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Procedures of Shanghai Municipality on the Administration of Engineering Equipment and Installation Management
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| (Promulgated by Decree No.83 of the Shanghai Municipal People' s Government on May 16, 2000) Chapter I General Provisions Article 1 Purpose These Procedures are formulated in accordance with the actual circumstances of this Municipality to guarantee the quality of, improve the investment returns of, and standardize the supervisory and managing activities of, engineering equipment and installations. Article 2 Definition The engineering equipment and installations (hereinafter referred to as EEI) specified in these Procedures refer to the various kinds of industrial EEI and other complete sets of industrial equipment. The supervision and management of engineering equipment and installations specified in these Procedures refers to the activities of intermediary service agencies of engineering equipment and installations, established according to law, in exercising the supervision and management and management of engineering equipment and installations' design, purchase, manufacture, fixing and testing, and trial operation, under the commission from the entrusting party, within the scope agreed upon under the supervisory and management contract of EEI, and according to laws, regulations, rules, and related technical standards. Article 3 Scope of Application These Procedures apply to the engineering equipment and installations' supervisory and management activities and related administrative activities conducted in the administrative areas of this municipality. Article 4 Regulatory and Coordinated Departments The Shanghai Municipal Bureau of Quality and Technology Supervision and management (hereinafter called the MQTSB) shall guide, supervise and manage the activities of this Municipality' s engineering equipment and installations supervision and management (hereinafter referred to as EEISM). The administrative departments of planning, economy, foreign economic relations and trade, construction, and industry and commerce shall, according to their respective duties, implement these Procedures in coordination with the MQTSB. Article 5 Trade Association The Shanghai EEI Supervisors' Association (hereinafter called SEEISA) is a self-disciplined organization of EEISM agencies of Shanghai. Its main task is to pre-examine the professional qualifications of the EEISM agencies, organize the registration of the EEI supervisory engineers, and carry out the professional training and exchange of EEISM. The MQTSB shall guide and supervise the activities of SEEISA. Article 6 Supervisory and management Principle When conducting the EEISM activities the principle of independence, objectiveness and fairness shall be followed. Article 7 Supervision and management Insurance The EEISM agencies of this municipality are encouraged to take out supervision and management liability insurance. Chapter II EEISM Agencies and Personnel Article 8 Composition Form of Supervision and Management Agencies For establishment of EEISM agencies, the form of partnership or corporation, or other forms stipulated by laws and regulations may be adopted. Article 9 Requirements for Qualification Apart from the basic requirements stipulated by laws and regulations, the following conditions shall be met to conduct EEISM business: 1. Having a certain number of full-time professionals relating to the specialist field. In case of the partnered EEISM agency, the partners shall be registered EEI supervisory engineers. The EEISM agencies of other forms shall have at least 5 registered EEI supervisory engineers. 2. Having a permanent place to undertake supervision and management business and appropriate supervision and management technology facilities. 3. Having regulations and systems for EEI supervision. Article 10 Pre-examination of Qualification Those who want to establish EEISM agencies shall go through the registration formalities with the administrative departments of industry and commerce, and, after obtaining business licenses, apply to SEEISA for the professional qualification and the scope of EEISM, and submit relevant materials. SEEISA shall put forth opinions of pre-examination within 20 days from receiving the application materials, and report to the MQTSB. Article 11 Ratification of Qualification The MQTSB shall , within 10 days from receiving the opinions of pre-examination, make qualification-ratified decisions and issue the qualification certificates of EEISM to those in compliance with the conditions, or make qualification-rejected decisions to those out of compliance with conditions, and notify in writing the applicants. The MQTSB shall send a copy of EEISM qualification matters to the industrial and commercial administrations for the record. EEISM agencies shall be allowed to undertake EEISM business only after they have obtained EEISM qualification certificates. Article 12 Classification of Qualification Grades The qualification grades of EEISM agencies are classified into Grades A, B, and C. SEEISA shall put forth and present the specific classification conditions for qualification grades of EEISM agencies to the MQTSB for approval. Article 13 Administration of Qualification Grades The qualification of newly established EEISM agency shall be tentatively fixed qualification grade within one year from the issuing date of qualification certificate. One year later, the official qualification grade will be ratified according to its qualification conditions and its actual performance. The grade-fixed EEISM agency, with a term of 2 years from the grade-fixing date, may apply for qualification upgrade based on its qualification conditions and its actual performance, and according to the qualification approving procedures. The EEISM agencies shall conduct the EEISM business within their professional scope according to the provisions of qualification grades. Article 14 Alteration and Cancellation of a Supervision and Management Agency Qualification The EEISM agency, in need of qualification upgrade, professional scope alteration, or split-up, merge, shutdown, dissolution, shall go through the qualification alteration or cancellation formalities with the MQTSB. Article 15 Supervision and management Agency with Double Qualification The supervision and management agency that conducts both EEISM business and construction project supervision and management business in the same engineering project shall have double supervision and management qualification. Article 16 EEISM Agencies of Other Provinces and Cities The EEISM agencies of other provinces and cities that want to undertake the EEISM business of single project in this municipality shall go through the put-on-file formalities with the MQTSB by presentation of the EEISM qualification certificates, business licenses and other documents issued by their local above-province-level competent authorities of EEISM. Article 17 EEISM Agencies of Hong Kong SAR, Macao SAR, Taiwan Region, and Foreign Countries The EEISM agencies of Hong Kong SAR, Macao SAR, Taiwan region and foreign countries that want to undertake the EEISM business of single project in this municipality shall go through the procedures in accordance with relevant stipulations set by the State and this municipality. Article 18 Annual Examination A system of annual examination shall be instituted for EEISM agencies in this municipality. Those who fail to go through the annual examination before deadline and still fail to file an application within 60 days from receiving the written notice of the MQTSB shall have their EEISM qualification certificates revoked by the MQTSB. Those who fail to pass the annual examination shall make rectification as required by the MQTSB. Those who are still unqualified after two successive events of rectification shall have their EEISM qualification certificates revoked by the MQTSB. Article 19 Registration Requirements for Supervisory engineers EEI supervisory engineers shall have qualification certificates of EEI supervisory engineers, and shall register with the SEEISA. The registration of EEI supervisory engineers shall meet the following requirements: 1. Having passed the national or Shanghai unified examination, and having obtained the qualification certificate of EEI supervisory engineers; 2. Having more than 2 years of EEISM professional experiences; and 3. Having no major liability accident in supervision and management work. SEEISA shall put forth and submit the registration procedures of EEI supervisory engineers of this Municipality to the MQTSB for approval. Chapter III Supervision and Management Business Article 20 EEI Subject to Supervision and Management The project legal person shall entrust an EEISM agency to supervise and manage the EEI of a certain scale in the following engineering projects: 1. Engineering projects with investment of financial funds; 2. Engineering projects with sole investment of State assets or with holding shares of State assets; and 3. This municipality' s major projects and key engineering projects. The EEI specified in the previous clause shall be put under supervision and management during the manufacturing , fixing and testing stages. However, the supervisory and management business involving commercial secrets may be conducted according to the arrangement of commercial secret protection under the contract of EEISM. The scope of mandatory supervision and management in other stages shall be provided by the MQTSB based on the technical development level of this municipality' s EEISM. If the contracts of projects with loans offered by international financial organizations or foreign governments stipulate EEISM, such stipulations shall apply. The supervisory and management scope under clause 1 (3) of this Article shall be provided separately by the MQTSB. Article 21 Attainment of Supervisory and management Business The project legal person shall entrust the EEISM agency with appropriate qualification conditions to conduct EEISM. The project legal person may select the EEISM agency through public bidding. But for the EEI subject to supervision and management, the project legal person shall select the EEISM agency through public bidding. Article 22 Contents of Supervision and Management The EEISM agency may, according to the contract stipulations, conduct the following supervisory and management business: 1. Making suggestions about selection and use of EEI; 2. Participating in the concluding or revising of EEI contracts; 3. Examining the use of funds involving the quality of EEI; 4.Exercising quality control over the design, purchase, manufacture, fixing and testing, and trial operation of EEI; 5.Coordinating and monitoring the progress of EEI; and 6.Other matters stipulated under contracts. Article 23 Commission of the Entrusting Party The entrusting party may, depending on needs, commission one EEISM agency to undertake the whole EEISM business, and may also commission more than 2 EEISM agencies to separately undertake independent EEISM business. Article 24 Presentation of Supervision and Management Qualification Certificates Before accepting the commission, the EEISM agency shall present its EEISM qualification certificate and its supervisory personnel' s qualification certificates, and truthfully briefs the entrusting party on its business operations. The person in charge of the project of EEISM shall be a registered EEI supervisory and management engineer. Article 25 Supervisory and management Contracts When undertaking supervision and management business, the EEISM agency shall sign an EEISM contract with the entrusting party, defining the rights and obligations of both sides. Article 26 Supervisory and management Plans The EEISM agency shall prepare supervision and management plans based on the contract stipulations, and shall conduct supervision and management only after submitting the plans to the entrusting party and getting approval therefrom. Article 27 Supervisory and management Cooperation The EEISM agency shall be accountable to, and exercise functions on behalf of, the entrusting party according to the contract stipulations. The entrusting party and the supervised party shall offer necessary assistance and cooperation for the EEISM agency to carry out supervision and management. Article 28 Coordination of Supervisory and management Matters When conducting supervision and management, the EEISM agency, if discovering the EEI has some problems in quality, beneficial result and engineering progress, shall communicate, and coordinate timely with the entrusting party and the supervised and managed party. Article 29 Management of Materials After the completion of a supervisory and management project, the EEISM agency shall register and take proper care of contracts, supervisory and management plans and records, check and acceptance reports and other related materials, and shall provide the entrusting party with relevant materials according to the contract stipulations. Article 30 Professional Ethics The EEISM agency and personnel that undertake supervision and management business shall observe professional ethics, protect the legal rights and interests of the entrusting party, and have the legal obligation to keep the trade secrets they learn of in doing supervision and management business and maintain in secrecy the matters which cannot be published temporarily under the State provisions. Chapter IV Legal liability Article 31 Punishment Imposed on EEISM Agencies The EEISM agency that does any one of the following acts shall be ordered by the MQTSB to stop the wrongful act and be penalized with a fine of 2,000 to10,000 yuan inclusive. For serious cases, the fines shall be 10,000 to 30,000 yuan inclusive: 1.Conducting EEISM business with no EEISM qualification certificate, nor authorization; 2.Withholding true facts and resorting to deception in presentation of application materials for EEISM qualification certificates and scope of profession; 3.Forging, altering, leasing out, lending or transferring EEISM qualification certificates; 4.Conducting EEISM business beyond EEISM grade and professional scope; or 5.Failing to go through the qualification alteration and cancellation formalities as stipulated. The EEISM agency that has done the act under clause 1 (1) of this Article, with the case being serious, shall not apply for participation in EEISM activities within 3 years in this Municipality. The EEISM agency that has done the act under clause 1 (1) and (2) of this Article, with the case being serious, shall have its EEISM qualification certificate taken over by the MQTSB. Article 32 Punishment Imposed on EEISM Agencies of Other Provinces and Cities The EEISM agencies of other provinces and cities that undertake unauthorized supervision and management business of single project in this municipality without going through the put-on-file formalities shall be ordered by the MQTSB to make up the put-on-file formalities within the prescribed period. The agency that fails to make up the put-on-file formalities before deadline shall be penalized with a fine of 2,000 to 10,000 yuan inclusive. Article 33 Punishment Imposed on EEISM professionals The EEISM professionals that are found guilty of malpractice, dereliction or damaging social public interests may be fined 500 to 5,000 yuan inclusive by order of the MQTSB. The person in charge of a project of EEISM who fails to get the qualification of EEI supervisory engineer shall be given warnings, ordered to stop the wrongful act and be fined 500 to 5,000 yuan inclusive by the MQTSB. Those with serious cases shall not apply for the registration of EEISM engineers within 3 years. Article 34 Punishment Imposed on Project Legal Persons The project legal person who has done any one of the following acts shall be given warnings, ordered to make rectification within the time limit, and be penalized with a fine of 1,000 to 10,000 yuan inclusive by the MQTSB. For serious cases, the fines shall be 10,000 to 30,000 yuan inclusive: 1. Failing to give the commission for supervision and management of the EEI that shall have been supervised managed; 2. Failing to select EEISM agencies through public bidding for the EEI subject to supervision; or 3. Failing to give the commission for the EEISM business to the EEISM agency with appropriate qualification. Article 35 Civil Liability The EEISM agency that fails to perform the supervision and management business as required under the contract causing losses to the entrusting party shall bear appropriate civil liability according to law. Chapter V Supplementary Provisions Article 36 Legal Application of Construction Project Supervision and management The provisions of the Procedures of Shanghai Municipality on the Administration of Construction Project Supervision and Management shall apply to the supervision and management of building activities of construction projects. Article 37 Department for Interpretation of Application THE MQTSB may have the right to interpret these Procedures in their specific application. Article 38 Date of Implementation and Repeal These Procedures shall become effective on September 1, 2000. The Procedures of Shanghai Municipality on Administration of Engineering Equipment and Installations Supervision and Management Agencies promulgated on November 30, 1995 by Decree No. 29 of the Shanghai Municipal People' s Government, and revised and re-promulgated on December 19, 1997 by Decree No.54 of the Shanghai Municipal People' s Government, shall be repealed at the same time. |
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