能源部电力系统利用外资财务管理实施办法

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能源部电力系统利用外资财务管理实施办法

能源部


能源部电力系统利用外资财务管理实施办法
1992年6月20日,能源部

第一章 总 则
第一条 为了加强能源部电力系统利用外资的财务管理,合理、有效使用外资,保证还本付息,根据财政部《关于固定资产投资中利用国外借款财务管理的暂行规定》,特制定本实施办法。
第二条 本办法中的外资,是指经国家批准用于发展我国电力工业的基本建设项目和技术改造项目而借入的国际金融组织贷款、外国政府贷款和国际商业贷款等,以及与此相关的国外赠款。
第三条 本办法适用于电力系统所有利用外资的企业、事业单位。中外合营企业除外。
第四条 外资财务管理是外资项目管理的重要内容之一。利用外资单位对外资财务管理的主要任务是:
依据国家计划、财政、税收、金融和外债管理等方针、政策,参与外资项目可行性研究、评估等经济决策工作;
参加外资立项和概(预)算审查;
会同有关部门签订和执行利用外资协议及转贷协议;
参加招标、评标和合同管理;
监督外资有效使用,合理调度资金,降低资金成本;
办理外资支付、结算和本金偿还,按时支付利息和有关费用;
及时分析外资使用情况,提出外资使用方案和建议,供决策服务。
第五条 利用外资单位的财务部门,是具体从事外资财务管理和会计核算的主要职能部门,应依据《会计法》和财政部颁发的会计制度,对外资运动的全过程进行完整的会计核算和系统的财务管理。
第六条 企业法定代表人对外资使用的合法性、合理性和使用效果负全面责任。同时,企业法定代表人应支持财务部门和财会人员依法行使职权,使其发挥专业管理作用,全面完成外资财务管理和会计核算任务。
第七条 利用外资建设的工程项目,实行业主为中心的经济责任制,保证借用还、责权利相统一。建设单位或工程师单位的外资财务活动应接受业主的监督和控制。
第八条 业主和项目建设单位的财务部门要配备政治素质和业务素质好的财会人员,同时要保持这些人员的相对稳定。
利用外资的单位,要为财会人员创造较好的学习条件。可通过国内外培训、考察等多种形式,尽快提高外资财会人员的水平。在安排外资贷款培训费用时,要适当考虑财会人员的培训。出国考察,应尽量组织一些工程技术和经济人员参加的综合性团组。

第二章 借 入
第九条 电力外资贷款的借入,应严格按照国家的批准计划和贷款程序。业主和项目建设单位的财务部门应参与国外借款项目的可行性研究工作,认真做好项目的经济和财务评价。同时,对有选择余地的贷款,应对其利率、还款期限等条件进行充分比较,以便确定风险小、效益好的贷款。
第十条 利用外资项目,在可行性研究阶段业主要提出投资方外汇分担的意向书。贷款落实之后,业主单位要根据国内转贷部门的要求,提供投资方偿还外汇担保书。
第十一条 贷款项目的评估和预评估,财务部门应根据贷款方的要求,组织编写财务报告,保证评估工作的顺利进行。
国外贷款机构要求提供的财务资料,业主或项目建设单位应根据上级主管部门的有关规定和意见提供。
第十二条 财务部门应配合有关部门做好贷款合同谈判和协议签订工作。贷款提款的授权签字人由项目负责人和主要财务负责人担任,其他人不得代替。国内转贷协议由业主的财务部门具体负责签订和执行,其它部门应予以配合。
第十三条 国内转贷协议的担保,根据转贷部门的要求,可由出资方、银行、财务公司、企业主管部门提供,项目业主应接受担保方的财务监督。
第十四条 国内转贷款协议签订之后,业主应按照国家外汇管理局的规定,对地方出资的外汇进行债务登记。
第十五条 业主在项目建设过程中,因计划变更、汇率损失和其他原因需要追加外汇,由国家统借自还的,应报主管部门批准后筹集资金,若国家计划解决不了的,可自行筹集。

第三章 使 用
第十六条 业主的财务部门和项目建设单位的财务部门应对贷款的使用权限、管理范围划清责任,并用协议形式加以限定。外资的具体使用和支付等业务由项目建设单位负责的,项目建设单位应定期向业主报告贷款使用情况和存在问题,业主应经常对项目建设单位贷款使用情况进行监督。
第十七条 外资的使用,应按批准的用款计划和贷款支付程序。业主年初应根据合同、采购清单、工程进度编制用款计划,报送主管部门、投资单位和转贷单位。除非另有其他规定,任何单位不得擅自调整、增减或改变使用范围。
第十八条 财务部门应参与招标采购工作,确定资格预审文件、招标文件中的商务条款。评标过程中,财务人员应对承包商或厂商的财务能力作出资信评价,并对投标商的报价货币作出预测分析,正确选择结算币种,尽量减少汇率风险。
第十九条 业主或业主委托的对外合同谈判单位在进行商务合同谈判前,必须通知财务部门参加,共同对合同中的商务条款提出意见,任何单位或个人不得以任何理由拒绝财务部门参加,否则,财务部门有权拒绝办理相关的财务手续。
第二十条 业主和项目建设单位应建立贷款协议、转贷协议和商品采购、土建、劳务等合同管理制度。财务部门应备有合同副本,及时掌握合同的签订进度,全面反映商务合同的执行情况。
第二十一条 财务部门应积极参与合同管理,严格按照合同规定办理支付、结算手续。其他有关部门应及时、准确地提供设备的分割,备品备件的划分和施工工作量的完成情况等资料和数据。不允许财务人员在不清楚合同内容和缺乏相关资料的情况下办理支付手续。
第二十二条 贷款支付期的延长和提款签字人的变更,由业主向主管部门提出申请,得到批准以后转报给有关部门。
第二十三条 业主、项目建设单位和其他有关单位利用外资出国培训、考察、合同工厂设备检验、联合设计联络的国外费用开支标准,应严格执行国务院和财政部及能源部的有关规定。属于合同以内费用开支的,由业主提出出国人员建议、费用开支计划,报主管部门批准以后纳入合同;属于合同以外的,先由业主单位提出计划,报主管部门审核,然后送有关部门批准。无论是合同以内还是以外的出国团组,一切费用应由去人单位负担,财务人员应严格审查。对有关单位拒不付款的,可通过手续费或其他费用结算过程直接予以扣除。
第二十四条 贷款余额的重新安排,须由业主提出意见,报原计划部门批准;并要征得国外贷款机构的同意。
配套工程、辅助工程使用外资贷款余额,经审查批准后可享有贷款主体项目同等的优惠条件。
第二十五条 经过国内外有关机构批准用于配套工程、辅助工程和调剂给非本工程的外资贷款,一般按调出结算时国家公布的外汇牌价(卖出价)和适当的汇率损失,加计已发生的承诺费利息作价。具体结算办法由业主与用款单位在用款前充分协商,并签订合同,明确双方的权利和义务。还款合同要经过主管部门认证。
免税进口物资调剂中涉及到补交关税和其他进口税,按海关和税务部门的规定,由物资调入单位负责办理有关手续。
第二十六条 凡属本工程利用外资发生的外汇利息、索赔和出国人员费用结余以及用于配套工程、辅助工程和非本工程的贷款所收回的人民币,一律由业主专户存储,未经主管部门批准不得擅自动用。其中非本工程的贷款所收回的人民币原则上用于冲抵本工程建设期内资和用于还款。
第二十七条 业主使用国外借款所发生的国外赠款(包括实物),应实行单独核算和管理。
第二十八条 利用外资形成的资产,均属国家所有。但在会计报表上应反映出中央、地方、企业外汇形成的资产比例。以股份制形成的资产比例属各入股方所有。

第四章 偿 还
第二十九条 外资借款的还本付息付费,应按照“谁受益、谁偿还”的原则,在签订贷款协议或转贷协议中,明确偿还借款的经济责任,落实还本付息的资金来源。
第三十条 电力固定资产投资中的外资项目所生产的产品价格的制订程序和原则,应按照能源部和国家物价局的有关规定执行。
第三十一条 基本建设项目建设期间发生的利息、手续费,在规定的第一台机组投产以前的建设期内,列入工程概算,在年度安排投资时予以落实。因设计变更或地质条件变化等原因引起超过规定计划期的,由业主报计划主管部门调整概算。除此之外,由业主单位用自有资金解决。
技术改造及其他项目在建设期间的国外借款利息和费用,列入项目投资,并在年度技术改造及其他投资计划中安排。
第三十二条 还款资金的来源,除按财政部〔86〕财税字第273号文件及有关规定外,下列资金也是来源之一:
1.特别帐户利息;
2.出国人员费用结余;
3.索赔款结余;
4.调出物资的价款回收;
5.贷款余额重新安排收回的人民币不需要抵充内资的部分;
6.企业自有资金;
7.其他资金。
第三十三条 利用外资的单位,在归还工程投资借款时,应本照“先外后内”的原则,优先安排资金偿还国外借款,以维护我国对外信誉。
第三十四条 业主应于每年末对下一年度的还本付息金额、时间、资金来源作出计划安排,报送主管部门、转贷单位。对缺乏偿还能力不能按时还本付息的贷款项目,业主应提前向主管部门报告,以便寻求解决办法。

第五章 财务报告与决算
第三十五条 业主应按财政部、主管部门和贷款机构的要求,及时、准确地报送财务会计报告。
对于世界银行贷款项目,应按照项目评估的程序和方法,编制年度滚动计划。业主的计划、生产部门要通力合作,提供必要的资料,以保证此项工作的顺利完成。
第三十六条 业主向国外贷款机构报送的年度财务报告,应按要求编写,同时要认真接受银行、审计部门的监督。经审计的年度财务报告应分别报送财政、审计和主管部门。
第三十七条 工程竣工以后,项目建设单位应积极组织编写竣工决算。竣工决算应在项目销号或支付完毕以后一年内完成。业主应组织人力对竣工决算进行审查,及时处理剩余物资和有关财产。财务部门要参加项目后评价工作,对项目的社会效益和经济效益作出实事求是的分析和评价。

第六章 附 则
第三十八条 电力系统的外资财务管理和会计核算工作,由能源部经济调节司进行归口管理。直属单位每年向国外贷款机构报送财务报告之前,应先报送主管部门审定。
第三十九条 本办法由经济调节司解释。
第四十条 本办法自发布之日起执行。


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三门峡市人民政府关于印发三门峡市水环境生态补偿暂行办法的通知

河南省三门峡市人民政府


三门峡市人民政府关于印发三门峡市水环境生态补偿暂行办法的通知

三政〔2010〕37号


各县(市、区)人民政府,开发区、工业园管理委员会,市人民政府有关部门:
现将《三门峡市水环境生态补偿暂行办法》印发给你们,请结合实际,认真贯彻执行。




              二○一○年五月十七日


三门峡市水环境生态补偿暂行办法

第一条 为进一步推进水污染防治工作,保护和改善水环境,促进全市经济社会全面协调可持续发展,根据《中华人民共和国水污染防治法》、《河南省水污染防治条例》、《河南省水环境生态补偿暂行办法》(豫政办〔2010〕9号印发)等有关法律、法规的规定,按照“谁污染、谁补偿”和“谁保护、谁受益”的原则,制定本办法。
第二条 本办法适用于本市行政区域内的地表水水环境生态补偿。南水北调中线三门峡段水环境生态补偿办法按照省政府规定另行制定。
第三条 市环保部门负责制定水环境生态补偿水质监测方案,确定水环境生态补偿水质监测断面、监测项目、监测频次,并负责水环境生态补偿考核断面水质监测和生态补偿金的计算,及时将计算结果上报市财政部门。
市水利部门负责制定水环境生态补偿水量监测方案,并负责水环境生态补偿考核断面水量监测,及时向市环保部门提供考核断面水量信息。
市财政部门负责各县(市、区)水环境生态补偿金扣缴及资金转移支付工作。
各县(市、区)政府根据市政府下达的污染减排及总量控制计划,采取有效措施,削减污染物排放总量,确保断面水质达到考核目标的要求。
第四条 按照市政府与各县(市、区)政府签订的年度环保责任目标,考核因子为化学需氧量和氨氮,部分断面增加汞。根据水质变化及实际需要,考核因子可适当增加。
第五条 根据水污染防治要求和治理成本,确定生态补偿标准为化学需氧量每吨2500元,氨氮每吨1万元,汞每公斤10万元。
第六条 生态补偿金由各考核监测断面的超标污染物通量与生态补偿标准确定,超标污染物通量由考核断面水质浓度监测值与考核断面水质浓度责任目标值的差值乘以月考核断面水量确定。根据考核断面水质超标程度和考核断面流量,考核断面单因子生态补偿金按照“(考核断面水质浓度监测值-考核断面水质浓度责任目标值)×月考核断面水量×生态补偿标准”计算。
第七条 生态补偿金计算依据为市环保部门和水利部门提供的地表水责任目标断面水质、水量监测数据,按月计算。
第八条 对水质监测数据或水量监测数据有异议的,应报请市环保部门、水利部门组织有专家参加的裁定工作小组裁定,并将裁定结果报市政府备案。
第九条 省政府奖励的水环境生态补偿金纳入市级生态补偿金使用和管理。
第十条 生态补偿金主要用于上下游生态补偿,上缴省扣收的生态补偿金,水污染防治和水环境水质、水量监测监控能力建设以及对水环境责任目标完成情况为优秀的县(市、区)的奖励。
第十一条 生态补偿金的使用由市环保部门提出具体意见,经市财政部门审核后安排使用。市环保部门和财政部门要加强水环境生态补偿金的使用和管理,做到公开、公正、准确、合理。
第十二条 市环保部门根据水质、水量监测数据和生态补偿金计算方法,计算各考核断面生态补偿金扣缴数额。市财政部门对各考核断面生态补偿金扣缴数额进行审核后予以扣缴。扣缴生态补偿金采取市财政年终结算时扣收各县(市、区)财力的办法。
第十三条 市环保部门和财政部门定期向各县(市、区)政府通报生态补偿金扣缴情况。市环保部门定期召开新闻发布会,通报各县(市、区)生态补偿金扣缴情况和生态补偿金使用情况。
第十四条 本办法自印发之日起施行。《三门峡市人民政府关于印发环境质量责任目标与地方财政挂钩办法(试行)的通知》(三政〔2006〕48号)同时废止。


中华人民共和国海上交通事故调查处理条例(附英文)

交通部


中华人民共和国海上交通事故调查处理条例(附英文)

1990年1月11日国务院批准

第一章 总则
第一条 为了加强海上交通安全管理,及时调查处理海上交通事故,根据《中华人民共和国海上交通安全法》的有关规定,制定本条例。
第二条 中华人民共和国港务监督机构是本条例的实施机关。
第三条 本条例适用于船舶、设施在中华人民共和国沿海水域内发生的海上交通事故。
以渔业为主的渔港水域内发生的海上交通事故和沿海水域内渔业船舶之间、军用船舶之间发生的海上交通事故的调查处理,国家法律、行政法规另有专门规定的,从其规定。
第四条 本条例所称海上交通事故是指船舶、设施发生的下列事故:
(一)碰撞、触碰或浪损;
(二)触礁或搁浅;
(三)火灾或爆炸;
(四)沉没;
(五)在航行中发生影响适航性能的机件或重要属具的损坏或灭失;
(六)其他引起财产损失和人身伤亡的海上交通事故。

第二章 报告
第五条 船舶、设施发生海上交通事故,必须立即用甚高频电话、无线电报或其他有效手段向就近港口的港务监督报告。报告的内容应当包括:船舶或设施的名称、呼号、国籍、起迄港,船舶或设施的所有人或经营人名称,事故发生的时间、地点、海况以及船舶、设施的损害程度、救助要求等。
第六条 船舶、设施发生海上交通事故,除应按第五条规定立即提出扼要报告外,还必须按下列规定向港务监督提交《海上交通事故报告书》和必要的文书资料:
(一)船舶、设施在港区水域内发生海上交通事故,必须在事故发生后二十四小时内向当地港务监督提交。
(二)船舶、设施在港区水域以外的沿海水域发生海上交通事故,船舶必须在到达中华人民共和国的第一个港口后四十八小时内向港务监督提交;设施必须在事故发生后四十八小时内用电报向就近港口的港务监督报告《海上交通事故报告书》要求的内容。
(三)引航员在引领船舶的过程中发生海上交通事故,应当在返港后二十四小时内向当地港务监督提交《海上交通事故报告书》。
前款(一)、(二)项因特殊情况不能按规定时间提交《海上交通事故报告书》的,在征得港务监督同意后可予以适当延迟。
第七条 《海上交通事故报告书》应当如实写明下列情况:
(一)船舶、设施概况和主要性能数据;
(二)船舶、设施所有人或经营人的名称、地址;
(三)事故发生的时间和地点;
(四)事故发生时的气象和海况;
(五)事故发生的详细经过(碰撞事故应附相对运动示意图);
(六)损害情况(附船舶、设施受损部位简图。难以在规定时间内查清的,应于检验后补报);
(七)船舶、设施沉没的,其沉没概位;
(八)与事故有关的其他情况。
第八条 海上交通事故报告必须真实,不得隐瞒或捏造。
第九条 因海上交通事故致使船舶、设施发生损害,船长、设施负责人应申请中国当地或船舶第一到达港地的检验部门进行检验或鉴定,并应将检验报告副本送交港务监督备案。
前款检验、鉴定事项,港务监督可委托有关单位或部门进行,其费用由船舶、设施所有人或经营人承担。
船舶、设施发生火灾、爆炸等事故,船长、设施负责人必须申请公安消防监督机关鉴定,并将鉴定书副本送交港务监督备案。

第三章 调查
第十条 在港区水域内发生的海上交通事故,由港区地的港务监督进行调查。
在港区水域外发生的海上交通事故,由就近港口的港务监督或船舶到达的中华人民共和国的第一个港口的港务监督进行调查。必要时,由中华人民共和国港务监督局指定的港务监督进行调查。
港务监督认为必要时,可以通知有关机关和社会组织参加事故调查。
第十一条 港务监督在接到事故报告后,应及时进行调查。调查应客观、全面,不受事故当事人提供材料的限制。根据调查工作的需要,港务监督有权:
(一)询问有关人员;
(二)要求被调查人员提供书面材料和证明;
(三)要求有关当事人提供航海日志、轮机日志、车钟记录、报务日志、航向记录、海图、船舶资料、航行设备仪器的性能以及其他必要的原始文书资料;
(四)检查船舶、设施及有关设备的证书、人员证书和核实事故发生前船舶的适航状态、设施的技术状态;
(五)检查船舶、设施及其货物的损害情况和人员伤亡情况;
(六)勘查事故现场,搜集有关物证。
港务监督在调查中,可以使用录音、照相、录相等设备,并可采取法律允许的其他调查手段。
第十二条 被调查人必须接受调查,如实陈述事故的有关情节,并提供真实的文书资料。
港务监督人员在执行调查任务时,应当向被调查人员出示证件。
第十三条 港务监督因调查海上交通事故的需要,可以令当事船舶驶抵指定地点接受调查。当事船舶在不危及自身安全的情况下,未经港务监督同意,不得离开指定地点。
第十四条 港务监督的海上交通事故调查材料,公安机关、国家安全机关、监察机关、检察机关、审判机关和海事仲裁委员会及法律规定的其他机关和人员因办案需要可以查阅、摘录或复制,审判机关确因开庭需要可以借用。

第四章 处理
第十五条 港务监督应当根据对海上交通事故的调查,作出《海上交通事故调查报告书》,查明事故发生的原因,判明当事人的责任;构成重大事故的,通报当地检察机关。
第十六条 《海上交通事故调查报告书》应包括以下内容:
(一)船舶、设施的概况和主要数据;
(二)船舶、设施所有人或经营人的名称和地址;
(三)事故发生的时间、地点、过程、气象海况、损害情况等;
(四)事故发生的原因及依据;
(五)当事人各方的责任及依据;
(六)其他有关情况。
第十七条 对海上交通事故的发生负有责任的人员,港务监督可以根据其责任的性质和程度依法给予下列处罚:
(一)对中国籍船员、引航员或设施上的工作人员,可以给予警告、罚款或扣留、吊销职务证书;
(二)对外国籍船员或设施上的工作人员,可以给予警告、罚款或将其过失通报其所属国家的主管机关。
第十八条 对海上交通事故的发生负有责任的人员及船舶、设施的所有人或经营人,需要追究其行政责任的,由港务监督提交其主管机关或行政监察机关处理;构成犯罪的,由司法机关依法追究刑事责任。
第十九条 根据海上交通事故发生的原因,港务监督可责令有关船舶、设施的所有人、经营人限期加强对所属船舶、设施的安全管理。对拒不加强安全管理或在期限内达不到安全要求的,港务监督有权责令其停航、改航、停止作业,并可采取其他必要的强制性处置措施。

第五章 调解
第二十条 对船舶、设施发生海上交通事故引进的民事侵权赔偿纠纷,当事人可以申请港务监督调解。
调解必须遵循自愿、公平的原则,不得强迫。
第二十一条 前条民事纠纷,凡已向海事法院起诉或申请海事仲裁机构仲裁的,当事人不得再申请港务监督调解。
第二十二条 调解由当事人各方在事故发生之日起三十日内向负责该事故调查的港务监督提交书面申请。港务监督要求提供担保的,当事人应附经济赔偿担保证明文件。
第二十三条 经调解达成协议的,港务监督应制作调解书。调解书应当写明当事人的姓名或名称、住所、法定代表人或代理人的姓名及职务、纠纷的主要事实、当事人的责任、协议的内容、调解费的承担、调解协议履行的期限。调解书由当事人各方共同签字,并经港务监督盖印确认。
调解书应交当事方各持一份,港务监督留存一份。
第二十四条 调解达成协议的,当事人各方应当自动履行。达成协议后当事人翻悔的或逾期不履行协议的,视为调解不成。
第二十五条 凡向港务监督申请调解的民事纠纷,当事人中途不愿调解的,应当向港务监督递交撤销调解的书面申请,并通知对方当事人。
第二十六条 港务监督自收到调解申请书之日起三个月内未能使当事人各方达成调解协议的,可以宣布调解不成。
第二十七条 不愿意调解或调解不成的,当事人可以向海事法院起诉或申请海事仲裁机构仲裁。
第二十八条 凡申请港务监督调解的,应向港务监督缴纳调解费。调解的收费标准,由交通部会同国家物价局、财政部制定。
经调解达成协议的,调解费用按当事人过失比例或约定的数额分摊;调解不成的,由当事人各方平均分摊。

第六章 罚则
第二十九条 违反本条例规定,有下列行为之一的,港务监督可视情节对有关当事人(自然人)处以警告或者二百元以下罚款;对船舶所有人、经营人处以警告或者五千元以下罚款:
(一)未按规定的时间向港务监督报告事故或提交《海上交通事故报告书》或本条例第三十二条要求的判决书、裁决书、调解书的副本的;
(二)未按港务监督要求驶往指定地点,或在未出现危及船舶安全的情况下未经港务监督同意擅自驶离指定地点的;
(三)事故报告或《海上交通事故报告书》的内容不符合规定要求或不真实,影响调查工作进行或给有关部门造成损失的;
(四)违反第九条规定,影响事故调查的;
(五)拒绝接受调查或无理阻挠、干扰港务监督进行调查的;
(六)在受调查时故意隐瞒事实或提供虚假证明的。
前款第(五)、(六)项行为构成犯罪的,由司法机关依法追究刑事责任。
第三十条 对违反本条例规定,玩忽职守、滥用职权、营私舞弊、索贿受贿的港务监督人员,由行政监察机关或其所在单位给予行政处分;构成犯罪的,由司法机关依法追究刑事责任。
第三十一条 当事人对港务监督依据本条例给予的处罚不服的,可以依法向人民法院提起行政诉讼。

第七章 特别规定
第三十二条 中国籍船舶在中华人民共和国沿海水域以外发生的海上交通事故,其所有人或经营人应当向船籍港的港务监督报告,并于事故发生之日起六十日内提交《海上交通事故报告书》。如果事故在国外诉讼、仲裁或调解,船舶所有人或经营人应在诉讼、仲裁或调解结束后六十日内将判决书、裁决书或调解书的副本或影印件报船籍港的港务监督备案。
第三十三条 派往外国籍船舶任职的持有中华人民共和国船员职务证书的中国籍船员对海上交通事故的发生负有责任的,其派出单位应当在事故发生之日起六十日内向签发该职务证书的港务监督提交《海上交通事故报告书》。
本条第一款和第三十二条的海上交通事故的调查处理,按本条例的有关规定办理。

第八章 附则
第三十四条 对违反海上交通安全管理法规进行违章操作,虽未造成直接的交通事故,但构成重大潜在事故隐患的,港务监督可以依据本条例进行调查和处罚。
第三十五条 因海上交通事故产生的海洋环境污染,按照我国海洋环境保护的有关法律、法规处理。
第三十六条 本条例由交通部负责解释。
第三十七条 本条例自发布之日起施行。

REGULATIONS OF THE PEOPLE'S REPUBLIC OF CHINA ON THE INVESTIGATIONAND HANDLING OF MARITIME TRAFFIC ACCIDENTS

Important Notice: (注意事项)
英文本源自中华人民共和国务院法制局编译, 中国法制出版社出版的《中华人民
共和国涉外法规汇编》(1991年7月版).
当发生歧意时, 应以法律法规颁布单位发布的中文原文为准.
This English document is coming from the "LAWS AND REGULATIONS OF THE
PEOPLE'S REPUBLIC OF CHINA GOVERNING FOREIGN-RELATED MATTERS" (1991.7)
which is compiled by the Brueau of Legislative Affairs of the State
Council of the People's Republic of China, and is published by the China
Legal System Publishing House.
In case of discrepancy, the original version in Chinese shall prevail.

Whole Document (法规全文)
REGULATIONS OF THE PEOPLE'S REPUBLIC OF CHINA ON THE INVESTIGATION
AND HANDLING OF MARITIME TRAFFIC ACCIDENTS
(Approved by the State Council on January 11, 1990, promulgated by
Decree No. 14 of the Ministry of Communications on March 3, 1990)

Chapter I General Provisions
Article 1
These Regulations are formulated according to the relevant provisions of
the Maritime Traffic Safety Law of the People's Republic of China in order
to strengthen the control of maritime traffic safety and promptly
investigate and handle maritime traffic accidents.
Article 2
The harbour superintendency establishments of the People's Republic of
China shall be responsible for implementing these Regulations.
Article 3
These Regulations shall apply to the maritime traffic accidents happening
to the vessels and installations in the coastal waters of the People's
Republic of China. If there exist special provisions in state laws and
administrative regulations for the investigation and handling of the
maritime traffic accidents happening in the fishing port waters or of the
maritime traffic accidents happening between fishing vessels or between
military vessels in the coastal waters, these special provisions shall
prevail.
Article 4
The maritime traffic accidents referred to in these Regulations mean the
following accidents happening to vessels and installations:
(1) collision, strike or damage by waves;
(2) hitting hidden rocks or running aground;
(3) fire or explosion;
(4) sinking;
(5) damage or loss of machinery parts or important tools during a voyage
which affects the vessel's seaworthiness;
(6) other maritime traffic accidents which cause losses in property and
human lives.

Chapter II Report
Article 5
The persons in charge of the vessels and installations which are involved
in maritime traffic accidents must report immediately to the harbour
superintendency administration at the nearest harbour by a high-frequency
telephone, radiotelegram or other effective means. The content of the
reports shall include: name of the vessel or installation, call sign,
nationality, port of departure and port of arrival, owners or managers of
the vessel or installation, when and where the accident happened and the
attending circumstances on the sea, the extent of damage of the vessel or
installation, request for salvage, etc.
Article 6
The persons in charge of the vessels and installations which are involved
in maritime traffic accidents must, in addition to making brief reports
immediately in accordance with the provisions in Article 5, submit the
Report Concerning Maritime Traffic Accidents and other necessary documents
and materials according to the following stipulations to the harbour
superintendency administration:
(1) If maritime traffic accidents happen to vessels or installations
within the waters of the harbour areas, it is necessary to submit a report
and other materials to the local harbour superintendency administration
within 24 hours after the accidents.
(2) If maritime traffic accidents happen to vessels or installations in
the coastal waters beyond the waters of harbour areas, it is necessary to
submit a report and other materials within 48 hours after the vessels
arrive at the first harbour in the People's Republic of China to the
harbour superintendency administration;
in the case of installations, it is necessary to report by telegram, the
content of which shall cover all the items required in the Report
Concerning Maritime Traffic Accidents to the harbour superintendent at the
nearest harbour within 48 hours after the accidents.
(3) If a maritime traffic accident happens in the course of pilotage, the
pilot shall submit the Report Concerning Maritime Traffic Accidents to the
local harbour superintendency administration within 24 hours after his
return to the harbour. If, because of special circumstances, the Report
Concerning Maritime Traffic Accidents cannot be submitted within the time
limit set in paragraphs (1) and (2) of this Article, the time limit may be
appropriately extended after permission is obtained from the harbour
superintendency administration.
Article 7
The following information shall be truthfully provided in the Report
Concerning Maritime Traffic Accidents:
(1) basic conditions of the vessel or installation and the data concerning
its main functions;
(2) name and address of the owner or manager of the vessel or
installation;
(3) when and where the accident happened;
(4) the climatic conditions and the conditions on the sea when the
accident happened;
(5) a detailed description of the course of the accident (for a collision,
a sketch map illustrating the face-to-face movements shall be attached);
(6) degree of the damage (A sketch showing the damaged parts of the vessel
or installation shall be attached. If it is difficult to make a thorough
investigation within the set time limit, a report shall be submitted at a
later date after the examination.)
(7) estimated location of sinking in case where the vessel or installation
sank;
(8) other information related to the accident.
Article 8
A report concerning maritime traffic accidents must be truthful and there
must not be any concealment or falsification.
Article 9
If a vessel or an installation is damaged due to a maritime traffic
accident, the captain of the vessel or the person in charge of the
installation shall apply to China's local inspection department or the
inspection department at the vessel's first port of arrival in China for
inspection or appraisement and send a copy of the inspection report to the
harbour superintendency administration for the record.
The harbour superintendency administration may entrust the inspection and
appraisement mentioned in the preceding paragraph to relevant units or
departments and the expenses shall be borne by the owner or manager of the
vessel or installation. If the accident happening to a vessel or
installation involved fire or explosion, the captain or the person in
charge of the installation must apply to a fire fighting brigade in the
public security organ for an appraisement and send a copy of the
appraisement report to the harbour superintendency administration for the
record.

Chapter III Investigation
Article 10
Harbour superintendency administration shall be responsible for the
investigation of the maritime traffic accidents which happen in the waters
of their respective harbour areas. The maritime traffic accidents which
happen outside the waters of harbour areas shall be investigated by the
harbour superintendency administration of the nearest harbour or that of
the vessel's first port of arrival in the People's Republic of China. The
Harbour Superintendency Administration Bureau of the People's Republic of
China may designate a harbour superintendency administration to carry out
the investigation, if the Bureau deems it necessary.
When the harbour superintendency administration concerned deems it
necessary, he may request relevant departments and social organizations to
take part in the investigation of the accidents.
Article 11
Upon receiving accident reports, the harbour superintendency
administration shall promptly carry out investigation. Investigation shall
be carried out in an objective and all-round manner and must not be
restricted by the information provided by the parties involved in the
accidents. If the investigation warrants it, the harbour superintendency
administration has the right to:
(1) question the persons concerned;
(2) demand written material and testimonial form the persons under
investigation;
(3) demand the parties involved to provide logbooks, engine room logs,
wheel-bell records, radio operation logs, course records, charts, data of
the vessel, functions of the navigation equipment and instruments and
other necessary original papers and materials;
(4) examine certificates of the vessels, installations and the relevant
equipment and certificates of the personnel and verify seaworthiness of
the vessels and technical conditions of the installations before the
accident;
(5) examine the damage to the vessels, installations and goods and
ascertain casualties of personnel;
(6) survey the scene of the accident and collect relevant material
evidence. During the investigation, the harbour superintendency
administration may use recording, photographing and video equipment and
may resort to other means of investigation permitted by law.
Article 12
The persons being investigated must subject themselves to the
investigation, honestly state the relevant circumstances of the accident
and provide authentic papers and materials.
In conducting investigations, the personnel of harbour superintendency
administration shall produce their certificates to the persons being
investigated.
Article 13
If the investigation of a maritime traffic accident so requires, the
harbour superintendency administration may order the vessel(s) involved to
sail to the spot for investigation. Except when its (their) own safety is
in danger, the vessel(s) involved must not leave the said spot without the
permission of the harbour superintendency administration.
Article 14
The organs respectively in charge of public security, state security,
supervision, procuratorial work, and judicial work, as well as maritime
arbitration committees and other organs and personnel designated under the
law may consult, make extracts of or duplicate the findings concerning
maritime traffic accidents prepared by the harbour superintendency
administration for the purpose of handling cases. Judicial organs may
borrow these findings if they are really needed in the trials.

Chapter IV Handling of Accidents
Article 15
The harbour superintendency administrations shall, according to the
investigations of maritime traffic accidents, work out the Report on
Findings Concerning Maritime Traffic Accidents, in which causes of the
accidents shall be ascertained and the responsibility of the persons
concerned be determined. A serious accident shall be reported to the local
procuratorial organ.
Article 16
The Report on Findings Concerning the Maritime Traffic Accident shall
include the following items:
(1) basic conditions of the vessels or installations and the main data;
(2) names and addresses of the owners or managers of the vessels or
installations;
(3) when and where the accident happened, the course of the accident,
weather and sea conditions at the time, seriousness of the damage;
(4) causes of the accident and evidence thereof;
(5) liabilities of the parties involved and evidence thereof;
(6) other relevant information.
Article 17
The harbour superintendency administrations may, according to the nature
and seriousness of their liabilities, mete out the following penalties
according to law to the persons who are held responsible for the maritime
traffic accidents:
(1) warnings, fines, suspension or revocation of their job certificates
may be resorted to when the crew, pilots or personnel working on the
installations are of Chinese nationality;
(2) warnings and fines may be imposed on the crew or the personnel working
on the installations who are of foreign nationalities or their faults may
be reported to the competent organs of their respective countries.
Article 18
If it is necessary to pursue the administrative responsibility of the
persons involved, owners or managers of the vessels or installations who
are held responsible for the maritime traffic accidents, the harbour
superintendency administrations shall submit the cases to their competent
organs or the organs in charge of administrative supervision. With
respect to persons whose action constitutes a crime, the judicial
authorities shall, in accordance with the law, investigate their criminal
responsibility.
Article 19
The harbour superintendency administration may, in the light of the causes
of the maritime traffic accidents, order the owners and managers of the
vessels involved or installations involved to strengthen safety control
over their vessels or installations within a time limit. In case of
refusal to strengthen safety administration or failure to meet the safety
requirements within the said time limit, the harbour superintendency has
the right to order the vessels or installations to suspend navigation,
change courses or suspend operation and may adopt other necessary
compulsory measures.

Chapter V Mediation
Article 20
If a maritime traffic accident happening to vessels or installations gives
rise to a civil dispute over tort liability, the parties may apply to the
harbour superintendency administration for mediation.
Mediations must be carried out on the principles of voluntariness and
impartiality and no coercion shall be allowed.
Article 21
If a suit has been brought before a maritime court or an application sent
to a maritime arbitration organ, the parties to the civil disputes
mentioned in the preceding article shall not apply to the harbour
superintendency administration for mediation.
Article 22
Written applications for mediations shall be submitted, by the parties
within 30 days after the accident happened, to the harbour superintendency
administration responsible for the investigation of the accident. If
guarantees are demanded by the harbour superintendency administration the
parties shall provide papers of economic compensation guarantee.
Article 23
If an agreement is reached after mediation, the harbour superintendency
administration shall prepare a mediation document. The mediation document
shall include the following items: names and addresses of the parties,
names and positions of the legal representatives, main points of the
disputes, liabilities of the parties, content of the agreement, payment of
the mediation fees and the time limit for the execution of the mediation
agreement. The parties concerned shall jointly sign the mediation document
and the superintendency administration shall confirm it by affixing its
seal thereon. One copy of the mediation document shall be held by each
party concerned and one copy kept by the harbour superintendency
administration.
Article 24
All the parties concerned shall execute the agreement of mediation of
their own accord. If the parties renege or fail to execute the agreements
within the time limit after the agreement is reached, the mediation shall
be regarded as failing.
Article 25
If a party to a civil dispute who has applied to the harbour
superintendency administration for mediation wants to withdraw from it,
the party shall send a written application to the harbour superintendency
administration for mediation cancellation and notify the other party to
the dispute at the same time.
Article 26
If the harbour superintendency administration fails to make the parties
reach an agreement of mediation within 3 months as of the date of receipt
of the application for mediation, the mediation may be announced as
failing.
Article 27
If the parties do not want mediation or the mediation has failed, they may
bring a suit in a maritime court or apply to a maritime arbitration organ
for arbitration.
Article 28
Anyone who has applied to the harbour superintendency administration for
mediation shall pay mediation fees. Standards for mediation charges shall
be worked out by the Ministry of Communications in conjunction with the
State Administration for Commodity Prices and the Ministry of Finance.
If an agreement is reached through mediation, the mediation charge shall
be shared according to the seriousness of the parties' faults or the
agreed proportions. If mediation has failed, the expenses shall be shared
out equally among the parties.

Chapter VI Penalties
Article 29
The harbour superintendency administration may, depending on the
circumstances, warn or impose a fine of not more than 200 yuan on the
persons concerned (natural person), or impose a warning or a fine of not
more than 5,000 yuan on the owners or managers of the vessels, if they
violate these Regulations in one of the following manners:
(1) failing to report the accident to the harbour superintendency
administration or submit the Report Concerning Maritime Traffic Accident
or duplicate copies of the documents of court verdict, arbitration award
or mediation document as stipulated in Article 32 of these Regulations
within the time limit;
(2) failing to sail to the spot designated by the harbour superintendency
administration or leaving the designated spot without the permission of
the harbour superintendency administration when nothing is endangering the
vessel(s);
(3) affecting the progress of the investigations or causing losses to the
departments concerned because the content of the accident report or the
Report Concerning Maritime Traffic Accident does not meet the stipulated
requirements or it is not truthful;
(4) affecting the investigation of the accident by violating the
provisions of Article 9;
(5) refusing to be investigated or unjustifiably obstructing and
interfering with the investigation by the harbour superintendency
administration;
(6) intentionally concealing facts or providing false testimonial during
investigation. With respect to persons whose acts have constituted a
crime as specified in paragraphs (5) and (6) of this Article, the judicial
organs shall investigate their criminal responsibility according to law.
Article 30
Administrative sanctions shall be given by administrative supervision
organs or relevant units to those persons working in harbour
superintendency administrations who violate the provisions of these
Regulation, neglect their duties, abuse their powers, engage in
malpractices for selfish ends and ask for and accept bribes. If their acts
constitute crimes, their criminal responsibilities shall be investigated
by judicial organs according to law.
Article 31
If the parties concerned do not agree with the penalties imposed on them
by the harbour superintendency administration according to the provisions
of these Regulations, they may bring a suit in a people's court according
to law.

Chapter VII Special Provisions
Article 32
If maritime traffic accidents happen to vessels of Chinese nationality
outside the coastal waters of the People's Republic of China, their owners
or managers shall report to the harbour superintendency administration
where the vessels have registered and shall submit the Report Concerning
Maritime Traffic Accident within 60 days after the accidents happened. If
lawsuits, arbitrations or mediations concerning the accidents take place
abroad, the owners or managers shall submit copies or photocopies of the
court verdicts, awards or mediation documents to the harbour
superintendency of the harbour where the vessels have registered for the
record within 60 days after the termination of the lawsuits, arbitration
or mediation.
Article 33
If crew members of Chinese nationality holding job qualification
certificates of the People's Republic of China are held responsible for
maritime traffic accidents while they are working on board foreign
vessels, their respective units in China shall submit the Report
Concerning Maritime Traffic Accidents to the harbour superintendency
administration issuing the job qualification certificates within 60 days
after the accidents happened.
The maritime traffic accidents mentioned in the first paragraph of this
Article and in Article 32 shall be investigated and dealt with in
accordance with the relevant provisions of these Regulations.

Chapter VIII Supplementary Provisions
Article 34
With respect to those operations which have violated the regulations
concerning maritime traffic safety and have constituted latent threats of
potential major accidents, although direct traffic accidents have not been
caused, the harbour superintendency administration may carry out
investigation and mete out penalties according to the provisions of these
Regulations.
Article 35
The maritime traffic accidents which have caused marine environmental
pollution shall be dealt with in accordance with the relevant laws and
regulations of China concerning marine environmental protection.
Article 36
These Regulations shall be interpreted by the Ministry of Communications.
Article 37
These Regulations shall go into effect as of the date of promulgation.