Original Title: Notice on Issuing the "Implementation Measures for Energy Conservation Reviews of Fixed Asset Investment Projects in Shandong Province"
Chapter I General Provisions
Article 1: To improve the regulation of total energy consumption and energy intensity, promote the scientific and rational use of energy in fixed-asset investment projects, strengthen energy management, advance energy conservation, prevent energy waste, improve energy utilization efficiency, and promote the realization of carbon peaking and carbon neutrality, these Measures are formulated in accordance with the "Energy Conservation Law of the People’s Republic of China," the "Administrative Licensing Law of the People’s Republic of China," the "Air Pollution Prevention and Control Law of the People’s Republic of China,"the "Regulations on Energy Conservation in Civil Buildings," the "Regulations on Energy Conservation in Public Institutions," and the "Measures for Energy Conservation Review of Fixed Asset Investment Projects" (Order No. 2 of 2023 issued by the National Development and Reform Commission), and in light of the actual conditions of our province, these Measures are hereby formulated.
Article 2 These Implementation Measures apply to fixed-asset investment projects constructed within the territory of Shandong Province that are managed by the investment authorities of people’s governments at all levels in Shandong Province. The term “energy conservation review” as used in these Implementation Measures refers to the act of reviewing a project’s energy consumption, energy efficiency levels, and energy conservation measures in accordance with energy conservation laws, regulations, policies, and standards, and formulating review opinions.
Article 3 The energy conservation review opinion for fixed-asset investment projects serves as an important basis for project commencement, completion acceptance, and operational management.For government-invested projects, the project developer must obtain an energy conservation review opinion issued by the energy conservation review authority before submitting the project feasibility study report. For enterprise-invested projects, the project developer must obtain an energy conservation review opinion issued by the energy conservation review authority before commencing construction. For projects that have not undergone an energy conservation review in accordance with these Implementation Measures, or for projects that have failed the energy conservation review, the project developer shall not commence construction; projects that have already been constructed shall not be put into production or use.
Article 4 Operating expenses related to energy conservation reviews for fixed-asset investment projects under the jurisdiction of the Provincial Development and Reform Commission shall be administered in accordance with the "Measures for the Administration of Investment Consulting." Operating expenses related to energy conservation reviews at the municipal and county (district) levels shall be included in departmental budgets and applied for from the corresponding-level finance departments in accordance with prescribed procedures. No fees may be charged for conducting energy conservation reviews of projects.
Chapter II Administrative Responsibilities
Article 5 The Provincial Development and Reform Commission, as the provincial-level energy conservation review authority, is specifically responsible for the energy conservation review of fixed-asset investment projects within its provincial jurisdiction and shall provide guidance on energy conservation review work for fixed-asset investment projects throughout the province.
Article 6 Departments responsible for energy conservation within people’s governments at or above the county level shall, based on local energy conservation realities, strengthen overall guidance and coordination of energy conservation review work; implement controls on total energy consumption and intensity; strengthen the management of binding targets for reducing energy consumption intensity; effectively enhance the flexibility of total energy consumption management; and resolutely curb the blind development of high-energy-consumption, high-emission, and low-level projects.
Article 7 Energy efficiency reviews for fixed-asset investment projects shall be conducted by energy efficiency review authorities at the county level and above. Energy efficiency review authorities shall formulate and publish service guidelines specifying the application materials, acceptance methods, review criteria, processing procedures, and processing timelines for energy efficiency reviews, provide guidance and services to project developers, continuously improve the “fully online processing” procedures, and enhance work efficiency and transparency. Higher-level energy efficiency review authorities shall strengthen work guidance for lower-level energy efficiency review authorities.
Article 8 Where the municipal or county (district) energy conservation review authority and the department responsible for energy conservation management belong to different administrative bodies, the energy conservation review authority shall strengthen coordination with the department responsible for energy conservation management at the same level. During the energy conservation review of a project, the authority shall solicit the opinions of the department responsible for energy conservation management at the same level and promptly copy the implementation status of its energy conservation review to that department.
Article 9 Energy conservation reviews in Shandong Province shall be implemented through tiered and categorized management based on the annual comprehensive energy consumption of fixed-asset investment projects after they are completed and put into operation, as well as the authority for project approval, ratification, and filing.
(1) For fixed-asset investment projects approved or authorized by the National Development and Reform Commission (NDRC) and reported to the State Council for approval or authorization, or approved or authorized directly by the NDRC, where the annual comprehensive energy consumption is 1,000 metric tons of standard coal or more (for renovation projects where the construction site, primary production processes, and equipment remain unchanged, this is calculated based on the annual increase in comprehensive energy consumption after completion and commissioning; for other projects, it is calculated based on the annual comprehensive energy consumption after completion and commissioning,with electricity conversion coefficients based on equivalent values, as below) of 1,000 metric tons of standard coal or more, or an annual electricity consumption of 5 million kilowatt-hours or more, shall undergo energy conservation review by the Provincial Development and Reform Commission.
(2) For fixed-asset investment projects approved, authorized, or filed by provincial, municipal, or county (district) investment authorities, with an annual comprehensive energy consumption of 10,000 metric tons of standard coal or more, the energy conservation review shall be conducted by the Provincial Development and Reform Commission.
(3) For fixed-asset investment projects approved, authorized, or filed by provincial investment authorities, with an annual comprehensive energy consumption of 1,000 to 10,000 tons of standard coal or an annual electricity consumption of 5 million kilowatt-hours or more, the energy conservation review shall be conducted by the municipal-level energy conservation review authority.
(4) For fixed-asset investment projects approved, authorized, or filed by municipal or county (district) investment authorities, with an annual comprehensive energy consumption of 1,000 to 10,000 tons of standard coal or an annual electricity consumption of 5 million kilowatt-hours or more, the energy conservation review shall be conducted by the energy conservation review authority at the same level, in accordance with the project’s approval, authorization, or filing authority.
(5) For individual projects spanning two or more cities or counties (districts), the energy conservation review shall be led by the energy conservation review authority of the city or county (district) where the main project (or controlling project) is located, in consultation with the energy conservation review authorities of the other cities or counties (districts) involved, and implemented after a joint decision is reached. For bundled projects spanning two or more cities or counties (districts), the energy conservation review for each sub-project shall be conducted separately by the relevant energy conservation review authority of the city or county (district) where the sub-project is located.
(6) Fixed-asset investment projects with an annual comprehensive energy consumption of less than 1,000 metric tons of standard coal and an annual electricity consumption of less than 5 million kilowatt-hours; fixed-asset investment projects involving state secrets; and fixed-asset investment projects in industries with simple energy-use processes and limited energy-saving potential (the specific list of industries shall be formulated, published, and updated as appropriate by the National Development and Reform Commission) may be exempted from the requirement to prepare a separate energy-saving report.The project construction unit shall analyze the project’s energy utilization, energy-saving measures, and energy efficiency levels, clearly stating these in the feasibility study report or project application report. Based on energy consumption data, the unit shall issue the “Statement on Energy Consumption and Energy-Saving Commitment for Fixed-Asset Investment Projects Exempt from Separate Energy-Saving Review” (Attachment), specifying the project’s annual comprehensive energy consumption, annual electricity consumption, and other relevant details, and shall construct the project in accordance with relevant energy-saving standards and specifications.The energy conservation review authority shall no longer conduct a separate energy conservation review for the project and shall no longer issue an energy conservation review opinion.
Chapter III Review Procedures
Article 10 For fixed-asset investment projects requiring an energy conservation review, the construction entity may prepare the energy conservation report on its own or commission an intermediary institution with relevant experience and capabilities to prepare it. The energy conservation report must be prepared in accordance with the national guidelines, adhere to standard formats, and meet the review requirements in terms of content depth. It shall primarily include the following:
(1) Project Overview.
(2) Basis for analysis and evaluation.
(3) Energy-saving analysis and comparison of project construction and operation plans, including aspects such as site layout, production processes, energy-consuming processes, energy-consuming equipment, and energy metering instruments.
(4) Energy-saving measures and their technical and economic justification.
(5) Project energy efficiency levels and energy consumption status, including energy consumption per unit of product, fossil fuel consumption per unit of product, energy consumption per unit of value added (output value), fossil fuel consumption per unit of value added (output value), total energy consumption, energy consumption structure, fossil fuel consumption, renewable energy consumption and supply security, and energy consumption for raw materials; a comprehensive comparison of relevant data with national, local, and industry standards, as well as international and domestic industry benchmarks.
(6) Analysis of the project’s impact on the host region’s ability to meet energy conservation targets.
In accordance with the relevant requirements of the *Technical Guidelines for Pilot Environmental Impact Assessments of Carbon Emissions for Construction Projects in Key Industries (Trial)*, projects capable of conducting carbon emission statistics and accounting shall calculate carbon emission volumes and carbon emission intensity indicators in the energy conservation report, propose carbon reduction measures, and analyze the impact of the project’s carbon emissions on the local area’s ability to achieve carbon reduction targets.
In accordance with national requirements for strictly implementing controls on total energy consumption and intensity, as well as reducing coal consumption, for projects under the jurisdiction of the Provincial Development and Reform Commission, municipal departments responsible for energy conservation management must provide proactive support, strengthen technical guidance on project energy conservation reports, and submit a project situation report to the Provincial Development and Reform Commission prior to the project’s application for provincial-level energy conservation review. This will improve the efficiency of provincial-level energy conservation review and shorten the processing time.
The situation report shall include, but is not limited to, the following: the number of energy conservation review projects approved at all levels within the region during the five-year planning period; the total energy consumption and the projected total energy consumption for the five-year planning period; an analysis and evaluation of the impact of the proposed energy conservation review project, once completed, on the city’s “dual control” of energy consumption;for projects whose energy intensity exceeds the city’s energy consumption control targets, propose feasible mitigation measures; provide a clear opinion on whether to support the project’s construction; and commit to incorporating energy consumption and coal consumption into the city’s total energy consumption and intensity regulation, as well as total coal consumption control, respectively. Fixed-asset investment projects requiring energy or coal consumption substitution must obtain a review opinion on the energy or coal consumption substitution plan issued by the competent authority with the appropriate jurisdiction prior to the energy efficiency review.
The construction entity shall issue a written commitment in the energy conservation report, assuming responsibility for the authenticity, legality, and completeness of the report, and shall not evade the energy conservation review through improper means such as splitting or merging projects.
For cities, counties (districts) that have not met the scheduled progress of their energy intensity reduction targets, provincial-level energy conservation review approval restrictions shall be imposed, as appropriate, on projects whose energy intensity exceeds the region’s energy consumption control targets.
Article 11 Fixed-asset investment projects subject to energy conservation review shall log in to the National Integrated Online Government Service Platform · Shandong, select the appropriate administrative level based on review authority, and submit an application in accordance with requirements. If the energy conservation report complies with the statutory format, the energy conservation review authority shall accept it; among these, fixed-asset investment projects requiring energy or coal consumption substitution shall submit the review opinion on the energy or coal consumption substitution plan issued by the competent authority with the corresponding jurisdiction.
If the energy conservation report does not conform to the statutory format or the submitted materials are incomplete, the energy conservation review authority shall notify the construction unit of all required corrections on the spot or within five days. If such notification is not provided within the deadline, the report shall be deemed accepted as of the date of receipt.
Article 12 After accepting an energy conservation report, the energy conservation review authority shall commission an institution with technical capabilities to conduct an evaluation and formulate evaluation opinions, which shall serve as an important basis for the energy conservation review.
The commissioned evaluation institution shall organize experts to conduct a rigorous evaluation of the project’s energy conservation review content. For projects that meet the evaluation requirements or meet them after modification, it shall issue an energy conservation evaluation opinion stating: “Upon evaluation, this project meets the requirements of the Implementation Measures for Energy Conservation Review of Fixed Asset Investment Projects in Shandong Province; it is recommended that an energy conservation review opinion be issued.”For projects falling under any of the following circumstances, an opinion of non-approval shall be issued, stating: “Upon review, this project has XX issues and does not meet the requirements of the Implementation Measures for Energy Conservation Review of Fixed Asset Investment Projects in Shandong Province; it is recommended that an energy conservation review opinion not be issued.”
(1) Projects that have commenced construction in violation of regulations (referring to the formal commencement of construction work on permanent structures; preparatory work prior to this, such as geological surveys, site leveling, demolition of existing buildings, temporary structures, construction access roads, water supply, and electricity connection, does not constitute commencement of construction);
(2) The project fails to meet mandatory energy conservation standards; uses energy-consuming products, equipment, or production processes explicitly phased out by the state; exceeds the energy consumption limit standards per unit of product; or, in the case of new “high-energy-consumption, high-emission” projects, fails to meet the national or Shandong Provincial energy efficiency benchmark levels;
(3) Projects that should have implemented energy or coal consumption substitution but have failed to do so;
(4) The energy conservation report, even after revisions, still fails to meet review requirements;
(5) Engaging in violations such as providing false materials;
(6) Other cases that do not comply with relevant national and Shandong Province energy conservation regulations.
Article 13 The energy conservation review authority shall review the project’s energy conservation report from the following aspects:
(1) Whether the project complies with relevant energy conservation laws, regulations, standards, specifications, and policy requirements;
(2) Whether the project’s energy consumption analysis is objective and accurate, the methodology is scientific, and the conclusions are accurate;
(3) Whether the project’s energy conservation measures are reasonable and feasible;
(4) Whether the calculation of relevant data, such as the project’s energy efficiency level and energy consumption, is accurate and meets the energy conservation management requirements of the region.
Article 14 The energy conservation review authority shall, within 7 working days of receiving the energy conservation report for a fixed-asset investment project (excluding the time required for commissioned review of the energy conservation report), issue an energy conservation review opinion for projects that meet the requirements; for projects falling under any of the following circumstances, it shall issue an opinion denying approval of the energy conservation review.
(1) Projects that have not passed the energy conservation review;
(2) Projects that otherwise fail to comply with relevant national and Shandong Province regulations.
The energy conservation review authority shall publicly disclose information regarding projects under review, including the project construction unit, project name, and the entity that prepared the energy conservation report.
Prior to the energy conservation review authority entrusting relevant institutions to conduct the review, the project construction unit may submit a written application for withdrawal to the energy conservation review authority. For projects approved for withdrawal, the energy conservation review authority shall issue a written certificate of termination of the energy conservation review process and return all submitted materials to the project construction unit. Once the energy conservation review authority has entrusted relevant institutions to conduct the review, the energy conservation review procedure must be completed.
Energy conservation review opinions shall remain valid for two years from the date of issuance. Projects that have not commenced construction within this period or whose completion date exceeds the estimated completion date in the energy conservation report by more than two years shall undergo a new energy conservation review.
Article 15: For fixed-asset investment projects that have passed the energy conservation review, if there are significant changes to the construction site, scope of work, scale of construction, or energy efficiency levels that require amendments to the approval, authorization, or filing, enterprise investment projects shall submit an application for amendment to the original energy conservation review authority after completing the amendment of the approval or filing;Government-invested projects may submit the amendment application directly to the original energy conservation review authority; if the annual actual comprehensive energy consumption exceeds the level approved in the energy conservation review by 10% or more, the construction unit shall prepare a new energy conservation report and submit an amendment application to the original energy conservation review authority. The original energy conservation review authority shall, based on the actual circumstances, issue an opinion approving the amendment or require a new energy conservation review; if the authority for the project’s energy conservation review has changed, the matter shall be promptly transferred to the competent review authority for handling.
Article 16 Prior to the commencement of production or use of a fixed-asset investment project, the construction unit shall organize an acceptance inspection of the production processes, energy-consuming equipment, adoption of energy-saving technologies, and implementation of energy conservation review opinions as outlined in the project’s energy conservation report. It shall prepare an energy conservation acceptance report and submit it to the original energy conservation review authority and the department responsible for energy conservation at the same administrative level for archiving and reference. For projects subject to provincial-level energy conservation review, the energy conservation acceptance report shall be submitted separately to the Provincial Development and Reform Commission and the municipal-level department responsible for energy conservation in the project’s location for archiving and reference.For projects where the approval, authorization, or filing documents explicitly stipulate phased construction, commissioning, or operation, and where energy consumption was calculated on a phased basis during the energy conservation review, energy conservation acceptance may be conducted on a phased basis.Projects that have not undergone energy conservation acceptance or have failed such acceptance shall not be put into production or use. For fixed-asset investment projects with an annual comprehensive energy consumption of less than 1,000 tons of standard coal and an annual electricity consumption of less than 5 million kilowatt-hours that are not subject to separate energy conservation review, the construction unit shall conduct an acceptance inspection of the fulfillment of its commitments within one year after the project is put into production or use. If the project’s actual energy consumption falls within the category requiring energy conservation review, the relevant provisions of Article 22 of these Measures shall apply.
Chapter IV Supervision and Management
Article 17 Energy efficiency reviews for fixed-asset investment projects shall be incorporated into the Online Approval and Supervision Platform for Investment Projects for unified management, implementing online acceptance, processing, supervision, and services to ensure that the review process and results are traceable and subject to oversight. Fixed-asset investment projects not subject to separate energy efficiency reviews shall report project energy consumption and related information through the Online Approval and Supervision Platform for Investment Projects.
Article 18. Departments responsible for energy conservation management shall, in conjunction with relevant industry authorities, strengthen mid-process and post-process supervision of energy conservation reviews, and organize inspections to monitor the implementation of review recommendations and the completion of energy conservation acceptance. Routine supervision and inspection activities shall be conducted in accordance with the “double random, one public” principle.
Article 19. Departments responsible for energy conservation management shall perform their energy conservation supervision and management duties in accordance with laws and regulations, and shall prioritize the implementation of energy conservation reviews as a key focus of energy conservation inspections. Departments responsible for energy conservation management at all levels shall strengthen statistical analysis of energy conservation review information and regularly monitor the energy consumption and energy efficiency levels of projects that have commenced operations, using this as an important reference for assessing the energy conservation situation and carrying out energy conservation work.
Article 20. Municipal and county (district)-level departments responsible for energy conservation management shall regularly report the implementation of energy conservation reviews in their respective regions to the Provincial Development and Reform Commission on a tier-by-tier basis, and shall submit project energy conservation review information and monitoring data on projects already in operation as required. The Provincial Development and Reform Commission shall regularly compile and report the implementation of energy conservation reviews across the province to the National Development and Reform Commission, and shall submit project energy conservation review information and monitoring data on projects already in operation as required.
Article 21 The Provincial Development and Reform Commission shall implement dynamic supervision of energy conservation reviews throughout the province, conduct supervisory inspections of the implementation of energy conservation reviews in various localities, and carry out unscheduled spot checks on the implementation of energy conservation review opinions for major projects. The results of such inspections and spot checks shall serve as an important component of the evaluation and assessment of energy conservation targets and responsibilities.
Chapter V Legal Liability
Article 22. For fixed-asset investment projects that have not undergone energy conservation review in accordance with the provisions of these Measures, or that have commenced construction or commenced production and use without authorization despite failing to pass the energy conservation review, the departments responsible for energy conservation management at the municipal, county (district) level shall order the cessation of construction or production and use, and require rectification within a specified time limit.Projects that have commenced construction without authorization but have not yet commenced production or use shall be subject to a fine of 50,000 yuan or less; projects that have commenced production or use without authorization shall be subject to a fine of between 50,000 yuan and 100,000 yuan, and the project construction unit shall be publicly reprimanded.
For projects required to complete rectification within a specified time limit, after a comprehensive review of the project’s compliance and an analysis and evaluation of the project’s impact on the region’s energy conservation targets and tasks, energy conservation reviews shall be conducted at the appropriate level of authority for projects that are indeed necessary to continue construction or production and use. For projects that meet the requirements, an energy conservation review (filing) opinion shall be issued.
For projects for which the Provincial Development and Reform Commission issues energy conservation review (filing) opinions, the procedures shall be carried out in accordance with the provisions of Chapter III of these Measures. However, when the project construction unit submits the energy conservation report, it must also submit the notice ordering the suspension of construction, proof of payment of the fine, and a report issued by the municipal-level department responsible for energy conservation management in the project’s location. The report shall include, but is not limited to, the following:basic project information, construction scope, commencement date, construction progress, and completed construction work; an explanation of the reasons for commencing construction without prior energy conservation review and the corresponding penalties; a justification for the necessity of approving the project for energy conservation review (filing); and an assessment of the project’s impact on the region’s energy conservation targets upon completion, along with a commitment to incorporate the project into the region’s energy consumption volume and intensity regulation, as well as coal consumption volume control.
For projects undergoing energy conservation review (filing) handled by municipal, county (district) energy conservation review authorities, the provisions above shall apply.
For production projects that cannot be rectified or fail to do so by the deadline, the municipal or county (district) department responsible for energy conservation management shall report to the people’s government at the same level to order the closure of the project in accordance with the authority prescribed by the State Council, and the relevant responsible persons shall be held accountable in accordance with the law.
Article 23 For fixed-asset investment projects that have passed energy conservation review through improper means, such as splitting projects or providing false materials, the energy conservation review authority shall revoke the energy conservation review opinion for the project; for fixed-asset investment projects that have evaded energy conservation review through improper means, the energy conservation review authority shall conduct an energy conservation review in accordance with established procedures. If the project has already commenced construction or been put into production or use, penalties shall be imposed in accordance with the relevant provisions of Article 22 of these Measures.
Article 24. For fixed-asset investment projects that have failed to implement the requirements of the energy conservation review opinion, the department responsible for energy conservation management shall order the construction unit to rectify the situation within a specified time limit. If rectification is not possible or is not completed by the deadline, the department responsible for energy conservation management shall impose penalties in accordance with the relevant provisions of laws and regulations.
Article 25. Fixed-asset investment projects that have not undergone energy conservation acceptance in accordance with these Measures, or that have failed acceptance but have been put into production or use without authorization, as well as fixed-asset investment projects that have passed energy conservation acceptance through improper means such as providing false materials, shall be ordered by the municipal or county (district) department responsible for energy conservation management to rectify the situation within a specified time limit, and shall be fined between 30,000 and 50,000 yuan.
Article 26. Institutions engaged in energy conservation services, such as consulting and evaluation, that provide false information during energy conservation reviews shall be ordered by the department responsible for energy conservation management to rectify the situation, have their illegal gains confiscated, and be fined between 50,000 yuan and 100,000 yuan.
Article 27. Energy conservation review authorities shall record information regarding violations by construction units, intermediary institutions, and other entities. Such violations and their corresponding dispositions shall be incorporated into the Shandong Province Credit Information Sharing Platform and the Online Approval and Supervision Platform for Investment Projects, and made public on the “Credit Shandong” website. For entities listed on the severe credit default list, joint disciplinary measures shall be implemented in accordance with laws and regulations.
Article 28. Staff members responsible for approving government-invested projects who approve projects that have not undergone an energy conservation review or have failed such a review, in violation of the provisions of these Measures, shall be subject to disciplinary action in accordance with the law.
Article 29. Staff members of energy conservation review authorities, energy conservation evaluation institutions, and other relevant personnel involved in the evaluation process who commit disciplinary or legal violations during the energy conservation evaluation shall be subject to disciplinary action in accordance with the law; if such acts constitute a crime, criminal liability shall be pursued in accordance with the law.
Chapter VI Supplementary Provisions
Article 30. As a city with independent planning status, Qingdao City possesses provincial-level energy conservation review authority.
Article 31 These Measures shall come into effect on July 1, 2023, and remain valid until June 30, 2028. The Provincial Development and Reform Commission shall be responsible for their interpretation. The original “Notice of the Shandong Provincial Development and Reform Commission on Issuing the <Implementation Measures for Energy Conservation Review of Fixed Asset Investment Projects in Shandong Province>” (Lu Fa Gai Huan Zi [2018] No. 93) is hereby repealed.
Attachment: Energy Consumption Statement and Energy Conservation Commitment for Fixed Asset Investment Projects Not Subject to Separate Energy Conservation Review.docx
