 5 Job Requirements

  Article 12 The registration staff should， on the basis of the principle of providing convenience for applicants， proactively carry out fault tolerance acceptance to reduce the handling costs of enterprises in the premise of not violating the legal provisions.

  Article 13 The registration staff should be proficient in the registration business， implement the normalized and standardized fault tolerance acceptance requirements， improve the transparency of the fault tolerance acceptance work and improve the registration access service efficiency.

  Articleexamining the supplementary materials， the registration staff must mainly review the consistency of the contents of the supplementary materials and accepted materials， the logical relationship between the time of document signing， etc. Strengthen cooperation between the front and back offices and ensure the internal smooth circulation of the application materials. For the registration business applicable to direct verification and approval， the verification and approval personnel shall perform the duties and responsibilities of acceptance personnel stipulated in the operating procedures.

  Chapter 6 Supplementary Provisions

  Article 15 The operating procedures This regulation shall be interpreted by the Registration Department of BAIC.

  Article 16 The operating procedures shall be put into trail use from December 25， 2017.

  Appendix: The Fault Tolerance Acceptance Commitment Letter

Appendix

  The Fault Tolerance Acceptance Commitment Letter

  Company Name

  Unified social credit code (registration number)

  Documents promised to make up and correct 1.

  2.

  3.

  I promise the above documents should be submitted before ________ date and shall receive certificates on approval of the registration authority. If， for any reason， I fail to supplement materials or the materials supplement are not in compliance with the regulations， the legal consequences and related losses caused will be borne by me alone.

  Signature of Applicant: Date