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Guiding Opinions of the National Development and Reform Commission on Carrying out Public-Private-Partnership [Effective]
国家发展和改革委员会关于开展政府和社会资本合作的指导意见 [现行有效]
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Guiding Opinions of the National Development and Reform Commission on Carrying out Public-Private-Partnership 

国家发展和改革委员会关于开展政府和社会资本合作的指导意见

(No. 2724 [2014] of the National Development and Reform Commission) (发改投资[2014]2724号)

The development and reform commissions of all provinces, autonomous regions, municipalities directly under the Central Government, cities under separate state planning, and Xinjiang Production and Construction Corps: 各省、自治区、直辖市及计划单列市、新疆生产建设兵团发展改革委:
To satisfy the relevant requirements of the Guiding Opinions of the State Council on Innovating the Investment and Financing Mechanism for the Key Fields and Encouraging Social Investment (No. 60 [2014], State Council) on encouraging and directing social investment, enhancing the capacity of supplying public products, promoting structural adjustment, making up short slabs, and benefiting people's livelihood, the following guiding opinions on carrying out Public-Private-Partnership (“PPP”) are hereby offered: 为贯彻落实《国务院关于创新重点领域投融资机制鼓励社会投资的指导意见》(国发〔2014〕60号)有关要求,鼓励和引导社会投资,增强公共产品供给能力,促进调结构、补短板、惠民生,现就开展政府和社会资本合作提出如下指导意见。
I. Fully understanding the significance of PPP   一、充分认识政府和社会资本合作的重要意义
The PPP mode means a long-term benefit sharing and risk sharing partnership established by the government with social capital through franchising, purchase of services, equity cooperation, and other ways, to enhance capacity of supplying public products and services and to improve supply efficiency. Carrying out PPP is conducive to the innovation of the investment and financing mechanism, the broadening of social capital investment channels, and enhancement of endogenous economic growth power; helps promote mutual integration of various types of capital and make their respective advantages complementary to each other, promote the diversification of investors, and develop mixed-ownership economy; helps straighten out the relationship between the government and the market, accelerate the transformation of government functions, and maximize the decisive role of the market in allocation of resources. 政府和社会资本合作(PPP)模式是指政府为增强公共产品和服务供给能力、提高供给效率,通过特许经营、购买服务、股权合作等方式,与社会资本建立的利益共享、风险分担及长期合作关系。开展政府和社会资本合作,有利于创新投融资机制,拓宽社会资本投资渠道,增强经济增长内生动力;有利于推动各类资本相互融合、优势互补,促进投资主体多元化,发展混合所有制经济;有利于理顺政府与市场关系,加快政府职能转变,充分发挥市场配置资源的决定性作用。
II. Accurately grasping the main principles of PPP   二、准确把握政府和社会资本合作的主要原则
(1) Transforming government functions and reasonably defining responsibility positioning of government. Carrying out PPP has put forward higher requirements for the transformation of government functions and improvement in management level. The government shall firmly establish the awareness of equality and the concept of cooperation, concentrate on effective completion of policy formulation, development planning, market supervision and guidance service, and transform from direct “provider” of public products to “cooperator” of social capital and “supervisor” of PPP projects. (一)转变职能,合理界定政府的职责定位。开展政府和社会资本合作,对转变政府职能、提高管理水平提出了更高要求。政府要牢固树立平等意识及合作观念,集中力量做好政策制定、发展规划、市场监管和指导服务,从公共产品的直接“提供者”转变为社会资本的“合作者”以及PPP项目的“监管者”。
(2) Adjusting measures to local conditions and establishing a reasonable mechanism of return on investment. Benefit expectation of social capital shall be stabilized by granting franchises, verifying standards of prices and fees, providing financial subsidies, and clarifying exclusive agreement, in light of the reality of various regions. In strengthening project cost monitoring, you shall not only fully mobilize the enthusiasm of social capital, but also prevent unreasonable surrendering of profits or transfer of benefits. (二)因地制宜,建立合理的投资回报机制。根据各地实际,通过授予特许经营权、核定价费标准、给予财政补贴、明确排他性约定等,稳定社会资本收益预期。加强项目成本监测,既要充分调动社会资本积极性,又要防止不合理让利或利益输送。
(3) Reasonably designing and building an effective risk-sharing mechanism. According to the principle of risk-benefit reciprocity, project risks shall be rationally allocated between the government and social capital. Generally, the risks of construction and operation of projects shall be assumed by social capital. Legal and policy adjustment risks shall be assumed by the government. Risks of natural disasters and other force majeure events shall be jointly assumed by both parties. (三)合理设计,构建有效的风险分担机制。按照风险收益对等原则,在政府和社会资本间合理分配项目风险。原则上,项目的建设、运营风险由社会资本承担,法律、政策调整风险由政府承担,自然灾害等不可抗力风险由双方共同承担。
(4) Keeping faith and guaranteeing the lawful rights and interests of both parties. Project contracts shall be concluded on the basis of equal consultation, in compliance with laws and regulations, and in accordance with the principle of clear definition of rights and obligations, normalization and efficiency. The two parties to a contract shall firmly establish the legal awareness, contract consciousness and awareness of credit. The project contracts must be strictly enforced after signing. The breaching party without due causes must be held accountable. (四)诚信守约,保证合作双方的合法权益。在平等协商、依法合规的基础上,按照权责明确、规范高效的原则订立项目合同。合同双方要牢固树立法律意识、契约意识和信用意识,项目合同一经签署必须严格执行,无故违约必须承担相应责任。
(5) Improving the mechanism and creating an open and transparent policy environment. System design shall be improved from project selection, program review, determination of partners, price management, withdrawal mechanism, performance evaluation, and other respects, and a favorable policy environment shall be created to ensure scientific decision-making, standardized procedure, open process, clarified responsibilities, and steadily promotion for the implementation of the projects. (五)完善机制,营造公开透明的政策环境。从项目选择、方案审查、伙伴确定、价格管理、退出机制、绩效评价等方面,完善制度设计,营造良好政策环境,确保项目实施决策科学、程序规范、过程公开、责任明确、稳妥推进。
III. Reasonably determining the scope and mode of PPP projects   三、合理确定政府和社会资本合作的项目范围及模式
1. Applicable scope of the projects. PPP mode mainly applies to the public services and infrastructure projects for which the government assumes the responsibility of provision and which are also suitable for market operation. The PPP mode may be adopted for gas, power supply, water supply, heating, sewage and waste disposal and other municipal facilities, highways, railways, airports, urban rail transit and other transportation facilities, health care, tourism, education and training, health, pension and other public service projects, as well as water conservancy, resources and environment, and ecological protection projects. Priority shall be given to the PPP mode for the pilot programs of new municipal engineering projects and new-type urbanization projects across this country. (一)项目适用范围。PPP模式主要适用于政府负有提供责任又适宜市场化运作的公共服务、基础设施类项目。燃气、供电、供水、供热、污水及垃圾处理等市政设施,公路、铁路、机场、城市轨道交通等交通设施,医疗、旅游、教育培训、健康养老等公共服务项目,以及水利、资源环境和生态保护等项目均可推行PPP模式。各地的新建市政工程以及新型城镇化试点项目,应优先考虑采用PPP模式建设。
2. Selection of operation mode. (二)操作模式选择。
(1) Operational projects. The projects with clear basis for charges and operating charges capable of completely covering the investment costs may be promoted by Build-Operate-Transfer (“BOT”), Build-Own-Operate-Transfer (“BOOT”), and other modes, through the government's grant of franchise rights. The construction and operation market of relevant projects shall be opened according to the law, to actively promote the gradual implementation of franchising in the natural monopoly industries. 1.经营性项目。对于具有明确的收费基础,并且经营收费能够完全覆盖投资成本的项目,可通过政府授予特许经营权,采用建设-运营-移交(BOT)、建设-拥有-运营-移交(BOOT)等模式推进。要依法放开相关项目的建设、运营市场,积极推动自然垄断行业逐步实行特许经营。
(2) Quasi-operational projects. The projects needing partial government subsidy of funds or resources due to insufficiency of their operating charges to cover the investment costs may be promoted by BOT, Build-Own-Operate (“BOO”), and other modes, through the government's grant of franchise rights, supplemented with some subsidies or equity participation with direct investment, and other measures. A collaborative mechanism shall be established for investment, subsidies and price, to actively create conditions for investors' obtaining reasonable returns. 2.准经营性项目。对于经营收费不足以覆盖投资成本、需政府补贴部分资金或资源的项目,可通过政府授予特许经营权附加部分补贴或直接投资参股等措施,采用建设-运营-移交(BOT)、建设-拥有-运营(BOO)等模式推进。要建立投资、补贴与价格的协同机制,为投资者获得合理回报积极创造条件。
(3) Non-operational projects. The projects mainly relying on “governments pay” to recover investment costs due to lack of the basis of “users pay” may be promoted by BOO, commissioned operation, and other market-oriented modes, through the government's purchase of services. The contents to be purchased shall be reasonably determined, to wisely utilize the limited funds and to earnestly improve fund application benefit. 3.非经营性项目。对于缺乏“使用者付费”基础、主要依靠“政府付费”回收投资成本的项目,可通过政府购买服务,采用建设-拥有-运营(BOO)、委托运营等市场化模式推进。要合理确定购买内容,把有限的资金用在刀刃上,切实提高资金使用效益。
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