May 31, 2010
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Notice of the General Office of the State Council on Forwarding the Guiding Opinions of the Ministry of Finance, the National Development and Reform Commission and the People's Bank of China on Promoting the Public-Private Partnership Mode in Public Service Field [Effective]
国务院办公厅转发财政部发展改革委人民银行关于在公共服务领域推广政府和社会资本合作模式指导意见的通知 [现行有效]
Notice of the General Office of the State Council on Forwarding the Guiding Opinions of the Ministry of Finance, the National Development and Reform Commission and the People's Bank of China on Promoting the Public-Private Partnership Mode in Public Service Field 


(No. 42 [2015] of the General Office of the State Council) (国办发〔2015〕42号)

The people's governments of all provinces, autonomous regions and municipalities directly under the Central Government, and all ministries and commissions of and all institutions directly under the State Council: 各省、自治区、直辖市人民政府,国务院各部委、各直属机构:
The Guiding Opinions of the Ministry of Finance, the National Development and Reform Commission and the People's Bank of China on Promoting the Public-Private Partnership Mode in Public Service Field, which have been approved by the State Council, are hereby forwarded to you for your earnest implementation. 财政部、发展改革委、人民银行《关于在公共服务领域推广政府和社会资本合作模式的指导意见》已经国务院同意,现转发给你们,请认真贯彻执行。
The promotion of the Public-Private Partnership (PPP) Mode in public services is an important reform measure for transforming the functions of the government, stimulating the market vitality and creating new economic growth points. Wide adoption of the PPP mode, focusing on public products and public services supply, in energy, transportation, water conservancy, environmental protection, agriculture, forestry, science and technology, welfare housing, medical, healthcare, elderly care, education and culture related public services is strategic to the overall realization of stable growth, reform facilitation, structure adjustment, livelihood improvement and risk prevention. 在公共服务领域推广政府和社会资本合作模式,是转变政府职能、激发市场活力、打造经济新增长点的重要改革举措。围绕增加公共产品和公共服务供给,在能源、交通运输、水利、环境保护、农业、林业、科技、保障性安居工程、医疗、卫生、养老、教育、文化等公共服务领域,广泛采用政府和社会资本合作模式,对统筹做好稳增长、促改革、调结构、惠民生、防风险工作具有战略意义。
All areas and relevant departments shall, according to the requirements of simplification of administrative procedures, decentralization of powers, combination of decentralization with appropriate control and optimization of services, promote the legislation, further improve the systems, regulate the workflow, strengthen regulation, take multiple measures simultaneously, increase support to aspects such as finance and tax, price, land and financial sector, so as to guarantee mutual benefit to both social capital and the public, attract social capital to participate in the investment and operation management of public products and public services projects through multiple financing channels such as the capital market and the exploitative and policy-based financing, and improve the supply capacity and efficiency of public products and public services. 各地区、各部门要按照简政放权、放管结合、优化服务的要求,简化行政审批程序,推进立法工作,进一步完善制度,规范流程,加强监管,多措并举,在财税、价格、土地、金融等方面加大支持力度,保证社会资本和公众共同受益,通过资本市场和开发性、政策性金融等多元融资渠道,吸引社会资本参与公共产品和公共服务项目的投资、运营管理,提高公共产品和公共服务供给能力与效率。
All areas and relevant departments shall pay high attention, well organize the implementation, enhance coordination and cooperation with a consideration of the whole, practically perform the duties, and jointly carry them out effectively. 各地区、各部门要高度重视,精心组织实施,加强协调配合,形成工作合力,切实履行职责,共同抓好落实。
General Office of the State Council 国务院办公厅
May 19, 2015 2015年5月19日
Guiding Opinions on Promoting the Public-Private Partnership Mode in Public Service Field 关于在公共服务领域推广政府和社会资本合作模式的指导意见
(Ministry of Finance, National Development and Reform Commission, People's Bank of China) (财政部、发展改革委、人民银行)
With a view to encouraging business startup by the public and innovation by the mass and adding “double engines” of public products and public services, providing high-quality and high-efficient public services to the mass people, and cultivating new impetus of economic growth in livelihood improvement, the following opinions are put forward with regard to the reform and innovation of public service supply mechanism and the promotion of Public-Private Partnership (PPP) mode: 为打造大众创业、万众创新和增加公共产品、公共服务“双引擎”,让广大人民群众享受到优质高效的公共服务,在改善民生中培育经济增长新动力,现就改革创新公共服务供给机制,大力推广政府和社会资本合作(Public-PrivatePartnership,PPP)模式,提出以下意见:
1.Fully understanding the significance of the promotion of PPP mode   一、充分认识推广政府和社会资本合作模式的重大意义
PPP mode is an important innovation of the public services supply mechanism. In other words, the government uses competitive method to make merit-based selection of social capital with investment and operation management capability, and both parties enter into a contract according to the principle of equal consultation to specify their rights and obligations, namely, the social capital provides public services and the government makes corresponding payment to the social capital pursuant to the performance evaluation of public services and guarantees fair return of social capital. PPP mode can give full play to the market mechanism to improve the quality and efficiency of the supply of public services, and maximize public interests. 政府和社会资本合作模式是公共服务供给机制的重大创新,即政府采取竞争性方式择优选择具有投资、运营管理能力的社会资本,双方按照平等协商原则订立合同,明确责权利关系,由社会资本提供公共服务,政府依据公共服务绩效评价结果向社会资本支付相应对价,保证社会资本获得合理收益。政府和社会资本合作模式有利于充分发挥市场机制作用,提升公共服务的供给质量和效率,实现公共利益最大化。
(1) Conductive to accelerating the transformation of government functions and realizing the separation of the functions of the government from those of enterprises and public institutions. Domestic and overseas enterprises, social organizations and intermediaries, as social capital, undertake responsibilities of design, construction, investment, financing, operation and maintenance involved in public services, and the government, as the supervisor and cooperator, shall reduce direct participation in micro affairs and strengthen the responsibilities of development strategy formulation, social administration, market regulation and performance assessment so as to help solve problems of malposition, offside and absence of government functions, deepen the reform of investment and financing system and facilitate the modernization of the governance system and capacity of the State. (一)有利于加快转变政府职能,实现政企分开、政事分开。作为社会资本的境内外企业、社会组织和中介机构承担公共服务涉及的设计、建设、投资、融资、运营和维护等责任,政府作为监督者和合作者,减少对微观事务的直接参与,加强发展战略制定、社会管理、市场监管、绩效考核等职责,有助于解决政府职能错位、越位和缺位的问题,深化投融资体制改革,推进国家治理体系和治理能力现代化。
(2) Conductive to breaking the industry access restriction and stimulating economic vitality and creativity. PPP mode can effectively break various unreasonable restrictions on access into public services by social capital, encourage State-holding enterprises, private enterprises, mixed-ownership enterprises and other types of enterprises to actively participate in the provision of public services, provide more opportunities for small and medium-size enterprises to participate, significantly expand the development space of social capital especially private capital, motivate market players' vitality and development potential, benefit the efficient utilization of social stock capital, form multiple and sustainable channels of capital investment in public services, create new economic growth points, and enhance economic growth impetus. (二)有利于打破行业准入限制,激发经济活力和创造力。政府和社会资本合作模式可以有效打破社会资本进入公共服务领域的各种不合理限制,鼓励国有控股企业、民营企业、混合所有制企业等各类型企业积极参与提供公共服务,给予中小企业更多参与机会,大幅拓展社会资本特别是民营资本的发展空间,激发市场主体活力和发展潜力,有利于盘活社会存量资本,形成多元化、可持续的公共服务资金投入渠道,打造新的经济增长点,增强经济增长动力。
(3) Conductive to improving financial investment and management method and enhancing the financial fund application benefit. Under PPP mode, the government uses operating subsidy as the consideration for providing public services by social capital and the results of performance assessment as the consideration payment basis and includes the same into budget management, medium-term planning of finance and government financial reports. PPP mode, which complies with intergenerational equity, can fairly share the investment of public capital between present and future generations, effectively make up for the inadequate financial input for the current period, help ease the financial expenditure pressure, reduce the fluctuation of annual financial expenditures, and prevent and resolve governmental debt risks. (三)有利于完善财政投入和管理方式,提高财政资金使用效益。在政府和社会资本合作模式下,政府以运营补贴等作为社会资本提供公共服务的对价,以绩效评价结果作为对价支付依据,并纳入预算管理、财政中期规划和政府财务报告,能够在当代人和后代人之间公平地分担公共资金投入,符合代际公平原则,有效弥补当期财政投入不足,有利于减轻当期财政支出压力,平滑年度间财政支出波动,防范和化解政府性债务风险。
2. General requirements   二、总体要求
(4) Guiding thoughts. It is imperative to implement the requirements laid down at the 18th National Congress of the CPC and the Second, Third and Fourth Plenary Sessions of the 18th Central Committee of the CPC, carry out reform and innovation of public services supply mechanism and investment method, bring into play the crucial rule of market in resource allocation, better give play to the government, guide and encourage social capital to actively participate in public services supply, and provide high-quality and high-efficient public services to the people according to the decisions and arrangements of the Central Committee of the CPC and the State Council, referring to the international mature experience and based on the domestic actual situation. (四)指导思想。贯彻落实党的十八大和十八届二中、三中、四中全会精神,按照党中央、国务院决策部署,借鉴国际成熟经验,立足国内实际情况,改革创新公共服务供给机制和投入方式,发挥市场在资源配置中的决定性作用,更好发挥政府作用,引导和鼓励社会资本积极参与公共服务供给,为广大人民群众提供优质高效的公共服务。
(5) Basic principles. (五)基本原则。
Principle of complying with laws and regulations. It is imperative to include PPP under legal-based management, establish and refine relevant rules and systems, protect the legitimate rights and interests of all parties involved, define the product life-cycle management requirements, and ensure standard implementation of projects. 依法合规。将政府和社会资本合作纳入法制化轨道,建立健全制度体系,保护参与各方的合法权益,明确全生命周期管理要求,确保项目规范实施。
Principle of keeping promise and implementing performance. The legal status as well as rights and obligations of the capital of government and social capital are equal, and it is imperative to have contract concept and insist on consultation on the basis of equality, mutual benefit, honesty and trustworthiness, and keeping promise. 重诺履约。政府和社会资本法律地位平等、权利义务对等,必须树立契约理念,坚持平等协商、互利互惠、诚实守信、严格履约。
Principle of openness and transparency. It is imperative to use transparent operation, fully disclose the important information of PPP projects, guarantee the public's right to know, and have efficient supervision over and constraint on all parties involved. 公开透明。实行阳光化运作,依法充分披露政府和社会资本合作项目重要信息,保障公众知情权,对参与各方形成有效监督和约束。
Principle of public benefit. It is imperative to strengthen government regulation, integrate the government's policy goal and social goal with the operation efficiency and technical progress of social capital, accelerate the competition and innovation of social capital, and guarantee maximization of public interest. 公众受益。加强政府监管,将政府的政策目标、社会目标和社会资本的运营效率、技术进步有机结合,促进社会资本竞争和创新,确保公共利益最大化。
Principle of making active and steady efforts. It is imperative to encourage local people's governments at all levels and the industrial administrative departments to adjust measures to local conditions, explore practices in line with local conditions and industrial characteristics, summarize and extract experience, and form development models suitable to China's situation; insist on the principle of necessary, reasonable and sustainable financial input, make orderly advancement of project implementation, control the government's payment responsibility for projects, and prevent the aggravation of financial revenue and expenditure conflict and expenditure pressure due to overburden of government payment obligation. 积极稳妥。鼓励地方各级人民政府和行业主管部门因地制宜,探索符合当地实际和行业特点的做法,总结提炼经验,形成适合我国国情的发展模式。坚持必要、合理、可持续的财政投入原则,有序推进项目实施,控制项目的政府支付责任,防止政府支付责任过重加剧财政收支矛盾,带来支出压力。
(6) Development goals. It is imperative to form the rules and systems that can effectively promote standard and healthy development of PPP mode based on the enhancement and improvement of public services, and cultivate the PPP market that has unified regulations, openness and transparency, orderly competition, and effective supervision; make every effort to resolve the risks of local government debts, actively introduce social capital to participate in the transformation of stock projects of local financing platform companies, and try to reduce the debts of local governments via PPP mode; gradually increase the proportion of PPP mode in new public service projects. (六)发展目标。立足于加强和改善公共服务,形成有效促进政府和社会资本合作模式规范健康发展的制度体系,培育统一规范、公开透明、竞争有序、监管有力的政府和社会资本合作市场。着力化解地方政府性债务风险,积极引进社会资本参与地方融资平台公司存量项目改造,争取通过政府和社会资本合作模式减少地方政府性债务。在新建公共服务项目中,逐步增加使用政府和社会资本合作模式的比例。
3.Setting up the rules and systems to guarantee the sustained and healthy development of PPP mode   三、构建保障政府和社会资本合作模式持续健康发展的制度体系
(7) Defining the project implementation management framework. It is imperative to establish and refine the system of systems and rules, implement product life-cycle management, and guarantee the project implementation quality; further improve the operating guidelines, regulate the operating procedures of project identification, preparation, procurement, and handover stages, specify operating requirements, and guide social capital to take part in the implementation; formulate contract guidance, and facilitate the standardization of common problem solving methods; formulate the standardized contracts according to industries and fields, and improve the efficiency of contract drafting and negotiation; formulate and refine the detailed management rules, regulate the partner selection procedures and methods and protect national interest, social interest and the legitimate rights and interests of social capital in accordance with the Budget Law, the Contract Law, the Government Procurement Law and the implementation regulations thereof, the Guiding Opinions of the General Office of the State Council on Government Procurement of Services from Non-government Market Players (No. 96 [2013] of the General Office of the State Council) and other relevant requirements. (七)明确项目实施的管理框架。建立健全制度规范体系,实施全生命周期管理,保证项目实施质量。进一步完善操作指南,规范项目识别、准备、采购、执行、移交各环节操作流程,明确操作要求,指导社会资本参与实施。制定合同指南,推动共性问题处理方式标准化。制定分行业、分领域的标准化合同文本,提高合同编制效率和谈判效率。按照预算法合同法政府采购法及其实施条例、《国务院办公厅关于政府向社会力量购买服务的指导意见》(国办发〔2013〕96号)等要求,建立完善管理细则,规范选择合作伙伴的程序和方法,维护国家利益、社会公共利益和社会资本的合法权益。
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