(Adopted at the Second meeting of the Standing Committee of the Second Shenzhen Municipal People’s Congress on September 15, 1995; firstly revised at the 17th meeting of the Standing Committee of the Third Shenzhen Municipal People’s Congress on August 23, 2002; secondly revised at the 32nd meeting of the Standing Committee of the Third Shenzhen Municipal People’s Congress on June 25, 2004)
Chapter I General Provisions
Article 1 In order to standardize the supervision of construction projects, enhance the investment benefits and increase the level of construction project management, and ensure the construction quality and safety, these Regulations hereby are formulated according to the basic principles of the Construction Law of the People’s Republic of China and other relevant law and administrative regulations, taking the specific conditions of the Shenzhen Special Economic Zone (hereinafter referred to as the Special Zone) into account.
Article 2 These Regulations are applicable to the supervision carried out during the construction period and guarantee period.
For the purpose of these Regulations, construction supervision (hereinafter referred to as supervision) refers to the supervisory management to a construction project which is performed by a supervisory firm under the entrustment of the construction unit according to the provisions of national law, regulations and rules on project construction.
Article 3 The administrative department of construction (hereinafter refereed to as the municipal competent authority) of Shenzhen Municipal People’s Government (hereinafter referred to as the municipal government) is the competent authority of supervision and carries out supervision and administration to the supervision activities.
The administrative department of construction of district people’s governments (hereinafter referred to as the district competent authority) shall supervise and administrate the supervision activities within the area under its jurisdiction according to its responsibilities and authorities and under the guidance of the municipal competent authority.
The relevant administrative departments of transportation and water affairs of the municipal government shall administrate and supervise the supervision to the corresponding professional construction projects.
Article 4 The supervisory firms and supervisors shall comply with the principles of independency, objectiveness, scientificity, fairness and honesty and strictly perform their functions and duties of supervision.
Article 5 The Supervisory Engineer Association of Shenzhen is an industrial self-regulatory organization form by supervisory firms and supervisory engineers, which shall be responsible, under the guidance of municipal competent authority, to establish industrial regulations, qualification examination, training and testing and shall conduct activities in compliance with its constitution.
Every supervisory firm and supervisory engineer registered in the Special Zone shall join in and become a member of the Municipal Supervisory Engineers Association.
Chapter II Scope and Contents of Supervision
Article 6 Supervision shall be performed during the construction period and guarantee period of the following construction projects:
1. Construction projects with no less than RMB 3 million investment in total;
2. Construction projects concerning public security, such as bridges, underpass, gas pipelines, boilers, pressure vessels and pressure pipelines with no more than RMB 3 million investment in total;
3. Other construction projects that shall be supervised according to national provisions.
Article 7 The supervision shall contain the following aspects:
1. Legitimacy of the construction project;
2. Project’s quality;
3. Construction safety and civilization;
4. Construction duration;
5. Use of construction funds.
Article 8 Main responsibilities of supervision during the construction period shall be as follows:
1. Examining the construction starting report made by the contractor, verifying the situation about the project approval, planning license, tendering and bidding, construction quality supervision, construction safety supervision and construction license relating the construction project, investigating the qualification of the contractor and its working staff, and urging the construction work to be carried out according to law;
2. Affirming the sub-contractors chosen by the contractor;
3. Organizing the joint inspection on construction drawings;
4. Examining the construction organization design, construction technology program, construction schedule, construction quality assurance system and construction safety guarantee system which are proposed by the contractor;
5. Checking and urging the contractor to strictly perform the project’s contract and apply the national compulsory technical standards;
6. Examining the quantity and quality of the materials, components, fittings and facilities supplied by the contractor or the construction firm;
7. Controlling the project’s progress, quality and investment, urging the contractor to fulfill the guaranty measures on construction safety;
8. Organizing the inspection and acceptance check for partial, subentry and hidden projects;
9. Being responsible for the confirmation of construction site and handling other matters like project alteration;
10. Signing and issuing the proof of project payment;
11. Urging the contractor to sort contract documents and technical files;
12. Organizing the preliminary acceptance check of the project;
13. Urging the completion of acceptance check formalities and the recording procedures relating the construction project.
Article 9 Main responsibilities of supervision during the guarantee period shall be as follows:
1. Urging the contractor to return and visit;
2. Taking part in the identification of quality responsibilities;
3. Supervising the project guarantee until the project meets with the specified quality standards.
Chapter III Supervisory Firms and Supervisors
Article 10 Any unit or individual who wants to engage in the business of supervision shall firstly obtain the corresponding qualification for project supervision and shall commit supervision activities within the scope specified by the qualification.
Article 11 A supervisory firm is a practicing institution for supervisory engineers and can be an enterprise legal person or partnership in organization form.
Any unit which wants to apply for the qualification to be a supervision firm shall go to the municipal competent authority according to relevant national provisions.
Article 12 The qualification for supervisory firms are classified into levels of A, B and C, and shall be granted by graded examination according to the national provisions.
Article 13 If a supervisory firm of another city wants to undertake supervision business in the special zone, it shall register at the municipal competent authority. The specific registration measures shall be made by the municipal competent authority.
Article 14 A supervisory engineer refers to the professional person, who obtains the qualification to be a supervisory engineer, lawfully registers and holds the practicing certificate for supervisory engineers, and is engaged in supervision business.
No one may practice supervision in the name of supervisory engineer without registration.
Anyone who passes the examination by the Municipal Supervisory Engineers Association and received the post certificate of supervision may assist supervisory engineers in supervision activities.
Article 15 No supervisory engineer may practice in two or more supervisory engineer firms simultaneously.
Article 16 The annual examination system on the qualification license for supervisory firms shall be implemented. Only those who pass the annual examination can continue practicing supervision business.
Article 17 It is prohibited to rent and lend the qualification certificate for supervisory firms or the practicing certificate for supervisory engineers.
Article 18 The municipal competent authority shall record down the bad behavior committed by a supervisory firm or supervisory engineer during the supervision, and publicize it on public media.
Article 19 The supervisory firm shall cover its supervisory engineers with the practice liability insurance. Specific measures for the insurance shall be made by the municipal competent authority separately.
No one may undertake supervision business without being covered by the practicing liability insurance.
Chapter IV Tendering and Bidding for Supervision
Article 20 Construction firm shall decide the supervisory firm by tendering and bidding if the project’s total cost exceeds RMB 20 million or the estimated value of a single contract of supervision service exceeds RMB 500,000. A construction firm may by itself decide the supervisory firm by or not by tendering and bidding if the construction project falls in the scope where tendering and bidding is not required as regulated by the Regulations of Shenzhen Special Zone on the Tendering and Bidding for Construction Projects.
Article 21 Supervision bidders shall make supervisory planning document, supervisory qualification document and supervisory quotation document as required by the tendering documents.
The supervisory qualification document shall specify the qualification of the bidder, the staff composition of the supervisory organization to be assigned for the project, the supervision performances, the rewards and punishments and the credentials.
Article 22 It is forbidden for bidders to quote below the minimum supervision fees approved by the municipal competent authority of price. The bidding document shall be invalid where the rule above is violated.
Article 23 Supervisory bidding evaluation may be made by comprehensive evaluation method, plan priority method, and other methods specified by law or regulations.
Where the comprehensive evaluation method is applied, the bidding evaluation committee shall review and score on the bidding documents and the defense of the general supervisory engineer according to the tendering documents, and recommend not more than 2 ordered candidates of successful bidders. The successful bidder shall be determined in sequence by the tender. Where the first successful candidate gives up or fails to perform the contract for force majeure, the tender may decide the second candidate as the successful bidder. The supervisory quotation of the bidder determined by this method shall be the contract price.
Where the plan priority method is applied, the bidding evaluation committee shall review and score on the bidding documents except for the supervisory quotation documents, and the defense of the general supervisory engineer according to the tendering documents, and recommend not more than 2 ordered candidates of successful bidders. The first candidate shall be determined as the successful bidder if the tender accepts the bidder’s quotations or makes a separate agreement on the charging fees. If the agreement is not reached, the second candidate shall be determined as the successful bidder with a bid wining price lower than the supervisory quotation promised by the first candidate.
Article 24 Where there is no provision in these Regulations about the tendering and bidding for supervision, the provisions of the Regulations of Shenzhen Special Zone on the Tendering and Bidding for Construction Projects shall be applied as reference.
Chapter V Practicing of Supervision Business
Article 25 When a construction firm entrust the supervision business, it shall check the qualification of the supervision firms, and may not entrust the supervision business to a unit without the corresponding qualification level of supervision.
Article 26 When a construction firm entrust the supervision business to a supervisory firm, they shall make written supervision contract.
The construction firm shall submit the supervision contract and the name of the general supervisory engineer for record to the municipal or district competent authority within 15 days upon the making of supervision contract. If there is any change to the supervision contract or the general supervisory engineer, a modification of record shall be made.
Article 27 It is forbidden for supervisory firms to transfer supervision businesses out.
Article 28 The supervisory firm shall assign a general supervisory engineer, who is responsible to set up a project supervisory institution, according to the professional characteristics of the project after undertaking the supervisory business. The system of general supervisory engineer undertaking responsibilities shall be carried out in the project supervisory institution.
The general supervisory engineer shall be a supervisory engineer who has practiced project supervision for more than 3 years.
Article 29 The general supervisory engineer may appoint a supervisory engineer as his representative based on his needs, but shall not entrust the functions and powers which shall be fulfilled by the general supervisory engineer himself in person, as required by relevant rules or the supervision contract.
The representative of the general supervisory engineer shall exercise functions and powers within the authorization scope and be responsible for the general supervisory engineer.
Article 30 The supervisory firm shall make supervisory planning and detailed rules according to the supervisory program after undertaking the supervision business.
Article 31 Before the supervision is carried out, the construction firm shall notify the contractor and relevant parties in writing of the name of the supervisory firm, the content of supervision, and the name and authorities of the general supervisory engineer or his representative. The supervisory firm shall notify the contractor and relevant parties in writing of the names and authorities of persons composing the project supervisory institution.
The project supervisory institution undertaking the supervision during the construction period shall be stationed on the construction site. The number and profession of the supervisory engineers appointed by the project supervisory institution to be on the construction site shall meet the requirements of the supervision business in this period.
Article 32 The contractor and relevant parties shall accept the supervision and management from the supervisory firm, and provide the supervisory firm with necessary materials of prospecting, designing, construction and detecting.
Article 33 During the supervision, every order given by the construction firm to the contactor or relevant unit shall be issued by the general supervisory engineer.
The general supervisory engineer shall refuse to obey the order given by the construction firm if he thinks that the order violates the provisions of law, regulations or rules.
Article 34 During the supervision, the acceptance certificate for materials, which are used in the project, entering in the site, the acceptance certificate for handing over procedures, the payment notice of project money, the notice of stopping working and the notice of restarting working shall be issued by the general supervisory engineer or his representative.
Without the acceptance signature of supervisory engineer, construction materials, components and equipments may not be used or installed in the project, likewise the contractor may not carry out the construction for the next process. Without the acceptance signature of the general supervisory engineer, the construction firm may not appropriate project money, and may not carry out the acceptance check.
Article 35 Supervisory firms and supervisors shall strictly perform their functions and duties of supervision. As regard to an item which shall be supervised according to the supervision contract, if the supervisory engineer does not declare in advance and does not implement the supervision in time, his opinion shall be regarded as acceptance.
Article 36 The supervisory firm and supervisors shall examine the technological schemes of the dangerous operations relating construction safety, and urge the implementation of the schemes.
Article 37 During the process of fulfilling functions and duties, the supervisory institution shall take measures to stop the illegal activities, or to stop the construction if there is a quality problem or hidden trouble endangering the construction safety. If the adopted measures are not effective, the situation shall be reported to the competent authority, the supervisory authority of project quality or the supervisory authority of construction safety to deal with.
Article 38 No supervisory firm or supervisor may have any subordination relationship or any other kind of benefit-based relationship with the contractor, equipment manufacturer or material supplier of the project under his supervision.
Article 39 No supervisory firm or supervisor may collude with the construction firm, the contractor, or another related party, may not practice fraud or degrade the project’s quality to damage the legal rights and interests of the State or other parties.
Article 40 The supervisory firm shall perform its functions and duties according to these Regulations and the contract, without being interfered by the construction firm or contractor.
If a supervisor can not fulfill his supervision functions and duties, the construction firm shall have the right of requiring the supervisory firm to replace the supervisor.
Chapter VI Legal Responsibilities
Article 41 If a supervisory firm fails to perform its supervision functions and duties, or makes a mistake in the supervision work and thus causes losses, it shall be responsible for corresponding compensation according to law.
Article 42 If a construction firm commits any one of the following activities, it shall be ordered to make correction and be punished according to the following rules:
1. Anyone who ought to but fails to entrust supervision business in violation of Article 6 of these Regulations shall be imposed a fine of 2% to 4% of the total amount of project’s construction cost;
2. Anyone who ought to but does not bid for supervisory firm or makes false bidding in violation of Article 20 of these Regulations, or fails to determine the bid winner according to the bidding evaluation standards of supervision, in violation of Article 24 of these Regulations, shall be imposed a fine of 1% to 3% of the total amount of project’s construction cost;
3. Anyone who entrusts the supervision business to a supervisory firm without the corresponding level of qualification, in violation of Article 25 of these Regulations, shall be imposed a fine of 1% to 3% of the total amount of project’s construction cost;
4. Anyone who fails to go through the recording formalities in violation of the Second Paragraph of Article 26 of these Regulations shall be imposed a fine of RMB 5,000;
5. Anyone who appropriates project’s money without authorization in violation of the Second Paragraph of Article 34 of these Regulations shall be imposed a fine RMB 10,000.
Article 43 Anyone who undertakes supervision business without the corresponding supervision qualification, in violation of Article 10 of these Regulations, shall be ordered to make corrections, confiscated his illegal gains and be imposed a fine of 1 to 3 times of the amount of the supervision fees agreed in the contract.
Article 44 If a supervisory firm commits any one of the following conducts, it shall be ordered to make correction and be punished according to the following rules:
1. Anyone who undertakes supervision business in the Special Zone without registration, in violation of Article 13 of these Regulations shall be imposed a fine of 10,000;
2. Anyone who appoints a person to practice in the name of a supervisory engineer without registration, in violation of the Second Paragraph of Article 14 of these Regulations, shall be imposed a fine of 10,000 to 30,000;
3. Anyone who rents or lends the qualification certificate for supervisory firms, or allows another unit to undertake business in his own name, in violation of Article 17 of these Regulations, shall be confiscated the illegal gains and imposed a fine of 1 to 3 times of the amount of supervisory fees agreed in the contract, and shall be sustained his qualification certificate for 3 to 6 months if the circumstance is serious;
4. Anyone who transfers out supervision business in violation of Article 27 of these Regulations shall be confiscated the illegal gains and be imposed a fine of 25% to 50% of the amount of supervisory fees agreed in the contract, and shall be sustained his qualification certificate for 3 to 6 months if the circumstance is serious;
5. Anyone who fails to choose and send a supervisor to station in the construction site or fails to issue a written notice, in violation of Article 28 or 31 of these Regulations, shall be imposed a fine of RMB 10,000.
Article 45 If a supervisory engineer commits any one of the following conducts, he shall be ordered to make correction and be punished according to the following rules:
1. Anyone who practices in more than two supervisory firms at the same time, in violation of Article 15 of these Regulations, shall be imposed a fine of RMB 5,000 to 10,000;
2. Anyone who fails to issue relevant document as required, in violation of the First Paragraph of Article 34 of these Regulations, shall be imposed a fine of RMB 30,000 to 50,000, and shall be sustained his practicing certificate for 6 to 12 months if the circumstance is serious;
3. If the supervisory institution fails to adopt measures or report in violation of Article 37 of these Regulations, its general supervisory engineer shall be imposed a fine of RMB 30,000 to 50,000.
Article 46 Any contractor who refuses to provide necessary documents to the supervisory firm, or uses, installs construction materials, construction components or equipments in the project without authorization, or starts the construction of the next process without authorization, in violation of Article 32, or the Second Paragraph of Article 34 of these Regulations, shall be ordered to make correction and be imposed a fine of RMB 10,000 to 50,000.
Article 47 In case that a supervisory firm or supervisor fails to perform his supervision functions and duties, and thus causing a project quality accident or construction safety accident, he shall be punished according to the following rules besides taking the compensation responsibilities according to law:
1. Where a major project’s quality accident or construction safety accident graded FOUR is caused, the supervisory firm shall be imposed a fine of RMB 30,000 to 50,000, and be sustained its qualification certificates for 3 to 6 months; meanwhile, the general supervisory engineer and the person directly responsible shall be imposed a fine of RMB 5,000 to 7,000 and be sustained their practicing certificates for 3 to 6 months;
2. Where a major project’s quality accident or construction safety accident graded THREE is caused, the supervisory firm shall be imposed a fine of RMB 50,000 to 70,000, and be sustained its qualification certificates for 6 to 12 months; meanwhile, the general supervisory engineer and the person directly responsible shall be imposed a fine of RMB 5,000 to 7,000 and be sustained their practicing certificates for 6 to 12 months;
3. Where a major project’s quality accident or construction safety accident graded TWO or above is caused, the supervisory firm shall be imposed a fine of RMB 70,000 to 100,000, and be revoked its qualification certificates; meanwhile, the general supervisory engineer and the person directly responsible shall be imposed a fine of RMB 7,000 to 10,000 and be revoked their practicing qualification;
Article 48 The administrative penalty of revoking the qualification certificate stipulated in these Regulations shall be determined by the authority issuing the certificate. Other administrative penalties shall be made by the municipal and district competent authorities according to their respective functional authorities.
Article 49 If an official of the municipal or district competent authority, the supervisory organization of project quality or safety neglects his duty, abuses his power, plays irregularity for favoritism or takes a bribe, in violation of the provisions of these Regulation, he shall be investigated for administrative responsibilities by the administrative department of supervision, and shall be investigated for criminal responsibilities according to law if there is a crime.
Chapter VII Supplementary Provisions
Article 50 The municipal government may formulate specific implementation measures according to these Regulations.
Article 51 These Regulations shall enter into effect as of November 1, 2002.
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