(October 22, 2024)

JDPG D [2024] No. 1

Attention: all Commissions, Offices and Bureaus (Administrations)of the District People’s Government,all Sub-district Offices and Pengpu TownshipPeople’s Government:

The Investment Management Measures of the Jing'an District People’s Government formulated by the District Development and Reform Commission were adopted at the 105th Routine Meeting of the District People’s Government and are herebyforwarded after approval to you for your compliance and implementation.

Investment Management Measures of the Jing'an District People’s Government

Chapter I  General Provisions

Article 1

With a view to givingfull play to the role of the government investment, improving the efficiency of the government investment, regulating the government investment acts, and stimulating the social investment vitality, these Measures are formulatedin accordance with the relevant provisions of the Budget Law of the People's Republic of China, the Government Investment Regulations, the Municipal-level Government Investment Management Measures of Shanghai Municipality, and the Municipal-level Construction Financial Project Management Measures of Shanghai Municipality, and in the light of the actual circumstances of this District.

Article 2

The term "the district-level government investment" as mentioned in these Measures refers to the use of the funds arranged in the district-level budgets for the fixed assets investment construction activities, including the new construction, expansion, reconstruction and technological transformation, etc.

Article 3

Thedistrict-level governmentinvestment funds shall be invested in the public welfare services, public infrastructure, agriculture and rural areas, ecological environment protection, major scientific and technological progress, social management, national security and the other public projects where the market cannot effectively allocate resources.

Article 4

Thedistrict-level government investment funds shall be mainly allocated via direct investment and capital injection according to the project arrangements. Investment subsidies, loan interest subsidies and other methods may also be adopted.

The arrangement of the district-level governmentinvestment funds shall meet the relevant requirements of promoting the reform of the division of financial powers and expenditure responsibilities between the Municipality and the District.All types of investment entities shall be treated equally, and nodiscriminatory requirements shall be set for them.

Article 5

The District Development and Reform Commission shall, in accordance with the relevant national and municipal provisions and these Measures, act as the investment supervisory department to fulfill the comprehensive management responsibilities forthe district-level government investment. The other relevant departments shall fulfill their respective management responsibilities for the district-level government investment in accordance with their departmental functions.

Article 6

Except for the projects involving the state secrets, the District Development and Reform Commission and the other relevant departments shall handle the approval procedures for the district-level government investment projects via the Shanghai Investment Project Online Approval and Supervision Platform (hereinafter referred to as the "online platform") and by using the project codes generated by the online platform.

The District Development and Reform Commission and the other relevant departments shall list the planning and macro-control policies related to the district-level government investment viathe online platform, publicly disclose the approval process for the government investment projects, and providethe relevant consulting services to the project units.

Chapter II  Project Decision Making

Article 7

The District Development and Reform Commission and the District Finance Bureau, together with the relevant departments, shall, in accordance with the national economic and social development plans, the medium-term financial plans, the national macro-control policies, the relevant policies of thisMunicipality and District, and in the light of the financial revenue and expenditure, coordinate and arrange the projects which use the district-level government investment funds, and properlyuse the various types of government investment funds.

Article 8

A project reserve systemshall be implemented forthe district-level government investment projects, and such projects shall be selected from the district-level government investment project reserve pool in principle. The District Development and Reform Commission shall, together with the relevant departments, establish a reserve pool for the district-level government investment projects, be responsible for the storage, management and updating of the reserve projects.

The special plans, special development and construction plans, industrial policies, etc. that have been discussed and balanced by the District Development and Reform Commission and the relevant departments, and approved by the District People’s Government, are the important basis for inclusion in the reserve pool forthe district-level government investment projects.

Article 9

In the third quarter of each year, the project (legal person) units shall submit to the District Development and Reform Commission, via the competent departments, the fund requirements of the district-level government investment for the next year's continued construction projects and planned new construction projects.

The District Development and Reform Commission, together with the District Finance Bureau and the relevant departments, shall study and propose suggestions for the annual plan arrangement of the district-level government investment projects, submit them to the District People’s GovernmentRoutine Meeting for examination and verification, and submit them to the Standing Committee of the District Party Committee for approval.

Article 10

The annual plans for the district-level governments investment projects shall specify the project name, construction contents and scale, construction periods, total project investment, annual investment amount,the funding sources and so on.

Article 11

The District Development and Reform Commission shall issue the annual investment plans for the district-level government investment projects in batches on the basis of theannual plan arrangements approved by the District People’s Government and in the light of the project progress. The time for the District Development and Reform Commission to issue the annual investment plans for the projects is generally within 20 days after the approval of the financial budgets by the District People's Congress.

For the newly started projects that have been included in the annual investment plans for the district-level government investment projects approved by the District People’s Government, the annual investment plans for the projectsshall be issued after the feasibility study reports have been approved.

Article 12

The proposals for the annual investment plan arrangement of the district-level government investment projects must be strictly implemented after approval by the District People’s Government, and no unit or individual may change it without authorization.Where it is necessary to adjust the annual investment plan quota of the district-level government investment projects, increase or decrease the district-level government investment projects, the project (legal person) units shall report to the District Development and Reform Commission via the relevant competent departments before the end of August each year. The District Development and Reform Commission shall work together with the District Finance Bureau to formulate the suggestions for adjusting the annual investment plans of the district-level government investment projects, and generally submit them to the District People’s Government for approval before the end of October.

Where the total planned investment of a project increases by more than 50 million yuan, it shall also be submitted to the District Party Committee for approval.

Chapter III  Project Approval

Article 13

The approval procedures for thedistrict-level government investment projects through direct investment and capital injection by the government shall include the project proposal approval, feasibility study report approval, preliminary design and budget approval.

Where investment subsidies, loan interest subsidies and the other methods are used for the arrangement ofthe district-level governmentinvestment funds, they shall be implemented in accordance with the relevant provisions on investment subsidies and loan interest subsidies.

The government investment projects managed by the national, municipal investment authorities or the other relevant departments shall be executed in accordance with the relevant national and municipal provisions.

Article 14

The project (legal person) units shall strengthen the preliminary work of the district-level government investment projects, ensure that the depth of preliminary work meets the prescribed requirements, organize and prepare the project proposals, feasibility study reports, preliminary designs and financial estimates, and submit or forward them after examination and verification by the relevant competent departments.

The project (legal person) unitsshall be responsible for the authenticity of the project proposals, feasibility study reports, preliminary designs and financial estimates, as well as the other documents that shall be attached according to law.

Article15

For organizingand preparing the project proposals, the competent departments (units) or project (legal person) units shall conduct the preliminary analysis of the necessity, main construction contents, proposed locations, proposed scale, investment estimation, fundraising, and the social and economic benefits of the project construction, and attach the relevant documents and materials.

For the projects with simple construction contents and small investment scale, the feasibility study reports may be directly compiled or prepared together with the project proposals.

Article 16

The District Development and Reform Commission may select the engineering consulting units with corresponding experiences and capabilities to evaluate the project proposals. For the projects that meet the relevant provisions and are necessary for construction, the District Development and Reform Commission shall approve the project proposals according to the procedures.

The projects included in the special plans and special development and construction plans approved by the municipal and district people’s governments shall be subject to the formatting and standardized management of the project proposals. The District Development and Reform Commission shall issue the approval forms for the project proposals of the district-level governmentinvestment. The project (legal representative) units shall go through the formalities for the planned land approval with the approval forms.

The project proposals shall be valid for 2 years from the date of approval. The project (legal person) units shall apply for an extension to the District Development and Reform Commission 30 working days before the expiration of the validity periods of the project proposal approval documents. Where the extension is not applied for according to the provisions, the approval of the project proposalsshall automatically become invalid.

Article 17

The project (legal person) units shall organize feasibility studies based on the approval of the project proposals, and entrust the engineering consulting units with corresponding experiences and capabilities to prepare the feasibility study reports.

The feasibility study reports shall comprehensively analyze and demonstrate the technical and economic feasibility, social benefits, ecological environment, resource utilization, energy-saving measures, social stability risks, etc. of the projects, implement the various construction conditions, and obtain the relevant permits and review opinions in accordance with the relevant provisions.

Article18

The District Development and Reform Commission shall select the engineering consulting units with corresponding experiences and capabilities to evaluate the feasibility study reports. For the projects that meet the relevant provisions and have the construction conditions, the District Development and Reform Commission shall approve the feasibility study reports in accordance with the procedures.

Article 19

According to the actual situations of the projects, the District Development and Reform Commission shall specify the project funding plans and the district-level government investment quota in the approvals of the project proposals or the feasibility study reports.

Article 20

The project (legal person) units shall, in accordance with the relevant requirements of the tendering and bidding law, select the institutions with corresponding engineering design qualifications to prepare the preliminary design documents. The design unitsmust carry out the design in strict accordance with the requirements of the construction contents, scale, standard and investment in the approved feasibility study reports, as well as the design norms, regulations and technical standards prescribed by the State and Shanghai Municipality.

After selecting the engineering consulting institutions with corresponding experiences and capabilities to evaluate the preliminary designs and financial estimates of the projects, according to the relevant provisions, the preliminary design approval departments shall work with the District Development and Reform Commission to approve the preliminary designs. The investment financial estimates shall be approved by the District Development and Reform Commission, and the preliminary design approval departmentsshall be entrusted to give official replies together when approving the preliminary designs.

Article 21

The project (legal person) units shall strictly organize the implementation in accordance with the approved preliminary designs and financial estimates of the projects.

In the preliminary work and implementation process of the projects, if any of the following situations occur, it shall be reported to the District Development and Reform Commission to handle the corresponding adjustment approval procedures:

1. For the projects that are fully invested by the district-level government investment funds, changes have occurred in the total investment;

2. For the projects for which the district-level government investment funds partially investedor arranged whose capital funds, the total investment change exceeds 10% or more, or the investment has changed and it requires adjustment of the district-level government investment funds; and

3. There have been significant changes in the project legal persons, construction location, construction contents, construction scale and construction standards.

Article 22

Pilot reforms shall be carried out for the examination and approval of the feasibility study reports (at the preliminary design depth) for the district-level governmentinvestment projects in certain fields.

Chapter IV  Project Finance and Fund Management

Article 23

The project (legal person) units shall establish and improve their own basic construction financial management systems and internal control systems in accordance with the provisions of the basic construction financial management. The project (legal entity) units shall, in accordance with the government accounting systems, carry out separate accounting for the projects based on the approved project financial estimates, and include the accounting results in the units' account books and financial statements as required.

The competent departments (units) shall, in conjunction with the District Finance Bureau, strengthen the financial management and supervision of the basic construction within their own departments or industry, and guide and supervise the project (legal person) units to do a good job in the basic work of the basic construction financial management.

Article 24

When using the district-level governmentinvestment funds, the project (legal person) units shall follow the principle of earmarked fundsfor specific purposes, strictly implement the approved project financial estimates, and shall not misappropriate or divert them. The District Finance Bureau shall, together with the relevant competent departments (units), strengthen the supervision and management of the district-level government investment funds of the projects.

Article 25

The project (legal person) units shall apply for the funds from the District Finance Bureau in accordance with the procedures and based on the approved project financial estimates, the issued annual investment plans and the construction progress, etc.

The District Finance Bureaushall disburse the funds in accordance with the principles of "according to the financial estimates, annual investment plans, progress and contracts" and the relevant provisions of thetreasury single account system.

Chapter V  Project Implementation

Article 26

The confidential projects shall be classified by the project (legal person) unit in accordance with relevant provisions on confidentiality management, and confidentiality management shall be strengthened.

Article 27

The projects that usethe district-level government investment fundsshall be tendered in accordance with the law. The scope and scale standards of the projects that must be tendered in accordance with the law shall be implemented in accordance with the relevant national, municipal, and district provisions.

Article 28

The agent construction systemshall be implemented forthe non operational district-level government investment projects. The specific implementation shall be carried out in accordance with the provisions of the Investment Project Agent Construction Management Measures of the Jing'an District People’s Government.

Article 29

After the basic or partial completion of the projects, the District Development and Reform Commission shall select some projects for post project evaluation.

Chapter VI  In-process and Ex Post Supervision

Article 30

The project (legal person) units shall truthfully submit the basic information on the construction commencement, progress and completion of the government investment projects via the online platforms.

Article 31

The projects that use the district-level government investment funds shall be subjected to the financial supervision system. The specific implementation shall be carried out in accordance with the relevant provisions of the financial supervision and management measures for the investment projects of the district government.

Article 32

The performance management shall be strengthened for the entire process of the district-level governmentinvestment projects. Itshall be carried out according to the relevant provisions on the performance management of the government investment projects of ShanghaiMunicipality.

Article 33

For the projects that use the district-level governmentinvestment funds, the engineering supervision systemshall strictly be implementedso as to ensure the quality and safety of the construction projects.

Article34

The District Audit Bureau shall, in accordance with the law, conduct auditing supervision on the budget performance and final accounting of the projects that use the district-level governmentinvestment funds.

Chapter VII  Completion Acceptance and Asset Management

Article 35

After the completion of each individual item acceptance check of the district-level governmentinvestment projects, the District Development and Reform Commission shall organize the completion acceptance check of the projects on its own or entrust the relevant administrative departments to do it.

For the infrastructure projects that use the district-level government investment funds of less than or equal to 100 million yuan, and for the projects in the other fields that use the district-level government investment funds of less than or equal to 50 million yuan, the completion acceptance check filing systemshall be implemented. After completing all the individual item acceptance check, the project (legal person) units, shall report to the District Development and Reform Commission for filing.

Article 36

The project (legal person) units shall timely settle the project payments of the district-level government investment projects in accordance with the provisions and contract agreements.

The competent departments shall work together with the District Finance Bureau to strengthen the supervision of the settlement of the project payments for the district-level government investment projects.

After completing the settlement of the project payments, the project (legal person) units shall timely prepare the financial final accounts for the completion of the district-level government investment projects in accordance with theprovisions.

Article37

For the district-level government investment projects included in the annual audit plans, the District Audit Bureau shall organize and implement project audits. The classified district-level government investment projects (excluding the pure equipment purchases) shall generally be included in the annual audit plans.

Article 38

For the district-level government investment projects that are not included in the annual audit plans of the District Audit Bureau, the District Development and Reform Commission and the District Finance Bureau shall select the third-party audit institutions with outstanding professional capabilities, standardized institutional management and good professional reputation via bidding and the other competitive methodsto audit the financial final accounts of the project completion. The audit service fee shall be arranged by the district-level government investment funds.

The social intermediary agencies that participate in bidding agent, financial supervision, engineering supervision and engineering valuation work for the district-level government investment projects shall avoid the audit work.

Article 39

The third party audit institutions shall conduct audits strictly in accordance with the established standardized procedures and report standard format texts, issue audit reports, submit them to the District Development and Reform Commission and District Finance Bureau, and send a duplicate to the District Audit Bureau.

The project (legal person) units shall cooperate in the audit work, timely provide the relevant information (including electronic data) such as the early stage of the projects, bidding and tendering, contracts, engineering settlement, completion acceptance check, financial settlement, etc. to the third-party audit institutions, and be responsible for the authenticity and completeness of the information provided.

When conducting audits or special audit investigations, the District Audit Bureau shall have the right to verify the relevant audit reports issued by the third-party audit institutions. When violations of discipline and rules are found, they shall be transferred to the relevant competent departments for legal accountability.

Article 40

The audit reports shall be one of the important bases for adjusting the project estimates and approving the financial final accounts upon completion.

Article 41

The District Development and Reform Commission shall approve the adjustment of the financial estimates for the district-level government investment projects based on the audit conclusions and the relevant provisions.

Article 42

The project (legal person) units shall apply for the approval of the financial settlement of the project completion within 3 months after the District Audit Bureau has issued the audit reports or the third-party audit institutionshave issued the audit reports.

For thedistrict-level government investment projects that adopt the direct investment methods, the financial settlement of project completion shall be reviewed and approved by the District Finance Bureau. When the project (legal person) units arethe directly affiliated units of certain national or municipal departments, the approval of the financial settlement of the project completion shall meet the relevant provisions of the State, this Municipality and this District.

For the district-level government investment projects that adopt the investment subsidy methods to arrange the investment funds, the approval and management of the financial final accounts for project completion shall be determined by the district finance departments.

Article43

For the enterprise investment projects that use the investment subsidy method to arrange the district-level governmentinvestment funds, the project (legal person) units shall, in accordance with the relevant provisions of the investment subsidy work plans, carry out the financial settlement audit work for the project completion.

Article 44

The project (legal person) units shall promptly handle the asset delivery procedures after the completion and acceptance of the district-level governmentinvestment projects. If the approval procedures for the completion financial settlement have not been completed, they shall be recorded in the accounting books according to the estimated values. The project (legal person) units shall promptly handle the completion financial accounts, and adjust the original estimated values according to the actual costs after the approval of the completion financial accounts.

Article 45

The project (legal person) units shall strengthen the management of the district-level government investment project files in accordance with the relevant national, municipal and district provisions, and archive the relevant documents and materials during the project approval and implementation process for future reference.

　　　　　　　　　Chapter VIII　Responsibility Investigation

Article 46

The project (legal person) units shall organize and implement the projects strictly in accordance with the requirements of the project approval and in compliance with laws and rules.

For those who violate the laws, rules and the provisions of these Measures, depending on the severity of the situation, the District Development and Reform Commission may require them to make rectification within a specified period of time, suspend the annual investment plans for the projects, and suspend the approval of other projects of the project (legal person) units. The District Finance Bureau may suspend the funding. For those that violate the laws and rules, the relevant departmentsshall investigate the project (legal person) units, construction units and the related personnel for their legal responsibilities in accordance with the law.

Article 47

The competent departments (units), project (legal person) units, social intermediary agencies and their staff shall strictly implement the relevant provisions of laws, rules and these Measures. For those that violate the provisions, the relevant units and their staff shall be punished by the relevant departments in accordance with the law. Those who commit crimes shall be investigated for criminal responsibilities in accordance with the law.

The relevant units' and their staff's dishonest information shall be collected into the Jing'an District Public Credit Information Service Sub Platformin accordance with laws and rules.

Chapter IXSupplementary Provisions

Article 48

The direct investment refers to the method of arranging the government investment funds to be injected into non-operational projects, and organizing and implementing the projects with the relevant government agencies or their designated or commissioned institutions, groups, institutions, state-owned enterprises, etc. as the project (legal person) units.

The capital injection refers to the method of arrangingthe government investment funds as the capital of the projects, designating the government investors to represent and exercise the owner's rights, and forming the corresponding state-owned property rights after the projects are completed.

The investment subsidy refers to the method of arrangingthe government investment funds to provide the subsidies to the projects.

The loan interest subsidy refers to the method of arrangingthe government investment funds to subsidize the loan interest of the investment projects that use loans.

Article 49

These Measures shall be promulgated from October 24, 2024,be effectiveas of November 23, 2024, and be valid until November 22, 2029.

Attachment:The Approval Form for the Investment Project Proposal of the Jing'an District People’s Government

Attachment

Approval Form for the Investment Project Proposal of the Jing'an District Government

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