【中英文对照版】上海市电子证照管理办法.docx

上海市人民政府办公厅关于印发上海市电子证照管理办法的通知NoticeoftheGeneralOfficeofShanghaiMunicipalPeople,sGovernmentonIssuingtheProceduresofShanghaiMunicipalityfortheManagementofElectronicLicenses制定机关：上海市人民政府发文字号：沪府办规20227号公布日期:2022.06.08施行日期：2022.07.01效力位阶：地方规范性文件法规类别：交通运揄综合规定营商环境优化IssuingAuthority：ShanghaiMunicipalPeople'sGovernmentDocumentNumber：SMPGGOG(2022)No.7DateIssued：06-08-2022EffectiveDate：07-01-20221.evelofAuthority：LocalRegulatoryDocumentsAreaofLaw：GeneralProvisionsonTransportationOptimizationofDoingBusiness上海市人民政府办公厅关于印 发上海市电子证照管理办 法的通知NoticeoftheGeneralOfficeofShanghaiMunicipalPeople'sGovernmentonIssuingtheProceduresofShanghaiMunicipalityfortheManagementofElectronicLicensesSMPGGOG2022No.7（沪府办规（2022）7号）各区人民政府，市政府各委、 办、局，各有关单位：Attention:allDistrictPeople'sGovernments,Commissions,OfficesandBureausoftheMunicipalPeople'sGovernmentandRelevantUnites:经市政府同意，现将上海市 电子证照管理办法印发给你 们，请认真组织实施。WiththeapprovaloftheMunicipalPeople'sGovernment,weherebyissuetheProceduresofShanghaiMunicipalityfortheManagementofElectronicLicensestoyou,andyouarerequiredtoimplementthemconscientiously.上海市人民政府办公厅GeneralOfficeofShanghaiMunicipalPeople,sGovernmentJune8,20222022年6月8日ProceduresofShanghaiMunicipalityfortheManagementofElectronicLicenses上海市电子证照管理办法ChapterIGeneralProvisions第一章总则Article1(PurposeandBasis)第一条（目的依据）Withaviewtospeedinguptheurbandigitaltransformation,standardizingthemanagementandapplicationofelectroniclicensesinthisMunicipality,promotinganddeepeningthereformof"GovernmentOnline-OfflineShanghai'*forgovernmentservicesand,one-networkmanagement"forurbanoperations,andcontinuingtooptimizethebusinessenvironment,inaccordancewiththeSeveralProvisionsoftheStateCouncilonOnlineGovernmentServices,RegulationsofShanghaiMunicipalityonData,DecisionoftheStandingCommitteeofShanghaiMunicipalPeople,sCongressonFurtherPromotingandGuaranteeingtheReformof"GovernmentOnline-OfflineShanghaP,ProceduresofShanghaiMunicipalityfortheManagementofPublicDataand“GovernmentOnline-OfflineShanghainjandotherrelevantprovisionsoftheStateandthisMunicipality,theseProceduresareformulated.为加快城市数字化转型，规范本市电子证照管理与应用，促进和深化政务服务“一网通办“、城市运行“一网统管”改革，持续优化营商环境，根据国务院关于在线政务服务的若干规定上海市数据条例上海市人民代表大会常务委员会关于进一步促进和保障“一网通办”改革的决定上海市公共数据和一网通办管理办法和国家、本市其他有关规定，制定本办法。Article2(ScopeofApplication)第二条（适用范围）TheseProceduresareapplicabletothecollection,本办法适用于本市各级国家机关、事业单位、履行公共管理 和服务职能的组织（以下统称 “公共管理和服务机构”）开 展电子证照数据收集、制发、 归集、更新、注销、共享、安 全监督等管理，以及自然人、 法人和非法人组织开展电子证 照应用等相关活动。第三条（概念界定）本办法所称电子证照，是指公 共管理和服务机构依法制发的 各类不涉及国家秘密的证件、 执（牌）照、批文、鉴定报 告、证明材料等数据电文。本办法所称市电子证照库，是 指依托市大数据资源平台统一 建设的，具备电子证照清单管 理、制发归集、场景管理、安 全访问、查询核验等功能的基 础数据库及相关信息系统。本办法所称发证单位，是指依 据法定职责制作签发电子证照 的公共管理和服务机构。本办法所称用证单位，是指在 依法履职过程中共享使用电子 证照的公共管理和服务机构，issuance,collection,update,cancellationandsharingofelectroniclicensedata,safetysupervisionandothermanagementcarriedoutbystateorgans,publicinstitutions,andorganizationsperformingpublicmanagementandservicefunctions(hereinaftercollectivelyreferredtoas"publicmanagementandserviceagencies'*)inthisMunicipality,aswellastotherelatedactivitiessuchastheapplicationofelectroniclicensesconductedbynaturalpersons,legalpersonsandunincorporatedorganizations.Article 3 (DefinitionofConcepts)Theterm“electroniclicenses,*intheseProceduresmeansvariousdatamessagessuchascertificates,licenses(plates),approvals,appraisalreports,andcertificationmaterialsthatarelegallyproducedandissuedbypublicmanagementandserviceagenciesandnotrelatedtostatesecrets.Thetermumnicipalelectroniclicensedatabase5*intheseProceduresmeansthebasicdatabaseandrelatedinformationsystemswhicharebuiltunifiedlyonthebasisofthemunicipalbigdataresourceplatformandhavefunctionssuchaselectroniclicenselistmanagement,productionandcollection,scenemanagement,safeaccess,queryandverification,etc.Thetermcertificate-issuingunitintheseProceduresmeansthepublicmanagementandserviceagencythatproducesandissueselectroniclicensesinaccordancewithstatutoryduties.Thetermcertificate-usinguniintheseProceduresmeanspublicmanagementandserviceagencies,orauthorizedsocialgroupsandenterprisesthatshareanduseelectroniclicenses或经授权的社会团体、企业。intheprocessofperformingtheirdutiesaccordingtolaw.Theterm"certificateholdernintheseProceduresmeanstheobjectofissuanceofelectroniclicenses,includingnaturalpersons,legalpersonsandunincorporatedorganizations.Theterm“governmentapplicationscenenintheseProceduresmeanstheapplicationsceneinwhichpublicmanagementandserviceagenciesneedtoinvokeandverifyelectroniclicensesaccordingtotheirstatutoryduties.ThetermusocialapplicationscenenintheseProceduresmeanstheapplicationsceneinwhichentitiesotherthanpublicmanagementandserviceagencies(hereinafterreferredtoas"socialcertificationentities'*)needtoinvokeandverifyelectroniccertificates.Article 4 (ManagementPrinciples)ThemanagementandapplicationofelectroniclicensesinthisMunicipalityshallfollowthebasicprinciplesof',unifiedstandards,duecollection,mutualrecognitionandcommunication,safetyandreliability".Article 5 (DivisionofResponsibilities)本办法所称持证主体，是指电 子证照的签发对象，包括自然 人、法人和非法人组织。本办法所称政务类应用场景是 指公共管理和服务机构根据法 定职责需调用、核验电子证照 的应用场景。本办法所称社会化应用场景是 指公共管理和服务机构以外的 其他主体（以下简称“社会化 用证主体”）需调用、核验电 子证照的应用场景。第四条（管理原贝D本市电子证照管理和应用遵循 “标准统一、应归尽归、互认 互通、安全可靠”的基本原 则。第五条 （职责分工）市政府办公厅是本市电子证照 综合管理部门（以下简称“综 合管理部门”），负责统筹规 划、协调推进、指导监督全市 电子证照管理及应用工作。市TheGeneralOfficeoftheMunicipalPeople'sGovernmentisthecomprehensivemanagementdepartmentofelectroniclicensesinthisMunicipality(hereinafterreferredtoasthe"comprehensivemanagementdepartment"),whichisresponsiblefortheoverallplanning,coordinationandpromotion,andguidanceandsupervisionofthemanagementandapplicationofelectroniclicensesintheMunicipality.TheMunicipalBigDataisresponsiblefortheconstruction,operationandmanagementofthemunicipalelectroniclicensedatabase,licensedatasharing,applicationaccess,andsecuritysystemconstruction.Allmunicipaldepartmentsareresponsibleforoverallplanningandcoordinatingthepublicmanagementandserviceagenciesoftheirownsystems,andshall,inaccordancewithnationalandmunicipalstandardsandregulations,carryouttheworkofissuing,collecting,updating,cancelingandapplyingelectroniclicenses.Alldistrictpeople'sgovernmentsareresponsibleforoverallplanning,coordinatingpromotion,guidingandsupervisingthemanagementandapplicationofelectroniclicensesintheirrespectiveadministrativeregions,andurgingpublicmanagementandserviceagencieswithintheirrespectiveadministrativeregionstoformulate,agglomerate,update,cancelandapplyelectroniclicensesinaccordancewiththeunifiedstandardsandspecificationsofthisMunicipality.Article 6 (StatusofEffectiveness)Theelectroniccertificateissuedinaccordancewiththenationalandmunicipalstandardshasthesamelegaleffectasthephysicalcertificate,andcanbeusedasthebasisorvoucherforvariousscenes.ChapterIlProductionandCollection大数据中心具体承担市电子证 照库的建设与运营管理、证照 数据共享、应用接入、安全体 系建设等工作。各市级部门负责统筹协调本系 统公共管理和服务机构，按照 国家和本市标准规范，开展电 子证照制发、归集、更新、注 销和应用工作。各区政府负责统筹规划、协调 推进、指导监督本行政区域电 子证照管理和应用工作，督促 本行政区域内公共管理和服务 机构按照本市统一标准规范， 制发、归集、更新、注销和应 用电子证照。第六条（效力地位）按照国家、本市标准规范制发 的电子证照与实体证照具有同 等法律效力，可以作为各类场 景的办事依据或者凭证。第二章制发与归集第七条（发证清单管Article7(ManagementofCertificateIssuance1.ist)Withinthescopeoftheirrespectiveresponsibilities,eachissuingunitshall,inaccordancewiththeunifiedstandards,compilethecatalogueofelectroniclicenseissuanceforitsownsystem,industryandadministrativeregion,andclarifythenameofthelicense,theissuingunit,thetypeoftheholderofthelicense,andthestartingtimeofthecollectionofthelicense,categorypublicattributes,standardlevel(country,cityordistrict),licensetemplate,license-faceinformation,etc.,andshallsynchronouslyupdateandmaintaintheelectroniclicenseissuancedirectory.理）各发证单位在各自职责范围 内，按照统一规范，编制本系 统、本行业、本行政区域的电 子证照发证目录，明确证照名 称、发证单位、持证主体类 型、证照归集起始时间、类目 公开属性、标准级别（国家、 本市或区）、证照模板、照面 信息等，并对电子证照发证目 录进行同步更新和维护。市大数据中心将各单位电子证 照发证目录汇总形成全市电子 证照发证清单，并根据证照类 目公开属性，通过“ 一网通 办''总门户向社会公布。TheMunicipalBigDatashallaggregatetheelectroniclicenseissuancecataloguesofvariousunitstoformthisMunicipality'selectroniclicenseissuancelist,andpublishittothepublicthroughthegeneralportalof"GovernmentOnline-OfflineShanghai*accordingtothepublicattributesofthecategoriesoflicenses.Article8(CollectionandRenewalofLicenses)第八条（证照归集与更新）发证单位会同市大数据中心， 按照国家和本市标准规范制发 电子证照，并同步归集到市电 子证照库，确保归集入库的电 子证照与本单位业务系统数据 的一致性。制发电子证照应当作为业务管理的必要环节，实 现电子证照与实体证照同步制 发与更新，但法律、法规、规 章另有规定的以及经技术认定 无法实现的除外。Theissuingunit,togetherwiththeBigDataCenter,shallproduceandissueelectroniclicensesinaccordancewithnationalandmunicipalstandards,andcollectandgetthemintothemunicipalelectroniclicensedatabasesynchronouslytoensuretheconsistencyoftheelectroniclicensescollectedandstoredwiththedataoftheunit'sbusinesssystem.Theproductionandissuanceofelectroniclicensesshallbeanecessarypartofbusinessmanagement,andthesimultaneousproductionandupdatingofelectroniclicensesandphysicallicensesshallberealized,unlessotherwiseprescribedbylaws,rules,andregulationsandcannotberealizedbytechnicalidentification.Ifitisimpossibletorealizethesimultaneousproductionandissuanceofelectroniclicensesandphysicallicenses,theissuingunitshallensurethattheincrementallicensedatageneratedonthatdayiscollectedintothemunicipalelectroniclicensedatabase.无法实现电子证照与实体证照 同步制发的电子证照，发证单 位应当确保每日将当日产生的 增量证照数据归集到市电子证 照库。Article9(ElectronicService)第九条（电子送达）发证单位制发的电子证照，应 当通过“一网通办”总门户或 “随申力、”移动端向持证主体 进行送达，电子证照送达时间 可作为向申请人颁发、送达证 照时间，但法律、法规、规章 另有规定的除外。Article 10 (Storage of Stock Licenses)第十条（存量证照入 库）Theelectroniclicenseissuedbytheissuingunitshallbedeliveredtotheholderofthecertificatethroughthemainportalof"GovernmentOnline-OfflineShanghai"orthemobileterminalof"WithApplication".Thedeliverytimeoftheelectroniclicensecanbeusedasthetimeforissuinganddeliveringthecertificatetotheapplicant.exceptasotherwiseprovidedbythelaws,rulesandregulations.发证单位应当将有效期内的电 子证照以及有条件电子化的历 史证照电子化后完整归集到市 电子证照库。Article 11 (Force Majeure)第十一条（不可抗力）Theissuingunitshallcompletelygettheelectroniclicenseswithinthevalidityperiodandthehistoricallicensesthatareeligibleforbeingelectronicintothemunicipalelectroniclicenselibrary.发证单位因不可抗力不能及时 制发、归集、更新或注销电子 证照的，应当及时采取应急措 施并上报综合管理部门，并在Iftheissuingunitisunabletoissue,collect,updateorcanceltheelectroniclicenseintimeduetoforcemajeure,itshalltakeemergencymeasuresandreportittothecomprehensivemanagementdepartmentintime,andcompletetheproduction,issuance,collection,update,andcancellationoftheelectroniclicensewithin3workingdaysafterthefaultiseliminated.故障排除后的3个工作日内, 完成电子证照的制发、归集、 更新、注销。Article12(ElectronicSignatureandAuthentication)第十二条（电子签名与 认证）Theissuingunitshall,inaccordancewiththeElectronicSignatureLawofthePeople,sRepublicofChinaandtherelevantprovisionsoftheStateandthisMunicipality,entrustalegallyestablishedelectroniccertificationserviceagencytoelectronicallysign(orseal)theelectroniclicenses,exceptthatthelawsandrulesprovideotherwise.发证单位应当按照中华人民 共和国电子签名法和国家、 本市的有关规定，委托依法设 立的电子认证服务机构对电子 证照进行电子签名（或签 章），但法律、法规另有规定 的除外。第三章应用与服务Article 13 (License List)第十三条（用证清单）ChapterIIIApplicationsandServices用证清单是基于标准化、规范 化的政务服务、执法监管等事 项，将行政相对人所需提交或 者出示的材料与相应电子证照 建立对应关系的一种管理措 施，用于提升政务类场景应用 电子证照的便捷性。各用证单 位应当基于政务服务事项清单 及办事指南等，按照精准、必 要的原则，建立本单位的用证 清单，并进行动态管理，确保 用证范围合法、合规、合理。第十四条（材料免交）Thelicenselistisamanagementmeasurethatestablishesacorrespondingrelationshipbetweenthematerialssubmittedorpresentedbytheadministrativecounterpartandthecorrespondingelectroniclicensebasedonstandardizedandnormalizedgovernmentservices,lawenforcementsupervisionandothermatters,andisusedtoimprovetheapplicationofelectroniclicensesingovernmentaffairsscene.Eachlicense-usingunitshallestablishitsownlicense-uselistbasedonthelistofgovernmentservicemattersandhandlingguidelines,etc.,inaccordancewiththeprinciplesofaccuracyandnecessity,andconductdynamicmanagementtoensurethatthescopeofuseoflicensesislegal,compliant,andreasonable.Article 14 (MaterialExemption)Intheprocessofapplyingforthebusinessoftheadministrativecounterpart,ifthelicenseusercanobtaintherequiredelectroniccertificatethroughthemunicipalelectroniclicenselibrary,itisnotallowedtorequiretheadministrativecounterparttoprovidethecorrespondingphysicalcertificateandphotocopy,exceptasotherwiseprovidedbylawsandrules.用证单位在办理行政相对人业 务申请过程中，凡可以通过市 电子证照库获取所需电子证照 的，不得要求行政相对人提供 相应实体证照和复印件，但法 律、法规另有规定的除外。Article 15 (RequirementsforAccessandUseofLicenseUsingUnits)第十五条（用证单位接 入和使用要求）纳入用证清单管理范围的应用 场景，用证单位应当按照用证 清单管理和技术要求，完成技 术功能对接并规范开展应用。 其他政务类应用场景，确需调 用电子证照的，用证单位应当 通过市大数据资源平台申请调 用电子证照，具体要求按照公 共数据共享的有关要求执行。Article 16 (License Holders Present Certificates)第十六条证）（持证主体亮Fortheapplicationscenesincludedinthemanagementscopeofthelicenselist,thelicenseusershallcompletethetechnicalfunctionconnectionandstandardizetheapplicationinaccordancewiththelicenselistmanagementandtechnicalrequirements.Forothergovernmentaffairsapplicationscenes,ifitisreallynecessarytoinvokeelectroniclicenses,thelicenseusersshallapplyfortheinvokingofelectroniclicensesthroughthemunicipalbigdataresourceplatform,andthespecificrequirementsshallbeimplementedinaccordancewiththerelevantrequirementsofpublicdatasharing.持证主体可以通过“一网通 办''总门户、“随申办”或经 国家有关部门、本市综合管理 部门认定的移动端，查询或出 示电子证照，表明持证主体的 身份、资质等。1.icenseholderscaninquireorshowtheirelectroniccertificatesthroughthemainportalof"GovernmentOnline-OfflineShanghai'1,"WithApplication"ormobileterminalsrecognizedbytherelevantstatedepartmentsandthisMunicipality'scomprehensivemanagementdepartment,indicatingtheidentityandqualificationsofthelicenseholders.Article17(OneLicenseforOneBusiness)第十七条（一业一证）本市根据“一业一证”改革要 求，对本市核发的行业综合许 可证实行电子化管理，推行市 场主体电子亮证应用，为行业 综合许可证的持证企业提供便 利。Article 18 (Socialized Application)第十八条（社会化应 用）Accordingtothereformrequirementsof"onelicenseforoneindustry",thisMunicipalityshallimplementelectronicmanagementofindustrycomprehensivelicensesissuedbythisMunicipality,andpromotetheapplicationofelectronicdisplayoflicensesformarketentitiestoprovideconvenienceforenterprisesthatholdcomprehensiveindustrylicenses.本市鼓励金融、物流、教育、 医疗、文化、旅游等有条件的 行业，在管理服务活动中广泛 应用电子证照。ThisMunicipalityshallencouragequalifiedindustriessuchasfinance,logistics,education,medicalcare,culture,andtourismtowidelyapplyelectroniclicensesinmanagementandserviceactivities.社会化用证主体应当通过电子 证照社会化应用系统申请用 证，按照技术规范实现与市电 子证照库的对接，严禁超出权 限使用电子证照。具体管理要 求由综合管理部门另行规定。Thesubjectofsocializedlicenseshallapplyforthelicensethroughtheelectroniclicensesocializationapplicationsystem,realizetheconnectionwiththemunicipalelectroniclicenselibraryinaccordancewiththetechnicalspecifications,andstrictlyprohibittheuseofelectroniclicensesbeyondtheauthority.Thespecificmanagementrequirementsshallbeseparatelyprescribedbythecomprehensivemanagementdepartment.第十九条（社会化应用 可信授权访问体系）Article 19 (TrustedAuthorizationAccessSystemofSocializedApplication)社会化用证主体应当通过统一 的可信授权访问体系接入市电 子证照库，经持证主体亮证、 授权后规范调取电子证照。Thesubjectofsocializedlicenseshallaccessthemunicipalelectroniclicenselibrarythroughaunifiedtrustedauthorizationaccesssystem,andtheelectroniclicenseshallberetrievedinastandardizedmannerafterth