深圳市人大常委会公告第105号
颁布日期：20000404 　实施日期：20000701 　颁布单位：深圳市人大常委会

　　on Governmental Investment Projects

　　(Adopted at the Thirty-eight Meeting of the Standing¹ Committee of the Second Shenzhen Municipal People’s Congress on March 3, 2000.)

　　Chapter I General Provisions

　　Article 1 In order to standardize² governmental investment project of Shenzhen Municipality, establish sound decision-making procedure and organizational implementation³ procedure, guarantee quality of projects and achieve better investment profits,　these regulations are hereby formulated⁴ in combination with the practical conditions of Shenzhen Municipality and in accordance with the fundamental principles of the relevant laws and regulations.

　　Article 2 These regulations shall be applicable to the administration of the governmental investment projects at the level of Shenzhen Municipality.

　　In these regulations, governmental investment projects at the level of Shenzhen Municipality referred to the construction projects with investment of fixed⁵ assets at the level of municipality, for which the funds within budgetary estimate, land development funds and other financial funds are used.

　　Article 3 All governmental investment projects shall be constructed in accordance with approved plans.

　　The plans of governmental investment projects shall be made out under the relevant laws, regulations and policies of the state, the plans of national economy and social development of Shenzhen Municipality, the urban planning and the practical requirements.

　　Any governmental investment shall be made in compliance⁶ with the principle of keeping expenditures⁷ below income and maintaining comprehensive balance.

　　Any governmental investment shall emphatically invest in fundamental and public projects.

　　Article 4 The construction of the investment projects of the government shall abide⁸ by the following principles:

　　(1) Strictly⁹ perform the procedure of capital construction. Reconnoitering, design and construction in the same time shall be prohibited;

　　(2) Stick to the principle of budgetary estimate controlling budget, and budget controlling final accounts;

　　(3) Establish improved responsibility system for quality of projects and responsibility system for supervision¹⁰ of projects to ensure quality of projects; and

　　(4) Other responsibility system of legal persons for projects according to these regulations

　　Article 5 The competent planning agency (hereinafter referred to as the "Competent Municipal Planning Agency") of the People's Government of Shenzhen Municipality (hereinafter referred to as the "Municipal Government") shall be specifically responsible for the working-out plans of the governmental investment projects and their enforcement. The agencies of finance, state-owned land planning, construction, auditing¹², administrative¹³ supervision and other municipal government agencies shall exercise the administration and supervisory control over the governmental investment projects within the limits of the respective authorities.

　　Chapter II Establishment of Governmental Investment Projects

　　Article 6 All governmental investment projects shall not be constructed before the application for the establishment of projects being approved.

　　The following documents shall be required for application for the establishment of projects.

　　(1) Application;

　　(2) Recommendation of projects; and

　　(3) Other documentary materials required by the competent municipal planning agency.

　　Article 7 Any recommendation of projects shall include the following contents:

　　(1) Necessity and basis of construction of projects;

　　(2) Planned place, scale of construction, estimated investment and tentative plans for fund financing;

　　(3) Initial analyses of economic benefit and social results; and

　　(4) Other items.

　　Article 8 The application for the establishment of projects shall be examined by the Municipal Planning Competent Agency, who submits the qualified¹⁴ ones to the People's Government for approval. Those very important projects shall be submitted by the Municipal People's Government to the Standing Committee of the Municipal People’s Congress for examination and approval.

　　Any declaration for the establishment of projects that are to be approved by the superior people's government pursuant to the limit of authority of approval shall be uniformly handled by the Competent Municipal Planning Agency.

　　As for the projects that may greatly affect the society or environment, opinions from all walks of life and the public shall be solicited¹⁵ before the establishment of the projects.

　　Article 9 After the application for the establishment of projects approved, a construction unit shall undertake the following work in the given order:

　　(1) Feasibility study;

　　(2) Initial design; and

　　(3) Working out general budgetary estimate of projects.

　　The initial design and general budgetary estimate of the projects with investment capital below RMB 30,000,000 or projects urgently needed construction may be worked out with the approval of the Competent Municipal Planning Agency.

　　If it is necessary, the Competent Municipal Planning Agency shall arrange necessary outlay¹⁶ for work as stipulated¹⁷ in Paragraph 1 of this Article.

　　Article 10 A construction unit shall authorize¹⁸ those competent advisory¹⁹ agencies to make the feasibility study of the projects and work out reports of feasibility study.

　　In any reports of feasibility study, all-round analyses and demonstrations²⁰, which shall meet the work requirements as stipulated by the state, are to be made on the reasonableness or feasibility of construction projects in technology, engineering, economy and the effect on environment.

　　The reports of feasibility study once completed shall be presented by construction units to the competent municipal planning agency for examination and approval.

　　Article 11 A construction unit may, after the report of feasibility study has been completed, authorize a competent design unit to work out initial plans and general budgetary estimate of a project pursuant to the requirements of the approved report of feasibility study.

　　Any initial design shall be subject to the approval of the relevant agencies as stipulated by the Municipal People's Government.

　　Article 12 All expenditures required by construction projects shall be included in general budgetary estimate of projects.

　　All general budgetary estimates of projects shall be subject to the examination of competent advisory agencies who have been authorized²¹ by the competent municipal planning agency and further to the approval of the Competent Municipal Planning Agency.

　　Article 13 Written recommendations of projects, reports of feasibility study and initial design shall go through advisory assessment²², otherwise they shall not be approved.

　　The detailed²³ advisory measures are to be prescribed by the Municipal People's Government.

　　Chapter III Plans for Governmental Investment Projects

　　Article 14 All plans for governmental investment projects shall include the following contents:

　　(1) Gross amount of annual governmental investment;

　　(2) Names of newly started projects, scale of construction, gross amount of investment, construction period, amount of annual investment and contents of construction;

　　(3) Names of projects for continuous construction, annual amount of investment and contents of proposals;

　　(4) Planned governmental investment funds at earlier stages; and

　　(5) Other necessary conditions needed statement.

　　All plans of governmental investment projects shall be completed working out before the start of the plan of the following year.

　　Article 15 Only after the initial plans have been approved and general budgetary estimate checked and ratified²⁴, may newly started projects be brought into the annual plans for governmental investment projects.

　　Article 16 Fund requirements for continuous construction of projects shall be first of all ensured in plans of governmental investment projects.

　　Gross investment brought into plans of newly started projects shall be calculated on the basis of approved general budgetary estimate for the checked and ratified projects by the Competent Municipal Planning Agency.

　　Article 17 All plans of governmental investment projects once worked out shall be submitted by the Municipal People's Government to the Municipal People’s Congress for examination and approval.

　　Article 18 As for the investment projects needed to be brought into plans of governmental investment projects of the year but not in conformity²⁵ with the requirements as stipulated in Article 15 of these regulations, appropriate funds may be prepared for the plans of annual governmental investment projects as funds for the anticipated projects, which are to be brought into plans of governmental investment projects and be submitted by the Municipal People's Government to the Standing Committee of the Municipal People’s Congress for examination and approval the time when the said projects meet the stipulated requirements.

　　Article 19 In the course of the performance of plans of governmental investment projects, the Municipal People's Government shall work out adjustment plans on the total amount of annual governmental investment or any increase or decrease of newly started projects if necessary for presentation to the Standing Committee of the Municipal People’s Congress for examination and approval.

　　If there is any adjustment of annual investment for the approved projects in the light of the practical requirements of the construction projects, the Competent Municipal Planning Agency shall, after soliciting²⁶ opinions from the relevant agencies, work out adjustment plans for the approval of this municipality, but the accumulated funds appropriated to the projects shall not exceed the total investment as stipulated in the plans.

　　Article 20 Once having been approved, any plan for governmental investment projects shall take legal effect for strict enforcement. Any unit or individual shall not alter the plan without authorization²⁷ and through legal proceedings²⁸.

　　Chapter IV Administration of Establishment of Governmental Investment Projects

　　Article 21 The Competent Municipal Planning Agency shall, after the approval of the plans for government investment projects, issue timely the investment plans to all the construction units and notify their competent agencies of trades and professions.

　　All construction units shall authorize design units to work out working drawings and budget for projects strictly in compliance with the issued investment plans, the approved initial design and general budgetary estimate of projects.

　　Any budget of working drawings and other expenditures needed during construction of projects shall be included in the budget of projects.

　　Article 22 Any design of working drawings shall be subject to the approval of the agencies as stipulated by the people's government; any budget of projects shall be examined and approved by the auditing agencies (hereinafter referred to as the "Municipal Investment Auditing Agencies") before submitted to the Competent Municipal Planning Agency.

　　Any budget of projects shall not be beyond the approved total investment of projects. Compulsory²⁹ excess shall be subject to the approval of the Competent Municipal Planning Agency, but any projects whose investment exceeds 20% of the total investment and RMB 50,000,000 shall be reported to the Standing Committee of the Municipal People’s Congress for examination and approval.

　　Article 23 As for the construction of the projects in which responsibility system of legal persons are required according to the relevant regulations, legal persons of projects, who shall be responsible for the construction, administration and management of projects at construction units, are to be formed according to law.

　　A legal representative of a project may not hold concurrent³⁰ posts of leadership at any administrative institutions.

　　The detailed measures on the implementation of responsibility system of legal persons for projects are to be specifically stipulated by the municipal government.

　　Article 24 In the projects for which it is inappropriate to apply the responsibility system of legal persons, the construction institutions for the construction of governmental investment projects established by the municipal government shall, after the plans have been issued, be their construction units, who shall undertake the preparatory works and organize construction.

　　Article 25 Invitation to bid and bidding shall be held for the reconnoitering, design, construction and supervision of the governmental investment projects according to law. No projects without holding invitation to bid and bidding according to law may be approved to be designed or started construction.

　　Article 26 Contracts shall be concluded according to law on the reconnoitering, design, construction and supervision of construction projects.

　　A performance guarantee system shall be applied³¹ to governmental investment projects. All units of reconnoitering, design, construction and supervision shall, as soon as contracts have been concluded, present letters of performance guarantee of a certain amount of bonds provided by banks to construction units under contracts. Any transfer of contract or illicit³² subcontract of projects shall be prohibited.

　　Article 27 A system of approval of commencement report shall be applied to governmental investment projects. Any commencement report shall be approved by the Competent Municipal Planning Agency. The following requirements shall be satisfied for commencement of projects:

　　(1) Legal persons of projects having been set up or persons liable for projects having been confirmed, administrative personnel of projects having reached construction sites and rules and regulations on the management of projects having been formulated;

　　(2) Working drawings having been approved and budget of projects checked and ratified;

　　(3) Units in charge of construction and supervision units having been determined³³ and contracts for undertaking³⁴ construction and supervision contracts concluded;

　　(4) Principal part of projects construction preparatory work of control projects having been completed to meet requirements of continuous construction; and

　　(5) Other requirements as stipulated in laws and administrative rules or regulations.

　　The persons liable for projects in the Item 1 of the preceding paragraph shall mean the persons who are designated by governmental project construction institutions reliable for construction of specific projects.

　　Any compulsory advance commencement of projects due to some urgent circumstances for those who have not met the requirements as stipulated in the second item of the second paragraph of this Article shall, upon examination of projects by the competent municipal planning agency, be reported to the Municipal People's Government for approval.

　　Any construction units may not organize construction unless reports of commencement of projects have been approved.

　　Article 28 The municipal financial agencies shall appropriate funds for construction by stages according to the progress rate of construction of projects under the annual plans of governmental investment projects.

　　Special funds of governmental investment projects shall be used for a special purpose, for which the municipal financial agencies shall exercise control and supervision over financial activities in governmental investment projects.

　　Article 29 A direct payment system shall be applied to any construction funds.

　　All construction units shall, with approved application of the establishment of projects, issued investment plans, relevant documents, contracts on reconnoitering, construction, supervision, etc and application for appropriated funds signed by personnel in charge of construction units, go through payment procedures in municipal financial agencies, who shall directly pay the construction funds to units of reconnoitering, design, supervision, etc, or directly appropriate the construction funds to legal persons of projects for which legal persons are formed according to law.

　　The detailed measures on direct payment are to be formulated by the Municipal People's Government.

　　Article 30 A non-spot attestation³⁵ control system shall be applied to governmental investment projects, but any increase to content and quantity of projects due to special circumstances arising not on the part of units in charge of construction may be attested³⁶ on the construction sites. Any construction units shall advance the non-spot attestation for which the relevant documents or materials shall be provided, but in case any attestation of content and quantity of projects occurs, it shall be jointly³⁷ affirmed by units of construction, design and supervision and municipal investment auditing institutions. Any overdue³⁸ attestation shall be held invalid³⁹.

　　Article 31 Any equipment needed in governmental investment projects shall be purchased in accordance with the Regulations of Shenzhen Special Economic Zone on Governmental Procurement⁴⁰.

　　Article 32 Any governmental investment projects shall be constructed strictly according to the approved design documents. Any necessary changes in design shall, upon approval and revision of design units, be reported by construction units to the original ratification⁴¹ authorities for examination and approval.

　　Any addition to the total investment of projects due to changes of design or other causes shall be decided⁴² pursuant to the second paragraph of Article 22 of these regulations.

　　Article 33 After the completion of governmental investment projects according to the approved design documents, the settlement, final accounts, completion and acceptance of projects shall be finished within 6 months unless otherwise specifically provided by law.

　　All settlement and final accounts of completion of projects shall be checked by the municipal investment auditing agency, who shall provide opinions on checkup within 45 days after receipt of all the necessary documents and materials.

　　Article 34 The governmental investment projects shall be handled with registration⁴³ of title.

　　The municipal financial agency is responsible for the title registration. All construction units shall apply for title registration within 30 days after completion final accounts have been worked out and upon checkup of the Municipal Investment Auditing Institutions.

　　Any project without registration of title may not be made available for use.

　　Article 35 All construction units shall go through procedures of the handover of assets with end users timely after title registration, excluding the projects to which responsibility system of legal persons has been applied.

　　Any balance of construction funds shall, within a month after registration of title, be turned over to the Municipal Financial Agency.

　　Chapter V Supervision of Governmental Investment Projects

　　Article 36 The Standing Committee of the Municipal People’s Congress shall exercise supervision over the execution of plans of governmental investment projects according to law.

　　It is the right of the Standing Committee of the Municipal People’s Congress to organize specific investigations⁴⁵ of significant items in governmental investment projects, in which the agencies, units or individuals concerned shall actually reflect information and provide necessary data.

　　Article 37 The Municipal People's Government shall report to the Municipal People’s Congress or its Standing Committee about the execution of the plans for governmental investment projects at least twice within a year.

　　Article 38 The Competent Municipal Planning Agency shall be responsible for the supervision and examination of the execution of plans of governmental investment projects, and report to the municipal government and the relevant special committees of the Municipal People’s Congress about the execution of plans.

　　The relevant municipal agencies shall exercise supervision and examination of governmental investment projects within their limits of authorities.

　　Article 39 The People's Government may appoint special check commissioners⁴⁶ to check independently the construction process of the significant governmental investment construction projects according to relevant regulations.

　　Article 40 The Municipal Auditing Agency shall exercise auditing supervision over the execution and final accounting⁴⁷ of governmental investment projects according to law.

　　Any audit¹¹ made by auditing agencies on completion final accounts of governmental investment projects shall be binding⁴⁸ to construction units, design units and units in charge of construction.

　　Article 41 Names of legal persons of projects or names of construction, reconnoitering, supervision units, units in charge of construction and names of persons reliable of governmental investment projects shall be published on the construction sites when under construction and at conspicuous⁴⁹ places of buildings or fixtures⁵⁰ after construction.

　　Telephone numbers for tip-off shall be set up and made known to the public by relevant municipal agencies. It is the right of any unit, individual or news agency to report or prosecute⁵¹ all illegal acts that occur in the course of examination and approval and under construction of governmental investment projects. Those shall be rewarded who are meritorious⁵² in report or prosecution⁵³.

　　Chapter VI Legal Responsibility

　　Article 42 Any construction unit who violates any of the following provisions shall be ordered to make corrections within the specified⁵⁴ time limit and prosecuted⁵⁵ for the administrative liability of the personnel in charge and personnel directly liable; if the circumstances are serious, the offender⁵⁶ shall be removed from office and forbidden to be in charge of the administration of any governmental investment projects within three years; if the offence constitutes a crime, the offender shall be prosecuted for his criminal liability according to law.

　　(1) Starting construction without authorization;

　　(2) Raising construction standard or extending scope of investment without authorization;

　　(3) Organizing tenders not according to law;

　　(4) Transferring or invading or embezzling⁵⁷ funds for construction;

　　(5) Making available for use without completion acceptance or with unqualified completion; and

　　(6) Other acts seriously in violation⁵⁸ of these regulations and other laws and regulations.

　　Article 43 Any advisory institution who, in the course of advisory assessment of written recommendation, reports of feasibility study and initial design of projects, practices fraud or makes absolutely inadequate⁵⁹ assessment conclusion shall, according to the seriousness of the circumstances, be criticized by circulating a notice and forbidden to undertake any advisory assessment of governmental investment projects within 3 years; the offender shall be liable for the damages if there is any loss, or prosecuted for his criminal liability according to law if the offence constitutes a crime.

　　Article 44 Any relevant governmental agency who commits any of the following acts shall be ordered to make corrections within the time limited and prosecuted for the administrative liability of the chief personnel in charge and personnel directly liable; if the offence constitutes a crime, the offender shall be prosecuted for his criminal liability according to law.

　　(1) Having illegally approved reports of feasibility study or design documents;

　　(2) Having illegally approved commencement report;

　　(3) Having illegally appropriated funds for construction; and

　　(4) Other acts seriously in violation of these regulations and other relevant laws and regulations.

　　Article 45 Any leader of the relevant competent agency of the People's Government, who orders or authorizes⁶⁰ other agencies to violate construction procedures in these regulations, or illegally interferes⁶¹ with decision making of governmental investment projects, shall be prosecuted for his administrative liability; if the offence constitutes a crime, the offender shall be prosecuted for his criminal liability according to law.

　　Article 46 In case any serious quality accidents occur in governmental investment projects, besides the investigation⁴⁴ of the liability on the part of the construction, reconnoitering and supervision units, units in charge of construction, their legal representatives and personnel directly liable, the relevant administrative leaders shall be prosecuted for administrative liability in examination and approval, execution of construction procedures, appointment of cadres and supervisory control over construction of projects; if the offence constitutes a crime, the offender shall be prosecuted for his criminal liability according to law.

　　Article 47 Anyone working in the government office who, in the course of the construction of governmental investment projects, abuses his power of office, neglects his duties, practices irregularities for personal gains, takes bribes⁶² shall be confiscated⁶³ of his illegal gains and investigated for his administrative liability according to law; if the offence constitutes a crime, the offender shall be prosecuted for his criminal liability according to law.

　　Chapter VII Supplementary⁶⁴ Provisions

　　Article 48 The detailed implementation measures are to be formulated by the Municipal People's Government in accordance with these regulations.

　　Article 49 The implementation of governmental investment projects of people's governments of all districts and towns of Shenzhen Municipality shall refer to these regulations.

　　Article 50 These regulations shall take effect as of July 1, 2000.

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