江西省企业投资项目备案办法
江西省人民政府
江西省企业投资项目备案办法(附:英文译本)
《江西省企业投资项目备案办法》已经2006年4月12日省人民政府第43次常务会议审议通过，现予公布施行。
省长 黄智权
二○○六年四月十四日
江西省企业投资项目备案办法
第一条 为规范企业投资项目的备案管理，落实企业投资决策自主权，根据《国务院关于投资体制改革的决定》和《国家发展改革委关于实行企业投资项目备案制指导意见的通知》，结合本省实际，制定本办法。
第二条 本省行政区域内企业投资项目的备案，适用本办法。
本办法所称的企业投资项目，是指企业不使用政府性资金，投资建设国务院颁布的《政府核准的投资项目目录》、《江西省政府核准的投资项目目录》以及国家法律法规和国务院专门规定禁止投资以外的项目。
第三条 县级以上人民政府发展改革（计划）行政主管部门和经济贸易行政主管部门为企业投资项目备案机关。企业基本建设类投资项目由发展改革（计划）行政主管部门备案；企业技术改造类投资项目由经济贸易行政主管部门备案。
环境保护、国土资源、城市规划、安全生产监督管理等有关部门，应当在各自职责范围内协助做好企业投资项目备案工作。
项目备案机关和有关部门应当建立信息共享机制，加强联系和沟通，为企业投资提供便利。
第四条 企业投资建设实行备案制的项目，应当根据项目类别和规定的备案权限，向相应的项目备案机关申请备案。
第五条 中央驻赣企业、省管企业投资项目由省人民政府项目备案机关备案。其他企业投资项目，按照属地原则，由项目所在地市、县（区）人民政府项目备案机关备案。法律、法规或者规章另有规定的，从其规定。
设区市与县（市、区）人民政府项目备案机关备案权限的划分，由各设区市人民政府确定。
第六条 项目申报单位申请备案，应当向项目备案机关提交企业投资项目备案申请表。
企业投资项目备案申请表包括下列内容：
（一）项目申报单位基本情况；
（二）项目名称；
（三）建设性质；
（四）建设地点；
（四）建设规模和主要建设内容；
（五）总投资和资金来源。
项目申报单位应当对企业投资项目备案申请表内容的真实性负责。
第七条 项目备案机关应当将企业投资项目备案所涉及的法律、法规、规章和政策，以及企业投资项目备案申请表格式文本予以公布，方便企业查询、索取。
第八条 项目备案机关对企业投资项目的下列内容进行审查：
（一）是否属于备案范围；
（二）是否属于本机关管辖范围；
（三）是否符合国家产业政策；
（四）是否符合法律、法规、规章的规定。
第九条 企业投资项目备案申请表不符合要求的，项目备案机关应当当场或者在3个工作日内一次告知项目申报单位补正。
企业投资项目备案申请表符合要求的，项目备案机关应当当场受理。
第十条 项目备案机关应当自受理企业投资项目备案申请之日起5个工作日内，作出是否备案的决定，并向社会公布。符合备案规定的，予以备案，发给企业投资项目备案通知书；不符合备案规定的，不予备案，发给不予备案通知书，并说明理由。
项目备案机关应当将企业投资项目备案通知书和不予备案通知书抄送相关行政主管部门。
第十一条 环境保护、国土资源、建设、城市规划、安全生产监督管理、质量监督等部门，应当按照职能分工，对项目备案机关予以备案的项目依法审查和办理相关手续；对应当备案而未备案以及项目备案机关不予备案的项目，不予办理相关手续。
第十二条 各级项目备案机关应当对企业投资项目的备案材料进行整理、归纳、分析，做好社会投资的监测工作，并及时向上级项目备案机关报送相关材料。
第十三条 已备案项目有下列情形之一的，应当重新办理备案手续：
（一）项目法人发生变化的；
（二）建设地点发生变更的；
（三）变更建设方案可能对环境、安全生产等产生重大不利影响的。
第十四条 企业投资项目备案通知书的有效期为2年，自送达之日起计算。
企业投资项目在备案通知书有效期内未开工的，项目申报单位需要继续建设，应当在有效期届满前30日内向原项目备案机关申请延续，原项目备案机关应当在备案通知书有效期届满前作出是否准予延续的决定。
第十五条 项目备案机关应当加强备案项目的监管，对项目申报单位以拆分项目、提供虚假材料等不正当手段取得企业投资项目备案文件的，应当撤销该项目的备案；对未予备案擅自开工建设以及不按备案内容进行建设的项目，应当责令其停止建设，并依法追究有关单位和责任人的责任。
第十六条 项目备案机关工作人员在备案过程中玩忽职守、滥用职权或者徇私舞弊的，依法给予行政处分；构成犯罪的，依法追究刑事责任。
第十七条 事业单位、社会团体等非企业单位投资建设备案范围内的项目，按照本办法进行备案。
第十八条 本办法自公布之日起施行。
英文译本
Decree of the People’s
Government of Jiangxi Province
No.
146
Measures of Jiangxi Province for
Record-keeping of Enterprise Investment Projects examined and approved at the
43rd Executive Meeting of the People’s Government of Jiangxi Province on April
12, 2006 are hereby promulgated and shall be effective as of the date of
promulgation.
Governor: Huang
Zhiquan
April 14,
2006
Measures of Jiangxi
Province for Record-keeping of Enterprise Investment
Projects
Article 1These Measures are formulated in accordance with the
Decision of the State Council on the Reform of the Investment System and the
Circular of the National Development and Reform Commission about the Guidelines
for Implementing the Record-keeping System of Enterprise Investment Projects
with actual situations of the province taken into account for the purpose of
standardizing the record management of the enterprise investment projects and
facilitating the exercise of
autonomous decision-making right of enterprises in
investment.
Article 2These Measures apply to reporting for the record of the
enterprise investment projects within the administrative areas of the
province.
The term
“enterprise investment projects” in these Measures refers only to the projects
(which are free of government funds) listed in《Catalogue of
Investment Projects Approved by the Government》and《Catalogue of
Investment Projects Approved by the Government of Jiangxi
Province》；it also refers
to all other projects with the exception of those in violation of state laws and
regulations or prohibited by the State Council.
Article 3The administrative competent
departments of development and reform (planning) and the administrative
competent departments of economy and trade of the people’s governments at or
above the county level are the record-keeping organs for enterprise investment
projects. The competent departments of development and reform (planning) of the
people’s governments are responsible for the record-keeping of capital
construction of the enterprise investment projects; the competent departments of
economy and trade are responsible for the record-keeping of technical renovation
for the enterprise investment projects.
The departments
responsible for environmental protection, national land resource management,
urban planning, supervision and management of safe production shall assist with
the record-keeping of the enterprise investment projects within their respective
realms of functions and
duties.
The
record-keeping organs and the relevant departments shall establish an
information-sharing mechanism strengthening connection and communication between
them for the sake of facilitating the enterprise
investment.
Article 4The enterprise investment projects which need to report
for the record shall apply to the corresponding record-keeping organs for being
reported for the record according to the project category and prescribed extent
of power in record-keeping.
Article 5The investment projects of the Jiangxi-based state-run
enterprises and the provincial enterprises are reported for the record to the
record-keeping organ of the provincial people’s government. Other enterprise
investment projects are reported for the record to the record-keeping organs of
people’s governments of the prefecture, municipality or county (district) where
the projects exist according to the domicile principle. However, if otherwise
specifically provided by laws, regulations or rules, they shall
prevail.
The division of
the power extent of the record-keeping organs of the municipality with
subordinate administrative areas and county (municipality, region) people’s
governments is defined by the people’s government of the municipality with
subordinate administrative areas.
Article 6Any project unit which reports for the record shall
submit an application form of enterprise investment project to the
record-keeping organ.
The application
form of enterprise investment project includes the following
contents:
(1) the basic
conditions of the project application unit;
(2) the name of the
project;
(3) construction
nature;
(4) construction
site;
(5) construction scale
and the main construction contents; and
(6) total investment
and its source.
The project
application unit shall be responsible for the genuineness of the contents in the
application form of enterprise investment project.
Article 7The record-keeping organs shall make public the laws,
regulations, rules and policies concerning the record-keeping of enterprise
investment projects and the application form format for the record-keeping of
enterprise investment projects to make them accessible to the enterprises on
request.
Article 8The record-keeping organs shall examine the following
contents of the enterprise investment projects:
(1) whether the
projects are within the scope of the record;
(2) whether the
projects are within the scope of their
jurisdiction;
(3) whether the
projects conform to the national industry policy; and
(4) whether the
projects conform to the stipulations of laws, regulations and
rules.
Article 9Where the application form of the enterprise investment
project does not meet the requirements, the record-keeping organ shall ask the
project application unit to make corrections and amendments on the spot or once
and for all within three working days.
Where the
application form of the enterprise investment project meets the requirements,
the record-keeping organ shall accept the application on the
spot.
Article 10The record-keeping organ shall decide whether to accept
the record application or not within five days from the date of acceptance of
the application for reporting for the record of the enterprise investment
project and make it known to the society. If the application conforms to the
stipulations for record-keeping, the record-keeping organ shall accept the
application, notifying the applicant of its decision to put on record the enterprise investment project; if the
application does not conform to the stipulations for record-keeping, the
record-keeping organ shall not accept the application, notifying the applicant
of its decision to not accept to put on record the enterprise investment project
together with the reasons for it.
The
record-keeping organ shall send a copy of the notice of accepting or not
accepting the record application of the enterprise investment project to the
relevant administrative competent departments.
Article 11The departments responsible for environmental
protection, national land resource management, urban planning, supervision and
management of safe production shall examine projects filed on record by the
record-keeping organs and handle the relevant procedures according to laws and
their respective functions and duties. As for the projects which should have
been reported for the record but have not been done so or the projects whose
applications were not accepted by the record-keeping organs, those departments
shall not handle the relevant procedures.
Article 12The record-keeping organs at the different levels shall
sort out, classify and analyze the recorded materials of the enterprise
investment projects, keep a close watch on the social investment and submit the
relevant data to the higher record-keeping organs on time.
Article 13Where projects for the record have any one of the
following circumstances, the archival procedures shall be handled
again.
(1) the change of the
legal person of the project;
(2) the change of the
construction site; and
(3) the change of the
construction scheme can produce great negative influence on the environment,
safe production, etc.
Article 14The notice of record-keeping of the enterprise
investment project is valid for two years, starting from the date of
service.
Where the
construction of the enterprise investment project has not started and the
project application unit which needs to undertake the construction shall apply
to the original record-keeping organ for extension of construction within 30
days prior to the expiry of the validity period of the notice. The original
record-keeping organ shall make a decision whether or not to approve the
extension prior to the expiry of the notice .
Article 15The record-keeping organs shall strengthen the
supervision and management of the projects for the record. Where any project
application unit obtains the record-keeping document of the enterprise
investment project by inappropriate means such as dismembering the project,
providing the false materials, etc., the record-keeping organ shall dissolve the
record-keeping of the project. Where any project application unit starts
construction without authorization or constructs the project which is not in
accordance with the record-keeping contents, the record-keeping organ shall
order the unit to stop the construction and investigate the relevant unit and
its responsible person for their legal liability.
Article 16Where a staff member of any organ neglects his duties,
abuses his power or resorts to cheating for his self purposes, he shall be given
an administrative sanction; if a crime is committed, he shall be investigated
for criminal liability.
Article 17The record-keeping of the investment projects of the
non-enterprise units such as public institutions and social organizations, etc.
shall be handled in accordance with these measures.
Article 18Measures shall be effective as of the date of
promulgation.
一、 工程施工合同
国家工商管理局制作的建设工程施工合同通用范本包括协议书、通用条款和专用条款，这其中需要深入研究的当属通用条款。在GF-1999-0201施工合同范本中，通用条款共分四十七条十一个部分：1、词语定义及合同文件；2、双方一般权利义务；3、施工组织设计和工期；4、质量与检验；5、安全施工；6、合同价款与支付；7、材料设备供应；8、工程变更；9、竣工验收与结算；10、违约索赔争议；11、其他。通用条款约定到合同中就是双方的真实意思表示，应对其中的合同条款做到了如指掌，尤其应对其中的推定默认条款和期限条款给予足够重视。
二、 施工图纸
应注意施工图纸是否依法审核通过，未经依法审批的施工图纸不得擅自使用，必须取得建设方的签章认可。同时注意施工图纸与招投标、预算、合同的时间先后关系，如果施工图纸在后，则影响招投标、预算、合同的效力。此时是按照合同约定结算还是按照图纸结算容易出现分歧。
三、 设计变更
对每一项设计变更应保存好设计变更申请、通知单、变更图纸等证据，应该明确变更原因、责任，最好进一步明确变更前后工程造价差额，在上述基础上形成每项变更协议，明确责任承担。
四、 工程签证
应注意审查签字人的权限、语言表达是否存在责任风险、是否具备证据要件等。
五、 会议纪要
从公平的角度讲，会议纪要应该各方签章，签字人须有身份证明和授权。从内容上讲，应该注意责任承担，通过再定协议或已定协议的期限约定化解责任。会议纪要应该每页签章，注意留存。
六、 现场日志
现场日志是对当时事实的记载，当然也不一定完全真实。因此，现场日志除非得到对方认可，否则应由其他证据印证方可作为有效证据。即使如此，不能作为有效证据的日志也可起到影响作用。其中，施工日志如对建设方有利，则一般会得到法院采信；监理日志如对建设方不利，一般也会得到法院认可。这其中监理日志的证明作用是较高的。日志的证明效力与日志制作人是否与诉讼当事人存在利害关系为判断基点。
七、 付款凭证
诉讼实践中，仅有发票不能证实已经付款，付款预收据也不能证实已经付款。一般只有收款收据可以证实付款事实，有时还需要有付款凭证或银行记录进行印证。
有时合同中约定了付款方式和未按照合同约定付款方式付款不产生付款效力的内容，在此情况下，付款方一定要注意按照合同约定付款，以免产生不必要的麻烦。
财务部门应注意审查收款人是否有收款的权利，为此应严格审查收款人出具授权委托书。
财务部门不能想当然的抵销互欠款，除非合同约定了抵扣内容或者重新达成了抵扣协议或者对方有权人书面同意抵扣，否则不要出现少付工程款的凭证。为妥善起见，除非按照抵扣后的结算协议直接付款，一般应分别体现双方均按约定互相付款的凭证，否则一方一旦反悔则只能证实另一方少付款，是否符合抵销的法律规定需要进一步证实。
八、 结算协议
如有了结算协议好处理，问题是一方拖延不予以结算。此时作为施工方可在合同专用条款中约定推定默认条款，约定施工方向建设方送交完整竣工资料和结算报告后30日内不予答复的视为认可。作为发包方则应特别注意此约定陷阱。
（作者：于长义律师 13969082860 中国工程索赔律师网）
