深圳经济特区施工企业管理规定 Rules of The Shenzhen Special E

深圳经济特区施工企业管理规定（2002年修订）
（1996年3月5日深圳市人民政府令第50号发布，2002年7月23日深圳市人民政府令第118号修订）

第一章　总则

第一条　为了加强深圳经济特区（以下简称特区）的施工企业管理，维护建筑市场的正常秩序，根据国家和广东省的有关规定，结合特区实际，制定本规定。

第二条　本规定适用于企业的开业许可与日常管理。

本规定所称的施工企业是指从事各种房屋建筑、土木工程、设备安装、管线敷设活动，包括装饰、园林绿化、消防、爆破、港口、水利、输变电等专业工程施工的施工企业。

第三条　深圳市建设行政管理部门是施工企业的行业主管部门（以下简称市主管部门）。

各区建设行政管理部门（以下简称区主管部门）按规定的职责权限对本行政区域内的施工企业进行登记和管理。

第二章　施工企业开业许可

第四条　设立施工企业、分支机构或承接单项工程，应符合特区建设发展需要，经市主管部门许可，并取得施工企业承建资格证书。未取得承建资格证书的施工企业，不得承接工程施工任务。

第五条　设立施工企业，应向深圳市工商行政管理部门申请名称登记，并使用经核准的名称向市主管部门提出书面申请，同时交验下列证件或资料：

（一）企业章程；

（二）验资证明；

（三）拟定的企业法定代表人、技术负责人、财务负责人简历及其职称证书；

（四）拟定的企业主要技术、经济、会计人员的职称证书；

（五）拟定的企业员工构成的情况；

（六）拟配备的设备清单。

第六条　外地施工企业设立分支机构，实行单项工程许可和长期许可。初次申请经审查合格的，可准予单项工程许可；在特区完成两个相应等级的单项工程项目，施工质量优良，未发生工种质量、安全事故的，施工企业可提出申请，经市主管部门审查，符合特区需要的，可准予长期许可。

外地施工企业在深圳承接单项工程应向市主管部门申请单工种许可。

第七条　外地施工企业申请单项工程许可，应向市主管部门提交书面申请，同时交验下列证明或资料：

（一）省级建设行政主管部门或国务院有关主管部门出具的外出施工证明；

（二）当地工商行政管理部门核发的《企业法人营业执照》复印件并加盖原发证机关公章；

（三）本企业资质等级证书副本及复印件（广东省直属或外省、中央部属施工企业应持有一级资质等级证书，广东省内市县施工企业应持有一级或二级资质等级证书）；

（四）法定代表人授权委托书；

（五）资金信用证明；

（六）拟进特区的技术、经济、会计人员职称证书及主要技术工种操作人员的岗位证书；

（七）拟进特区设备情况清单；

（八）主要业绩证明材料；

（九）承包工程意向书。

第八条　境外施工企业到本市提供建设施工服务的，依照国家有关法律规定办理。

第九条　申请设立施工企业或单项工程许可的，市主管部门应自收齐申请材料之日起三十日内给予书面批复，并通知申请单位。

第十条　申请单位应自取得市主管部门批准文件之日起三个月内对有关事项进行落实，领取并填报《施工企业承建资格登记表》申领承建资格证书；超过三个月未落实相关事项，未领取并填报《施工企业承建资格登记表》的，批准文件自行失效。

市主管部门根据申请单位填报的材料和建设部颁发的《施工企业资质等级标准》，审查申请单位的资质能力，并自收到《施工企业承建资格登记表》之日起十四日内予以答复。审查合格的，颁发施工企业承建资格证书，确定其承担工程的业务范围；审查不合格的，不予许可，并通知申请人。

新成立的施工企业，其资质等级应由最低级定起。

第十一条　外地施工企业申请长期许可应向市主管部门交验下列资料：

（一）在深圳施工业绩证明材料；

（二）人员、设备变动情况。

市主管部门应自收齐申请材料之日起三十日内审查完毕。审查合格的，准予许可；审查不合格的，不予许可，并通知申请人。

第十二条　承建资格证书是施工企业承接工程的资格证明，每年由发证机关审核一次。任何单位和个人不得出借、出租、转让、涂改或伪造承建资格证书。

第十三条　施工企业取得承建资格证书后，应到市工商行政管理部门办理企业登记注册手续。

第十四条　按照工程项目管理权限的规定，属区主管部门管理的，施工企业应持承建资格证书到工程项目所属的区主管部门办理登记手续。各区主管部门对已经市主管部门许可的施工企业直接登记并管理，不再进行资格审查。

第十五条　施工企业改变名称、在特区住所、经济性质、法定代表人或驻特区代理人，应自市工商行政管理部门核准之日起十五日内，到市主管部门办理变更手续。

施工企业更换技术负责人，应自更换之日起十五日内，到市主管部门办理变更手续。

第十六条　施工企业终止在特区承接工程，应向主管部门办理注销登记，同时交回承建资格证书，并按规定缴清管理费。

第十七条　外地施工企业连续一年无特区施工任务，或连续两年完成施工产值低于市主管部门规定的最低限额的，其承建资格证书由市主管部门予以注销。

第三章　施工企业日常管理

第十八条　施工企业实行年审制度。年审由市主管部门负责，在每年的11月份进行。

年审时，施工企业应按当年的年审通知提供资料、填报年审表。

市主管部门根据企业资质年审的有关规定进行年审。对年审合格者，加盖年审专用章；对年审不合格者，可根据具体情况作出限期整改、缩小承建资格范围、降低资质等级、吊销《承建资格证书》等处罚决定。

第十九条　市主管部门可以根据施工企业的经营状况、工程质量、安全生产情况和业绩，对其在特区开展施工业务的资质等级和经营范围作必要调整。

第二十条　施工企业的施工经营活动应当与本企业承建资格证书规定的内容相符，禁止超越资格证书规定的范围承接工程。

第二十一条　一、二、三级施工企业承包工程，可按照规定进行分包；四级施工企业承包的工程不得分包。禁止企业转包工程。

第二十二条　施工企业应按规定上报施工统计报表，并按规定的标准向市主管部门交纳建筑企业管理费。

第二十三条　市属一、二级施工企业外出施工，应当到市主管部门申领外出施工介绍信；施工企业外出施工若发生重大质量、伤亡事故，应按规定时限向主管部门报告。

第四章　罚则

第二十四条　施工企业违反本规定第四条，无承建资格证书而在特区施工的，由市主管部门责令其终止施工，并处以工程承包额2%的罚款。

第二十五条　违反本规定第十二条，出借、出租、转让承建资格证书的，由市主管部门处以一万元以上三万元以下罚款；情节严重的，吊扣承建资格证书六个月直至吊销承建资格证书。

违反本规定第十二条，涂改或伪造承建资格证书的，由市主管部门处以三万元以上五万元以下罚款，没收承建资格证书。

第二十六条　施工企业违反本规定第十四条，未到区主管部门办理登记手续的，由区主管部门责令其限期办理；逾期仍不办理的，区主管部门责令其停止承接工程，并可处以一万元以上三万元以下罚款。

第二十七条　违反本规定第二十条，施工企业超越承建资格证书规定的范围承接工程的，由市或区主管部门责令其终止施工，并处以工程造价2%的罚款；情节严重的，由市主管部门缩小其承建资格范围直至吊销承建资格证书。

第二十八条　违反本规定第二十一条，施工企业转包工程或未按规定分包工程的，由市或区主管部门责令其立即改正，并处以分包或转包工程造价2%-3%的罚款，六个月内禁止参加施工投标；情节严重的，市主管部门吊销其承建资格证书。

第二十九条　当事人对区主管部门的处罚决定不服的，可自收到处罚决定书之日起十五日内向市主管部门申请复议；当事人对市主管部门的处罚决定不服的，可自收到处罚决定书之日起十五日内向市人民政府行政复议机关申请复议；对复议决定仍然不服的，可自收到复议决定书之日起十五日内向人民法院提起诉讼。当事人也可自收到处罚决定书之日起十五日内直接向人民法院提起诉讼。当事人逾期不申请复议或不起诉，又不履行处罚决定的，由作出处罚决定的机关申请人民法院强制执行。

第三十条　市或区主管部门的工作人员玩忽职守、徇私舞弊、索贿受贿的，依法追究其行政责任；构成犯罪的，依法追究刑事责任。

第五章　附则

第三十一条　本规定自公布之日起施行。《关于加强基建施工企业管理工作的通知》（深府（1985）189号）及《深圳市施工企业管理暂行办法》（深建字（1991）305号）同时废止。

Rules of the Shenzhen Special Economic Zone on Management of Enterprises Undertaking Construction
（Promulgated by Order No. 50 of the Shenzhen Municipal People's Government of March 5, 1996 and revised according to Order No. 118 of the Shenzhen Municipal People's Government of July 23, 2002）

Chapter I General Provision

Article 1 In order to strengthen the management of enterprises undertaking construction in the Shenzhen Special Economic Zone （hereinafter referred to as the Special Zone）, maintain the normal order of the construction market, these rules are hereby formulated in accordance with the related rules of the state and Guangdong Province and in the light of the specific conditions of the Special Zone.

Article 2 These rules shall apply to business permission and routine management of the enterprises.

The enterprise undertaking construction referred to in these rules shall mean those enterprises engaged in various activities such as house building, civil engineering, equipment installation, pipeline laying, including specialized work on decoration, gardening for green-making, fire control, demolition, harbor, water conservancy, power transmission and transformation, etc.

Article 3 The Shenzhen municipal administrative department of construction shall be the responsible department for enterprises undertaking construction in their profession （hereinafter referred to as the municipal responsible department）.

The administrative departments of construction of various districts （hereinafter referred to as the district responsible departments） shall register and manage the enterprises undertaking construction within their respective administrative jurisdiction according to their prescribed duties and authority.

Chapter II Business Permission for Enterprises Undertaking Construction

Article 4 To form an enterprise undertaking construction, a branch or to undertake a contracted individual project, it shall be in line with the needs of construction and development of the Special Zone, approved by the municipal responsible department, and granted a qualified contractor certificate for an enterprise undertaking construction. Without the qualified contractor certificate, any enterprise undertaking construction shall not contract to undertake construction.

Article 5 To form an enterprise undertaking construction, an application for name registration shall be submitted to the Shenzhen municipal department of industry and commerce administration, the approved name shall be used to file a written application to the municipal responsible department, and the following certificates or materials shall be submitted for verification at the same time:

（1） the articles of enterprise;

（2） the certificate of verified capital;

（3） the resumes and professional title certificates of the planned legal representative, chief officer in technology, chief officer in finance;

（4） the professional title certificates of the planned key members of the enterprise's personnel in technology, economy, and accounting;

（5） the composition of the planned employees of the enterprise;

（6） the list of the equipments planned to be provided with.

Article 6 For the other region's enterprise undertaking construction to form a branch, it shall be done through individual project permission and long-term permission. If it is the first-time application that has been examined and approved, the individual project permission shall be granted; if two individual projects of the appropriate levels have been completed in the Special Zone with high quality of construction and without accidents of quality and safety, the enterprise undertaking construction may file an application, after the municipal responsible department has examined and approved the application, the long-term permission shall be granted to the enterprise which is in line with the needs of the Special Zone. When undertaking a contracted individual project in Shenzhen, the other region's enterprise shall apply to the municipal responsible department for permission of individual type of work.

Article 7 When applying for individual project permission, the other region's enterprise undertaking construction shall submit to the municipal responsible department a written application and also the following certificates or materials at the same time for verification:

（1） the certificate for going to other regions to undertake construction issued by a provincial administrative department of construction or the related responsible department of the State Council;

（2） a copy of Business License for Enterprises as Legal Persons examined and issued by the local department of industry and commerce administration, and stamped with the official seal of the original certificate-issuing department;

（3） a copy and duplicated versions of the certificate of the enterprise's competence level （the enterprises undertaking construction which are directly affiliated with the Guangdong Province or other provinces, ministries of the central government shall hold the certificates for the first level competence, the enterprises undertaking construction which are affiliated with municipalities or counties within the Guangdong Province shall hold the certificates for the first level or second level competence）;

（4） the power of attorney of the legal representative;

（5） the certificates of funds and credits;

（6） the certificates of professional titles of the personnel in technology, economy, and accounting who are to enter the Special Zone according to planning, and the post certificates of the key operators of the technical work type;

（7） the list of equipments planned to be shipped to the Special Zone;

（8） the materials to certify the major achievements;

（9） the letter of intent on contracted project.

Article 8 For a foreign enterprise undertaking construction to come to this city to provide construction services, it shall be dealt with according to the related law and regulations of the state.

Article 9 In case of applying for forming an enterprise undertaking construction or individual project permission, the municipal responsible department shall give a written reply within 3 days from the date of receiving all the necessary application materials, and notify the applying unit.

Article 10 An applying unit shall get the related matters done within 3 months from the date of receiving the approval document of the municipal responsible department, take and fill out Form for Registration of an Enterprise Undertaking Construction as a Qualified Contractor to apply for a qualified contractor certificate; if the related matters have not been done and Form for Registration of an Enterprise Undertaking Construction as a Qualified Contractor has not been taken and filled out after three months, the approval document shall automatically cease to be valid.

The municipal responsible department shall examine the competence of the applying unit according to the materials written and reported by the applying unit and Standards of Competence Levels of Enterprises Undertaking Construction promulgated by the Ministry of Construction, and give a reply within 14 days from the date of receiving the completed Form for Registration of an Enterprise Undertaking Construction as a Qualified Contractor. In case of passing the examination, a qualified contractor certificate for an enterprise undertaking construction shall be issued to set the business scope for the enterprise to undertake contracted projects; in case of failure to pass the examination, no permission shall be granted and the applier shall be notified of the decision.

The competence level of a newly-formed enterprise undertaking construction shall be set at the lowest level as a starting point.

Article 11 If the other region's enterprise undertaking construction is applying for long-term permission, it shall submit to the municipal responsible department the following materials:

（1） the materials to certify the achievements of construction in Shenzhen;

（2） the change of employees and equipments.

The municipal responsible department shall complete the examination within 30 days from the date of receiving all the necessary application materials. In case of passing the examination, the permission shall be granted; in case of failure to pass the examination, no permission shall be granted and the applier shall be notified of the decision.

Article 12 A qualified contractor certificate shall be the certificate of the qualifications of an enterprise undertaking construction to undertake contracted projects, and examined by the certificate-issuing office once a year. Any unit and individual shall not loan, rent, transfer, alter or forge a qualified contractor certificate.

Article 13 After receiving a qualified contractor certificate, an enterprise undertaking construction shall go through the formalities of enterprise registration at the municipal department of industry and commerce administration.

Article 14 If a project is to be under the management of a district responsible department according to the rules on jurisdiction of management of projects, the enterprise undertaking construction shall bring the qualified contractor certificate to the district responsible department under the jurisdiction of which the project is to be managed, and register there. For the enterprises undertaking construction which have already got permission from the municipal responsible department, various district responsible departments shall register and manage them directly without examining their qualifications.

Article 15 If an enterprise undertaking construction wants to change its name, domicile in the Special Zone, economic nature, legal representative, or agent stationed in the Special Zone, it shall go through the formalities to make such a change at the municipal responsible department within 15 days from the date of approval by the municipal department of industry and commerce administration.

In case of change of chief officer in technology, an enterprise undertaking construction shall go through the formalities for such a change at the municipal responsible department within 15 days from the date of the change.

Article 16 When bringing to an end its business of undertaking contracted projects in the Special Zone, an enterprise undertaking construction shall cancel the registration at the responsible department, return the qualified contractor certificate, and pay the management fee in full according to rules.

Article 17 If the other region's enterprise undertaking construction has not undertaken construction in the Special Zone for one year or its output value of construction has been in two consecutive years lower than the minimum value set by the municipal responsible department, the qualified contractor certificate of the enterprise shall be cancelled by the municipal responsible department.

Chapter III Routine Management of Enterprises Undertaking Construction

Article 18 An annual assessment system shall be put into practice for enterprises undertaking construction. The municipal responsible department shall be in charge of the annual assessment which is held in November every year.

At the time of the annual assessment, enterprises undertaking construction shall provide materials, fill out and submit annual assessment forms according to the annual assessment notice of the year.

The municipal responsible department shall conduct the annual assessment in compliance with the related rules on the annual assessment of enterprise competence. In case of passing the annual assessment, a special seal for annual assessment shall be affixed; in case of failure to pass the annual assessment, the penalty decisions such as rectifying by a deadline, reducing the scope of being qualified to undertake construction, lowering the competence level, revoking the qualified contractor certificates, etc., shall be made in the light of specific conditions.

Article 19 In accordance with the state of business, quality of construction, safety of production, and achievements of an enterprise undertaking construction, the municipal responsible department may make necessary adjustments of the competence level and business scope of the enterprise undertaking construction in the Special Zone.

Article 20 The business activities of an enterprise undertaking construction shall be consistent with what is stipulated in the enterprise's qualified contractor certificate, it shall be forbidden to undertake contracted projects which are out of the scope prescribed by the qualified contractor certificate.

Article 21 When undertaking a contracted project, the first-level, second-level, and third-level enterprises undertaking construction may subcontract according to rules; the fourth-level enterprises undertaking construction shall not be allowed to do so when undertaking a contracted project. It shall be forbidden for any enterprise to transfer a contracted project.

Article 22 An enterprise undertaking construction shall submit statistical reports on construction according to rules and pay the management fee of construction enterprise to the municipal responsible department according to a prescribed standard.

Article 23 When the first-level, second-level enterprises undertaking construction which are affiliated with the municipality go to other regions to do construction, they shall apply to the municipal responsible department for letters of introduction for undertaking construction in the other regions; if there are any major accidents of quality, injury taking place when enterprises are undertaking construction in other regions, reports shall be filed to the responsible departments in prescribed time.

Chapter IV Penalty Provision

Article 24 If an enterprise undertaking construction has engaged in construction in the Special Zone without a qualified contractor certificate in violation of Article 4 of these rules, the municipal responsible department shall order stopping construction and impose a fine of 2% of the earnings from the contracted project.

Article 25 In case of loaning, renting, transferring a qualified contractor certificate in violation of Article 12 of these rules, the municipal responsible department shall impose a fine of more than 10,000 but less than 30,000 RMB; if the circumstances are serious, the qualified contractor certificate shall be suspended for 6 months or up to for ever.

In case of altering, forging a qualified contractor certificate in violation of Article 12 of these rules, the municipal responsible department shall impose a fine of more than 30,000 but less than 50,000 RMB and confiscate the qualified contractor certificate.

Article 26 If an enterprise undertaking construction has failed to register at a district responsible department in violation of Article 14 of these rules, the district responsible department shall order registration by a deadline; if the registration has not been done after the deadline, the district responsible department shall instruct the enterprise to stop undertaking contracted projects, and may also impose a fine of more than 10,000 but less than 30,000 RMB.

Article 27 If an enterprise undertaking construction, in violation of Article 20 of these rules, has undertaken a contracted projects which goes beyond the scope prescribed by the qualified contractor certificate, the municipal or district responsible departments shall order stopping construction and also impose a fine of 2% of the cost of the project; if the circumstances are serious, the municipal responsible department shall inflict penalties from reducing the scope of undertaking contracted projects up to canceling the qualified contractor certificate.

Article 28 If an enterprise undertaking construction has transferred a contracted project or failed to subcontract according to rules in violation of Article 21 of these rules, the municipal responsible department shall order immediate correction, impose a fine of 2-3% of the cost of the transferred or subcontracted project, and prohibit the enterprise from entering a bid for 6 months; if the circumstances are serious, the municipal responsible department shall cancel the qualified contractor certificate.

Article 29 If the party concerned has refused to accept the penalty decision made by a district responsible department, an application for review may be filed to the municipal responsible department within 15 days from the date of receiving the notice of penalty decision; if the party concerned has refused to accept the penalty decision made by the municipal responsible department, an application for review may be filed to the administrative review office of the municipal people's government within 15 days from the date of receiving the notice of penalty decision; if the review decision has been refused to accept, legal action may be taken at the people's court within 15 days from the date of receiving the notice of review decision. The party concerned may also take legal action directly at the people's court within 15 days from the date of receiving the notice of penalty decision. If the party concerned has failed either to apply for review by a deadline or to take legal action, and refused to implement the penalty decision at the same time, the office which made the penalty decision shall apply to the people's court for enforcement.

Article 30 If the staff members of the municipal or district responsible departments have neglected their duties, practiced favoritism and engaged in irregularities, extorted and accepted bribes, the administrative responsibility shall be investigated into according to law; if a crime has been constituted, the criminal responsibility shall be investigated into according to law.

Chapter V Supplementary Provision

Article 31 These rules shall take effect as of the date of promulgation. Notice on Strengthening the Management of Enterprises Undertaking Capital Construction （No. 189 [1985] of Shenzhen Government） and Provisional Measures of the Shenzhen Municipality on the Management of Enterprises Undertaking Construction （No. 305 [1991] of Shenzhen Construction） shall be nullified at the same time.