Procedures of Shanghai Municipality for the Administration

of the Filing of Enterprise Investment Projects

Chapter I General Provisions

Article 1

With a view to regulating the government's filing of enterprise investment projects, these Procedures are formulated in accordance with the Regulations on the Administration of Approval and Filing of Enterprise Investment Projects issued by the State Council, and the Procedures for the Administration of Approval and Filing of Enterprise Investment Projects issued by the National Development and Reform Commission, and in light of the actual circumstances of this Municipality.

Article 2

The enterprise investment projects referred to in these Procedures (hereinafter referred to as "the projects") refer to the fixed asset investment projects invested in and constructed by enterprises in Shanghai, including the projects where enterprises use self-financing funds solely, and the projects where enterprises use self-financing funds and at the same time apply for government investment subsidies or loan discounts.

The projects not included in the Detailed Rules for the List of Investment Projects Approved by Shanghai Municipal People's Government shall be filed in accordance with the requirements of the Catalogue of Investment Projects Filed by Shanghai Municipal People's Government (hereinafter referred to as the Filing Catalogue) and the principle of territory.

The administration of foreign-invested projects shall be carried out in accordance with the relevant provisions of the State and the Municipality.

Where laws, rules or regulations provide otherwise, such provisions shall prevail.

Article 3

The municipal enterprise investment project filing organs (hereinafter referred to as "the project filing organs") refer to the Municipal Development and Reform Commission, the Municipal Economy and Informatization Commission, district competent departments for investment, and institutions conducting filing of projects within their jurisdiction in accordance with the provisions of local rules and regulations.

The division of responsibilities of the project filing organs shall be clarified in accordance with the Filing Catalogue.

Article 4

The enterprises shall independently make decisions and bear risks in accordance with law regarding market prospects, economic benefits, sources of funds and product technical schemes of the projects. The project filing organs and other administrative organs shall not illegally interfere in investment autonomy of the enterprises.

Article 5

The project filing organs shall improve work efficiency and provide quality services in accordance with the principles of "convenience for the people and efficiency".

Article 6

All district people's governments, and relevant departments of the Municipal People's Government shall, in accordance with the provisions of relevant laws, rules and regulations, supervise and administrate the enterprises' fixed asset investment.

All units and individuals have the right to report to relevant departments illegal acts in the filing and construction process of the projects, and the relevant departments shall verify and deal with them in a timely manner.

Article 7

Except for the projects involving State secrets, the project filing shall be conducted via the Investment Project Online Approval and Supervision Platform of Shanghai Municipality (hereinafter referred to as the "Online Platform") for online processing, supervision and service to make the filing outcome available for enquiry and supervision.

Article 8

The project filing organs shall publicize the filing outcome of the projects in accordance with the relevant provisions of the Regulations on the Disclosure of Government Information.

Article 9

The enterprises investing in and constructing fixed asset investment projects shall abide by relevant laws, rules and regulations, comply with the requirements of the general planning, special planning, regional planning, industrial policies, market access standards, resource development, energy consumption and environmental management for national economic and social development, go through project filing and other relevant procedures in accordance with law, complete relevant procedures of planning, land (sea area) use, environmental protection, energy resources utilization, emergency management and other related procedures, and provide relevant materials and report relevant information truthfully.

Chapter II Basic Procedures for Project Filing

Article 10

For the projects subject to filing administration, the project units shall login to the "Government Online-Offline Shanghai" platform in accordance with the Filing Catalogue and file them with the project filing organs via the Online Platform.

Article 11

The Online Platform shall generate unique project codes for the identification of the projects applied for filing during their whole construction cycles. The project filing organs and relevant departments shall uniformly use the project codes to handle the relevant formalities.

For the projects involving State secrets, the project units shall fill out the "Enterprise Investment Project Filing Certificate of Shanghai Municipality" and submit it to the project filing organs for filing.

Article 12

The project units shall fulfill their obligation of information disclosure of their investment projects in accordance with law, abide by the principle of "good faith and standardization", and file with the project filing organs via the Online Platform and fill out the basic information of their projects. Specifically, such information should include the following contents:

1. the basic information of the project units;

2. the name, location, scale and contents of the projects;

3. the total investment amount of the projects;

4. and the statement of conformity with the industrial policies of the projects.

The project units shall be responsible for the authenticity, legality and integrity of the information of the filing projects.

Article 13

The projects shall be deemed to have completed filing on condition that the project filing organs receive all the basic information for project filing as prescribed in Article 12. Where the information for project filing is incomplete, the project filing organs shall promptly remind and guide the project units to make correction in a timely and appropriate manner.

The project filing organs, upon finding that the projects are prohibited from investment and construction by the industrial policies, or shall be subject to approval administration in accordance with law, that they are not fixed asset investment projects which shall be subject to approval administration in accordance with law, or that they are beyond the limits of authority of the project filing organs, shall promptly inform the enterprises via the Online Platform to make correction, or to apply for relevant formalities in accordance with law. If the project units fail to make correction, the project filing organs shall revoke the project codes in time and notify the project units.

Article 14

In the event of major changes to the scale or contents of the projects or of the abandoning of the project construction after project filing, the project units shall inform the project filing organs promptly via the Online Platform and modify relevant information.

In the event of changes to the legal persons or the construction sites of the projects, the project units shall re-submit the basic project filing information via the Online Platform, and revoke the original project filing codes.

Article 15

The information related to the filing projects may be exchanged and shared among relevant departments via the Online Platform.

The Enterprise Investment Project Filing Certificate of Shanghai Municipality is generated via the Online Platform based on the project filing information submitted by the project units.

The Certificate of Change of Enterprise Investment Project Filing of Shanghai Municipality is generated via the Online Platform based on the project filing change information submitted by the project unit.

The project units may print the filing certificates or the certificates of change themselves via the Online Platform, or request the project filing organs to issue the filing certificates or the certificates of change.

Article 16

If the construction of the projects has not started or no other formalities have been processed within two years after filing, the project units shall make explanations via the Online Platform if they decide to proceed with the projects; if they do not proceed with the projects, the filed information shall be withdrawn and the project codes revoked. The filing organs shall remind the project units if they fail to make explanations or withdraw the filed information. If no corresponding actions are taken after the reminder, the project filing organs shall remove the filed information that has been publicized to the public, and the filing certificates and the project codes acquired by the project units shall be automatically invalidated. For those project units that intentionally report untrue information of projects and affect the accuracy of investment information, the project filing organs may include such projects in the list of anomalies and publicly disclose the relevant information.

Article 17

For the projects under filing administration, the project units shall go through other relevant formalities in accordance with relevant laws, rules and regulations before commencing construction.

Article 18

If the project units have objections to the revocation of the project codes by the project filing organs, the project units may apply to the higher-level project filing organs for review. The higher-level project filing organs shall timely review the projects and inform the project units of the results.

Chapter III Supervision and Administration

Article 19

The higher-level project filing organs shall strengthen the guidance and supervision of the lower-level project filing organs.

Article 20

The departments such as project filing organs, and the departments of industry management, housing and urban-rural development administration, planning and natural resources, water (marine) affairs, ecology and environment, financial regulation, emergency management, and auditing shall, in accordance with the principle that "the department in charge is responsible for supervision", adopt online monitoring and on-site verification, and strengthen mid-term and post-event supervision of the projects in accordance with law.

The project filing organs shall supervise the projects in accordance with the relevant laws, rules and regulations, development planning, industrial policies, total production control targets, technical policies, access standards, and the relevant requirements.

The departments responsible for housing and urban-rural development administration, planning and natural resources, water (marine) affairs, ecology and environment, emergency management, and industry management shall perform their supervisory duties in accordance with law, and supervise the projects within their respective responsibilities.

The financial regulation departments shall strengthen the guidance and supervision of the local financial institutions so that they provide financial services in accordance with commercial principles, laws, rules and regulations.

The auditing departments shall strengthen their supervision of the state-owned enterprises' investment projects, the projects applying for the use of government investment funds and other public works projects in accordance with laws, rules and regulations.

Article 21

The relevant departments of governments at all levels shall, in accordance with relevant laws, rules and regulations and the division of duties, strengthen the supervision and inspection of the projects within their administrative areas and shall, in the events of the discovery of any violations, deal with them in accordance with law, and file the relevant information of violations via the Online Platform.

Article 22

The project filing information of the project filing organs at all levels, as well as the information of the relevant formalities, approval results, supervision (disciplinary actions) of the departments of housing and urban-rural development administration, planning and natural resources, water (marine) affairs, ecology and environment, emergency management, and market regulation, and other departments, and the important information in the process of project implementation, shall be uniformly collected under the project codes, and shared via the Online Platform. The project codes and social credit systems shall be integrated as the foundation for follow-up supervision.

Article 23

The project units shall truthfully submit the basic information on the commencement, progress and completion of the project construction via the Online Platform.

Before the commencement of the project construction, the project units shall log into the Online Platform and submit the basic information of the projects. After the commencement of the project construction, the project units shall submit the basic information of the dynamic progress of the project construction online annually. After the construction completion and acceptance of the projects, the project units shall submit the basic information of the project construction completion online.

Article 24

If the project units commit any of the following acts, the relevant information shall be included in the anomalies of credit records of the projects and shall be included in Shanghai Public Credit Information Service Platform:

1. where the project units provide false project information, or fail to inform the project filing organs of the project information in accordance with law, or fail to inform the project filing organs of the changes to filed projects;

2. where the project units commence construction without authorization in violation of the relevant laws, rules or regulations;

3. where the project units fail to submit the basic information such as the construction commencement, progress and completion of the projects in accordance with the provisions of Article 23 of these Procedures, or submit false information thereof;

4. or other violations of laws, rules or regulations.

Chapter IV Legal Liability

Article 25

In either of the following circumstances, the project filing organs shall be ordered to make rectifications by their superior administrative organs, and the relevant departments and units shall impose disciplinary actions on both the responsible leaders and the directly accountable personnel in accordance with law and discipline.

1. where the project filing organs process formalities under the guise of filing for approval and authorization of projects;

2. or where the project filing organs fail to perform supervisory duties according to law or supervise inadequately, resulting in serious consequences.

Article 26

If the project filing organs and their personnel, as well as other relevant departments and their personnel neglect their duties, abuse their power, engage in malpractices for personal gains, or solicit or accept bribes in the process of project filing and related examination and approval procedures, the responsible leaders and the directly accountable personnel shall receive disciplinary actions in accordance with law; if the cases constitute crimes, the project filing organs shall be investigated for criminal liability by the relevant departments in accordance with law.

Article 27

If the project filing organs and the departments responsible for housing and urban-rural development administration, planning and natural resources, water (marine) affairs, ecology and environment, and emergency management violate the provisions of relevant laws, rules or regulations and fail to perform their supervisory duties in accordance with law, the responsible leaders and other directly accountable personnel shall receive disciplinary actions in accordance with law; if the cases constitute crimes, the relevant accountable personnel shall be investigated for criminal liability by the relevant departments in accordance with law.

If the relevant departments of the government within the administrative area of the project fail to perform the duties of supervising enterprise investment, the responsible leaders and other directly accountable personnel shall receive disciplinary actions in accordance with law.

Article 28

If the enterprises apply for filing the projects by improper means such as splitting up a project, concealing relevant information or providing false application information, the project filing organs shall revoke the project codes via the Online Platform and issue warnings.

If the enterprises fail to inform the project filing organs of the project information or the change of the filed project in accordance with law, or provide false information to the project filing organs, the project filing organs shall order them to make rectifications within certain time limits; failure to make rectifications within the time limits shall result in a fine of not less than 20,000 yuan but not more than 50,000 yuan.

Article 29

If the enterprises invest in the construction of the projects prohibited by the industrial policies regarding investment and construction, the competent departments for government investment at or above the district level shall order them to terminate the construction or production and restore the original state. The enterprises shall be fined 0.5% to 1% of the total investment of the projects, and the responsible leaders and other directly accountable personnel shall be fined not less than 50,000 yuan but not more than 100,000 yuan, of whom the state personnel shall be given disciplinary actions in accordance with law. If the provisions of laws or administrative rules stipulate otherwise, such provisions shall prevail.

Article 30

If the project units fail to comply with the relevant laws, rules, regulations or requirements in the course of project construction, the relevant departments shall deal with them in accordance with law.

Chapter V Supplementary Provisions

Article 31

The fixed asset investment projects constructed within the territory of the mainland of China by public institutions, social organizations and other non-enterprise organizations by employing their own funds without applying for government investment, shall be administrated as enterprise investment projects.

Article 32

These Procedures shall be be effective as of January 1, 2024 until December 31, 2028.