Laws of the Shanghai Province

(Promulgated on May 15, 2004 by Decree No.24 of the Shanghai Municipal People' s Government)

Chapter I  General Provisions

Article 1 (Purpose and Basis)

For the purpose of implementing the strategy of sustainable development and promoting this Municipality' s social, economic and environmental coordinated development, these Procedures are formulated in accordance with the provisions of the "Law of the People' s Republic of China on Environmental Impact Assessment" and other laws and regulations, and in the light of this Municipality' s actual circumstances.

Article 2 (Scope of Application)

These Procedures apply to the environmental impact assessment (hereinafter referred to as EIA) of this Municipality' s planning and construction projects, and the relevant administration activities thereof.

Article 3 (Policy-related EIA)

This Municipality encourages organizing and launching the EIA of policies concerning regional development, industrial development, and resources exploitation and utilization.

Article 4 (Set-up of Experts' Tank and Public Participation)

The Shanghai Municipal Environmental Protection Bureau (hereinafter referred to as SMEPB) shall, jointly with relevant departments, organize the establishment of this Municipality' s EIA experts' tank and environmental impact basic database so as to strengthen the building of EIA capability and promote the sharing of environmental impact information.

The SMEPB and the district/county competent administrative departments of environmental protection (hereinafter referred to as district/county EPDs) and relevant administrative departments shall safeguard the rights of the public to know environment information and adopt measures to bring convenience for relevant units, experts and the public to participate in the EIA.

Chapter II  EIA of Planning

Article 5 (Scope and Mode of Planning EIA)

A chapter or an explanation of environmental impact shall be composed for the construction, development and utilization planning of river basins and sea areas that are examined and approved by the Municipal People' s Government and its relevant administrative departments or by a district/county government.

A written report of environmental impact shall be drawn up for planning of regional construction, development and utilization, planning relating to land utilization and special planning in relation to industry, agriculture, animal husbandry, forestry, energy, water conservancy, communications, urban construction, tourism and natural resource exploitation that are examined and approved by the Municipal People' s Government and its relevant administrative department or the district/county government.

With respect to the specific catalogue of planning that needs EIA according to the provisions set out in Clauses 1 and 2 of this Article, the SMEPB shall put forward the scheme and have it implemented after approval is obtained from the Municipal People' s Government.

Article 6 (Determination of Subject of Organizing and Drawing up Planning EIA and Specific Drawing up Agency)

With respect to the drawing up of planning within the scope set out in Article 5 of these Procedures, the planning drawing up organ shall organize the conduct of EIA in the process of drawing up the planning.

The specific drawing up agency of planning environmental impact report and environmental impact chapter or explanation (hereinafter jointly referred to as EIA documents) shall be selected through bidding by the planning drawing up organ from the recommendation list of planning EIA units published by the competent administrative department of environmental protection under the State Council.

Article 7 (Requirements for Drawing up of Planning EIA Documents)

The specific drawing up agency of planning EIA documents shall draw up EIA documents in compliance with the requirements of the State planning EIA technical guiding rules and this Municipality' s planning EIA technical norms.

The SMEPB shall separately formulate and publish this Municipality' s planning EIA technical norms.

Article 8 (Adjustment of Draft Planning)

The planning drawing up organ shall make appropriate revision of a draft planning according to the conclusion and recommendation of the planning EIA documents.

The planning drawing up organ, when making major adjustment of the draft planning after the completion of drawing up of EIA document, shall organize the specific drawing up agency of EIA documents to make addenda or amendments to the EIA documents.

Article 9 (Prerequisites for Submission of Draft Planning)

The planning drawing up organ, when reporting for examination and approval of a draft planning, shall concurrently submit the following documents:

(1) EIA documents of a planning;

(2) Explanation of the situation of the acceptance of EIA documents by the draft planning; and

(3) With respect to the draft planning that is likely to cause adverse environmental impact and directly involves the public' s rights and interests of environment, the opinions of relevant units, experts and the general public on planning EIA documents, and the explanation of the situation for the acceptance shall be submitted, with the exception of what needs to be confidential as prescribed by the State.

The planning examination and approval organ shall not render examination and approval unless the planning drawing up organ submits the additional documents set out in the preceding clause.

Article 10 (Examination of Planning EIA Documents)

Before a decision is made on the examination and approval of the draft planning that the Municipal People' s Government examines and approves, the MEPB shall organize relevant experts to examine the submitted documents according to the provision under Article 9, Clause 1 of these Procedures, and give their examination opinions; and before a decision is made on the examination and approval of the draft planning that the district/county government examines and approves, the district/county ETD shall organize relevant experts to examine the submitted documents according to the provision under Article 9, Clause 1 of these Procedures  and  give their examination opinions.

Before a decision is made on the examination and approval of the draft planning that the relevant administrative department under the Municipal People' s Government examines and approves, the SMEPB shall organize related experts to examine the submitted documents according to the provision under Article 9, Clause1 of these Procedures, and give their examination and approval opinions.

Experts who participate in the examination of the EIA documents provided by the two preceding clauses shall be determined by a random drawing from the corresponding specialists' list in the EIA experts' tank that this Municipality has established.

Article 11 (Role of the Planning EIA and Examination Opinion in Planning Examination and Approval)

The planning examination and approval organ, when examining and approving the draft planning, shall take as an important basis the EIA documents of planning and the examination or examination and approval opinions made by the environmental protection department. Where the conclusion of the EIA document, or the examination or examination and approval opinion made by the environmental protection department is not accepted in examination and approval, the planning examination and approval organ shall make an explanation and keep it on file for further check.

Article 12 (Planning Implementation and Follow-up EIA)

The planning implementation organ shall, in the process of planning implementation, carry out the necessary auxiliary environmental protection measures synchronously.

After the implementation of the planning with major impact on environment, the planning drawing up organ shall, pursuant to the prescribed time and requirement of the environmental protection department, organize the conduct of follow-up EIA, and report the EIA results to the planning examination and approval organ, and shall propose improvement measures on discovering any obviously adverse environmental impact.

Where the planning has obviously adverse environmental impact after implementation and the drawing up organ of such planning fails to organize the follow-up EIA or put forward improvement measures as required, the environmental protection department shall report to the people' s government at the same level, which shall instruct the planning drawing up organ to organize the follow-up EIA and put forward improvement measures.

Chapter III  EIA for Construction Project

Article 13 (Environmental Protection Requirements for Construction Project)

A construction project shall comply with the following requirements:

(1) The site selection for a project shall comply with the requirements of regional development construction planning and environmental functional division; an industrial project shall in principle be located within the industrial-use land of a development zone established with approval according to law and with complete environmental infrastructure; no industrial project shall be introduced into a development zone with incomplete environmental infrastructure; and the reconstruction or extension of an industrial project is restricted in a development zone that shall be cancelled.

(2) No new project of commodity housing shall be built on industrial-use land in a development zone.

(3) No productive project that contaminates water environment shall be constructed within the limits of water source protection areas on upper reaches of the Huangpu River; especially no new construction project that has nothing to do with water supply shall be constructed within the limits of class-1 water source protection area; no project that has nothing to do with water source protection and construction of conservation forest belt shall be constructed within the planning scope of conservation forest belt. No new construction project that has nothing to do with water supply shall be constructed within the scope of class-1 water source protection area and Chenghang reservoir protection range outside the scope of water source protection area on upper reaches of the Huangpu River.

(4) No land plot without necessary auxiliary sewage collection pipe networks or with sewage unable to enter into a centralized sewage disposal plant shall be used for residential development; no new construction, reconstruction or extension of industrial projects generating waste water shall be allowed in an industrial zone without a sewage disposal plant.

(5) A project that discharges more than 300 tons/day of wastewater directly to surface water body shall have an on-line pollutants monitoring device installed at the main outlet of sewage.

(6) An industrial project that discharges over 1000 tons/day of production wastewater shall not connect to the urban sewage disposal plant, but shall make treatment on the spot and manage to make effluents up to standard.

(7) A construction project shall comply with the requirements of clean energy use and atmospheric pollution treatment in this Municipality. The construction of new boilers and furnaces using coal, heavy oil and highly pollutant fuels is banned in areas inside the inner-ring road. New project to be built in the limits of the area between the inner ring roads and outer ring roads and the "areas basically without coal as fuel" outside the outer-ring road must use clean energy apart from the construction of central heating system. In the limits of other areas, the newly-built boiler with rated evaporation capacity of less than four evaporation tons (inclusive of four evaporation tons) and the furnace with atmospheric pollutant emissions equal thereto shall not use coal, heavy oil and other highly pollutant fuels.

(8) The newly established industrial zone shall carry out central heating or adopt clean energy. A newly-built coal or heavy oil-fired boiler with rated evaporation capacity of over 10 evaporation tons (inclusive of ten evaporation tons) and a furnace with atmospheric pollutant emissions equal thereto shall have flue gas desulfurization and dust removing measures and have an online fume continuous monitoring system set up.

(9) The construction of hazardous waste comprehensive utilization and disposal facilities shall comply with this Municipality' s planning for prevention and control of hazardous waste pollution. The newly built hazardous waste disposal and comprehensive utilization project shall have its site selected in an industrial zone; the existing hazardous waste disposal and comprehensive utilization facilities outside the industrial zone shall not be renovated or extended. Except for a really technical need, a new industrial project shall not have hazardous waste disposal facilities built separately; its hazardous waste shall be collected and disposed of in an centralized way.

(10) Except for prevention and cure of contagious diseases and other special conditions, a hospital shall not separately construct a medical waste incinerator; medical waste must be collected and disposed of in a centralized way.

(11) Compliance with provisions of environmental protection laws, rules and regulations.

With respect to a construction project that fails to meet the above-mentioned requirements, the relevant administrative department shall not approve construction of the project and the environmental protection department shall not approve EIA documents of the project.

Article 14 (Classified Administration of Construction Project EIA)

A construction unit shall, in accordance with the State' s "Directory of Construction Project Environmental Protection Classified Administration" , pursuant to the nature and scale of a construction project and the degree of possible environmental impact, determine the mode of EIA, organize the drawing up of a written report and a report form of construction project environmental impact, or the completion of an environmental impact register form (hereinafter jointly referred to as construction project EIA documents).

Article 15 (Simplification of Construction Project EIA Work)

With respect to a construction project included in the planning with EIA completed, or an individual construction project included in the overall construction projects, the EIA work thereof may be simplified. The simplification of EIA work includes that of EIA mode and content.

Where the nature, content or pollutant factor of a specific construction project has not been assessed in the planning EIA, or in the EIA of the overall construction projects, the EIA work thereof shall not be simplified.

The construction unit shall report the simplified mode and content of specific construction project EIA to the environmental protection department with authority of examination and approval for the record.

Article 16 (Drawing up Unit of Construction Project EIA Documents)

The construction unit shall entrust an agency with appropriate EIA qualification to draw up the written report and report form of environmental impact of a construction project. The construction unit may entrust the environmental protection-handling department to determine through bidding the drawing up agency for the written report of environmental impact.

The EIA agency shall, in accordance with relevant EIA technical norms, conduct EIA work and be responsible for the EIA conclusions.

Article 17 (Public Participation in Construction Project EIA)

Unless there is something to be confidential as provided by the State, the construction unit shall, before submitting the written report of construction project environmental impact for approval, hold demonstration meetings and hearings, make social surveys or openly solicit comments on mass media to seek opinions from relevant units, experts and the public.

The written report of construction project environmental impact that a construction unit submits for approval shall have an explanation attached for acceptance or refusal of opinions of relevant units, experts and the public; otherwise, the environmental protection department shall dismiss the report.

Where a construction project with a report form of environmental impact to be drawn up that would cause a major impact on the surrounding environment, the construction unit shall, by reference to the provisions under Clause 1 of this Article, seek opinions from relevant units, experts and the public.

Article 18 (Report for Approval of Construction Project EIA Documents)

With respect to a construction project that needs a feasibility study according to relevant State provisions, the construction unit shall submit EIA documents for approval in the stage of feasibility study; as for major construction projects such as railways and communications, upon consent of the environmental protection department with authority of examination and approval of the construction project, it is permissible to submit EIA documents for approval prior to the completion of the preliminary design.

With respect to a construction project that needs no feasibility study according to relevant provisions, the construction unit may, before the start of the construction of the project, submit EIA documents for approval. Among others, as for the one that needs a business license, the construction unit shall, before taking out the business license, submit EIA documents for approval.

With respect to a construction project that is under the competent department of the trade, its written report or report form of environmental impact shall, after the preliminary examination by the competent department of the trade, be submitted to an environmental protection department with authority of examination and approval for examination and approval.

Where construction project EIA documents have not been approved by an environmental protection department with authority of examination and approval, the examination and approval department of the construction project shall not approve the construction; the industrial and commercial department shall deny the grant of business license and the construction unit shall not start construction.

Article 19 (Examination and Approval Authority of Construction Project EIA Documents)

The construction project environmental protection of this Municipality is managed at different levels. The examination and approval authority of the municipal and district/county EPDs for construction project EIA documents shall be exercised and published after the MEPB put forward the scheme according to relevant State provisions and actual needs of this Municipality' s environmental management, and submited the scheme to the Municipal People' s Government for approval.

Article 20 (Make Public the Examination and Approval Results of Construction Project EIA Documents)

The approval decision of an environmental protection department on EIA documents of a construction project shall be made public forthwith in the following modes and the public has the right of access:

(1) To publish it on the government website;

(2) To set up a public consulting room in the office place of the environmental protection department for the public to get access to; and

(3) Other modes convenient for the public to get access to.

Article 21 (Prescription of EIA Documents)

Where there is any major change in the project nature, scale and location, or production techniques, or measures taken for prevention and control of pollution, or ecological destruction after EIA documents of a construction project have been approved, the construction unit shall re-submit EIA documents for approval.

Where a decision on the start of construction is made over five years after the day on which EIA documents of a construction project were approved, the EIA documents shall be reported to the original examination and approval department for re-check.

Where a decision on the start of construction is made over three year but less than five years after the day on which EIA documents of a construction project were approved, the construction unit shall, 10 days before the start of the construction of the project, report to the environmental protection department that originally examined and approved the EIA documents.

Where a decision on the start of construction is made over three years after the day on which the EIA documents of a construction project were approved, the environmental protection department that originally examined and approved the EIA documents shall organize on-the-spot survey. Where there is any major change in the surroundings of the construction project or where there is any major adjustment in laws, rules and regulations, or environmental criteria, the construction unit shall draw up anew and re-submit the EIA documents for approval.

Article 22 (Implementation and Modification of Environmental Protection Measures of a Construction Project)

A construction unit shall, in the process of design and construction of a construction project, carry out EIA documents and countermeasures for environmental protection put forward by the environmental protection department in EIA examination and approval opinions. The necessary auxiliary environmental protection facilities of the construction project shall be designed and constructed simultaneously with the principal part of the project to ensure the environmental protection facilities and the main project are put into use simultaneously.

Where, for special reasons, the EIA documents or measures put forward by the environmental protection department in the examination and approval opinions need to be changed in the process of design and construction of a construction project, the construction unit shall solicit in advance the consent of the environmental protection department that originally examined and approved the EIA documents.

Article 23 (Trial Production or Trial Operation of a Construction Project)

A construction unit shall, before the operation under load of the principal part of a construction project, apply for trial production or trial operation of the construction project to the environmental protection department that originally examined and approved the EIA documents. Where an environmental protection department has carried out an inspection, making sure that the necessary auxiliary environmental protection facilities have been built, the environmental protection department shall, within 15 days from receiving the application, approve the trial production or trial operation of the construction project; where the environmental protection facilities have not been built yet, or the EIA documents, or the measures put forward by the environmental protection department in the examination and approval opinions have not been adopted without authorization, the environmental protection department shall not approve the trial production or trial operation.

The term of trial production or trial operation of a construction project is generally three months; but for technological needs or other special reasons, the term may be extended appropriately, with the maximum of less than one year.

During the trial production or trial operation of a construction project, the necessary auxiliary environmental protection facilities constructed shall be put into trial operation simultaneously with the main project.

During the trial production or trial operation of a construction project, the construction unit shall monitor the operation of the environmental protection facilities and the impact generated by the construction project on environment.

Article 24 (Check and Acceptance upon Completion of Environmental Protection Facilities of Construction Project)  

A construction unit shall, before the expiration of trial production or trial operation term, apply for check and acceptance upon completion of the environmental protection facilities to the environmental protection department that examined and approved EIA documents of the construction project.

The environmental protection department shall, within 30 days from receiving the application for check and acceptance upon completion of the environmental protection facilities, complete the acceptance test. Where a construction project has discharge of pollutants in excess of the set standards, or has other conditions out of compliance with the EIA documents or the examination and approval opinions of the environmental protection department, the check and acceptance of environmental protection facilities shall be refused. The construction unit shall organize rectification within the prescribed time limit as required by the environmental protection department, and re-apply for the check and acceptance upon completion of the environmental protection facilities of the construction project.

Where a construction project has its production load below the acceptance requirement at the expiration of trail production or trial operation term, the acceptance upon completion of environmental protection facilities may, upon consent of the environmental protection department that examined and approved EIA documents of the construction project, be conducted at first according to the actual production load. After the project production has reached the set load, the construction unit shall apply for the official acceptance.

The construction project shall not be put into regular production or use until it has passed the check and acceptance of environmental protection facilities.

Article 25 (Post-EIA of Construction Project)

In any one of the following cases, a construction project shall organize post-EIA according to the time set by the environmental protection department:

(1) Incompliance with the approved EIA documents occurs in the process of construction or operation of a construction project; and

(2) A construction project is likely to make a greater environmental impact and the necessary conduct of post-EIA is set out in the examination and approval opinions of EIA documents. 

A construction unit, when discovering any adverse environment impact in conducting the post-EIA, shall take appropriate pollution prevention and control measures and report the matters about the post-EIA and the adopted pollution prevention and control measures to the environmental protection department that examined and approved the EIA documents and the examination and approval department of the construction project for the record.

Chapter IV  Legal Liability

Article 26 (Legal Liability of Planning Drawing up Organ)

Where a planning drawing up organ violates the provisions of these Procedures by employing trickery or committing dereliction of duty in organizing the planning EIA so that the EIA becomes seriously inconsistent with the facts, or by failing to timely organize the follow-up EIA of the planning that has a noticeable environmental impact after implementation, so that serious consequences result, its superior organ or the supervisory organ shall give disciplinary sanctions to the responsible persons directly in charge and other persons held directly liable.

Article 27 (Legal Liability of Planning Examination and Approval Organ)

Where a planning examination and approval organ violates the provisions of these Procedures by rendering an illegal approval of the draft planning that should have had but has not had EIA documents and relevant explanations attached, its superior organ or the supervisory organ shall give disciplinary sanctions to the responsible persons directly in charge and other persons held directly liable.

Article 28 (Legal Liability of environmental protection department)

Where an environmental protection department violates the provisions of these Procedures by committing dereliction of duty in examining or examining and approving the planning EIA documents so that serious consequences result, or by committing wrongful acts of negligence or power abuse in the process of examining and approving EIA documents of a construction project, its superior organ or the supervisory organ shall give disciplinary sanctions to the responsible persons directly in charge and other persons held directly liable.

Article 29 (Legal Liability of Examination and Approval Department of Construction Project)

Where an examination and approval department of construction projects arbitrarily approves the construction of a construction project without the approval of EIA documents, or where the industrial and commercial department arbitrarily issues the business license to such construction project, its superior organ or the supervisory organ shall give disciplinary sanctions to the responsible persons directly in charge and other persons held directly liable.

Article 30 (Legal Liability of Construction Unit)

Where a construction unit violates the provisions of these Procedures by having one of the following cases, the environmental protection department with authority of examination and approval shall impose punishment according to the following provisions:

(1) With respect to an act of failure to submit EIA documents for approval as provided by law, or failure to re-submit EIA documents for approval as required but arbitrarily starting the construction in violation of the provisions under Article 18, Clauses 1 and 2, and Article 21, Clause 1 of these Procedures, the construction shall be ordered to stop and the formalities shall be completed retroactively within the prescribed time limit; the failure to complete the formalities retroactively is liable to a fine of between not less than 50,000 yuan and not more than 200,000 yuan.

(2) With respect to an act of arbitrarily starting the construction with EIA documents submitted for approval but not yet approved or not yet re-examined and approved by the original examination and approval department in violation of the provisions under Article 18 Clause 4 and Article 21, Clause 2 of these Procedures, the construction shall be ordered to stop and a fine of between not less than 50,000 yuan and not more than 200,000 yuan may cumulatively be imposed.

(3) With respect to an act of arbitrarily starting the construction without reporting to the environmental protection department in violation of the provisions under Article 21 Clause 3 of these Procedures, the construction shall be ordered to stop and the formalities shall be completed retroactively within the prescribed time limit, and a fine of between not less than 5,000 yuan and not more than 30,000 yuan may be cumulatively imposed.

(4) With respect to an act of arbitrarily putting the main project into trial production or trial operation without approval of the environmental protection department in violation of the provisions under Article 23 Clause 1 of these Procedures, the trial production or trial operation shall be ordered to stop and a fine of the amount equal to not less than 1 per cent and not more than 10 per cent of the total investment of the construction project with the maximum of not more than 100,000 yuan shall be cumulatively imposed.

(5) With respect to an act of failing to put the necessary auxiliary environmental protection facilities into trial operation simultaneously with the main project during the trial production or trial operation of a construction project in violation of the provisions under Article 23 Clause 3 of these Procedures, correction within the prescribed time limit shall be ordered; The failure to make correction after the time limit, the trial production or trial operation shall be ordered to stop, and a fine of between not less than 10,000 yuan and not more than 50,000 yuan may be cumulatively imposed.

(6) With respect to an act of a construction unit that fails to apply for check and acceptance upon completion of environmental protection facilities as required in violation of the provisions under Article 24 Clauses 1, 2 and 3 of these Procedures, it shall be ordered to complete retroactively the formalities for check and acceptance upon completion of the environmental protection facilities within the prescribed time limit; the unit that fails to do so after the time limit shall be ordered to stop trial production or trial operation and a fine of between not less than 10,000 yuan and not more than 50,000 yuan may be cumulatively imposed.

(7) With respect to an act of putting the main project into regular production or use while the construction of the necessary auxiliary environmental protection facilities of a construction project have not been completed or have been completed but have not gone through the check and acceptance or have failed the acceptance test in violation of the provisions under Article 24 Clause 4 of these Procedures, the production or use shall be ordered to stop and a fine of between not less than 10,000 yuan and not more than 100,000 yuan may be cumulatively imposed.

(8) With respect to an act of a construction unit that fails to conduct post-EIA of a construction project as required in violation of the provisions under Article 25 of these Procedures shall be ordered to make correction within the prescribed time limit and a fine of between not less than 10,000 yuan and not more than 30,000 yuan may be cumulatively imposed.

Article 31 (Legal Liability of EIA Agency)

Where an EIA agency takes no responsibility or practices fraud in drawing up EIA documents, causing EIA documents to be inconsistent with the facts, the SMEPB shall make its illegal act known to the public, and report to the environmental protection competent administrative department under the State Council for punishment according to law.

Chapter V  Supplementary Provisions

Article 32 (Definitions)

The follow-up EIA of planning mentioned in these Procedures refers to the inspection, analysis and evaluation of the planning environmental impact conducted, and the measures and countermeasures put forward by the planning drawing up organ in the implementation process of or after the completion of a planning that has a grave impact on the environment.

The post-EIA of a construction project mentioned in these Procedures refers to the follow-up monitoring and confirmatory evaluation of the environmental impact, and the effectiveness of preventive measures in the construction and operation of a construction project and the remedy plan or measures that are put forward.

The trial production or trial operation of a construction project mentioned in these Procedures refers to the operation under load of the principal part of a construction project and the conduct of shakedown test and check of the main project and environmental protection facilities upon approval of the environmental protection department during the period after the completion of a construction project and before the check and acceptance upon completion of environmental protection facilities.

Article 33 (Miscellaneous)

The EIA of the planning examined and approved by the State Council or the relevant department under the State Council shall follow relevant State provisions.

The drawing up and examination and approval of the EIA documents of a construction project that is examined and approved by the environmental protection competent administrative department under the State Council shall follow relevant State provisions.

The environmental protection management of an ocean engineering construction project shall be handled according to the provisions of the "Law of the People' s Republic of China on Marine Environmental Protection" .

Article 34 (Effective Date)

These Procedures shall become effective on July 1, 2004. The "Procedures of Shanghai Municipality on Administration of Environmental Protection of Construction Project" promulgated on January 12, 1988 by the Shanghai Municipal People' s Government and revised and re-promulgated on December 14, 1997 by Decree No 53 of the Shanghai Municipal People' s Government shall be repealed on the same date.