各区建设管理部门、特定地区管委会、社会投资项目审批审查中心：
为加快转变政府职能，改善和优化建筑许可营商环境，持续提升工程质量安全水平，根据《关于完善质量保障体系提升建筑工程品质指导意见的通知》（国办函〔2019〕92号）、《关于做好移交承接建设工程消防设计审查验收职责的通知》（建科函〔2019〕52 号）、《上海市工程建设项目审批制度改革试点实施方案》（沪府规〔2018〕14号）和《上海办理建筑许可对标世界银行营商环境新一轮改革总体工作方案》（沪府办〔2020〕5号）等文件精神，结合本市实际情况，现将进一步优化建筑工程质量安全监督和综合竣工验收管理工作通知如下：
一、本市行政区域内新建、改建、扩建房屋建筑工程和市政基础设施非交通工程（以下简称“建筑工程”）的质量安全监督和综合竣工验收（以下简称“综合验收”）管理，应按本通知要求执行。
二、市、区建设管理部门或其委托的机构（以下简称“建设管理部门”）负责本市建筑工程质量安全监督管理，并牵头组织相关专业验收部门实施建筑工程综合验收管理。其中，社会投资建筑工程质量安全监督和综合验收管理工作在市、区社会投资项目审批审查中心的牵头下统筹实施、协调推进。
三、本市建筑工程的质量安全应根据工程风险等级实施差别化管理。
工程风险分为低风险、中低风险、中等风险、高风险和超高风险等五个等级。工程风险等级根据建筑物分类、建筑面积、建筑高度、建造技术要求、新技术使用情况、预期用途、所处区域、周边情况、人员密集情况等风险因素进行界定。具体风险等级见《上海市建筑工程风险分级及检查标准》（以下简称“风险标准”）（见附件一）。
四、在工程建设过程中，建设单位应组织施工单位、监理单位开展质量安全风险技术检查（以下简称“技术检查”）。建设单位对技术检查负首要责任，施工单位、监理单位根据职责分工对技术检查负相应主体责任。
五、技术检查应基于桩基、基础、主体、装饰、幕墙、节能等各阶段的质量安全风险开展。其中，质量风险应根据项目关键部位、关键工序确定；安全风险应根据危险性较大的分部分项工程确定。技术检查可以和项目施工单位工序自查和监理旁站巡视同步实施。
六、技术检查流程包括风险识别、检查实施、检查总结。具体要求如下：
（一）风险识别
风险识别应在工程开工前完成，并形成质量安全风险清单。
风险级别为低风险、中低风险、中等风险的项目，由建设单位项目负责人组织施工单位项目负责人、设计单位项目负责人、项目总监理工程师实施风险识别。
风险级别为高风险和超高风险的项目，由建设单位项目负责人组织施工单位技术负责人、设计单位项目负责人和项目总监理工程师实施风险识别。
（二）检查实施
风险级别为低风险、中低风险、中等风险的项目，施工各阶段的质量安全风险由建设单位项目负责人组织施工单位项目负责人和项目总监理工程师实施检查。
风险级别为高风险和超高风险的项目，施工各阶段的质量安全风险由建设单位项目负责人组织施工单位技术负责人（或其授权委派的专业技术人员、施工单位项目负责人）和项目总监理工程师实施检查。
（三）检查总结
各阶段技术检查之后，建设单位会同施工、监理单位形成技术检查报告。技术检查报告应当反映技术检查情况以及问题整改情况。在竣工验收阶段，建设单位、勘察单位、设计单位、施工单位、监理单位组成的竣工验收组应验看技术检查报告。
七、建筑工程在建设过程中，建设管理部门的质量安全监督检查，应按照风险等级监督检查标准规定的检查频次和检查节点实施。工程各参建单位未按规定实施技术检查、工程发生质量安全事故、存在承诺不兑现等违法行为的，建设管理部门酌情增加随机检查次数，加强事中事后监管。
上述质量安全监督检查应包括国家和本市有关建设工程质量和安全的法律、法规、规章和技术标准的执行情况；工程各参建单位的质量和安全行为，以及质量和安全管理体系和责任制落实情况。
八、对于风险等级为低风险的项目，建设管理部门取消质量安全首次监督会议，在施工许可阶段，采取网上告知形式将工程质量安全监督事项以及要求告知建设单位。
低风险项目在建设过程中，建设管理部门仅实施一次监督检查。其中，社会投资低风险工业建筑（即“社会投资低风险产业类项目”）在主体结构封顶后、装饰装修施工前由社会投资项目审批审查中心牵头组织相关管理部门开展一次联合检查。
上述检查中，建设管理部门重点检查结构工程安全、危险性较大的分部分项工程的施工、参建单位开展质量安全风险技术检查的情况和开工阶段落实工程现场质量安全措施的承诺履行情况等。
九、项目完工后，建设单位应及时组织开展建筑工程竣工验收（以下简称“竣工验收”）。竣工验收应包括审阅工程档案资料和实地查验工程质量等内容。其中，对于建筑面积低于2000平方米且无地下室的社会投资低风险产业类项目，无需审阅工程勘察内容；对于住宅工程，应对分户验收等内容进行查验。
十、竣工验收合格后，建设单位应当及时组织编制竣工验收报告。工程竣工验收报告主要包括工程概况，建设单位执行基本建设程序情况，对工程勘察（建筑面积低于2000平方米且无地下室的除外）、设计、施工、监理等方面的评价，竣工验收时间、程序、内容和组织形式，工程竣工验收意见，技术检查报告验看情况等内容。
建设管理部门不再对工程竣工验收的组织形式、验收程序、执行验收标准等情况进行现场监督，相关内容在综合验收时进行抽查。
十一、建筑工程竣工验收合格后，建设单位方可通过上海市工程建设项目审批管理系统（以下简称“审批管理系统”）统一向政府部门申请综合验收。
对于低风险项目，建设管理部门或社会投资项目审批审查中心统一受理后，除第十条规定的要求外，应当按照《关于进一步简化本市小型建筑工程竣工验收工作的通知》（沪建建管联〔2019〕118号）要求，在5个工作日内牵头完成综合验收工作。其中，对于社会投资低风险产业类项目，社会投资项目审批审查中心统一受理后，应当按照《关于进一步优化本市社会投资低风险产业类项目竣工验收、不动产登记办理流程的实施办法》（沪规划资源建〔2020〕33号）要求，在3.5个工作日内牵头完成综合验收工作。
对于低风险以外的项目，建设管理部门作为综合竣工验收牵头部门统一受理后，除第十条规定的要求外，应当按照《上海市建筑工程综合竣工验收管理办法》（沪住建规范联〔2018〕10号）要求，在15个工作日内牵头完成综合验收工作。
本市积极鼓励一站式综合竣工验收实施范围延伸拓展至社会投资低风险产业类项目以外的其他建筑工程，企业竣工验收合格后通过审批管理系统在线一次性申请综合竣工验收，由审批审查中心牵头组织相关专业部门实施现场综合验收，验收通过后，在线一次性核发综合竣工验收合格通知书。
十二、建筑工程综合验收过程中，建设管理部门负责建筑工程质量验收，重点对工程竣工验收的组织形式进行要件审核，对执行验收标准进行抽查，对消防内容进行验收或备案。住宅工程应对功能性实体质量进行抽查比对。功能性实体质量抽查的具体要求由市建设管理部门另行制定。
十三、建筑工程综合验收通过后，建设管理部门或社会投资项目审批审查中心组织相关专业验收部门，依托审批管理系统统一向建设单位出具《建筑工程综合竣工验收合格通知书》、《上海市建设工程质量监督报告》（见附件二）以及其他专业验收意见。
十四、建设管理部门在工程质量验收时，发现建筑工程违反工程建设强制性标准的，应责令建设单位整改后报建设管理部门实施现场复查。对于住宅工程，应责令建设单位整改后重新组织竣工验收。
建设管理部门发现分户验收或竣工验收存在弄虚作假行为的，应责令建设单位重新组织分户验收和竣工验收。对再次申请综合验收的建筑工程，建设管理部门应加倍进行功能性实体质量抽查比对。
十五、建设单位重新组织竣工验收合格后，应重新申请综合验收。建筑工程综合验收通过后，方可交付使用；建筑工程未经综合验收或综合验收未通过的，不得交付使用。
建设管理部门发现工程参建单位存在承诺不兑现或者其他弄虚作假等行为并查实的，应记入企业和个人诚信档案，执行整改、禁止选择承诺附条件通过、禁止选择容缺受理或撤销《建筑工程综合竣工验收合格通知书》等惩戒；情节严重的，列入严重失信企业名单。
十六、本通知自发布之日起实施，由上海市住房和城乡建设管理委员会负责解释。《关于进一步优化本市小型建筑工程质量安全管理工作的通知》（沪建建管〔2019〕131号）和《上海市建筑工程质量安全风险分级监督检查标准》（沪建安质监〔2019〕76号）中与本通知内容有冲突的，以本通知规定为准。
附件：
一、《上海市建筑工程风险分级监督检查标准》；
二、《上海市建筑工程质量监督报告》的样张。
H.J.J.G. Document No.72 of 2020
All district construction administration departments, administrativecommittees of special areas, review and approval centers for projects withprivate investment:
To speed up the transformation of governmentfunctions, improve and optimize business environment for constructionpermission, and continuously increase the level of construction quality andsafety, pursuant to the spirits of Circular on the Guiding Opinions on Improvingthe Quality Assurance System and Enhancing the Quality of Construction Projects(G.B.H. Document No.92 of 2019), Circular on theHandover of Responsibilities for the Review and Final Inspection of FireProtection Design (J.K.H. Document No.52 of 2019), Pilot Implementation Plan for Reformof the System for Construction Project Approval in Shanghai (H.F.G. Document No.14 of 2018), and the New Round of Overall Reform Work Planto Improve the Business Environment of Dealing with Construction Permits inShanghai to Meet the Standards of the World Bank (H.F.B. Document No.5 of2020), considering the reality of Shanghai, we worked on further optimizingquality and safety supervision and integrated final inspection for constructionprojects. Now the details are as follow:
IV. During construction, owners should organize construction companiesand supervision companies to carry out technical inspections of quality andsafety risks (hereinafter referred to as “technical inspection”). Owners takethe primary responsibility for the technical inspections，
V. Technical inspection should be carried out based on the quality andsafety risks at the stages of pile foundation, foundation, structure,decoration, curtain wall, and energy conservation. The quality risks should bedetermined based on critical parts and/or engineering processes. The safetyrisks should be identified according to the classification of more dangerousparts and items of projects. A technical inspection may be carried out at thesame time when a construction company conducts self-inspection of the constructionprocess, and a supervision company performs a tour of site supervisinginspection.
VI. The process of technical inspection includes risk identification,implementation of inspection, and conclusion of the inspection.
(I) Risk Identification
Risk Identification should be completed before a project begins andoutput a list of quality and safety risks.
If a project is at a risk level, which is either low risk, medium-lowrisk, or medium risk, the project leader of the owner should organize projectmanager of the construction company, project head of design company, and chiefsupervisor of the project to carry out the risk identification.
If a project is at a risk level which is either high risk or super highrisk, the project leader of the owner should organize the technical manager of theconstruction company, project head of design company, and chief supervisor ofthe project to carry out the risk identification.
(II) Implementation of Inspection
If a project is at a risk level which is either low risk, medium-lowrisk, or medium risk, the project leader of the owner should organize projectmanager of the construction company and chief supervisor of the project tocarry out inspections of quality and safety risks at each stage ofconstruction.
If a project is at a risk levelwhich is either high risk or super high risk, the project leader of ownershould organize technical manager of construction company (or authorizedprofessional technician or project manager of construction company) and chiefsupervisor of the project to carry out inspections of quality and safety risksat each stage of construction.
(III) Conclusion of Inspection
After an inspection at each stage of construction, an owner company,together with a construction company and a supervision company, produces atechnical inspection report, which shall reflect the technical inspection andrectification of issues. At the stage of completion inspection, a completioninspection team consisted of owner company, geotechnical study company, designcompany, construction company, and supervision company should check and verifythe technical inspection reports.
VIII. For alow-risk project, the construction administration department shall eliminatethe first quality and safety supervision meeting and notify the project ownerof items and requirements of quality and safety supervision online during thestage of construction permission.
During the constructionof a low-risk project, the construction administration department shall inspectonly one time. For low-risk industrial buildings with private investment (i.e.“low-risk industrial projects with private investment”), after the completionof structural works and before the start of decoration works, the Review andApproval Centers for Private Investment Projects shall take the lead toorganize a one-time joint inspection participated by relevant administrationdepartments.
Duringinspections, the construction administration departments shall focus oninspection of the safety of structural works, construction of more dangerousparts and items of projects, implementation of technical inspections taken byconstruction participants, and fulfillment of the commitments made about thequality and safety management of a construction site when construction starts.
IX. After a project is completed, the owner company should organize tocarry out the completion inspection of building projects (hereinafter referredto as “completion inspection”) in time. The completion inspection shouldinclude a review of construction documents, on-site inspection of constructionquality, etc. For private low-risk industrial projects with a constructionfloor area of less than 2000 square meters and without a basement, it’s notrequired to review the geotechnical study documents; for residential projects,final inspection of individual units shall be carried out.
X. After aproject meets completion inspectionrequirements, an owner company should organize to write a completion inspection report in time. Thereport should have the following sections including project introduction, theconstruction process carried out by the owner company, the assessment ofgeotechnical study (if the construction floor area of a project is less than2000 square meters and there is no basement, the assessment of geotechnicalstudy shall be exempted), design, construction, and supervision, completion inspection’s time, procedure,content, and type of organization, opinions of the completion inspection, and review of the technical inspectionreports.
Theconstruction administration departments shall not carry out on-site supervisinginspection of how is the completioninspection organized, what are the process and the codes and standardsfor the completion inspection.These inspection items shall be randomly inspected in the integrated finalinspection.
XI. If aproject meets the completion inspectionrequirements, the owner company shall apply for the integrated finalinspection to the governmental department through the Shanghai ConstructionProjects Review and Approval Management System (hereinafter referred to as “Reviewand Approval Management System”).
For low-riskprojects, after construction administration departments or review and approvalcenters for private investment projects accept the application, in addition tothe requirement of Term X, and according to Circular on Further SimplifyingFinal Inspection of Small-scale Construction Projects in Shanghai(H.J.J.G.L. Document No.118 of 2019), they shall take the leading role inorganizing the integrated final inspection and complete it within 5 workingdays. Especially for low-risk industrial projects with private investment,after review and approval centers for private investment projects accept theapplication, according to Circular on Printing and Issuing of theImplementation Measures on Further Optimizing the Process of Final Inspectionof Completed Construction and Real Estate Registration for the Low-riskIndustrial Projects with Private Investment in Shanghai (H.G.H.Z.Y.J.Document No.33 of 2020), they shall take the leading role in organizing theintegrated final inspection and complete it within 3.5 working days.
For projectsother than low-risk ones, after the construction administration departments whowork as leading departments accept the application, in addition to therequirement of Term X, and according to Measures for the Integrated FinalInspection of Completed Construction Projects in Shanghai (H.Z.J.G.F.L.Document No.10 of 2018), they shall take the leading role in organizing theintegrated final inspection and complete it within 15 working days.
It’s highlyencouraged to extend the adoption of one-stop integrated final inspection ofcompleted construction to other construction projects beyond low-riskindustrial projects with private investment in Shanghai. After accepting itsproject, the own company makes a one-time application for integrated finalinspection on the review and approval management system. The review andapproval center shall take the leading role in organizing relevant specializeddepartments to carry out an on-site integrated final inspection. If theintegrated final inspection is passed, a letter of compliance for integratedfinal inspection of completed construction shall be issued online at once.
XII. During anintegrated final inspection of a completed construction project, theconstruction administration department is responsible for the final inspectionof construction quality, focused on the formality check of how is the completion inspection organized, randomchecking the implemented codes and standards for completion inspection, an inspection of fire prevention orregistration of fire prevention. For residential projects, it should be focusedon selective inspections of the functionality of building quality. The detailedrequirements of selective inspections of the functionality of building qualityshall be set out by the municipal construction administration department.
XIII. Afterthe integrated final inspection is passed, the construction administration departmentsor review and approval centers for private investment projects shall organizerelevant specialized departments who participate in the integrated finalinspection, relying on review and approval management system, to issueLetter of Compliance for Integrated Final Inspection of Completed Construction,Shanghai Construction Project Quality Supervision Report (Annex II) andopinions of the completion inspectionby other specialized departments.
If finding out thatthere is fraudulent behavior in acceptance and inspection of individual unitsor completion inspection, the construction administration departments, theconstruction administration departments shall order the owner company toorganize acceptance and inspection of individual units and completed constructionagain. For construction projects which apply for second-time integrated finalinspection, the construction administration departments shall have theselective inspections of the quality of building functionality multiplied.
XV. If aproject meets the re-organized completioninspection by the owner company, the owner shall apply again for theintegrated final inspection. If it meets the requirements of the integratedfinal inspection, a building project can be put into operation; if it fails tomeet the requirements of the integrated final inspection, a building projectshall not be put into operation.
If theconstruction administration departments find out the misbehaviors ofconstruction participants such as failing to fulfill their commitments or otherfraudulent behaviors, they shall keep such behavior in the company orindividual credit record, and impose penalties including rectification,prohibiting the adoption of conditional pass, prohibiting the adoption ofdefect-tolerated acceptance, or revoking the Letter of Compliance forIntegrated Final Inspection of Completed Construction Project; If abehavior is severe, the company shall be blacklisted.
Shanghai Municipal Commission of Housing and Urban-rural Development
January 20, 2020
Annex:
I.
II.