Notice of the General Office of Shanghai Municipal People’s Government on Transmitting the “Procedures of Shanghai Municipality on the Administration of Special Funds for Energy Conservation and Emission Reduction” Made by the Municipal Development and Reform Commission and the Municipal Finance Bureau

上海市节能减排专项资金管理办法

 

Promulgating Institution: Shanghai Municipal Development and Reform Commission; Shanghai Municipal Finance Bureau

Promulgating Date: 06/03/2008

Effective Date: 06/03/2008

颁布机关: 上海市发展和改革委员会; 上海市财政局

颁布时间: 06/03/2008

实施时间:06/03/2008

 

For the purpose of further enhancing support for energy conservation and emission reduction in this Municipality, Shanghai Municipality has established special funds for energy conservation and emission reduction (hereinafter referred to as special funds) according to relevant State rules and the "Implementation Scheme of Shanghai Municipality for Energy Conservation and Emission Reduction" (SMPG G [2007] No. 25) and on the principle of pooling stock, expanding increment, and supporting key points. In order to normalize the use and administration of the special funds, these Procedures are hereby formulated.

    为进一步加大对本市节能减排的支持力度，按照国家有关规定和《上海市节能减排工作实施方案》（沪府发〔2007〕25号），根据“统筹存量、扩大增量、支持重点”的原则，设立上海市节能减排专项资金（以下简称“专项资金”）。为规范专项资金使用和管理，特制定本办法。

I. General requirements

The special funds shall be mainly used to encourage the further potential tapping and upgrading of existing facilities, equipment or capability, with policy focus on increment of energy conservation and emission reduction, and to support the major aspects of energy conservation and emission reduction that the original fund channels are difficult to get access to or where support is insufficient but contradiction rather prominent. The special funds may not be used for fixed-assets investment projects in principle and the specified purpose of the original stock fund of this Municipality may not be changed as well.

       一、总体要求

    专项资金主要用于鼓励对现有设施、设备或能力等进一步挖潜和提高，把政策聚焦在节能和减排的增量上，用于支持原有资金渠道难以覆盖或支持力度不够且矛盾比较突出的节能减排重点方面，原则上不用于安排固定资产投资项目。本市原存量资金已明确规定的用途不变。

II. Sources of funds

On the basis of pool stock fund, the special funds shall be arranged specially by the municipal-level financial budget. The main sources of the special funds are: 

1. municipal-level financial budget funds;

2. electricity charges gained from practicing differential electricity rates; and

3. other funding sources determined by the Municipal People's Government.

       二、资金来源

    专项资金在统筹存量资金的基础上，由市级财政预算专项安排。专项资金主要来源为:

    （一）市级财政预算资金;

    （二）实施差别电价电费收入;

    （三）市政府确定的其他资金来源。

III. Support fields

1. Urban energy reserve and its operation security. Priority of fund use is given to supporting the energy reserve such as coal, refined oil product, LPG and natural gas approved by the Municipal People's Government, and to supporting the efforts to prepare for peak electricity load in summer time and peak gas load in winter time.

2. Utilization of renewable energy and development of new energy. Priority of fund use is given to supporting the development and application of wind energy, solar energy, biomass energy and geothermal energy, and to encouraging the use of new energy resources such as substitute energy for petroleum products and hydrogen energy.

3. Elimination of backward production capability. Priority of fund use is given to supporting this Municipality's readjustment and elimination of inferior enterprises and products and outdated techniques with high-energy consumption, heavy pollution and/or low value added.

4. Technical transformation for energy conservation and emission reduction. Priority of fund use is given to supporting the technical transformation projects for energy conservation and emission reduction with remarkable effects and popularization significance through technological reform and upgrading.

5. Contract-based energy management. Priority of fund use is given to supporting early-stage energy conservation diagnostic service the contract-based energy service company provides for enterprises and institutions, and to supporting technical transformation enterprises and institutions carry out in their implementation of contract-based energy management projects.

6. Energy conservation and emission reduction in building and transport industries. Priority of fund use is given to supporting the pilot demonstration projects such as newly built buildings that save energy by 65%, the integrated application of renewable energy resources in buildings, and the transformation of existing buildings for energy conservation, and the energy-saving diagnosis and transformation, and the construction of energy consumption monitoring platform for government organs' buildings and large-scale public buildings. The funds shall also support the transport enterprises in eliminating vehicles with high energy consumption and/or heavy pollution and in using new technologies and facilities that are highly-efficient, energy-conserving and environment-friendly.

7. Clean production. Priority of fund use is given to supporting the launching of pilot clean production projects and the examination of clean production projects that play the popularization and demonstration role inside trades.

8. Water pollutant emission reduction. Priority of fund use is given to supporting the sewage treatment plant in reducing COD emissions exceeding permissible limits, the transformation for dephosphorization and denitrogenation, the interception and piping of pollution sources, the seepage treatment at landfill sites and the sewage control in rural areas, and to encouraging water saving.

9. Air pollutant emission reduction. Priority of fund use is given to supporting the desulfurization of excessive smoke from coal-fired generating units of power plants, the control of flying dust pollution and the popularization of precast mortar, the reduction of excessive smoke pollution in garbage incineration plants and the capacity building of monitoring motor vehicle exhaust gas.

10. Reduction of solid wastes. Priority of fund use is given to supporting the reduction and segregated collection of domestic garbage and encouraging the reduced packaging.

11. Development of a circular economy. Priority of fund use is given to supporting the launching of a pilot circular economy, encouraging the recycling of industrial solid wastes, the sludge produced by the sewage treatment plant, urban domestic garbage, building wastes, and waste residue produced by the power plant from desulfurization, and to pushing forward the comprehensive utilization of resources.

12. Popularization of energy-saving and emission-reducing products and building of management capacity. Priority of fund use is given to supporting the popularization of highly-efficient, energy-conserving and environment-friendly products (e.g. energy-saving lighting and phosphorus-free detergents), the building of management capacity for energy conservation and emission reduction and the publicity thereto.

13. Other uses determined by the Municipal People's Government.

       三、支持范围

    （一）城市能源储备及运行安全保障。重点用于支持经市政府批准实施的煤炭、成品油、液化石油气、天然气等能源储备;电力迎峰度夏、燃气迎峰度冬等。

    （二）可再生能源利用和新能源开发。重点用于支持风能、太阳能、生物质能、地热能等开发应用。鼓励支持石油制品替代能源、氢能等新能源的应用。

    （三）淘汰落后生产能力。重点用于支持本市调整淘汰高耗能、高污染、低附加值的劣势企业、劣势产品和落后工艺的实施。

    （四）节能减排技术改造。重点用于支持通过技术改造和技术升级，取得显著成效，具有推广意义的节能减排技术改造项目。

    （五）合同能源管理。重点用于支持合同能源服务公司为企事业单位开展的前期节能诊断服务，以及企事业单位实施合同能源管理项目所开展的技术改造。

    （六）建筑交通节能减排。重点用于支持节能65%的新建建筑、可再生能源与建筑一体化应用、既有建筑节能改造等试点示范工程，政府机关办公建筑和大型公共建筑的节能诊断和节能改造、能耗监测平台建设等。支持交通企业淘汰高耗能、高污染交通工具，应用高效、节能、环保新技术、新设备等。

    （七）清洁生产。重点用于支持开展清洁生产试点、在行业内具有推广和示范作用的清洁生产项目审核等。

    （八）水污染减排。重点用于支持污水处理厂COD超量削减、脱磷除氮改造、污染源截污纳管、垃圾填埋场渗滤液处理、农村污水治理等工作，鼓励节约用水等。

    （九）大气污染减排。重点用于支持电厂燃煤机组烟气超量脱硫、控制扬尘污染和推广商品砂浆、垃圾焚烧厂烟气污染超量削减、加强机动车尾气监测能力建设等。

    （十）固体废物减量。重点用于支持开展生活垃圾减量和分类收集、鼓励包装减量化等。

    （十一）循环经济发展。重点用于支持开展循环经济试点、鼓励工业固体废弃物、污水处理厂污泥、城市生活垃圾、建筑垃圾、电厂脱硫废渣等资源化、推进资源综合利用等。

    （十二）节能减排产品推广及管理能力建设。重点用于支持高效、节能、环保产品推广（如节能照明、无磷洗涤剂等），节能减排管理能力建设及节能减排宣传等。

    （十三）市政府确定的其他用途。

IV. Modes of support

The special funds are mainly in the mode of subsidy or award in substitution for subsidy. The sum of subsidy or award in substitution for subsidy shall be calculated in a comprehensive way according to the following factors: the nature of the project, the total amount of investment, the actual amount of energy conserved and of emission reduced, the amount of traditional energy substitution, the amount of energy comprehensively utilized, and the social effect generated.

The application for the subsidy or award in substitution for subsidy and the determination thereof shall be made in line with one of the fields supported by the special funds, and, no repeated enjoyment of the special funds shall be allowed.

       四、支持方式

    专项资金主要采用补贴或以奖代补的方式。补贴或以奖代补费用按照项目性质、投资总额、实际节能量和减排量、传统能源替代量、资源综合利用量以及产生的社会效益等综合测算。

    补贴或以奖代补费用按照专项资金所明确的支持范围中的一种进行申请和确定，不得重复享受。

V. The functions and duties of related departments

The Office of Shanghai Municipal Leading Group for Energy Conservation and Emission Reduction Work (hereinafter referred to as the MECERO) shall, jointly with the municipal finance bureau, be responsible for the overall arrangement, unified planning, coordination and supervision of the special funds. The municipal development and reform commission, the municipal economic commission, the municipal construction and transportation commission, the municipal environmental protection bureau, the municipal water authority, the municipal communications administration, the municipal city appearance and environmental sanitation bureau, and other departments determined by the Municipal People's Government (hereinafter referred to as the project administration departments) shall be responsible for the concrete implementation of theses Procedures. The municipal auditing bureau and other related departments shall, according to theses Procedures and their respective functions and duties, give their cooperation in the supervision of the special funds.

The municipal development and reform commission shall take lead charge of formulating and enforcing the implementation rules governing the urban energy reserve and its operation security, the utilization of renewable energy resources, the exploitation of new energy resources, and the development of a circular economy. The municipal economic commission shall take lead charge of formulating and enforcing the implementation rules governing the elimination of backward production capability, the technical transformation for energy conservation, contracted energy management, clean production, popularization of energy-saving products and management capacity building. The municipal construction and transportation commission shall take lead charge of formulating and enforcing the implementation rules governing energy conservation and emission reduction in building and transport industries. The municipal environmental protection bureau and the municipal construction and transportation commission shall take lead charge of formulating and enforcing the implementation rules governing the air pollutant emission reduction. The municipal water authority and the municipal construction and transportation commission shall take lead charge of formulating and enforcing the implementation rules governing the water pollutant emission reduction. The municipal construction and transportation commission and the municipal economic commission shall take lead charge of formulating and enforcing the implementation rules governing the reduction of solid wastes.

The departments that take the lead in formulating implementation rules shall take the initiative in soliciting ample opinions from relevant departments. The implementation rules shall define the specific support fields, affirmation standards, support modes, subsidy standards, application conditions, and operational flow. Implementation rules that have gone through comprehensive balance and examination by the MECERO are issued in principle by the relevant department or jointly by departments. Any one of such rules, well—prepared, is released at once and filed with the MECERO for the record.

       五、部门职责

    上海市节能减排工作领导小组办公室（以下简称“市节能减排办”）会同市财政局负责专项资金的总体安排、统筹协调和监督管理。市发展改革委、市经委、市建设交通委、市环保局、市水务局、市交通局、市市容环卫局以及市政府明确的其他部门（以下统称“项目管理部门”）负责本办法的具体操作实施。市审计局等部门依据本办法，按照各自职责，协同做好专项资金的监督管理工作。

    市发展改革委牵头负责城市能源储备及运行安全保障、可再生能源利用和新能源开发、循环经济发展等实施细则的制定和实施。市经委牵头负责淘汰落后生产能力、节能技术改造、合同能源管理、清洁生产、节能产品推广及管理能力建设等实施细则的制定和实施。市建设交通委牵头负责建筑交通节能减排等实施细则的制定和实施。市环保局、市建设交通委牵头负责大气污染减排等实施细则的制定和实施。市水务局、市建设交通委牵头负责水污染减排等实施细则的制定和实施。市建设交通委、市经委牵头负责固体废物减量实施细则的制定和实施。

    牵头制定实施细则的部门要主动、充分征求相关部门意见。实施细则应明确具体支持范围、认定标准、支持方式、补贴标准、申报条件、操作流程等。实施细则在报市节能减排办综合平衡和审定后，原则上由部门发文或部门联合发文，成熟一个、发布一个，同时报市节能减排办备案。

VI. Annual use plans for special funds

Every project administration department shall, before the end of September every year, prepare the use plan for special funds of the next year in relevant fields and submit it to the MECERO for consolidation.

The annual use plan for special funds shall contain the names and nature of projects, the estimated amount of energy conserved and emission reduced or of substitution, the fund demand, the scheduling, etc. 

The MECERO and the municipal finance bureau shall, jointly with each project administration department, according to the concrete target set forth for this Municipality's energy conservation and emission reduction work and in line with demands in the plan for fund use in each field, study and prepare the special fund budget plan of the next year, and submit the budge plan to the Municipal People's Government for examination before the end of November every year .The budget plan shall, after approval, be incorporated into the municipal-level budget of the next year by the municipal finance and be enforced after the approval of the Municipal People's Congress according to statutory procedures.

       六、专项资金年度使用计划

    各项目管理部门应于每年9月底前，编制提出相关领域下一年度专项资金使用计划，报市节能减排办汇总。

    专项资金年度使用计划包括:项目名称、项目性质、预计节能减排量或替代量、资金需求、进度安排等内容。

    市节能减排办、市财政局会同各项目管理部门根据本市节能减排工作的具体目标，结合各领域资金使用计划需求，研究编制下一年度专项资金预算计划，于每年11月底前报市政府审定后，由市财政纳入下一年度市级预算，并按照法定程序报市人大批准后实施。

VII. Supervision over the use of special funds and the administration of project appraisals

1. The contract-based project management shall be practiced for the project supported by special funds. The project contract shall contain the project name, undertaking subjects, the deadline for performance, contents and major economic indices of the project, acceptance standards and the support mode and amount of special funds, the liability for breach of the contract, and other provisions agreed by both parties.

2. The municipal finance bureau shall, according to the appropriation application for special funds and the examination opinions put forward by the project administration department, and in compliance with relevant provisions on financial fund payment, appropriate the funds directly to the project unit or to the district/county finance bureau which has jurisdiction over such unit.

3. Every project administration department shall, jointly with relevant departments, be responsible for the supervision, inspection, appraisal and acceptance of the project supported by the special funds. 

4. The MECERO shall entrust the relevant unit to carry out random inspection and appraisal of the energy conservation and emission reduction situation of the project supported by the special funds.

5. The municipal finance bureau and the municipal auditing bureau shall supervise, check and audit the use of special funds and the performance of the project.

These Procedures shall be effective as of the date of their promulgation. The MECERO shall, jointly with the municipal finance bureau, be responsible for the interpretation of these Procedures.

      七、资金使用监督和项目评估管理

   （一）获得专项资金支持的项目实行项目合同管理。项目合同包括项目名称、承担主体、项目履行期限、项目内容和主要经济指标、验收标准、专项资金支持方式和数额、违约责任、双方约定的其他条款等。

   （二）市财政局根据专项资金拨款申请和项目管理部门的审核意见，按照财政资金支付管理的有关规定，将支持资金直接拨付到项目单位或项目所在区县财政局。

   （三）各项目管理部门会同相关部门负责专项资金支持项目的监督、检查和评估验收。

   （四）市节能减排办委托相关单位对专项资金支持项目的节能减排情况进行抽查和评估。

   （五）市财政局和市审计局对专项资金的使用情况和项目执行情况进行监督、稽查和审计。

   本办法自发布之日起实施，并由市节能减排办会同市财政局负责解释。

Shanghai Municipal Development and Reform Commission

Shanghai Municipal Finance Bureau

June 3, 2008

上海市发展和改革委员会

上海市财政局

二○○八年六月三日