中华人民共和国海上国际集装箱运输管理规定(附英文)
国务院
中华人民共和国海上国际集装箱运输管理规定(附英文)
1990年12月5日，国务院
第一章 总 则
第一条 为加强海上国际集装箱运输管理，明确有关各方责任，适应国家对外贸易的需要，制定本规定。
第二条 本规定适用于在中华人民共和国境内设立的海上国际集装箱运输企业及与海上国际集装箱运输有关的单位和个人。
第三条 中华人民共和国交通部主管全国海上国际集装箱运输事业。
第四条 海上国际集装箱运输必须贯彻安全、准确、迅速、经济和文明服务的方针，积极发展门到门运输。
第二章 海上国际集装箱运输企业的开业审批
第五条 海上国际集装箱运输企业是指从事海上国际集装箱运输的航运企业、港口装卸企业及其承运海上国际集装箱的内陆中转站、货运站。
第六条 设立经营海上国际集装箱运输的航运企业，应当经省、自治区、直辖市交通主管部门审核，报交通部审批。
第七条 设立港口国际集装箱装卸企业应当经省、自治区、直辖市交通主管部门审批，报交通部备案。
本办法发布后新设立承运海上国际集装箱的内陆中转站、货运站，应当经设立该企业的主管部门审核同意后，由省、自治区、直辖市交通主管部门审批，报交通部备案。
对外经济贸易系统新设立的承运海上国际集装箱的内陆中转站、货运站的审批办法，由交通部会同对外经济贸易部另行制定。
第八条 设立中外合资经营、中外合作经营的海上国际集装箱运输企业，须经交通部审核同意后，按照有关法律、法规的规定，由对外经济贸易部审批。
第九条 设立经营海上国际集装箱运输的企业，应当具备以下条件：
（一）有与其经营范围和服务对象相适应的运输船舶、车辆、设备及其他有关设施；
（二）有相应的组织机构、办公场所、专业管理人员；
（三）有与所经营的集装箱运输业务相适应的注册资本和自有流动资金；
（四）国家法律、法规规定的设立企业的其他条件。
第十条 交通主管部门应当根据申请经营海上国际集装箱运输企业的资金来源、设备情况、管理水平、货源情况，审核批准其业务经营范围。
第十一条 交通主管部门应当将批准文件发给获准经营海上国际集装箱运输的企业。取得批准文件的单位，凭该文件向工商行政管理部门申请登记注册，经核准发给营业执照后，方可开业。
设立承运海上国际集装箱的内陆中转站、货运站，还应当向海关办理登记手续。
第三章 货运管理
第十二条 用于海上国际集装箱运输的集装箱，应当符合国际集装箱标准化组织规定的技术标准和有关国际集装箱公约的规定。
集装箱所有人、经营人应当做好集装箱的管理和维修工作，定期进行检验，以保证提供适宜于货物运输的集装箱。
违反本条第二款规定，造成货物损坏或短缺的，由责任人按照有关规定承担赔偿责任。
第十三条 承运人及港口装卸企业应当保证运载集装箱的船舶、车辆、装卸机械及工具处于良好的技术状况，确保集装箱的运输及安全。
承运人及港口装卸企业违反本条第一款规定，造成货物损坏或短缺的，应当按照有关规定承担赔偿责任。
第十四条 承运人及港口装卸企业应当使用集装箱运输单证。
第十五条 承运人可以直接组织承揽集装箱货物，托运人可以直接向承运人或委托货运代理人洽办进出口集装箱货物的托运业务。
第十六条 托运人应当如实申报货物的品名、性质、数量、重量、规格。托运的集装箱货物，必须符合集装箱运输的要求，其标志应当明显、清楚。
第十七条 托运人或承运人在货物装箱前应当认真检查箱体，不得使用影响货物运输、装卸安全的集装箱。
第十八条 装运粮油食品、冷冻品等易腐食品的集装箱，须经商检机构检验合格后方可使用。
第十九条 集装箱货物运达目的地后，承运人应当及时向收货人发出提货通知，收货人应当在收到通知后，凭提单提货。
收货人超过规定期限不提货或不按期限归还集装箱的，应当按照有关规定或合同约定支付货物、集装箱堆存费及支付集装箱超期使用费。
第二十条 海上国际集装箱的运费和其他费用，应当根据国家有关运输价格和费率的规定计收；国家没有规定的，按照双方商定的价格计收。任何单位不得乱收费用。
第二十一条 承运人及港口装卸企业，应当定期向交通主管部门报送运输统计报表。
第二十二条 与海上国际集装箱运输相关的各方应当及时相互提供集装箱运输信息。
第四章 交接和责任
第二十三条 承运人与托运人或收货人应当根据提单确定的交接方式，在码头堆场、货运站或双方商定的其他地点办理集装箱、集装箱货物交接。
第二十四条 参加海上国际集装箱运输的承运人、港口装卸企业应当按照下列规定办理集装箱交接：
（一）海上承运人通过理货机构与港口装卸企业在船边交接；
（二）经水路集疏运的集装箱，港口装卸企业与水路承运人在船边交接；
（三）经公路集疏运的集装箱，港口装卸企业与公路承运人在集装箱码头大门交接；
（四）经铁路集疏运的集装箱，港口装卸企业或公路承运人与铁路承运人在装卸场交接。
第二十五条 集装箱交接时，交接双方应当检查箱号、箱体和封志。重箱凭封志和箱体状况交接；空箱凭箱体状况交接。
交接双方检查箱号、箱体和封志后，应当作出记录，并共同签字确认。
第二十六条 承运人、港口装卸企业对集装箱、集装箱货物的损坏或短缺的责任，交接前由交方承担，交接后由接方承担。但如果在交接后一百八十天内，接方能提出证据证明集装箱的损坏或集装箱货物的损坏或短缺是由交方原因造成，交方应当承担赔偿责任。法律另有规定的除外。
第二十七条 除法律另有规定外，承运人与托运人应当根据下列规定，对集装箱货物的损坏或短缺负责：
（一）由承运人负责装箱的货物，从承运人收到货物后至运达目的地交付收货人之前的期间内，箱内货物损坏或短缺，由承运人负责。
（二）由托运人负责装箱的货物，从装箱托运后至交付收货人之前的期间内，如箱体和封志完好，货物损坏或短缺，由托运人负责；如箱体损坏或封志破坏，箱内货物损坏或短缺，由承运人负责。
承运人与托运人或收货人之间要求赔偿的时效，从集装箱货物交付之日起算不超过一百八十天，但法律另有规定的除外。
第二十八条 由于托运人对集装箱货物申报不实造成人员伤亡，运输工具、货物自身及其他货物、集装箱损失的，由托运人负责。
第二十九条 由于装箱人的过失，造成人员伤亡，运输工具、其他货物、集装箱损失的，由装箱人负责。
第三十条 集装箱货物发生损坏或短缺，对外索赔时需要商检部门鉴定出证的，应当依照《中华人民共和国进出口商品检验法》办理。
集装箱、集装箱货物发生短缺，对外索赔时需要理货机构出证的，应当依照有关规定办理。
第五章 罚 则
第三十一条 无运输营业执照从事集装箱运输业务的，由交通主管部门责令其停止营业，由工商行政管理部门给予处罚。
第三十二条 违反本规定及国家有关物价法规收取运输费用的，由物价管理部门给予处罚。
第三十三条 违反运输单证管理规定的，由交通主管部门视情节轻重给予警告或罚款。
第三十四条 扰乱运输秩序或随意扩大业务经营范围的，由交通主管部门责令其整顿，并由工商行政管理部门给予处罚。
第三十五条 当事人对处罚决定不服的，可以在收到处罚通知的次日起十五日内，向处罚机关的上一级机关申请复议。接到复议申请的机关应当在三十日内作出复议决定。当事人对复议决定仍不服的，可以在接到复议决定之日起十五日内向人民法院起诉。当事人逾期不申请复议、不起诉，又不履行处罚决定或复议决定的，作出处罚决定的机关可以申请人民法院强制执行。
第六章 附 则
第三十六条 本规定由交通部负责解释。
交通部可以根据本规定制定实施细则。
第三十七条 本规定自发布之日起施行。
PROVISIONS OF THE PEOPLE'S REPUBLIC OF CHINA ON THE ADMINISTRATIONOF MARITIME INTERNATIONAL CONTAINER TRANSPORT
Important Notice: (注意事项)
英文本源自中华人民共和国务院法制局编译, 中国法制出版社出版的《中华人民
共和国涉外法规汇编》(1991年7月版).
当发生歧意时, 应以法律法规颁布单位发布的中文原文为准.
This English document is coming from the "LAWS AND REGULATIONS OF THE
PEOPLE'S REPUBLIC OF CHINA GOVERNING FOREIGN-RELATED MATTERS" (1991.7)
which is compiled by the Brueau of Legislative Affairs of the State
Council of the People's Republic of China, and is published by the China
Legal System Publishing House.
In case of discrepancy, the original version in Chinese shall prevail.
Whole Document (法规全文)
PROVISIONS OF THE PEOPLE'S REPUBLIC OF CHINA ON THE ADMINISTRATION
OF MARITIME INTERNATIONAL CONTAINER TRANSPORT
(Promulgated by Decree No. 68 of the State Council of the People's
Republic of China on December 5, 1990, and effective as of the date of
promulgation)
Chapter I General Provisions
Article 1
These Provisions are formulated in order to strengthen the administration
of maritime international container transport, to clearly define the
responsibilities of the various parties concerned, and to meet the State's
needs in handling foreign trade.
Article 2
These Provisions shall apply to those enterprises that are established
within the territory of the People's Republic of China for the handling of
maritime international container transport, and also to units and
individuals that are involved in the operations of maritime international
container transport.
Article 3
The Ministry of Communications of the People's Republic of China shall be
responsible for the administration of the operations of maritime
international container transport throughout the country.
Article 4
In conducting maritime international container transport, the principles
of safety, accuracy, speed, economy, and civilized services must be
followed and door-to-door transportation shall be actively developed.
Chapter II Procedures for the Examination and Approval of Applica- tions for the Establishment of Enterprises That Handle Maritime Inter- national Container Transport
Article 5
"Enterprises for the operations of maritime international container
transport" refers to those shipping enterprises that are engaged in
maritime international container transport, and also to those enterprises
that are engaged in port handling, with their inland transshipment
stations and freight stations that undertake maritime international
container transport.
Article 6
The applications for the establishment of enterprises that are engaged in
the operations of maritime international container transport shall be
submitted to the competent departments for communications of the
provinces, autonomous regions, or municipalities directly under the
Central Government for examination and verification, and then to the
Ministry of Communications for examination and approval.
Article 7
The applications for the establishment of enterprises that are engaged in
port handling of international containers shall be submitted to the
competent departments for communications of the provinces, autonomous
regions, or municipalities directly under the Central Government for
examination and approval, and then to the Ministry of Communications for
the record.
After the promulgation of these Provisions, the applications for the
establishment of new inland transshipment stations and freight stations
that undertake the transport of maritime international containers shall be
submitted first to the competent department that has established the said
enterprise for examination, verification, and consent; and then to the
competent departments for communications of the provinces, autonomous
regions, or municipalities directly under the Central Government for
examination and approval; and finally to the Ministry of Communications
for the record. The procedures for the examination and approval of the
applications for the establishment of new transshipment stations and
freight stations that undertake the transport of maritime international
containers shall be formulated separately by the Ministry of
Communications in conjunction with the Ministry of Foreign Economic
Relations and Trade.
Article 8
The applications for the establishment of Chinese-foreign equity joint
ventures and Chinese-foreign contractual joint ventures that handle
maritime international container transport shall be submitted to the
Ministry of Communications for examination, verification, and consent; and
shall then, in accordance with the provisions of the pertinent laws and
regulations, be submitted to the Ministry of Foreign Economic Relations
and Trade for examination and approval.
Article 9
The establishment of enterprises that are engaged in the operations of
maritime international container transport must satisfy the following
conditions:
(1) to have transport vessels, transport motor vehicles, transport
equipment and other relevant facilities that correspond to their scope of
business and to the needs of their customers;
(2) to have the necessary organizational structure, site for setting up
their business office, and specialized administrative personnel;
(3) to have the registered capital and their own working capital that
meets the requirements of their business operations;
(4) to meet other conditions as stipulated by State laws, decrees and
regulations governing the establishment of enterprises.
Article 10
The competent department for communications shall examine, verify and
approve the scope of business operations of the enterprises that have
applied for the permission to handle maritime international container
transport in light of their sources of funds, the conditions of equipment
and facilities, the standard of administration, and the sources of
cargoes.
Article 11
The competent department of communications shall issue the approving
documents to those enterprises, which have obtained the approval to handle
maritime international container transport. The units that have received
the approving documents shall apply and go through the registration
procedures by presenting the aforesaid approving documents to the
administrative department for industry and commerce, which shall issue the
business licences after checking and approving the enterprises'
application: and only then shall the enterprises be permitted to start
business operations.
Cases concerning the establishment of inland transshipment stations and
freight stations that undertake the transport of maritime international
containers shall also be submitted to the Customs for the completion of
the registration procedures.
Chapter III Management of Freight Transportation
Article 12
The containers used in maritime international container transport shall
conform to the provisions and technical standards of the international
organization for the standardization of containers, and also to the
provisions of the pertinent international containers convention.
The owners and operators of containers shall do a good job in the
management and maintenance of containers and carry out regular
inspections, in order to guarantee the provision of containers that are
suitable for the transportation of cargoes. In case that the provisions
in the second paragraph of this Article have been violated, and, as a
result, goods are damaged or short in number or quantity, the person(s)
who is (are) held responsible for this shall bear the liability for
compensation in accordance with the pertinent provisions.
Article 13
Shippers and enterprises that are engaged in port handling, shall
guarantee that the vessels, motor vehicles, handling machinery and tools
are kept in a good technical condition, thereby ensuring the
transportation and safety of containers. In case that shippers and
enterprises that are engaged in port handling have violated the provisions
in the first paragraph of this Article, and, as a result, goods are
damaged or short in number or quantity, they shall bear the liability for
compensation in accordance with the pertinent provisions.
Article 14
Shippers and enterprises that are engaged in port handling shall use the
container shipping documents.
Article 15
Shippers may directly organize the contracting of the transportation of
container goods, and consignors may directly hold business talks with
shippers or commission shipping agents for the consignment of import and
export container goods.
Article 16
Consignors shall submit an accurate report on the names of goods, and
their property, quantity, weight, and specifications. The goods shipped by
consignment in containers must conform to the requirements of container
transport, and marks on the goods should be obvious and clear.
Article 17
Consignors or shippers shall, before vanning, carry out a careful
inspection of containers, and containers that might cause an adverse
effect on to the transportation and vanning of goods may not be used.
Article 18
Containers which are used for shipping such perishables as grains, edible
oils, and frozen food, shall be inspected by the department for commodity
inspection and found to be up to the standard before they are used for
shipping.
Article 19
As soon as container goods have reached their destination, the shipper
shall promptly send a cargo delivery notice to the consignee; and the
consignee shall, upon receiving the notice, take delivery of goods on the
strength of the bill of lading. In case that the consignee fails to clear
the goods when the prescribed time limit is overdue, or that the consignee
fails to return the containers according to the prescribed time limit, the
said consignee shall be required to pay, in accordance with the pertinent
stipulations or with the agreement set forth in the contract, the
demurrage charge for the extended use of containers.
Article 20
The freight charges for maritime international container transport and
other expenses shall be calculated and collected in accordance with the
State provisions concerning shipping charges and charge rates. In the
absence of State provisions, the freight charges shall be calculated and
collected in accordance with the prices agreed upon by both parties. No
units shall be permitted to collect charges at random.
Article 21
Shippers and enterprises that are engaged in port handling, shall submit
periodical statistical statements on transportation to the competent
department for communications.
Article 22
Various parties that are involved in maritime international container
transport shall, in good time, provide each other with information
concerning container transport.
Chapter IV Hand-Over Procedures and Responsibilities
Article 23
Shippers and consignors or consignees shall, in accordance with the hand-
over method stipulated in the bill of lading, handle the hand-over
operations of containers and container goods at marshalling yards, freight
stations, or other places agreed upon by the two parties concerned.
Article 24
Shippers and enterprises that are engaged in port handling, which take
part in maritime international container transport, shall handle the hand-
over operations in accordance with the following provisions:
(1) maritime shippers shall handle the hand-over operations alongside
vessel through the tally companies and enterprises that are engaged in
port handling;
(2) with respect to containers transported by waterways through nodal
points, the enterprises that engaged in port handling and waterway
carriers shall handle the hand-over operations alongside vessel;
(3) with respect to containers transported by highways through nodal
points, the enterprises that engaged in port handling and highway carriers
shall handle the hand-over operations at the gate of the container
terminal;
(4) with respect to containers transported by railway through nodal
points, the enterprises that engaged in port handling or highway carriers
and railway carriers shall handle the hand-over operations at the site of
handling.
Article 25
While handling the hand-over operations of containers, the two handling
parties shall check the container numbers, the bodies of containers and
the containers' marking seals. The loaded containers shall be handed over
by their marking seals and by the condition of container body: and the
empty containers shall be handed over by condition of container body.
After checking the container numbers, the bodies of containers and the
marking seals, the two handling parties shall make a record and confirm it
by appending their signatures to the record.
Article 26
With respect to the liabilities of shippers and enterprises that are
engaged in port handling for the damage and loss of containers and
container goods, before the hand-over operations, the liabilities shall be
taken up by the handing-over party; after the hand-over operations, the
liabilities shall be taken up by the receiving party. However, if, within
180 days immediately after the hand-over operations, the receiving party
is able to produce evidence to testify to the fact that the damage of the
containers, or the damage and loss of container goods, were caused by the
handing-over party, then the handing-over party shall take up the
liabilities for compensation, unless otherwise provided by law.
Article 27
Unless otherwise provided by law, shippers and consignors shall, in
accordance with the following provisions, take up the liabilities for the
damage or loss of container goods:
(1) With respect to those goods, the vanning of which is done by the
shippers, if the goods in the containers are damaged or are short in
number or quantity during the period of time from the day the shippers
receive the goods to the day when the goods reach their destination but
before they are handed over to the consignees, the shippers shall take up
the liabilities for the damage or shortage.
(2) With respect to those goods, the vanning of which is done by the
consignors, if the container bodies and the marking seals have remained
intact but the goods (in the containers) have been damaged or are short in
number or quantity during the period of time from the completion of the
vanning and the completion of the procedures for consignment to the day
before the containers are handed over to the consignees, the consignors
shall take up the liabilities for the damage or shortage; if the container
bodies are damaged or the marking seals broken, and the goods in the
containers are also damaged or are short in number or quantity, the
shippers shall take up the liabilities for the damage or shortage.
The time limits for shippers and consignors or consignees to raise claims
for compensation shall be limited to no more than 180 days, beginning from
the day when container goods are handed over, unless otherwise provided by
law.
Article 28
In case that the consignors' inaccurate or false declaration on container
goods has resulted in injuries and death of personnel, or in the loss of
means of transport of the goods proper and the containers, or of other
goods, the consignors shall bear the liabilities for the consequences
arising therefrom.
Article 29
In case that the fault of the person in charge of the vanning has resulted
in injuries and death of personnel, or in the loss of means of transport,
of other goods, or containers, the aforesaid person shall bear the
liabilities for the consequences arising therefrom.
Article 30
In case that the damage or shortage in number or quantity of container
goods involves a claim for compensation from a foreign unit, which
necessitates an appraisal and the issue of the relevant certificate by the
administrative department for commodity inspection, the case shall be
handled in accordance with the provisions in the Law of the People's
Republic of China on the Inspection of Import and Export Commodities. In
case that the shortage in number or quantity of containers or container
goods involves a claim for compensation from a foreign unit, which
necessitates the issue of the relevant certificate by the tally
department, the case shall be handled in accordance with the pertinent
provisions.
Chapter V Provisions on Penalties
Article 31
With respect to those who are engaged in container transport business
without a business licence for handling transport business, the competent
department for communications shall order them to cease business
operations, and penalties shall be imposed on them by the administrative
department for industry and commerce.
Article 32
With respect to those who have received shipping charges in violation of
these Provisions and the relevant laws and regulations of the State on
commodity prices, they shall be penalized by the department for the
control of commodity prices.
Article 33
With respect to those who have violated the administration of transport
documents, they shall be given an administrative warning or a pecuniary
penalty by the competent department for communications in light of the
seriousness of the cases.
Article 34
With respect to those who have disturbed the normal order of
transportation or have expanded their scope of business without
authorization, they shall be ordered by the competent department for
communications to carry out rectification of their business, and shall be
penalized by the administrative department for industry and commerce.
Article 35
In the event that the person concerned does not accept the decision on
penalties, he/she may, within 15 days as of the first day after the
receipt of the notice of the decision on penalties, appeal to the
competent department immediately above the punishing department for
reconsideration of the aforesaid decision on penalties. The competent
department that has received the appeal for reconsideration shall, within
30 days (after receiving the appeal), make the decision on
reconsideration. If the person concerned still does not accept the
decision of the reconsideration, he/she may, within 15 days immediately
after receiving the decision on reconsideration, bring a suit before a
people's court. If the person concerned neither appeal for
reconsideration, nor bring a suit before the people's court, nor execute
the decision on penalties or the decision of the reconsideration within
the prescribed period of time, the department that has made the decision
on penalties may apply to the people's court for enforcement.
Chapter VI Supplementary Provisions
Article 36
The right to interpret these Provisions resides in the Ministry of
Communications. The Ministry of Communications may formulate the rules for
implementation in accordance with these Provisions.
Article 37
These Provisions shall go into effect as of the date of promulgation.
关于印发吕梁市民办学校风险保证金提取及管理办法的通知
山西省吕梁市人民政府办公厅
关于印发吕梁市民办学校风险保证金提取及管理办法的通知
吕政办发〔2009〕144号
各县(市、区)人民政府，市直各有关单位，各民办学校：
《吕梁市民办学校风险保证金提取及管理办法》已经市人民政府同意，现印发给你们，请认真贯彻执行。
二〇〇九年十二月十一日
吕梁市民办学校风险保证金提取及管理办法
第一条 为促进我市民办教育事业的健康发展，规范民办学校的办学行为，保障民办学校和受教育者的合法权益，根据《山西省实施(中华人民共和国民办教育促进法)办法》和《关于印发山西省民办学校风险保证金提取及管理办法》，结合本市实际情况，制定本办法。
第二条 本办法适用于本市行政区域内各级教育行政部门、人力资源和社会保障行政部门批准成立的各级各类民办教育学校和教育机构(以下简称“民办学校")。
第三条 民办学校风险保证金属于民办学校所有，主要用于民办学校终止时退还向学生收取的学费、杂费和其他费用。
第四条 民办学校风险保证金提取的数额根据学校的性质、办学层次、办学规模确定，但不得低于以下规定的数额。
实施学历教育的本科、专科及职业教育的高等学校不得低于100万元人民币；
中等专业学校、技工学校、高级中学、职业高级中学不得低于50万元人民币；
初级中学、初等职业学校、小学、幼儿园不得低于20万元人民币，在国家及省级贫困县举办的同类型民办学校可降低到10万元人民币；
高等教育自学考试助学机构、非学历高等教育机构和实施以职业技能为主的职业资格培训、职业技能培训的民办学校不得低于20万元人民币；
非学历中等教育机构、初等教育培训机构不得低于10万元人民币。
第五条 民办学校应当从年度学费收入中以不低于5％的比例，自建校舍的民办学校不低于3％的比例，提取风险保证金。
自建校舍进行教育教学活动的民办学校提取的风险保证金余额达到民办学校当年学费收入50％的，可不再提取。学校固定资产净值高于学校当年学费收入的民办学校(固定资产无抵押、贷款、外债)，经审批机关批准，可不再提取风险保证金。
以租赁校舍形式进行教育教学活动的民办学校提取的风险保证金余额应当达到其当年学费收入后，可不再提取。
第六条 新设立的民办学校在审批时，按本办法第四条规定提取风险保证金。在正常开展教学活动后，按第四条规定提取的最低风险保证金高于第五条规定金额的，可不再提取。低于本办法第五条规定金额的，按第五条规定逐年提取风险保证金。
现已设立的民办学校在本办法实施后一年内，按本办法第四条规定的数额提取风险保证金。一年后，按前款规定执行。
第七条 对办学指导思想正确，能够正常开展教育教学活动，办学效益好，风险保证金余额达到规定限额的民办学校，经审批机关同意，可以动用部分风险保证金用于学校的建设发展，但应当自下一年度起继续提取风险保证金，弥补所动用的部分。
第八条 民办学校须在每个会计年度结束后，提供下列材料到审批机关办理相关手续。
(一)学校报告，包括学校名称、地址、．法定代表人、学校发展情况、学生人数、收费标准、学费收入等；
(二)审批机关发放的《民办学校办学许可证》和价格主管部门发放的《收费许可证》；
(三)会计师事务所对学校的年度审计报告；
(四)自建校舍的民办学校须提供有关部门发放的土地证、房产证等，并提供资产评估证明；
(五)学校固定资产评估证明；
(六)审批机关要求提供的其他材料。
以上材料应当真实有效。
第九条 审批机关根据民办学校提供的材料及上述规定，在15个工作日内确定民办学校提取风险保证金的数额，并下达提取风险保证金通知书，由学校凭通知书到审批机关指定的银行交纳。
第十条 民办学校风险保证金应当在审批机关确定的银行设立专户，并由审批机关与其签订“民办学校风险保证金管理协议”。 未经审批机关书面同意，任何组织和个人不得动用风险保证金。
第十一条 民办学校办学终止时，应当依法进行财务清算。对无遗留问题的学校，经审批机关批准，将风险保证金及所产生的利息全额退还学校。如有遗留问题，在按法律规定程序解决遗留问题后，经审批机关批准，将风险保证金余额及利息退还学校。
第十二条 审批机关对民办学校提取风险保证金的数额要向社会公布，接受社会监督。
第十三条 对未按规定提取或未足额提取风险保证金的民办学校，审批机关应责令其限期按规定足额提取风险保证金。新设立的民办学校在审批时，不按规定足额提取风险保证金的，审批机关不予批准；现已设立的民办学校，从本办法实施起分两次(2010年1月30日前、6月30日前)，每次按第四条规定的各级各类学校的最低额度的二分之一提取。拒不按规定足额提取风险保证金的，审批机关将向社会公布，并按照教育、民政、物价、人力资源和社会保障等部门有关规定，采取不予年检、停止招生、停止新生备案、停止发放中职学生助学金等措施，直至吊销办学许可证，取消办学资格。
第十四条 高级中学、职业高级中学和实施非学历教育的中等教育机构，其审批机关为设区的市级人民政府教育行政主管部门。
初级中学、初等职业学校、小学、幼儿园和初等文化教育培训机构，其审批机关为县级人民政府教育行政主管部门。
实施初级职业技能水平的民办职业培训学校，其审批机关为办学所在地县级人力资源和社会保障行政主管部门；实施初、中级职业技能水平的民办职业培训学校，其审批机关为市级人力资源和社会保障行政主管部门；实施高级及其以上职业技能水平的民办职业培训学校，经市级人力资源和社会保障行政主管部门初审，报省级人力资源和社会保障行政主管部门审批。
第十五条 审批机关及有关金融机构要认真履行职责，严格管理民办学校风险保证金。不得利用职权，徇私舞弊，或收取费用。违反规定的，按国家有关规定，严肃处置。
第十六条 本办法自2010年1月1日起施行。