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Notice of the General Office of Shanghai Municipal People's Government on Transmitting the Four Interim Procedures Including the Interim Procedures of Shanghai Municipality on the Administration of the Repository of Projects Financed by the Municipal Construction Budget Formulated Respectively by the Municipal Development & Reform
（SMPG GO G[2010]No. 41）
allDistrictandCountyPeople'sGovernments,andallrelevantCommissions,OfficesandBureaus(Administrations)oftheMunicipalPeople'sGovernment:
The Interim Procedures of Shanghai Municipality on the Administration of the Repository of Projects Financed by the Municipal Construction Budget formulated by the Municipal Development &Reform Commission,the Interim Procedures of Shanghai Municipality on the Administration of the Financial Supervision over Projects Financed by the Municipal Construction Budgetby the Municipal Finance Bureau,the Interim Procedures of Shanghai Municipality on the Administration of the Engineering Supervision over Projects Financed by the Municipal Construction Budgetby the Municipal Urban Construction and Communications Commission,and the Interim Procedures of Shanghai Municipality on the Supervision over the Auditing of Projects Financed by the Municipal Construction Budgetby the Municipal Auditing Bureau have all been approved by the Municipal People's Government.We hereby transmitthem to you and request you to implement them conscientiously.
the General Office of Shanghai Municipal People's Government
October26,2010
Interim Procedures of Shanghai Municipality on the Administration of the Repository of Projects Financed by the Municipal Construction Budget
| | 上海市人民政府辦公廳關于轉發市發展改革委等四部門分別制訂的《上海市市級建設財力項目儲備庫管理暫行辦法》等四個暫行辦法的通知
（滬府辦發〔2010〕41號）
各區、縣人民政府，市政府各委、辦、局：
市發展改革委制訂的《上海市市級建設財力項目儲備庫管理暫行辦法》、市財政局制訂的《上海市市級建設財力項目財務監理管理暫行辦法》、市建設交通委制訂的《上海市市級建設財力項目工程監理管理暫行辦法》、市審計局制訂的《上海市市級建設財力項目審計監督暫行辦法》已經市政府同意，現轉發給你們，請按照執行。
上海市市級建設財力項目儲備庫管理暫行辦法
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Article 1 (Purposes) With a view to ensuring more scientific and democratic decision-making in government-invested projects, and improving the overall balance in basic construction expenditures within the municipal financial budget (hereinafter referred to as the “Municipal Construction Budget”), these Procedures are formulated in accordance with the provisions of the Decision of the State Council on Reforming the Investment System and the Interim Procedures of Shanghai Municipality on the Administration of Projects Financed by the Municipal Construction Budget.
| | 第一條 （目的）
為了提高政府投資項目決策的科學化、民主化水平，強化市級財政預算內基本建設支出（以下簡稱“市級建設財力”）的統籌平衡，根據《國務院關于投資體制改革決定》、《上海市市級建設財力項目管理暫行辦法》等規定，特制定本辦法。
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Article 2 (Repository of Projects) The investment projects that need balanced investment from the Municipal Construction Budget shall be included in the repository of Projects Financed by the Municipal Construction Budget (hereinafter referred to as the “Repository of Projects”) according to the provisions of these Interim Procedures. The projects listed in the repository shall receive priority in decision-making.
| | 第二條 （項目儲備庫）
需由市級建設財力平衡的投資項目，應當按照本辦法的規定，納入市級建設財力項目儲備庫（以下簡稱“項目儲備庫”）。列入項目儲備庫的項目，決策時應當優先考慮。
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Article 3 (Division of Responsibilities) The Municipal Development & Reform Commission shall be responsible for the examination, approval, administration and updating of the projects in the repository; the relevant municipal departments and all district/county development & reform commissions shall be responsible for the preliminary examination and application of the projects for their inclusion in the repository.
| | 第三條 （責任分工）
市發展改革委負責儲備庫項目的審核、管理和更新工作；市有關部門、各區（縣）發展改革委負責儲備庫項目的初審和申報工作。
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Article 4 (Time of Application) The method of centralized application shall be adopted by projects in their application to be listed in the repository. The relevant municipal departments and the district/county development & reform commissions shall, according to the specific requirements put forward by the Municipal Development & Reform Commission, submit in a centralized method the projects applying for entry into the repository to the superior department from August 1 to August 30 each year. During other periods of time the relevant municipal departments and the district/county development & reform commissions may apply to make additions and adjustments to the submitted projects.
| | 第四條 （申報時間）
儲備庫項目的申報實行集中申報。每年8月1日至8月30日，由市有關部門和區（縣）發展改革委根據市發展改革委提出的具體要求，集中上報申請納入項目儲備庫的項目。
其他時間，市有關部門和區（縣）發展改革委可申請對所上報項目進行補充、調整。
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Article 5 (Requirements for Application) The relevant municipal departments and the district/county development & reform commissions shall submit to the Municipal Development & Reform Commission the basic information of the projects applying for entry into the repository, mainly including the project's name, background, construction type, place, contents, scale, estimated total investment, fund source, and other basic information. The construction and communications projects of this Municipality shall be submitted in a unified manner by the Municipal Urban Construction and Communications Commission upon overall consideration of a need for balance. Where one department submits two or more projects for application, this applicant department shall arrange these projects in order of importance and maturity. If those projects are related to each other and require the coordination of many departments, the applicant department shall take the initiative to communicate with the relevant departments in advance to do well the overall balance and resources sharing among projects.
| | 第五條 （申報要求）
市有關部門、區（縣）發展改革委應當向市發展改革委上報申請進入儲備庫項目的基本信息材料，主要包括項目名稱、項目背景、建設類型、建設地點、建設內容、建設規模、投資匡算、資金來源等基礎信息。
本市建設交通領域項目，由市建設交通委統籌平衡後統一上報。
申報部門所報項目超過2個的，申報部門應當根據項目的重要性、成熟度等對申報項目進行排序。所報項目存在關聯的，涉及多部門協調的，申報部門應當事先主動與相關部門溝通，做好項目的統籌平衡和資源共享。
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Article 6 (Management of Projects in the Repository) The Municipal Development & Reform Commission shall conduct classified management and dynamic adjustment of the projects in the repository according to the maturity and progress of their preparatory work. According to their maturity, the projects in the repository shall be classified into four categories: A, B, C, and D. A system of progressive upgrading from Category D to Category A shall be adopted for projects of all categories. The specific requirements for project classification and upgrading are as follows: Category D: projects which comply with the direction of the economic and social development planning, but have not been included in the relevant planning yet. Category C: projects which comply with the State and municipal macro-control policies, have been included in the Municipality's national economic and social development planning, special planning, or development and construction planning, and fall within the key work of the Municipal Party Committee and the Municipal People's Government, and whose preparatory work is to be launched in the near future. Category B: projects which fall within Category C and for which the written proposals have been approved, having upgraded to Category B. Category A: those Category B projects whose feasibility study reports have been approved, having upgraded to Category A; those Category C projects whose feasibility study reports (or whose written proposals) have been approved, or whose funding application reports have been approved, having upgraded to Category A. The Municipal Development & Reform Commission and the Municipal Finance Bureau shall be responsible for the linkage between the Repository of Projects and the investment plan of the Municipal Construction Budget. Category A shall be automatically moved out of the repository upon being included in the investment plan of the Municipal Construction Budget; Category D that have failed to be upgraded to Category C or other categories within two years shall be moved out of the repository automatically. In principle, the projects that are not listed in the repository shall not be covered by the investment plan of the Municipal Construction Budget. The applicant department may consult the repository information system for repository project classification, upgrading, etc.
| | 第六條 （儲備庫項目管理）
市發展改革委根據儲備庫項目的成熟程度和前期工作進展情況，對儲備庫項目實施分類管理，動態調整。
根據項目的成熟程度，儲備庫項目分為甲、乙、丙、丁四類，各類項目實施由丁類向甲類逐級升等制度。項目具體分類及升等條件如下：
丁類項目：入庫項目符合經濟和社會發展規劃方向，但尚未納入有關規劃的項目，分類為丁類項目。
丙類項目：入庫項目符合國家和本市宏觀調控政策，納入全市國民經濟和社會發展規劃、專項規劃、發展建設規劃，屬于市委、市政府的重點工作，擬近期啟動開展前期工作的項目，分類為丙類項目。
乙類項目：丙類項目中，項目建議書獲得批准的，升等為乙類項目。
甲類項目：乙類項目中，項目可行性研究報告獲得批准的，升等為甲類項目；丙類項目中，項目可行性研究報告（代項目建議書）獲得批准的，或者項目資金申請報告獲得批准的，升等為甲類項目。
市發展改革委、市財政局負責項目儲備庫與市級建設財力投資計劃的銜接工作，甲類項目納入年度市級建設財力投資計劃後，自動從儲備庫中轉出；丁類項目在2年內無法升等為丙類或其他類別項目的，自動調整出儲備庫。未列入儲備庫的項目，原則上不得進入市級建設財力投資計劃。
申報部門可以通過儲備庫信息系統，查詢項目分類和升等情況。
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Article 7 (Pre-arrangement of Upfront Expenses for Projects in the Repository) The Municipal Development & Reform Commission shall, jointly with the relevant departments, select from the repository those projects involving a large total investment, complex engineering and many social aspects, launch the preparatory work of such projects, and put them on the list of launching preparatory research within the year. The applicant department of these listed projects shall submit the estimated upfront expenses to the Municipal Development & Reform Commission. The upfront expenses shall be pre-arranged in the Municipal Construction Budget after the Municipal Development & Reform Commission consults with the Municipal Finance Bureau and submits them to the Municipal People's Government and obtains the latter's approval.
| | 第七條 （入庫項目的前期費用預安排）
市發展改革委會同有關部門對進入儲備庫的項目進行遴選，對項目總投資大且工程複雜、社會涉及面廣的項目，啟動項目前期工作，並列入年度擬開展前期研究的項目清單。
列入清單的項目，其申報部門應當向市發展改革委上報前期費用估算。前期費用，由市發展改革委商市財政局報市政府同意後，在市級建設財力中預安排。
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Article 8 (The Uses and Appropriation of the Upfront Expenses) The upfront expenses include the expenses for preparation of written project proposals, feasibility study reports, environmental impact evaluation reports, preliminary designs, and cost estimates, for survey and design, for bidding agency service, and for patent or proprietary technology use, and other such expenses. The specific fee standards shall be implemented according to the relevant provisions of the State and this Municipality. The upfront expenses may, according to the actual situation, be arranged in the stage of the written project proposal and the stage of the project feasibility study respectively. The payment of the upfront expenses of the projects for which government procurement and State treasury centralized payment are adopted shall be handled according to the relevant provisions on government procurement and State treasury centralized payment.
| | 第八條 （前期費用的使用範圍和撥付）
前期費用包括項目建議書、可行性研究報告、環境影響評價報告、初步設計及概算等編制費，勘察設計費，招標代理費，專利及專有技術使用費等費用。具體取費標准，按照國家、本市相關規定執行。
項目前期費用按照項目實際情況，可分別在項目建議書階段、項目可行性研究階段安排。
實行政府采購和國庫集中支付的項目，前期費用的撥付應當根據政府采購和國庫集中支付相關規定辦理。
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Article 9 (Disbursal and Supervision of the Upfront Expenses) Upon the written approval of the project proposal, the upfront expenses of the project shall be included in the construction costs according to the relevant provisions. In the case of projects whose upfront expenses have already been arranged, but which fail to be approved or have been approved but are cancelled later, the upfront expenses already spent shall be cancelled upon verification after the Municipal Auditing Bureau has organized the auditing and the user unit has obtained the approval of the Municipal Finance Bureau. If there is a balance remaining from the arranged upfront expenses, that balance shall be promptly handed over to the State treasury according to the provisions in a timely manner and any misappropriations for other purposes are strictly prohibited. The use and management of the upfront expenses shall be subject to the supervision and inspection of the Municipal Finance Bureau and the Municipal Auditing Bureau.
| | 第九條 （前期費用的列支和監督）
項目前期費用在項目建議書批複後，按照相關規定計入建設成本。
對已安排前期費用但未獲批准或者批准後又被取消的項目，其發生的前期費用經市審計局組織審計後，由使用單位報市財政局批准後作核銷處理。已經安排的前期費用如有結余，其結余資金應當按照規定及時上繳國庫，嚴禁挪作他用。
前期費用的使用和管理，應當接受市財政局、市審計局等部門的監督檢查。
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Article 10 (Supplementary Provisions) These Interim Procedures shall be interpreted by the Municipal Development & Reform Commission and implemented within 30 days after the date of their printing and distribution.
Shanghai Municipal Development & Reform Commission September 30, 2010
Interim Procedures of Shanghai Municipality on the Administration of the Financial Supervision over Projects Financed by the Municipal Construction Budget
| | 第十條 （附則）
本辦法由市發展改革委負責解釋，自印發之日起30日以後施行。
上海市發展和改革委員會
二○一○年九月三十日
上海市市級建設財力項目財務監理管理暫行辦法
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Chapter I General Provisions
| | 第一章 總則
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Article 1 (Purposes and Basis) With a view to further improving the operation efficiency and utilization efficacy of the Municipal Construction Budget of this Municipality and properly standardizing the financial (investment) supervision (hereinafter referred to as the “Financial Supervision”) over the Projects Financed by the Municipal Construction Budget of this Municipality, these Interim Procedures are formulated in accordance with the relevant provisions of the Budget Law of the People's Republic of China, the Provisions on the Management of Basic Construction Finance, the Provisions on the Administration of Public Finance Investment Appraisal and Examination, and the Interim Procedures of Shanghai Municipality on the Administration of Projects Financed by the Municipal Construction Budget.
| | 第一條 （目的依據）
為了進一步提高本市市級建設財力資金的運行效率和使用效益，切實規範本市市級建設財力項目的財務（投資）監理（以下簡稱“財務監理”）工作，根據《中華人民共和國預算法》、《基本建設財務管理規定》、《財政投資評審管理規定》、《上海市市級建設財力項目管理暫行辦法》的有關規定，特制定本暫行辦法。
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Article 2 (Application Scope) The Financial Supervision system shall be adopted for the investment projects arranged by the basic construction expenditures within the municipal financial budget (hereinafter referred to as the “Municipal Construction Budget”). The “Financial Supervision system” in these Interim Procedures means the whole-process fund monitoring, financial management, investment control and performance evaluation of the municipal-construction-budget-financed projects conducted by the Municipal Finance Bureau in conjunction with the competent project administrative department and the project unit via bidding, by selecting a professional non-governmental agency (hereinafter referred to as the “Financial Supervision Institution”), and according to the laws, rules, regulations and other relevant provisions.
| | 第二條 （適用範圍）
市級財政預算內基本建設支出（以下簡稱“市級建設財力”）安排的投資項目，實行財務監理制。
本辦法所稱的財務監理制，指市財政局會同項目主管部門、項目單位通過招標等競爭方式，選擇專業化的社會中介機構（以下簡稱“財務監理機構”），依照法律、法規、規章等相關規定，對市級建設財力項目進行全過程的資金監控、財務管理、投資控制和績效評價工作。
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Article 3 (Supervision Principle) The Financial Supervision Institution shall, according to the relevant laws and rules of the State, the project feasibility study report and the preliminary design, abide by the principle of lawfulness, impartiality and objectiveness in carrying out Financial Supervision and assume the corresponding examination liability and legal liability.
| | 第三條 （監理原則）
財務監理機構應當嚴格按照國家的有關法律、法規及項目可行性研究報告、初步設計等，遵循合法性、公正性和客觀性的原則，開展財務監理工作，並承擔相應的審查責任和法律責任。
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Article 4 (Division of Functions and Duties) The Municipal Finance Bureau is this Municipality's competent administrative department implementing the Financial Supervision system over Projects Financed by the Municipal Construction Budget, and is responsible for administrating the entrustment, supervision, guidance and evaluation of the Financial Supervision Institutions. The competent project administrative department (including the competent administrative departments, municipal-level government investment institutions, and holding group corporations authorized by the State-owned assets supervision and administration commission) shall be responsible for assisting the Municipal Finance Bureau in carrying out the entrustment, supervision, guidance and evaluation of the Financial Supervision Institutions and shall assume the corresponding functions and duties in financial management. The project unit shall be responsible for cooperating with the Financial Supervision Institution to carry out work, promptly provide the relevant documentary materials and the necessary conditions for on-site working for the financial supervisor, have the right to put forward reasonable suggestions and requirements on work to the financial supervisor and participate in the evaluation of the Financial Supervision Institution. Shanghai Certified Public Accountants Association and Shanghai Construction Consultants Association shall, according to their respective functions and duties, conduct self-disciplinary management and supervision over the Financial Supervision Institution.
| | 第四條 （職能分工）
市財政局是本市市級建設財力項目實施財務監理制的職能主管部門，負責管理財務監理機構的委托、監督、指導和考核等工作。
項目主管部門（包括行政主管部門、市級政府性投資機構、國資授權控股集團公司等）負責協助市財政局開展對財務監理機構的委托、監督、指導和考核等工作，並承擔相應的財務管理職責。
項目單位負責配合財務監理機構開展工作，及時向財務監理提供有關的文件材料和現場辦公的必要條件，並有權向財務監理提出合理的工作建議和要求，參與對財務監理機構的考核。
上海市注冊會計師協會和上海市建設工程咨詢行業協會按照各自職能，對財務監理機構進行自律管理和監督。
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Chapter II Contents, Functions and Duties of the Financial Supervision
| | 第二章 財務監理的內容和職責
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Article 5 (Contents of Work) The Financial Supervision Institution shall be responsible for the fund monitoring, financial management, investment control (including the examination and approval of engineering cost settlement) and performance evaluation of the project financed by the Municipal Construction Budget in the whole process from the time of obtaining the written approval of the feasibility study report till passing the government auditing and final financial settlement upon project completion.
| | 第五條 （工作內容）
財務監理機構負責市級建設財力項目自可行性研究報告獲批複後至通過政府審計及竣工財務決算期間、全過程的資金監控、財務管理、投資控制（含工程價款結算審核）及績效評價工作。
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Article 6 (Fund Monitoring) Fund monitoring in the charge of the Financial Supervision Institution mainly includes:
| | 第六條 （資金監控）
財務監理機構負責的資金監控工作主要包括：
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1. assisting the project unit to formulate the annual and monthly fund use plans, examining and verifying these plans and issuing written opinions thereon; 2. assisting the project unit in conducting special management of the construction fund, and urging the project unit to use the construction fund according to the prescribed use, and preventing the acts of occupation, diversion to other uses and detention of the fund; 3. examining and verifying expenditures of all kinds to ensure that they meet the relevant State provisions, and preventing loss and occupation of the construction fund; and 4. examining and verifying the advance payment, progress payment, reserve payment and the payment for the project change visa, and issuing the written opinions.
| | （一）協助項目單位編制年度、月度資金用款計劃，並對所編制的計劃予以審核同時出具書面意見。
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Article 7 (Financial Management) Financial management in the charge of the Financial Supervision Institution mainly includes: 1. participating in the guidance of accounting of basic construction throughout the process, and assisting the project unit to formulate the relevant financial system and provisions;
| | （二）協助項目單位對建設資金進行專戶管理，督促項目單位按規定用途使用建設資金，防止出現擠占、挪用、滯留資金的行為。
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2. assisting the project unit to set correctly the accounting titles, guiding it in standardizing the accounting measures, and participating in as well as examining and verifying the formulation of financial statements of all kinds;
| | （三）審核各類費用的支出，確保各項開支符合國家有關規定，防止建設資金的流失和占用。
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3. examining the total budget of the project and the budget of the basic construction of each year, and issuing the written examination and verification report in a timely manner;
| | （四）審核工程預付款、進度款、預留款、工程變更簽證等工程用款，並出具書面意見。
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4. checking the monthly expenditure of the project, submitting an analysis report on investment implementation each quarter and an analysis report on investment completion each year; and, upon the completion of the whole project, examining all the expenses, examining and verifying the total cost of the project, conducting analysis by comparing the actual cost of the project with the estimated total cost, and providing the project unit with a report on the examination and verification of the general settlement;
| | 第七條 （財務管理）
財務監理機構負責的財務管理工作主要包括：
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5. assisting the project unit in the management and accounting of procurement, storage and use of the materials during the project construction process; and
| | （一）全過程參與指導基建會計核算，協助項目單位制定相關的財務制度、規定。
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6. assisting the project unit in formulating correctly the final financial settlement upon project completion, and assisting it in passing the government's auditing and its examination and approval of the final financial settlement upon project completion.
| | （二）協助項目單位正確設置會計科目，指導項目單位規範財務核算方法，參與並審核各類財務報表的編制。
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Article 8 (Investment Control) Investment control in the charge of the Financial Supervision Institution mainly includes:
| | （三）審定項目的總預算以及分年度的基建支出預算，並及時出具書面審核報告。
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1. Investment control in the design stage Assisting the project unit in conducting preliminary examination of the estimated cost of the preliminary development design, putting forward a technical and economic analysis and optimization suggestions of the preliminary design, and especially making specific analysis of and amendments to the main factors that affect the cost, and issuing the corresponding written opinions for the reference of the project unit.
| | （四）核對項目的月度支出，每季度提交投資執行情況分析報告、每年提交年度完成投資分析報告。項目全部完成後，審查全部費用，審核項目總造價，對照項目實際造價與總概算進行分析，向項目單位提供總結算審核報告。
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2. Investment control in the preparatory stage Examining and verifying the upfront expenses, and issuing the corresponding written opinions. 3. Investment control in the bidding stage (1) participating in engineering surveys, designs, construction, construction supervision, equipment procurement and such other bidding work, examining and verifying the bidding documents and bill of quantities, and issuing the examination and verification opinions in writing; (2) participating in contract negotiation, and issuing the examination and verification opinions in writing on the reasonableness of the contract price, payment, change, claim and other such clauses in the contract; (3) forecasting uncertain factors that may arise in the engineering, such as price rises, design changes, unpredictable fees, etc., and issuing the relevant written opinions; and (4) participating in the price inquiry and examination and verification of the relevant projects, and issuing the relevant written opinions for the reference of the project unit.
| | （五）協助項目單位對項目建設過程中物資采購、保管、領用三個環節的管理及財務核算。
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4. Investment control in the project implementation stage (1) formulating the procedures and measures for field control of construction cost; (2) coordinating and cooperating with the engineering supervision unit in work (of quality and progress control), and implementing the visa system strictly; (3) attending the routine engineering meetings and other working meetings as required by the project unit, keeping track of the actual situation of the engineering progress, and implementing the tracking management of construction cost control; (4) examining and verifying the statement of monthly completed work submitted by the construction unit and approved by the engineering supervision unit, and providing the written proposal of the current month's payment, which can, upon acceptance by the project unit, serve as the basis for the current month's payment; (5) collecting relevant information on project engineering, learning the engineering process, assisting the project unit in examining and verifying the expenses that arise from design changes and on-site visas, and adjusting correspondingly the goal of the budget control; calculating the increases and decreases in engineering expenses arising from design alternations and the project unit's instructions, negotiating with the contract unit for a reasonable price arising from engineering changes that go beyond the contract, and avoiding unreasonable payment; (6) according to the monthly workload and payment in the project implementation stage, verifying the expenses for each change, and handling the total engineering settlement jointly with the project unit; (7) giving early warnings to the project unit of possible expense claims, and providing it with professional evaluation opinions, approximation of the cost, and counter-claim consultation, so as to guarantee the project unit's interests stipulated in the contract; and providing the project unit with consultation opinions of confirmation or feedback about the claim lodged by the relevant party; (8) assisting the project unit in inspecting the fulfillment of contracts of all kinds, preparing a report on contract fulfillment, and providing the whole set contracts, settlement (finalization) report and a summary of all expenses for the project unit's record; (9) examining and verifying the budget for the project construction drawings; (10) in terms of the materials and equipment of the project that need to be procured or whose prices need to be verified, inquiring about the prices or examining and verifying them according to the contract and the relevant provisions in a timely manner, and then issuing the examination and verification opinions in writing; (11) doing well the work of calculation and examination and verification of reinforcing steel bars and embedded parts of the project; and (12) regularly inspecting fulfillment of the contracts of procuring materials, equipment, etc. 5. Investment control in the settlement stage upon project completion Examining in a timely manner the projects' partial or whole cost settlement submitted by the construction unit, determining the cost of a single project impartially and reasonably, and putting forward a written report on the examination result (including the examination, verification and deduction of materials provided, equipment prices, consumption of water and electricity in the construction).
| | （六）協助項目單位正確編制工程竣工決算，協助通過政府審計及竣工財務決算審批。
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Article 9 (Performance Evaluation) The Financial Supervision Institution shall assist the competent project administrative department and the project unit to make objective and impartial performance evaluation on its economic, political, social and ecological efficacy after the project construction, issue a written performance evaluation report on the results, and provide in a timely manner the Municipal Finance Bureau therewith.
| | 第八條 （投資控制）
財務監理機構負責的投資控制工作主要包括：
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Chapter III Access and Choosing of Financial Supervisors
| | （一）設計階段的投資控制
協助項目單位對擴初設計概算進行預審，提出初步設計的技術經濟分析和優化建議，特別是針對影響造價的主要因素做出具體分析、修正，並出具相應書面意見供項目單位參考。
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Article 10 (Access Conditions) The subject of the Financial Supervision Institution may be a cost consultation company, an accounting firm, or a union of a cost consultation company and an accounting firm. The consultation service for project cost settlement shall be undertaken according to the relevant provisions of the Interim Procedures on Settlement of Cost of Engineering Construction (FC [2004] No. 369). The Financial Supervision Institution shall also meet the following conditions:
| | （二）前期階段的投資控制
審核建設項目的前期費用，並出具相應的書面意見。
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1. The cost consultation company has the certificate of Grade A project cost consultancy enterprise for three years or more, and the accounting firm has existed for three years or more.
| | （三）招標階段的投資控制
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2. The institution is staffed by 20 or more professional and technical personnel engaged in the examination of project cost estimates, budget (settlement), financial settlement upon project completion, as well as staffed by professionals with the qualifications of certified cost engineer or certified public accountant.
| | 1．參與工程勘察、設計、施工、施工監理、設備采購等招標工作，對招標文件和工程量清單進行審核，並出具書面審核意見。
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3. In the past three years the institution has never violated discipline or regulation, and has good social credit and professional quality, and has complete and perfect systems of technical file management, quality control and financial management.
| | 2．參與合同談判，對合同中有關合同價、付款、變更、索賠等條款的合理性出具書面審核意見。
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4. Its professionals entrusted to undertake the project Financial Supervision obey the State laws, rules and regulations, have a high professional quality and good professional ethics, and have no act of violating the law or regulation in the last three years.
| | 3．預判工程中可能出現的不確定因素，如漲價、設計變更、不可預見費等內容，並出具相關書面意見。
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Article 11 (Entrusted Subject) The entrusted subjects of the Financial Supervision Institutions are classified into the following three cases according to the investment modes of the Municipal Construction Budget:
| | 4．參與有關工程項目的詢價與審核，並出具相關的書面意見供項目單位參考。
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1. In the case of a project in which the Municipal Construction Budget invests in the mode of capital input or interest subsidy, the competent project administrative department shall be responsible for entrusting the Financial Supervision Institution.
| | （四）施工階段的投資控制
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2. In the case of a project in which the Municipal Construction Budget invests in the investment grant mode, and which is implemented by the district/county, the financial department of the relevant district/county shall be responsible for entrusting the Financial Supervision Institution, and in the case of other projects, the competent project administrative department shall be responsible for entrusting the Financial Supervision Institution.
| | 1．制定現場控制造價步驟與措施。
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3. In the case of a project in which the Municipal Construction Budget invests in the direct investment mode, the entrustment falls into the following two categories according to the investment amount of the construction and installation engineering defined in the written approval of the feasibility study report: (1) In the case of a project with the investment amount of the construction and installation engineering exceeding 150 million yuan, the Municipal Finance Bureau and the competent project administrative department shall jointly entrust the Financial Supervision Institution. (2) In the case of a project with the investment amount of the construction and installation engineering being 150 million yuan or less, the competent project administrative department and the project unit shall jointly entrust the Financial Supervision Institution.
| | 2．協調配合與工程監理單位（質量、進度控制）的工作，嚴格簽證制度。
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4. In the case of an informatization project and other special projects invested by the Municipal Construction Budget, the competent project administrative department and the project unit, upon reporting to the Municipal Finance Bureau and obtaining the approval therefrom, need not entrust a Financial Supervision Institution.
| | 3．參加工程例會和項目單位要求參加的其他工作會議，隨時掌握工程進展的實際情況，實施造價控制的跟蹤管理。
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Article 12 (Procedures of Choosing) To ensure the openness, equality and impartiality of the choice of a Financial Supervision Institution, and maintain the consistency of the Financial Supervision work and the performance evaluation of the Financial Supervision Institution, the choosing of the Financial Supervision Institution shall be implemented according to the Government Procurement Law of the People's Republic of China, the Law of the People's Republic of China on Bid Invitation and Bidding, and the relevant provisions of Shanghai Municipal People's Government on procurement management.
| | 4．審核施工單位上報並經工程監理單位認可的每月完成工作量報表，並提供當月付款建議書，經項目單位認可後，作為支付當月進度款的依據。
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Chapter IV Fee Collection and Standards of the Financial Supervision
| | 5．收集工程施工的有關資料，了解施工過程情況，協助項目單位及時審核因設計變更、現場簽證等發生的費用，相應調整預算控制目標；計算因設計變更、項目單位指令而產生的工程費用的增減，與承包單位商討合理的合同外工程變更金額，避免不合理的費用支出。
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Article 13 (Fee Standards) The fee collection standards of the Financial Supervision shall be implemented with reference to that in the Interim Procedures on Management of Payment of Expenses of Financial Investment Evaluation and Subsidies of Entrustment Agency (FC [2010] No. 512) and in the “Whole-process Cost Control in the Construction Stage” of the Fee Standards of Shanghai Municipality for Construction Project Cost Service and Project Bidding Agency (SCAJ [2005] No. 834). The specific contract value shall be determined according to the result of the bid evaluation.
| | 6．根據施工階段的每月工作量與付款，核定各項變更費用，會同項目單位辦理工程總結算。
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Article 14 (Expense Composition) The expense of Financial Supervision shall be linked with its quality, and shall be clearly divided into three parts: the annual basic expense, the retention money for the annual evaluation, and quality-ensuring money for the final evaluation. The entrusted subject shall reserve an entrustment expense ranging from 10% to 20% of the Financial Supervision expense to function as the retention money for the annual evaluation and the quality-ensuring money for the final evaluation. The form of close-end contract shall be adopted for the Financial Supervision entrustment contract (according to which the fee collection for engineering cost examination and approval shall be implemented according to the relevant provisions of the Fee Standards of Shanghai Municipality for Construction Project Cost Service and Project Bidding Agency). In case a cost estimate adjustment occurs after the implementation of the project, the Financial Supervision expense shall not be increased. Where the workload is increased due to the entrusted subject, the Financial Supervision Institution may negotiate with the entrusted subject on extra fees.
| | 7．及時預警項目單位可能發生的工程費用索賠問題，向項目單位提供專業評估意見、估算書及反索賠咨詢服務，以保證項目單位在合同上的利益。當有關合同方提出索賠時，為項目單位提供確認、反饋索賠等咨詢意見。
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Article 15 (Expense Payment) The Financial Supervision expense shall be listed into the project construction cost. In the case of a project in which the Municipal Construction Budget invests in the direct investment mode, the Financial Supervision Institution shall file an application for the Financial Supervision expense as agreed upon in the contract, and the Municipal Finance Bureau shall pay such expense directly to the Financial Supervision Institution according to the relevant provisions on state treasury centralized payment upon the competent project administrative department's preliminary examination of the application as well as the Municipal Finance Bureau's examination and approval of the application. In the case of a project in which the Municipal Construction Budget invests in other modes, the Financial Supervision expense shall be paid to the Financial Supervision Institution by the entrusted subject as agreed upon in the contract.
| | 8．協助項目單位檢查各類合同的履行情況，編制合同執行情況專題報告，提供整套合同、結（決）算報告及各項費用彙總表交項目單位歸檔。
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Chapter V Evaluation and Supervision of the Financial Supervision
| | 9．審核施工圖預算。
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Article 16 (Mode of Evaluation) The evaluation on the quality of the Financial Supervision shall be conducted by the Municipal Finance Bureau jointly with the competent project administrative department and the project unit by combining the annual evaluation with the final evaluation, i.e., conducting one examination and evaluation on the quality of the Financial Supervision work once a year, and conducting the final examination and evaluation after the project has passed the auditing and financial settlement upon project completion and completed the performance evaluation.
| | 10．對項目需要采購或者核定價格的材料、設備等，及時根據合同及有關規定進行詢價或審核，並出具書面審核意見。
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Article 17 (Contents of Evaluation) The contents of evaluation include the working attitude, completeness of material management, and proper staffing input of the Financial Supervision Institution, the perfection and deviation degrees of the budgetary estimate, budget and settlement examination and approval, the accuracy of financial monitoring, investment control, the promptness and truthfulness of the Financial Supervision report, the early warnings mechanism for major events, and the quality of performance evaluation.
| | 11．做好工程鋼筋及預埋件計算審核工作。
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Article 18 (Supervision and Administration) The contract of Financial Supervision shall define the above mode and contents of evaluation, and clearly state that the Financial Supervision Institution shall bear the damages and compensations for the loss if the Financial Supervision Institution fails to fulfill the obligations prescribed in the contract or fails to implement the obligations as agreed upon and the corresponding damages and compensations shall be deducted form the payable supervision expense by the Municipal Finance Bureau.
| | 12．做好對采購材料、設備合同執行情況等內容的定期檢查。
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Chapter VI Supplementary Provisions
| | （五）竣工結算階段的投資控制
及時審查施工單位遞交的分部或整體工程價款結算，公正、合理地確定單項工程的造價，並提出審查結果書面報告（包括甲供料、設備價款、施工用水、用電的審核抵扣等）。
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Article 19 (Implementation for Reference) Other government-invested projects of this Municipality may be implemented with reference to these Interim Procedures. All district/county financial departments, municipal-level government investment institutions, and holding group corporations authorized by the State-owned assets supervision and administration commission may refer to these Interim Procedures in formulating their own procedures on Financial Supervision and administration in the light of the actual circumstances.
．．．．．． | | 第九條 （績效評價）
財務監理機構協助項目主管部門及項目單位對項目建設後的經濟、政治、社會、生態等效益實施客觀公正的績效評價，就評價結果出具書面績效評價報告，並及時提供給市財政局。
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