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廣東省建設(shè)工程監(jiān)理?xiàng)l例 【名 稱】 廣東省建設(shè)工程監(jiān)理?xiàng)l例 【時 效 性】 有效 【頒布單位】 省人大 【頒布日期】 2000-12-24 【實(shí)施日期】 2001-1-1 【文 號】 省九屆人大第二十一次會議 （第95號） 【分 類】 條例 第一章 總則 第一條 為規(guī)范建設(shè)工程監(jiān)理活動，提高建設(shè)工程管理水平和投資效益，保障建設(shè)工程質(zhì)量，保護(hù)建設(shè)單位、監(jiān)理單位和其他相關(guān)各方的合法權(quán)益，根據(jù)《中華人民共和國建筑法》和有關(guān)法律、法規(guī)，結(jié)合本省實(shí)際，制定本條例。 第二條 本省行政區(qū)域內(nèi)的建設(shè)工程監(jiān)理活動，適用本條例。 第三條 本條例所稱建設(shè)工程監(jiān)理，是指工程監(jiān)理單位受建設(shè)單位的委托，在監(jiān)理合同約定的范圍內(nèi)，依照法律、法規(guī)及有關(guān)的技術(shù)標(biāo)準(zhǔn)、設(shè)計(jì)文件、工程承包合同，對建設(shè)工程質(zhì)量、建設(shè)工期和建設(shè)投資的控制等方面實(shí)施的監(jiān)督管理。本條例所稱監(jiān)理單位，是指依法取得監(jiān)理單位資質(zhì)證書，具有法人資格，對建設(shè)工程項(xiàng)目實(shí)施監(jiān)督的社會中介組織。本條例所稱監(jiān)理工程師，是指依法取得監(jiān)理工程師資格證書并經(jīng)注冊取得監(jiān)理工程師崗位證書，在監(jiān)理單位從事監(jiān)理業(yè)務(wù)的人員。 第四條 縣級以上人民政府建設(shè)行政主管部門對本行政區(qū)域內(nèi)的建設(shè)工程監(jiān)理活動進(jìn)行統(tǒng)一監(jiān)督管理；其他有關(guān)行政管理部門依照有關(guān)法律、法規(guī)的規(guī)定在各自職責(zé)范圍內(nèi)對本行業(yè)的建設(shè)工程監(jiān)理活動進(jìn)行監(jiān)督管理。 第五條 第五條 從事建設(shè)工程監(jiān)理活動的單位及其從業(yè)人員，應(yīng)當(dāng)遵循守法、誠信、公正、科學(xué)的原則。 第二章 監(jiān)理單位與監(jiān)督管理 第六條 申請?jiān)O(shè)立監(jiān)理單位，應(yīng)當(dāng)報(bào)省人民政府建設(shè)行政主管部門審批。省人民政府建設(shè)行政主管部門受理申請后，應(yīng)當(dāng)在三十日內(nèi)決定是否批準(zhǔn)，并書面通知申請人，不予批準(zhǔn)的，應(yīng)當(dāng)說明理由。設(shè)立建設(shè)工程監(jiān)理單位的，應(yīng)當(dāng)先征求省人民政府相關(guān)行政管理部門的意見。監(jiān)理單位憑省人民政府建設(shè)行政主管部門頒發(fā)的建設(shè)監(jiān)理申請批準(zhǔn)文件辦理工商和稅務(wù)登記后，方可開業(yè)。 第七條 設(shè)立監(jiān)理單位，應(yīng)當(dāng)具備下列條件： （一） 有單位名稱與辦公場所； （二） 單位的負(fù)責(zé)人或者技術(shù)負(fù)責(zé)人必須取得監(jiān)理工程師資格并有高級工程師或者高級建筑師職稱； （三） 有國家規(guī)定數(shù)額的專職監(jiān)理工程師； （四） 有國家規(guī)定最低數(shù)額的注冊資金； （五） 有單位章程； （六） 國家規(guī)定的其他條件。 第八條 監(jiān)理單位的資質(zhì)等級分為甲、乙、丙三個等級，按國家規(guī)定實(shí)行分級審批。監(jiān)理單位的資質(zhì)等級核定條件、業(yè)務(wù)范圍，按照國家和省人民政府的有關(guān)規(guī)定執(zhí)行。監(jiān)理單位資質(zhì)由核定資質(zhì)等級的機(jī)關(guān)負(fù)責(zé)辦理年審，但不得收取年審費(fèi)用。 第九條 監(jiān)理單位應(yīng)當(dāng)在核定的資質(zhì)等級許可的范圍內(nèi)承接監(jiān)理業(yè)務(wù)。禁止監(jiān)理單位超越資質(zhì)等級許可范圍或者以其他監(jiān)理單位的名義承接監(jiān)理業(yè)務(wù)。禁止監(jiān)理單位允許其他單位或個人以本單位的名義承接監(jiān)理業(yè)務(wù)。禁止監(jiān)理單位轉(zhuǎn)讓監(jiān)理業(yè)務(wù)。 第十條 省外監(jiān)理單位來粵承接監(jiān)理業(yè)務(wù)，應(yīng)當(dāng)向省人民政府建設(shè)行政主管部門辦理進(jìn)粵登記手續(xù)。省內(nèi)監(jiān)理單位跨市承接監(jiān)理業(yè)務(wù)的，應(yīng)當(dāng)?shù)奖O(jiān)理項(xiàng)目所在地的建設(shè)行政主管部門備案。 第十一條 從事監(jiān)理工程師崗位工作的人員，必須持國家頒發(fā)的監(jiān)理工程師執(zhí)業(yè)資格證書按規(guī)定到省人民政府建設(shè)行政主管部門辦理注冊，取得監(jiān)理工程師崗位證書。取得監(jiān)理工程師資格證書但未經(jīng)注冊的，不得以監(jiān)理工程師的名義從事監(jiān)理工作。監(jiān)理工程師不得以個人名義承接監(jiān)理業(yè)務(wù)。 第十二條 監(jiān)理工程師不得同時在兩個或者兩個以上監(jiān)理單位任職。在職的國家機(jī)關(guān)工作人員及與建設(shè)工程管理機(jī)關(guān)的事業(yè)單位工作人員不得在監(jiān)理單位任職。 第十三條 監(jiān)理單位及其監(jiān)理工程師與被監(jiān)理工程的設(shè)計(jì)、施工單位以及建筑材料、建筑構(gòu)件配件和設(shè)備供應(yīng)單位有隸屬關(guān)系或者其他利害關(guān)系的，不得承接該工程的監(jiān)理任務(wù)。 第十四條 根據(jù)本條例規(guī)定，必須實(shí)行監(jiān)理的建設(shè)工程項(xiàng)目，建設(shè)單位應(yīng)當(dāng)依法確定監(jiān)理單位，并簽訂建設(shè)工程監(jiān)理合同。未簽訂建設(shè)工程監(jiān)理合同，建設(shè)行政主管部門不得核發(fā)施工許可證。 第十五條 建設(shè)行政主管部門或者其他有關(guān)行政管理部門委托的建設(shè)工程質(zhì)量監(jiān)督機(jī)構(gòu)在實(shí)施工程質(zhì)量監(jiān)督時，發(fā)現(xiàn)監(jiān)理單位不履行監(jiān)理義務(wù)、不按技術(shù)標(biāo)準(zhǔn)和規(guī)范、設(shè)計(jì)文件進(jìn)行監(jiān)理或者違反質(zhì)量責(zé)任的，應(yīng)當(dāng)向建設(shè)行政主管部門和相關(guān)的行政管理部門報(bào)告，由建設(shè)行政主管部門會同有關(guān)行政管理部門進(jìn)行處理。 第三章 監(jiān)理的實(shí)施 第十六條 建設(shè)工程監(jiān)理分為建設(shè)前期階段監(jiān)理、設(shè)計(jì)階段監(jiān)理、施工準(zhǔn)備階段監(jiān)理、施工階段監(jiān)理和保修階段監(jiān)理。建設(shè)前期階段、設(shè)計(jì)階段、保修階段是否實(shí)行監(jiān)理，由建設(shè)單位自行決定。 第十七條 下列建設(shè)工程項(xiàng)目的施工準(zhǔn)備階段、施工階段必須實(shí)行監(jiān)理： （一） 國家、省、地級以上市的重點(diǎn)建設(shè)工程； （二） 建筑安排工程總造價在八百萬元以上的工業(yè)、交通、水利、市政公用基礎(chǔ)設(shè)施等建設(shè)工程； （三） 總建筑面積在二萬平方米以上的住宅小區(qū)建設(shè)工程，單體建筑面積在三千平方米以上的一般工業(yè)與民用建筑工程； （四） 利用外國政府或者國際組織的貸款、援助資金的建設(shè)工程； （五） 國家或省人民政府規(guī)定必須實(shí)行監(jiān)理的其他建設(shè)工程。地級以上市人民政府的建設(shè)行政主管部門可以根據(jù)當(dāng)?shù)氐膶?shí)際情況，制定低于前款規(guī)定的規(guī)模標(biāo)準(zhǔn)，但不得縮小本條例確定的項(xiàng)目范圍，報(bào)同級人民政府批準(zhǔn)后執(zhí)行，并報(bào)省人民政府建設(shè)行政主管部門備案。前兩款規(guī)定的建設(shè)工程項(xiàng)目以外的其他建設(shè)工程項(xiàng)目是否實(shí)行監(jiān)理，由建設(shè)單位自行決定。 第十八條 建設(shè)單位可以委托監(jiān)理單位承擔(dān)建設(shè)工程各個階段的監(jiān)理，也可以委托監(jiān)理單位承擔(dān)建設(shè)工程某一階段的監(jiān)理。但施工準(zhǔn)備階段、施工階段只能委托同一個監(jiān)理單位監(jiān)理。具體監(jiān)理范圍和內(nèi)容由雙方簽訂合同約定。 第十九條 實(shí)行監(jiān)理的建設(shè)工程，建設(shè)單位應(yīng)當(dāng)委托具有相應(yīng)的資質(zhì)等級和業(yè)務(wù)許可范圍的監(jiān)理單位進(jìn)行監(jiān)理。 第二十條 依照法律、法規(guī)的規(guī)定，應(yīng)當(dāng)采取招標(biāo)投標(biāo)方式選擇監(jiān)理單位的建筑工程項(xiàng)目，建設(shè)單位應(yīng)當(dāng)依法進(jìn)行招標(biāo)。 第二十一條 監(jiān)理單位與建設(shè)單位應(yīng)當(dāng)簽訂書面建設(shè)工程監(jiān)理合同。建設(shè)工程監(jiān)理合同的擬訂，可以參照國家制定的合同示范文本。其主要條款包括：監(jiān)理的范圍和內(nèi)容、雙方的權(quán)利與義務(wù)、監(jiān)理酬金的計(jì)取標(biāo)準(zhǔn)與支付方式、違約責(zé)任、雙方約定的其他事項(xiàng)。 第二十二條 監(jiān)理單位應(yīng)當(dāng)根據(jù)合同約定的監(jiān)理業(yè)務(wù)，成立由總監(jiān)理工程師、監(jiān)理工程師及其他監(jiān)理人員組成的監(jiān)理工作機(jī)構(gòu)。并向建設(shè)單位報(bào)送委派的總監(jiān)理工程師及其監(jiān)理工作機(jī)構(gòu)主要成員名單、監(jiān)理規(guī)劃。建設(shè)工程項(xiàng)目實(shí)施監(jiān)理前，建設(shè)單位應(yīng)當(dāng)向勘察，設(shè)計(jì)以及施工單位發(fā)出書面通知，告知監(jiān)理單位名稱、監(jiān)理內(nèi)容、監(jiān)理權(quán)限及總監(jiān)理工程師姓名等事項(xiàng)；總監(jiān)理工程師應(yīng)當(dāng)向勘察、設(shè)計(jì)和施工單位發(fā)出書面通知，告知項(xiàng)目監(jiān)理工作機(jī)構(gòu)組成人員姓名及監(jiān)理權(quán)限。 第二十三條 監(jiān)理項(xiàng)目實(shí)行總監(jiān)理工程師負(fù)責(zé)制。總監(jiān)理工程師應(yīng)當(dāng)根據(jù)監(jiān)理合同對建設(shè)工程進(jìn)行監(jiān)督管理，并按照合同約定定期向建設(shè)單位報(bào)告監(jiān)理工作。 第二十四條 實(shí)行監(jiān)理的建設(shè)工程，其勘察、設(shè)計(jì)和施工單位應(yīng)當(dāng)接受監(jiān)理單位的監(jiān)督管理，并按照監(jiān)理單位的要求及時提供與工程相關(guān)的必要資料。 第二十五條 承擔(dān)施工階段監(jiān)理業(yè)務(wù)的監(jiān)理工作機(jī)構(gòu)應(yīng)當(dāng)進(jìn)駐施工現(xiàn)場，派駐施工現(xiàn)場的總監(jiān)理工程師、監(jiān)理工程師應(yīng)當(dāng)具備與該工程施工階段技術(shù)要求相適應(yīng)的知識和管理能力。監(jiān)理工作機(jī)構(gòu)應(yīng)當(dāng)按照工程監(jiān)理規(guī)范的要求，采取旁站、巡視和平行檢驗(yàn)等，對建設(shè)工程實(shí)施監(jiān)理。 第二十六條 監(jiān)理工程師發(fā)現(xiàn)工程設(shè)計(jì)不符合國家頒布的建設(shè)工程質(zhì)量標(biāo)準(zhǔn)、設(shè)計(jì)規(guī)范或者合同約定的質(zhì)量等要求的，應(yīng)當(dāng)報(bào)告建設(shè)單位要求設(shè)計(jì)單位改正。監(jiān)理工程師發(fā)現(xiàn)工程施工不符合工程設(shè)計(jì)要求、施工技術(shù)規(guī)范或者合同約定的，監(jiān)理工程師應(yīng)當(dāng)出具總監(jiān)理工程師簽發(fā)的書面通知要求施工單位改正。總監(jiān)理工程師對危及工程質(zhì)量和安全的施工，應(yīng)當(dāng)按照監(jiān)理權(quán)限及時下達(dá)停工指令。施工單位應(yīng)當(dāng)執(zhí)行。 第二十七條 未經(jīng)監(jiān)理工程師簽字，建筑材料、建筑構(gòu)件配件和設(shè)備不得在工程上使用或者安裝，施工單位不得進(jìn)行下一道工序施工；未經(jīng)總監(jiān)理工程師簽字，建設(shè)單位不得撥付工程款，不得進(jìn)行竣工驗(yàn)收。總監(jiān)理工程師、監(jiān)理工程師不得指定或者暗示使用某一供應(yīng)商的建筑材料、建筑構(gòu)件配件和設(shè)備；不得利用職權(quán)故意刁難供應(yīng)商或者承包商，向利益相關(guān)人索要財(cái)物。 第二十八條 實(shí)施監(jiān)理過程中，建設(shè)單位對勘察、設(shè)計(jì)、施工單位和有關(guān)單位的工程建設(shè)指令屬授權(quán)監(jiān)理范圍的，均應(yīng)通過總監(jiān)理工程師發(fā)布。建設(shè)單位應(yīng)當(dāng)授權(quán)一名熟悉工程情況、能在約定時間內(nèi)作出答復(fù)的常駐代表，負(fù)責(zé)與監(jiān)理單位聯(lián)系需要更換常駐代表的，應(yīng)當(dāng)提前三日通知監(jiān)理單位。建設(shè)單位發(fā)出的指令違反法律、法規(guī)規(guī)定的，總監(jiān)理工程師有權(quán)拒絕執(zhí)行，并書面通知建設(shè)單位。 第二十九條 監(jiān)理單位不得與建設(shè)單位或者勘察、設(shè)計(jì)、施工單位以及設(shè)備材料供應(yīng)商串通，弄虛作假，損害國家或者他人的合法利益。 第三十條 建設(shè)單位發(fā)現(xiàn)監(jiān)理人員不按監(jiān)理合同履行監(jiān)理職責(zé)，或者與勘察、設(shè)計(jì)、施工單位以及設(shè)備材料供應(yīng)商串通給建設(shè)單位或建設(shè)工程造成損失的，建設(shè)單位有權(quán)要求更換監(jiān)理人員，直到終止合同并要求監(jiān)理單位承擔(dān)相應(yīng)的賠償責(zé)任或連帶賠償責(zé)任。 第三十一條 建設(shè)工程監(jiān)理酬金計(jì)取標(biāo)準(zhǔn)，按照國家和省的有關(guān)規(guī)定執(zhí)行。監(jiān)理酬金單獨(dú)列入工程概算。中外合資、外資和國外貸款建設(shè)的工程項(xiàng)目監(jiān)理酬金的計(jì)取標(biāo)準(zhǔn)及付款方式，可以參照國際慣例由雙方協(xié)商確定。 第四章 法律責(zé)任 第三十二條 建設(shè)單位違反本條例第十七條規(guī)定，必須實(shí)施監(jiān)理的建設(shè)工程項(xiàng)目未實(shí)施監(jiān)理的，由有關(guān)的行政管理部門責(zé)令其改正，處以二十萬元以上五十萬元以下的罰款。建設(shè)單位違反本條例第十九條例第九條第二款，第三款規(guī)定的，由有關(guān)行政管理部門責(zé)令其停止違法行為，處以合同約定的監(jiān)理酬金一倍以上兩倍以下的罰款，沒收違法所得；可以責(zé)令停業(yè)整頓，降低資質(zhì)等級；情節(jié)嚴(yán)重的，另吊銷資質(zhì)證書。監(jiān)理單位違反本條例第九條第四款規(guī)定的，由有關(guān)行政管理部門責(zé)令其改正，沒收違法所得，處以合同約定的監(jiān)理酬金百分之二十五以上百分之五十以下的罰款，可以責(zé)令停業(yè)整頓，降低資質(zhì)等級；情節(jié)嚴(yán)重的，吊銷資質(zhì)證書。違反本條例，未取得監(jiān)理申請批準(zhǔn)書或監(jiān)理單位資質(zhì)證書承接監(jiān)理業(yè)務(wù)的，予以取締，并依照本條第一款的規(guī)定處以罰款，沒收違法所得。違反本條例，以欺騙手段取得資質(zhì)證書的，吊銷資質(zhì)證書，依照本條第一款規(guī)定處以罰款，沒收違法所得。 第三十四條 監(jiān)理單位違反本條例第十三條規(guī)定承接監(jiān)理業(yè)務(wù)的，由有關(guān)行政管理部門責(zé)令其改正，處以五萬元以上十萬元以下的罰款，沒收違法所得，降低資質(zhì)等級或者吊銷資質(zhì)證書。 第三十五條 監(jiān)理單位違反本條例第二十九條規(guī)定的，由有關(guān)行政管理部門責(zé)令其改正，處以五十萬元以上一百萬元以下的罰款，降低資質(zhì)等級或者吊銷資質(zhì)證書；沒收違法所得；造成損失的承擔(dān)連帶賠償責(zé)任。 第三十六條 總監(jiān)理工程師、監(jiān)理工程師違反本條例規(guī)定，給不合格的建筑工程、建筑材料、建筑構(gòu)件配件和設(shè)備按照合格簽字認(rèn)可的，由有關(guān)行政管理部門責(zé)令其改正，對監(jiān)理單位處以五十萬元以上一百萬元以下的罰款，沒收違法所得；降低資質(zhì)等級或者吊銷資質(zhì)證書；給建設(shè)單位造成損失的，依法承擔(dān)連帶賠償責(zé)任。 第三十七條 總監(jiān)理工程師、監(jiān)理工程師違反本條例第二十七條第二款規(guī)定的，由有關(guān)行政管理部門責(zé)令其停止執(zhí)業(yè)一年；造成重大質(zhì)量事故、重大傷亡事故或者其他嚴(yán)重后果的，吊銷執(zhí)業(yè)資格證書，五年內(nèi)不予注冊；情節(jié)特別惡劣的，終身不予注冊；構(gòu)成犯罪的，依法追究刑事責(zé)任。 第三十八條 監(jiān)理工程師違反本條例第十二條第一款規(guī)定的，由有關(guān)行政管理部門責(zé)令其停止執(zhí)業(yè)一年。總監(jiān)理工程師、監(jiān)理工程師違反本條例規(guī)定，工作嚴(yán)重失職或過錯，造成質(zhì)量事故的，由有關(guān)行政管理部門責(zé)令其停止執(zhí)業(yè)一年；造成重大質(zhì)量事故、重大傷亡事故或者其他嚴(yán)重后果的，吊銷執(zhí)業(yè)資格證書，五年內(nèi)不予注冊；情節(jié)特別惡劣的，終身不予注冊；構(gòu)成犯罪的，依法追究刑事責(zé)任。 第三十九條 依照本條例規(guī)定，給予監(jiān)理單位罰款處罰的，對監(jiān)理單位直接負(fù)責(zé)的主管人員和其他直接責(zé)任人員處以單位罰款數(shù)額的百分之五以上百分之十以下的罰款。 第四十條 本條例規(guī)定的責(zé)令停業(yè)整頓降低資質(zhì)等級和吊銷資質(zhì)證書的行政處罰，由頒發(fā)證書的有關(guān)行政管理部門決定；其他行政處罰，由縣級以上人民政府建設(shè)行政主管部門或者有關(guān)行政管理部門依照法律、法規(guī)規(guī)定的職權(quán)范圍決定。 第四十一條 建設(shè)行政主管部門及其他有關(guān)行政管理部門的工作人員在建設(shè)工程監(jiān)理管理工作中玩忽職守、濫用職權(quán)、徇私舞弊的，依法給予行政處分；構(gòu)成犯罪的，依法追究刑事責(zé)任。 第五章 附則 第四十二條 外國和港、澳、臺地區(qū)監(jiān)理單位進(jìn)入本省承擔(dān)監(jiān)理業(yè)務(wù)以及中外合資、外商獨(dú)資建設(shè)和利用國外貸款、捐款建設(shè)的工程項(xiàng)目，選擇外國或者港、澳、臺地區(qū)的監(jiān)理單位進(jìn)行監(jiān)理的，均按國家有關(guān)規(guī)定執(zhí)行。 第四十三條 本條例自2001年1月1日起施行。《廣東省建設(shè)項(xiàng)目社會監(jiān)理管理規(guī)定》同時廢止。 Regulations of Guangdong Province on the Supervision Ren Da Hui Yi No. 95 Issue Date: 24th December 2000 Effective Date: 1st January 2001 Issued by: The People’s Congress of Guangdong Province Chapter I General Principles Article 1 In order to standardize the supervision over construction projects, to improve the management of construction projects, to make greater investment benefit, to ensure quality of construction projects and to defend legitimate rights and interests of construction units, supervision units and other relevant parties, these Regulations are hereby enacted in accordance with the Law of the People’s Republic of China on Construction and other relevant laws and regulations and in the light of the practical conditions of this Province. Article 2 These Regulations shall be applicable to the supervision over the construction projects within the administrative divisions of this Province. Article 3 The supervision over construction projects in these Regulations shall mean the supervisory control by units of supervision of projects, who are authorized by construction units within the contracted limits of power, over the enforcement of quality of construction projects, construction periods and control of the investment for construction pursuant to the relevant technical standard, design documents and contracts for undertaking projects. The construction units in these Regulations shall mean the social intermediary organizations with corporate personality, which are entitled to certificates of competence to enforce supervision over construction projects. The construction control engineers in these Regulations shall mean the professional personnel engaged in supervision at supervision units, who have been entitled to certificates of competence of construction control engineers and also granted job qualification certificates as certified construction control engineers. Article 4 The administrative competent agencies in construction of the People’s Government at or above the county level shall exercise the centralized supervisory control over the supervision of the construction projects within these administrative divisions; any other relevant administrative agencies shall exercise supervisory control over the professional supervision of construction projects of their respective trades within their own limits of power under the relevant laws and regulations. Article 5 Any and all units and the employed engaged in supervision of construction projects shall observe laws and disciplines adhering to the principle of sincerity, justice and science. Chapter II Supervision Units and Supervisory Control Article 6 Any application for the establishment of supervision units shall be subject to the examination and approval of the administrative competent agencies of construction of the People’s Government of the Province, who shall determine whether to approve the accepted application notifying the applicants in writing within 30 days or give reasons if refusing to approve the application. Anyone who is to establish a professional supervision unit of construction projects shall first of all solicit opinions of the relevant administrative agencies of the People’s Government of the Province. Those supervision units may start business provided that they go through all the industrial and commercial registration procedures with the documents of ratification on the application for construction supervision granted by the administrative competent agencies of construction of the People’s Government of the Province. Article 7 The following requirements shall be satisfied as for the setup of a supervision unit: (1) With name of unit and place of office provided by the unit; (2) With personnel in charge of unit or technical personnel in charge having been granted to qualification of supervision engineers with titles of senior engineers or senior architects; (3) With a certain number of full time supervision engineers as stipulated by the state; (4) With registered capital, which reaches the minimum level as stipulated by the state; (5) With the concluded articles of association of the unit; and (6) Other requirements as stipulated by the state. Article 8 The qualification of a supervision unit is to be classified into three grades, which shall be examined and approved by levels under the relevant regulations of the state. The appraisal requirements for the grades of qualification of a supervision unit and its business scope shall be subject to the relevant regulations of the state and of the People’s Government of the Province. The qualification of a supervision unit shall be annually inspected by the organ that appraises the grade of the qualification of the unit but without collection of any charges for annual inspection. Article 9 Any and all supervision units shall undertake supervision business within the scope of the appraised grades of qualification. No supervision units may undertake supervision business beyond the authorized scope of the appraised grades of qualification, or in the name of other supervision units. Neither may any supervision units allow other organizations or individuals to undertake supervision business in the name of the former. It is forbidden for any supervision units to transfer their supervision business. Article 10 Any supervision units from outside this Province who undertake supervision business in Guangdong shall go through registration procedures for their entry into Guangdong in the administrative competent agencies of construction of the People’s Government of the Province. Any supervision units of this Province, who are to undertake supervision business in other cities, shall apply for record in the administrative competent agencies of construction of the place where the supervision projects are located. Article 11 Anyone who works at the post of a supervision engineer shall apply to the administrative competent agency of construction of the People’s Government of the Province for registration with certificates to practice as a supervision engineer granted by the state before he acquires his job qualification certificate as a supervision engineer. Those who hold job qualification certificates without registration may not undertake supervision business in the name of supervision engineers. Any supervision engineer may not personally undertake any supervision business. Article 12 Any supervision engineer may not hold office for two or more supervision units. Any state functionaries in post or staff working for the institutions attached to administrative organs of construction projects shall not hold post in units of supervision. Article 13 Any supervision units or supervision engineers, who maintain subordinate relations or other common interests with design or construction units of supervised projects, or suppliers of building materials, construction components, fittings or equipment, shall not undertake the supervision of these projects. Article 14 As for the construction projects that must be put under supervision, the construction units shall determine supervision units according to law under these Regulations, and conclude contracts on the supervision of construction projects. Any administrative competent agencies may not grant construction licenses to any units without conclusion of the said contracts. Article 15 Any supervision institutions over quality of construction projects authorized by administrative competent agencies of construction or other relevant administrative agencies, who, in the course of the enforcement of supervision over quality of projects, find supervision units that refuse to fulfill supervision obligations or fail to exercise supervision pursuant to the technical standard, norm and design documents or in violation of quality responsibility shall report to administrative competent agencies of construction or other relevant administrative agencies, who shall jointly settle the aforementioned matters. Chapter III Implementation of Supervision Article 16 The supervision over construction projects shall be classified into supervision at an early stage of construction, supervision in process, supervision at the stage of preparatory construction, supervision under construction and supervision at the stage of repairs and maintenance. And it shall be determined by construction units of their own accord whether supervision is to be exercised at the early stage before construction, or in the course of design or of repairs and maintenance. Article 17 Supervision must be exercised over the following construction projects at the stage of preparatory construction and under construction: (1) Key construction projects of the state, province or municipalities at or above a prefecture level; (2) Construction projects in industries, communication, water conservancy, municipal public infrastructures, etc, whose total cost of construction projects is up to RMB 8 million or over; (3) Construction projects of residential quarters whose total construction area is up to 20,000 square meters or over, or construction projects of general industries or civil construction projects with construction area for a unit up to 3,000 square meters or over; (4) Construction projects with loans or assistant funds from foreign governments or international organizations; (5) Other construction projects that must be supervised, which is prescribed by the state or the People’s Government of the Province. The administrative competent agencies of construction of the people’s governments of municipalities at or above the prefecture level may determine the scale standards below the level as stipulated in the aforementioned paragraphs in the light of the practical conditions of different localities, but the scopes of items in these Regulations may not be narrowed, all of which shall be enforced after reported to the people’s governments at the same level for approval and further reported to the administrative competent agencies of construction of the People’s Government of the Province for record. It shall be determined by construction units themselves whether other construction projects not stipulated in the aforementioned two paragraphs are to be exercised supervision. Article 18 The construction units may authorize supervision units to undertake supervision at different stages or at any stage of construction projects. But the same supervision units shall be authorized to exercise supervision over the construction at preparatory stage and under construction. The specific scope and contents of supervision shall be agreed upon by contracts between both parties. Article 19 As for any construction projects over which supervision is exercised, construction units with corresponding qualification grades and scope of business licenses are to be authorized by construction units for supervision. Article 20 As for the construction projects for which supervision units are to be selected by tenders under the relevant laws and regulations, tenders shall be held by construction units according to law. Article 21 Written supervision contracts for the construction projects shall be concluded between supervision units and construction units. The model contract texts formulated by the state may be consulted when the said contracts are to be drawn up with principal clauses included in scope and content for supervision, rights and obligations for both parties, calculation standard and payment terms of remuneration for supervision, liabilities for breach of contracts and other items as agreed upon by both parties. Article 22 An organization for supervision composed of chief supervision engineers, supervision engineers and other personnel for supervision is to be set up by a supervision unit pursuant to the supervision business as agreed upon under contracts. And it is compulsory for a supervision unit to report the name lists of assigned chief supervision engineers, chief members in the organization and supervision planning. Before the enforcement of the supervision of a certain construction project, a construction unit shall notify in writing to its reconnoitering, designing and construction work units informing them of name of supervision unit, content of supervision, competencies for supervision, name of chief supervision engineer, while a chief supervision engineer shall notify in writing to the reconnoitering, designing and construction work unit informing of name list of the supervision organization and their competencies. Article 23 A job responsibility system of chief supervision engineers for supervised projects shall be put into practice, in which chief engineers shall exercise supervisory control over construction projects under construction contracts and make regular reports to construction units about detailed supervision as agreed upon in contracts. Article 24 Any and all reconnoitering, designing units or units in charge of construction shall accept the supervisory control by supervision units over construction projects under supervision, and provide them timely with the necessary documentary materials pertaining to the projects as required by supervision units. Article 25 The supervision organizations that undertake supervision business in the course of construction shall be stationed in construction sites, and the assigned chief supervision engineers and supervision engineers to construction sites shall have mastery of the professional knowledge and managerial capacity, which may meet the requirements of the construction of projects. Any supervision organizations shall exercise supervisory control over construction projects by way of stationing, inspection and parallel test, etc pursuant to the supervision norm. Article 26 Any supervision engineer, who finds the design of a project which is not in conformity with the quality standard and the design norm of construction projects promulgated by the state or the requirements as agreed upon in contracts, shall report to a construction unit urging a design unit to make corrections. Any supervision engineer, who finds any construction of a project which is not in conformity with the requirements of the project design or technical standard of construction or other requirements as agreed upon in contracts, shall make written notice signed by a chief supervision engineer to a construction unit for making corrections. Any construction that may endanger quality or safety of construction shall be ordered by a chief supervision engineer to have this construction stopped timely within his limit of authority for supervision, which shall be complied with by a construction unit. Article 27 Any building materials, construction fittings, components or equipment may not be used or installed without authorized signatures of supervision engineers and neither may any construction unit go on with the construction of the next process; no funds for construction may not be appropriated by any construction unit or no completed construction project checked and accepted without authorized signatures of a chief supervision engineer. Any chief supervision engineer or supervision engineer may not designate or drop a hint to use building materials, construction fittings and components or equipment of a certain supplier, and neither may he take advantage of his power of office to deliberately make things difficult for any suppliers or contractors or claim properties from interested parties. Article 28 In the course of implementation of supervision, any instructions or orders from construction units, which are within the scope of authorized supervision, to any reconnoitering, designing, construction units or other units concerned shall be all published by chief supervision engineers. A construction unit shall authorize a permanent representative who is familiar with the construction and also make replies within the specified limit of time to be responsible for the connection with a supervision unit. A prior notice shall be made to a supervision unit 3 days before the change of the permanent representative. In case the orders or instructions issued by construction units are in violation of laws and regulations, a chief supervision engineer is entitled to the refusal of execution by notifying in writing to the construction units. Article 29 Any supervision unit may not collude with any construction units or reconnoitering, designing units, units in charge of construction or suppliers of equipment or building materials, neither may he practice fraud or infringe the state interests or legitimate rights and interests of others. Article 30 After finding supervision personnel, who fail to fulfill their supervision duties under supervision contracts, or collude with reconnoitering, designing units, units in charge of construction or suppliers of equipment and building materials or cause loss to any construction projects, a construction unit shall have the right to claim changes of the said supervision personnel, or even terminate the contracts and urge the supervision units to be held responsible for the damages or joint compensation arising therefrom. Article 31 The calculation and payment of remuneration for supervision over construction projects shall be subject to the relevant regulations of the state and the Province. All remuneration for supervision is to be brought into budgetary estimate of projects. As for the standard of calculation of the remuneration and the terms of payment for the supervision over construction projects with Chinese-foreign joint venture capital, foreign funds or foreign loans, the international practice in this respect shall be consulted for the determination of the aforementioned matters through consultation of both parties. Chapter IV Legal Liability Article 32 Any construction unit who, in violation of Article 17 of these Regulations, fails to exercise supervision over the construction projects that is compulsory to be exercised shall be ordered to make corrections by the relevant administrative agencies and imposed upon a fine of not less than RMB 200,000 but not more than RMB 500,000. Any construction unit in violation of Article 29 and the second and the third paragraphs of Article 9 of these Regulations shall be ordered to stop the illegal act, imposed upon a fine of not less than 1 time but not more than 2 times of the remuneration for supervision as agreed upon in the contract and confiscated of the illegal gains; or may be ordered to suspend the business for internal rectification or have the qualification degraded; if the circumstances are serious, the offender shall be have the qualification certificate revoked. Any supervision unit without certificate of ratification or qualification certificate who undertake supervision business shall be banned and imposed upon a certain amount of fine as stipulated in the first paragraph of this Article and confiscated of the illegal gains if any. Anyone who, in violation of these Regulations, obtains qualification certificate by means of deception shall have his qualification certificate revoked, imposed upon a certain amount of fine as stipulated in the first paragraph of this Article and confiscated of the illegal gains if any. Article 34 Any supervision unit who, in violation of Article 13 of these Regulations, undertakes supervision business shall be ordered to make corrections, imposed upon a fine of not less than RMB 50,000 but not more than RMB 100,000, confiscated of the illegal gains, degraded the qualification or revoked the qualification certificate by the relevant administrative agencies. Article 35 Any supervision unit in violation of Article 29 of these Regulations shall be ordered to make corrections, imposed upon a fine of not less than RMB 500,000 but not more than RMB 1,000,000, confiscated of the illegal gains, degraded the qualification or revoked the qualification certificate by the relevant administrative agencies; and shall be held liable for joint compensations for the loss arising therefrom. Article 36 Any chief supervision engineer or supervision engineer who, in violation of these Regulations, approves with his signature unqualified construction projects, building materials, construction fittings, components or equipment as qualified ones shall be ordered to make corrections, and his supervision unit shall be imposed upon a fine of not less than RMB 500,000 but not more than RMB 1,000,000, confiscated of the illegal gains, degraded the qualification or revoked the qualification certificate by the relevant administrative agencies; and shall be held liable for joint compensations for the loss, if any, sustained by the construction unit. Article 37 Any chief supervision engineer or supervision engineer in violation of the second paragraph of Article 27 of these Regulations shall be ordered by the relevant administrative agency to suspend his practice; if the offence causes major accident of quality or heavy casualties or other serious consequences, the offender shall have his qualification certificate to practice revoked, which may not be registered within five years; if the circumstances are absolutely serious, the qualification certificate to practice may not be registered for life; the offender shall be prosecuted for his criminal liability according to law if the offence constitutes a crime. Article 38 Any supervision engineer in violation of the first paragraph of Article 12 of these Regulations shall be ordered by the relevant administrative agency to suspend his practice for a year. Any chief supervision engineer or supervision engineer who, in violation of these Regulations, seriously neglects his duties or commit gross errors that lead to a quality accident shall be ordered by the relevant administrative agency to suspend his practice for a year; if the offence causes major accident of quality or heavy casualties or other serious consequences, the offender shall have his qualification certificate to practice revoked, which may not be registered within five years; if the circumstances are absolutely serious, the qualification certificate to practice may not be registered for life; the offender shall be prosecuted for his criminal liability according to law if the offence constitutes a crime. Article 39 A fine of not less than 5% but not more than 10% of the total fine of his unit shall be imposed upon the personnel in charge of a supervision unit or other personnel directly liable provided that the supervision unit has been imposed upon fines under these Regulations. Article 40 Any administrative sanctions such as orders to suspend business for internal rectification, degradation of qualification and revocation of qualification certificates as stipulated in these Regulations shall be decided by the relevant administrative agencies; other administrative sanctions shall be decided by administrative competent agencies of construction or other administrative agencies at or above the county level within their limits of authorities under the relevant laws and regulations. Article 41 Any staff member of an administrative competent agency of construction or other relevant administrative agency who, in the course of supervisory control over construction projects, neglects his duties, abuses his power of office, or practices irregularities for personal gains shall be subject to administrative sanctions according to law; if the offence constitutes a crime, the offender shall be prosecuted for his criminal liability according to law. Chapter V Supplementary Rules Article 42 The relevant regulations of the state shall be applicable to the supervision business within this Province, which is undertaken by supervision units from foreign countries or from districts of Hong Kong, Macao and Taiwan, and construction projects with Chines-foreign join venture capital, solely-funded foreign capital, foreign loans or donations, over which supervision units from foreign countries or districts of Hong Kong, Macao and Taiwan are selected to exercise supervision. Article 43 These Regulations shall take effect as of 1st January 2001. The Rules of Guangdong Province on the Social Supervisory Control over Construction Projects shall be abolished accordingly. |