Laws of the Shanghai Province

(Promulgated on January 11, 2002 by Decree No.114 of the Shanghai Municipal People' s Government)

Article 1 (Purpose and Basis)

In order to strengthen the administration of sluices, safeguard the flood control and drainage and navigation safety, improve water quality of river courses and give full play to comprehensive benefits of river courses, these Procedures are formulated according to relevant provisions of the "Regulations of Shanghai Municipality on Administration of River Courses" .

Article 2 (Scope of Application)

These Procedures apply to the construction, operational maintenance and management of sluices in this Municipality' s administrative areas.

Where there are provisions on self-built sluices in these Procedures, such provisions shall apply to self-built sluices.

Article 3 (Administrative Department)

Shanghai Municipal Water Affairs Bureau (hereainfter referred to as MWAB) is the competent administrative department of this Municipality' s sluices, and Shanghai Municipal River Course (Sluice) Administrative Section (hereinafter referred to as MRCAS) takes charge of specific management work of this Municipality' s sluices.

District/county competent water administrative department shall, according to their respective duties and powers, take charge of the management of sluices within its administrative area.

Township/town water conservancy organizations shall, according to their respective duties and powers, take charge of the management of the sluices under the control of the townships/towns

This Municipality' s relevant administrative departments shall, according to their respective duties, coordinate in implementing these Procedures.

Article 4 (Tiered Management of Sluices)

Sluices are put under municipal, district/county and township/town three-level management. The tiered management of sluices shall be determined in project filing of sluice construction.

The department that examines and approves the project filing of sluice construction shall, along with the water administrative department at the corresponding level, specifically determine the sluice under the municipal, district/county or township/town control.

Article 5 (Construction of Sluices)

The MWAB and district/county competent water administrative department shall, according to the specialized planning of river course and the specialized planning of navigable channel, arrange the plans of sluice construction and take charge of organizing the implementation.

The project filing, design, construction and check and acceptance upon completion of sluice construction shall be handled according to relevant provisions of the "Regulations of Shanghai Municipality on Administration of River Courses" .

The building unit of sluices shall, according to relevant provisions, go through relevant formalities of land use.

The construction of self-built sluices shall conform to the provisions of clauses 2 and 3 of this Article.

Article 6 (Sluices to be Put to Use)

When sluices are put to use, the construction unit shall hand over the materials concerning design, construction and completion of sluice construction project to the corresponding sluice administrative department and, according to relevant provisions of the State and this Municipality, process formalities of asset transfer and others.

Article 7 (Scope of Sluice)

The scope of sluice is the sluice and a certain water and land area linked to the sluice. The specific scope of sluice shall be determined by the approved design document. If not determined in the design document, the scope may be determined in the light of the sluice of the same category and class.

The land-use right in the sluice scope shall be handled by the land administrative department according to relevant provisions of the State and this Municipality.

Article 8 (Sluice Operation Maintenance Unit)

The sluice administrative department shall, according to the power of sluice management, adopt the form of bidding to determine the sluice operation maintenance unit.

The sluice operation maintenance unit shall, according to the technical standard, rules of operation and sluice operation control scheme of the State and this Municipality in relation to sluice operation, take charge of the controlled operation and repairs and maintenance of the sluice.

Article 9 (Operation Control Scheme)

The operation control scheme of sluice shall be drawn up according to the function of river course and navigable channel, the control of water level of river course, water quality condition and technical standard of sluice design and other requirements, and shall conform to the following provisions:

(1) In exercising cross-province and city flood control and drainage or water resources regulation, the sluice operation control scheme in this Municipality' s area shall be drawn up by the MRCAS and, upon consent of the MWAB, submitted for approval according to the State' s relevant stipulations;

(2) In exercising cross-district/county flood control and drainage or water resources regulation, the sluice operation control scheme shall be drawn up by the MRCAS and submitted to the MWAB for approval;

(3) Other sluice operation control scheme shall be drawn up by the district/county competent water administrative department in line with the specific situation of respective areas, and submitted to the MWAB for approval.

The formulation of the sluice operation control scheme of navigable waters and the sluice operation control scheme of other waters that affects navigation shall solicit opinions of the traffic administrative department at the corresponding level.

After approval, the copy of sluice operation control scheme shall be sent to the flood control headquarters at the corresponding level.

Article 10 (Appraisal of Safety)

After being put into use, sluices shall undergo regular safety appraisal according to the State' s relevant stipulations. Any sluices with normal operation safety affected shall undergo safety appraisal in time.

The sluice operation maintenance unit shall, according to the State' s relevant stipulations, apply to the MRCAS or the district/county competent water administrative department for sluice safety appraisal, and the MRCAS or the district/county competent water administrative department shall be responsible for organizing the implementation.

In regard to the sluice that, what the safety appraisal deems, does not meet the operation safety requirements, the MRCAS or the district/county competent water administrative department shall make renovation, improvement, or take other make-up measures to ensure the operation safety of the sluice. In regard to the sluice that, what the safety appraisal deems, cannot be in normal operation nor can be restored, the municipal or district/county competent water administrative department shall make confirmation and have it scrapped.

Article 11 (Safety Zone of Diversion and Drainage)

Sluice' s safety zone of diversion and drainage is a certain water area linked to the outside of the sluice scope. The scope of safety zone shall be specifically demarcated by the sluice administrative department along with the traffic administrative department at the corresponding level, and the safety zone signs shall be set up.

During the diversion and drainage of sluices, vessels, bamboo and timber rafts shall obey the command and control of traffic administrative departments and sluice administrative departments, and berth at the designated waters, and not moor in the sluice scope and the safety zone of diversion and drainage.

Article 12 (Water Diversion by Sluice)

The MRCAS shall be responsible for organizing the cross-district/county water diversion. The district/county competent water administrative department shall be responsible for organizing other water diversion. If water diversion by using sluice affects navigation, the sluice administrative department shall notify the traffic administrative department at the corresponding level 48 hours in advance, with the exception of emergency diversion.

Sluice (including self-built sluice) operation maintenance units shall operate sluices according to the unified control order of diversion, with no permission to arbitrarily carry out water diversion.

Relevant units that need water diversion by using sluice for special reasons shall entrust the sluice administrative department to organize the diversion, and the cost incurred in sluice operation shall be borne by the entrusting unit.

Article 13 (Sluice Management during Flood Control Season)

The sluice administrative department shall work out the sluice operation safety and contingency precautions during flood season, and undergo safety inspection over sluices before flood season.

Sluice (including self-built sluice) operation and maintenance units shall, before flood season, strengthen the daily inspection over sluices to ensure the operation safety of sluices during flood season. The said units shall, during flood season, obey the regulatory order of flood control and drainage passed down by the municipal and district/county flood control headquarters and carry out the sluice operation according to requirements.

During flood season, the traffic administrative department shall, according to the regulatory order of flood control and drainage passed down by the flood control headquarters, disperse in time the vessels, bamboo and timber rafts that moor in the sluice scope and safety zones of diversion and drainage blocking the diversion and drainage.

Article 14 (Operation of Locks and Handling of Accidents)

The operation of ship locks shall conform to the following provisions:

(1) Ship locks which vessels pass through day and night shall be open day and night;

(2) Ship locks with a large number of vessels passing through shall be open continuously;

(3) Ship locks with a small number of vessels passing through shall be open according to the principle of opening at the arrival of vessels. If there really is difficulty, the locks may be open at regular time but the time of vessels waiting for passing through shall not exceed two hours in general.

The specific matters of lock operation shall be handled according to the State' s relevant stipulations.

If ship locks have any accident incurred, the sluice operation maintenance unit shall make timely handling, and report to the sluice administrative department. The sluice administrative department shall timely notify the traffic administrative department at the corresponding level of the vessel traffic accident occurring in the sluice scope, and assist the traffic administrative department in investigation and handling.

Article 15 (Requirements for Vessels Passing Through Locks)

Vessels passing through locks shall observe the following provisions:

(1) Obey the control command, passing through in the order of arrival and are forbidden to overtake;

(2) Berth in order at the designated mooring before entering the lock and are forbidden to block up the main course;

(3) Berth at the designated place after entering the lock, paying attention to the rise and degradation of water level and to the mooring ropes;

(4) It is forbidden to make fires or do other operations that may cause sparks on decks when passing through locks;

(5) It is forbidden to load and unload goods within the lock area or to moor ropes on non-mooring facilities such as climbing ladders and electric poles.

Vessels so heavily damaged that affect sluice operation safety or with mechanical failures affecting sluice navigation safety and overloaded, over-wide and over-high vessels shall not pass through sluices.

Article 16 (Prohibitive Acts)

Within sluice scope, the following activities are prohibited:

(1) Damaging sluices and other water engineering facilities;

(2) Setting up fishing fences, net boxes and other fishing tackles;

(3) Other activities endangering sluice safety and affecting normal sluice operation order.

Article 17 (Tolls for Vessels Passing Through Locks)

Vessels passing through locks shall pay tolls according to relevant stipulations of the State and this Municipality.

Sluice operation maintenance units, when collecting tolls of vessels passing locks, shall use special receipts of administration fees exclusively printed by the municipal finance administration.

Tolls of vessels passing through locks shall be turned over to the finance administrative department at the corresponding level according to the stipulation of "revenue and expenditure two-line management" .

Article 18 (Entry and Payment of Funds)

Funds of sluice operation maintenance and management and sluice appraisal costs authorized by the stipulations of the State and this Municipality shall be arranged by the finance administrative department at the corresponding level.

The cost needed for self-built sluices shall be covered by the ownership units themselves.

Article 19 (Administrative Punishment)

Violators of the provisions of these Procedures shall be punished by the MRCAS or the district/county competent water administrative department according to the following provisions:

(1) Violators of Article 8, Clause 2 of these Procedures, failing to do sluice operation maintenance as stipulated shall be ordered to correct; refusal to correct shall be subject to a fine of between not less than 1,000 yuan and not more than 5,000 yuan.

(2) Violators of Article 10, Clause 2 of these Procedures, failing to apply for sluice safety appraisal as stipulated shall be ordered to correct. Refusal to correct shall be subject to a fine of between not less than 1,000 yuan and not more than 5,000 yuan.

(3) Violators of Article 11, Clause 2 of these Procedures, being standstill in the sluice scope and safety zone of diversion and drainage shall be ordered to correct. Refusal to correct shall be subject to a fine of between not less than 200 yuan and not more than 1,000 yuan.

(4) Violators of Article 12, Clause 2 of these Procedures, failing to operate sluices according to the unified control order of water diversion shall be ordered to correct. Refusal to correct shall be subject to a fine of between not less than 1,000 yuan and not more than 5,000 yuan.

(5) Violators of Article 13, Clause 2 of these Procedures, failing to strengthen the daily inspection of sluices or, failing to operate sluices according to the regulatory order of flood control and drainage shall be ordered to correct. Refusal to correct shall be subject to a fine of between not less than 1,000 yuan and not more than 10,000 yuan.

(6) Violators of Article 15 of these Procedures, failing to passing through locks as stipulated or forcing their way through locks that they are not allowed to pass through shall be ordered to correct. In case of refusal to correct, vessels not engaged in business may be fined between not less than 100 yuan and not more than 1,000 yuan, and those engaged in business may be fined between not less than 100 yuan and not more than 5,000 yuan.

(7) Violators of Article 16 of these Procedures, conducting prohibitive acts shall be ordered to correct and may be fined between not less than 500 yuan and not more than 20,000 yuan.

(8) Violators of Article 17, Clause 1 of these Procedures, failing to pay tolls for passing through locks shall be ordered to correct. Refusal to correct shall be subject to a fine of between not less than 50 yuan and not more than 500 yuan.

Violators of Article 5, Clause 2 of these Procedures, failing to conduct project-filing, design, construction work and check and acceptance upon completion of sluice construction as stipulated will be punished according to relevant provisions of the "Regulations of Shanghai Municipality on Administration of River Courses" .

Article 20 (Administrative Reconsideration and Lawsuit)

The party concerned, if disagreeing with the specific act of the administrative department, may apply for administrative reconsideration or bring an administrative lawsuit according to the provisions of the "Law of the People' s Republic of China on Administrative Reconsideration" and the "Administrative Litigation Law of the People' s Republic of China" .

If the party concerned neither applies for reconsideration, nor brings a lawsuit, nor performs the specific administrative act within the statutory time period, the department that makes the specific administrative act may, in accordance with the provisions of the "Administrative Litigation Law of the People' s Republic of China" apply to the people' s court for coercive enforcement.

Article 21 (Definitions)

Sluices under these Procedures include check gates, ship locks, pump gates, culvert gates and their auxiliary facilities.

Self-built sluices under these Procedures mean the sluices that enterprises or rural collective economic organizations build with their own investment.

Article 22 (Date of Implementation)

These Procedures shall become effective on April 1, 2002.