Notice of the National Development and Reform Commission on Strengthening the Administration of the Adjustment of Budget Estimates for Investment Projects within the Budget of the Central Government

国家发展改革委关于加强中央预算内投资项目概算调整管理的通知

Promulgating Institution:National Development and Reform Commission

Document Number: Fa Gai Tou Zi [2009] No.1550

Promulgating Date: 06/15/2009

Effective Date: 06/15/2009

颁布机关: 国家发展和改革委员会

文      号: 发改投资[2009]1550号

颁布时间: 06/15/2009

实施时间: 06/15/2009

To the Ministries and the departments directly under the State Council, development and reform commissions of all provinces, autonomous regions, municipalities directly under the Central Government and specifically designated cities in the State plan and the Xinjiang Production and Construction Corps, and enterprises administered by the Central Government:

In order to strictly enforce financial and economic disciplines, and strengthen and regulate the administration of budget estimates of investment projects within the budget of the Central Government, the matters relating to the administration of the adjustment of budget estimates are hereby notified as follows:

    国务院各部门、直属机构,各省、自治区、直辖市及计划单列市、新疆生产建设兵团发展改革委,各中央管理企业:

    为严格执行财经纪律,加强和规范中央预算内投资项目概算管理,现就概算调整管理有关事项通知如下:

1. With respect to an investment project within the budget of the Central Government of which the budget estimate for the preliminary design has been approved by the National Development and Reform Commission (hereinafter referred to as the "NDRC") according to the prevailing provisions, an application for adjusting the budget estimate shall be filed with the NDRC if the originally approved budget estimate can no longer meet the actual requirements of the project due to reasons such as price hiking, adjustment of policies, and major changes in geological conditions that occur in the course of the construction of the project.

       一、依现行规定由国家发展改革委核定批准初步设计概算的中央预算内投资项目,在建设过程中由于价格上涨、政策调整、地质条件发生重大变化等原因导致原批复概算不能满足工程实际需要的,应向国家发展改革委申请调整概算。

2. The following materials shall be submitted when an application for the adjustment of budget estimate is filed:

(1) The original document and the approval document for the preliminary design;

(2) The statement of adjustment of budget estimate prepared by a qualified agency, and the comparison table between the proposed adjustment of budget estimate and the originally approved budget estimate, and quantitative description and classification of the reasons, basis and calculation methods for the proposed adjustment of budget estimated;

(3) Bid and contract documents relating to the adjustment of budget estimate, including those issued to be changed or under negotiation; and

(4) Other materials required for the adjustment of budget estimate.

       二、申请调整概算时,应提交以下材料:

    (一)原初步设计文件及初步设计批复文件;

    (二)由具备相应资质单位编制的调整概算书,调整概算与原批复概算对比表,并分类定量说明调整概算的原因、依据和计算方法;

    (三)与调整概算有关的招标及合同文件,包括变更洽商部分;

    (四)调整概算所需的其他材料。

3. With respect to a project subject to an application for the adjustment of budget estimate, if the increase of the adjustment of budget estimate exceeds 10% or more of the originally approved budget estimate, the NDRC shall in principle request through consultation the relevant auditing authority to carry out an audit and make a decision on the application for the adjustment of budget estimate according to the specific circumstances upon the completion of the audit.

       三、申请调整概算的项目,凡概算调增幅度超过原批复概算10%及以上的,国家发展改革委原则上先商请审计机关进行审计,待审计结束后,再视具体情况进行概算调整。

4. With respect to a project subject to an application for the adjustment of budget estimate, the NDRC shall, according to the principles of static control and dynamic administration, examine the contents and causes of the adjustment of budget estimate by distinguishing between force majeure and artificial factors. With respect to a project of which the problems can be solved with preliminary reserves, such adjustment shall not be made. Where a project truly needs the adjustment of the budget estimate, the adjustment shall be approved upon an expert review arranged for by the NDRC.

       四、对于申请调整概算的项目,国家发展改革委将按照静态控制、动态管理的原则,区别不可抗因素和人为因素对概算调整的内容和原因进行审查。对于使用基本预备费可以解决问题的项目,不予调整概算。对于确需调整概算的项目,须经国家发展改革委组织专家评审后方予核定批准。

5. Where the adjusted budget estimate exceeds the originally approved budget estimate due to force majeure such as price rising and adjustment of policies, the adjustment of budget estimate shall be approved subject to the relevant examination. The difference due to the increase through adjustment shall not be deducted from the base for calculating other expenses.

       五、对由于价格上涨、政策调整等不可抗因素造成调整概算超过原批复概算的,经核定后予以调整。调增的价差不作为计取其它费用的基数。

6. Where the adjusted budget estimate exceeds the originally approved budget estimate due to errors in survey, design, construction, supply of equipment and materials, or the negligence of the relevant supervisory agency, the payment to the entities subject to liability shall be deducted according to the provisions on the liability of breach of contract, and the part of investment that exceeds the budget shall be deducted from the base for calculating other expenses. In serious cases of negligence of the entity subject to liability, the relevant administrative department for the relevant qualification shall be advised to punish the entity in accordance with the law and make an announcement thereon.

       六、对由于勘察、设计、施工、设备材料供应、监理单位过失造成调整概算超过原批复概算的,根据违约责任扣减有关责任单位的费用,超出的投资不作为计取其它费用的基数。对过失情节严重的责任单位,建议相关资质管理部门依法给予处罚并公告。

7. Where the adjusted budget estimate exceeds the originally approved budget estimate due to the project organization's poor management or neglect or dereliction of duty, unauthorized modification of project, including expansion of project scale, raise of construction standards or adding construction items, or deliberate omission of certain project or unauthorized expansion of approved projects, a notice of criticism shall be circulated. In serious cases where the adjusted budget estimate significantly exceeds the originally approved budget estimate and the actions of the relevant project entity is of a malicious nature, then the case shall be reported to the State Council and the project entity shall be subject to legal liability.

       七、对由于项目单位管理不善、失职渎职,擅自扩大规模、提高标准、增加建设内容,故意漏项和报小建大等造成调整概算超过原批复概算的,将给予通报批评。对于超概算严重、性质恶劣的,将向国务院报告并追究项目单位的法律责任。

8. The abovementioned provisions shall become effective from the date of promulgation of this Notice.

National Development and Reform Commission

June 15, 2009

       八、上述规定自本通知自发布之日起执行。

    国家发展改革委

    二〇〇九年六月十五日