【中英文对照版】关于规范实施政府和社会资本合作新机制的指导意见.docx

国务院办公厅转发国家发展改 革委、财政部关于规范实施 政府和社会资本合作新机制的 指导意见的通知(国办函(2023) 115号)各省、自治区、直辖市人民政 府，国务院各部委、各直属机 构：国家发展改革委、财政部关 于规范实施政府和社会资本合 作新机制的指导意见已经国关于规范实施政府和社会资本合作新机制的指导意见GuidingOpinionsoftheNationalDevelopmentandReformCommissionandtheMinistryofFinanceonStandardizingtheImplementationoftheNewMechanismforPublic-Private-Partnership制定机关：国务院办公厅发文字号：国办函2023115号公布日期：2023.11.03施行日期：2023.11.03效力位阶：国务院规范性文件法规类别：财政粽合规定IssuingAuthority：GeneralOfficeoftheSlateCouncilDocumentNumber：LetterNo.1152023oftheGeneralOfficeoftheStateCouncilDateIssued：11-03-2023EffectiveDate：11-03-20231.evelofAuthority：RegulatoryDocumentsoftheStateCouncilAreaofLaw:GeneralProvisionsonFinanceNoticebytheGeneralOfficeoftheStateCouncilofForwardingtheGuidingOpinionsoftheNationalDevelopmentandReformCommissionandtheMinistryofFinanceonStandardizingtheImplementationoftheNewMechanismforPublic-Private-Partnership(LetterNo.1152023oftheGeneralOfficeoftheStateCouncil)Thepeople'sgovernmentsofallprovinces,autonomousregions,andmunicipalitiesdirectlyundertheCentralGovernment;andallministriesandcommissionsoftheStateCouncilandallinstitutionsdirectlyundertheStateCouncil:TheGuidingOpinionsoftheNationalDevelopmentandReformCommissionandtheMinistryofFinanceonStandardizingtheImplementationoftheNewMechanismforPublic-Private-Partnership,withconsentoftheStateCouncil,areherebyforwardedforyourdiligentimplementation.GeneralOfficeoftheStateCouncilNovember3,2023GuidingOpinionsoftheNationalDevelopmentandReformCommissionandtheMinistryofFinanceonStandardizingtheImplementationoftheNewMechanismforPublic-Pnvate-Partnership(NationalDevelopmentandReformCommissionandMinistryofFinance)Overthenearly10yearssincetheimplementationofPublic-Private-Partnership(PPP),ithasimprovedpublicservicesandstimulatedeffectiveinvestmenttoacertainextent,buttherearealsosomeproblemsthatneedtoberesolvedinpractice.ForthepurposesofimplementingthedecisionsanddeploymentsoftheCPCCentralCommitteeandtheStateCouncil,furtherdeepeningthereformoftheinfrastructureinvestmentandfinancingsystem,andeffectivelystimulatingthevitalityofprivateinvestment,thefollowingGuidingOpinionsareherebyputforwardonthestandardizedimplementationofthenewmechanismforPPP(referredtoastheunewmechaismn).务院同意，现转发给你们，请 认真贯彻落实。国务院办公厅2023年11月3日关于规范实施政府和社会资本 合作新机制的指导意见（国家发展改革委财政部）政府和社会资本合作（PPP）实 施近十年来，一定程度上起到 了改善公共服务、拉动有效投 资的作用，但在实践中也出现 了一些亟待解决的问题。为贯 彻落实党中央、国务院决策部 署，进一步深化基础设施投融 资体制改革，切实激发民间投 资活力，现就规范实施政府和 社会资本合作新机制（简称新 机制）提出如下指导意见。一、准确把握新机制的总体要 求I.AccuratelygraspingtheoverallrequirementsofthenewmechanismUnderguidanceoftheXiJinpingThoughtonSocialismwithChineseCharacteristicsinaNewEra,thespiritofthe20thCPCNationalCongressshallbecomprehensivelyimplemented,thegeneralworktoneofseekingprogresswhilemaintainingstabilityshallbeinsistedon,thenewdevelopmentconceptshallbeimplementedinacomplete,accurateandcomprehensivemanner,anewdevelopmentpatternshallbebuiltinanacceleratedmanner,jointeffortsshallbemadetopromotethehigh-qualitydevelopment,developmentandsecurityshallbeplannedinanoverallmanner,thenewmechanismforPPPshallbeimplementedinaregulatedmanner,theroleofthemarketmechanismshallbefullymaximized,thespaceofprivateinvestmentshallbeexpanded,newhiddendebtsoflocalgovernmentsshallberesolutelycurbed,theconstructionandoperationofinfrastructureandpublicutilityprojectsshallbeimproved,andstandardizeddevelopmentandtransparentoperationshallbeensured.以习近平新时代中国特色社会 主义思想为指导，深入贯彻党 的二十大精神，坚持稳中求进 工作总基调，完整、准确、全 面贯彻新发展理念，加快构建 新发展格局，着力推动高质量 发展，统筹发展和安全，规范 实施政府和社会资本合作新机 制，充分发挥市场机制作用， 拓宽民间投资空间，坚决遏制 新增地方政府隐性债务，提高 基础设施和公用事业项目建设 运营水平，确保规范发展、阳 光运行。（一）聚焦使用者付费项 目。政府和社会资本合作项目 应聚焦使用者付费项目，明确 收费渠道和方式，项目经营收 入能够覆盖建设投资和运营成 本、具备一定投资回报，不因 采用政府和社会资本合作模式 额外新增地方财政未来支出责 任。政府可在严防新增地方政 府隐性债务、符合法律法规和 有关政策规定要求的前提下， 按照一视同仁的原则，在项目 建设期对使用者付费项目给予 政府投资支持；政府付费只能 按规定补贴运营、不能补贴建 设成本。除此之外，不得通过 可行性缺口补助、承诺保底收1. Focusingonuser-payprojects.PPPprojectsshallfocusonuser-payprojects,andspecifythefeechannelsandmethods.Operatingincomeofprojectsmaycovertheconstructioninvestmentandoperatingcosts,thereshallbeacertainreturnoninvestment,andnoadditionalresponsibilitiesforlocalfuturefiscalexpendituresshallbeaddedduetoadoptionofthePPPmodel.Thegovernmentmay,underthepremiseofstrictlypreventingnewhiddendebtsoflocalgovernmentsandcomplyingwithlawsandregulationsandrelevantpoliciesandundertheprincipleofequaltreatmentwithoutdiscrimination,providegovernmentinvestmentsupportforuserpayprojectsduringtheconstructionperiod;andgovernmentpaymentmayonlysubsidizeoperation,ratherthanconstructioncosts,accordingtotheregulations.Inaddition,financialfundsshallnotbeusedtocoverprojectconstructionandoperatingcostsbyanymeanssuchasfeasibilitygapsubsidies,promisedminimumreturnrates,availabilityfees,etc.2. Completelyadoptingthefranchisemodel.PPPshallbeimplementedbythefranchisemodel.Accordingtotheactualsituationoftheproject,specificimplementationmethodssuchasbuild-operate-transfer(BOT),transfer-operate-transfer(TOT),rebuild-operate-transfer(ROT),build-ow-operate-transfer(BOOT),anddesign-build-finace-operate-transfer(DBFOT)shallbeadoptedreasonably,andtheownershipofassetsduringconstructionandoperationshallbeclearlystipulatedinthecontract,toclearlydefinetherights,responsibilitiesandinterestsofallparties.益率、可用性付费等任何方 式，使用财政资金弥补项目建 设和运营成本。(二)全部采取特许经营 模式。政府和社会资本合作应 全部采取特许经营模式实施， 根据项目实际情况，合理采用 建设一运营一移交(BOT),转 让一运营一移交(TOT)、改 建一运营一移交(ROT)、建 设一拥有一运营一移交 (BOOT )、设计一建设一融 资一运营一移交(DBFOT)等具 体实施方式，并在合同中明确 约定建设和运营期间的资产权 属，清晰界定各方权责利关 系。()合理把握重点领 域。政府和社会资本合作应限 定于有经营性收益的项目，主 要包括公路、铁路、民航基础 设施和交通枢纽等交通项目， 物流枢纽、物流园区项目，城 镇供水、供气、供热、停车场 等市政项目，城镇污水垃圾收 集处理及资源化利用等生态保 护和环境治理项目，具有发电 功能的水利项目，体育、旅游 公共服务等社会项目，智慧城 市、智慧交通、智慧农业等新 型基础设施项目，城市更新、 综合交通枢纽改造等盘活存量 和改扩建有机结合的项目。3. Reasonablygraspingkeyfields.PPPshallbelimitedtoprojectswithoperationalincome,mainlyincludingtransportationprojectssuchasroads,railways,civilaviationinfrastructureandtransportationhubs,projectsoflogisticshubsandlogisticsparks,urbanwatersupply,gassupply,heatsupply,parkinglotsandothermunicipalprojects,ecologicalprotectionandenvironmentalgovernanceprojectssuchasurbansewageandgarbagecollection,treatmentandresourceutilization,waterconservancyprojectswithpowergenerationfunctions,socialprojectssuchassportsandtourismpublicservices,newinfrastructureprojectssuchassmartcities,smarttransportation,andsmartagriculture,urbanrenewal,renovationofcomprehensivetransportationhubs,andotherprojectsthatorganicallycombinerevitalizationandexpansion.4. Preferentiallyselectingprivateenterprisestoparticipate.Theoriginalintentionandreturningtothesourceshallbeinsistedon,privateenterprisesshallbeencouragedtoparticipateinthenewconstruction(includingreconstructionandexpansion)projectsofPPPtothemaximumextent,andtheListofNewFranchiseConstruction(IncludingReconstructionandExpansion)ProjectsforWhichPrivateEnterprises*ParticipationisSupported(2023)(hereinafterreferredtoasthe"List,“seeannex)shallbedevelopedanddynamicallyadjusted.Projectswithhighmarketizationdegreeandweakpublicattributeshallbewhollyownedorcontrolledbyprivateenterprises;forprojectsrelatedtothenationaleconomyandpeople'slivelihoodandwithstrongpublicattribute,theequityratioofprivateenterprisesshallnotbelessthan35%inprinciple;andforasmallnumberofprojectsinvolvingnationalsecurity,strongpublicattributeandnaturalmonopolyattribute,conditionsshallbeactivelycreatedforprivateenterprisestoparticipateandprivateenterprisesshallbesupportedinparticipating.PrivateenterprisesmaybeactivelyencouragedtoparticipateinPPPprojectsoutsidethefieldslistedintheList.Theparticipationofforeign-fundedenterprisesinPPPprojectsshallbecarriedoutinaccordancewiththerelevantrequirementsforadministrationofforeigninvestmentandwithreferencetotheaforesaidprovisions.（四）优先选择民营企业 参与。要坚持初衷、回归本 源，最大程度鼓励民营企业参 与政府和社会资本合作新建 （含改扩建）项目，制定支 持民营企业参与的特许经营新 建（含改扩建）项目清单 （2023年版）（以下简称清 单，见附件）并动态调整。市 场化程度较高、公共属性较弱 的项目，应由民营企业独资或 控股；关系国计民生、公共属 性较强的项目，民营企业股权 占比原则上不低于35%；少数 涉及国家安全、公共属性强且 具有自然垄断属性的项目，应 积极创造条件、支持民营企业 参与。对清单所列领域以外的 政府和社会资本合作项目，可 积极鼓励民营企业参与。外商 投资企业参与政府和社会资本 合作项目按照外商投资管理有 关要求并参照上述规定执行。（五）明确管理责任分 工。国家发展改革委要牵头做 好特许经营模式推进工作，切 实加强政策指导。地方各级人 民政府要切实负起主体责任， 规范推进本级政府事权范围内 的特许经营项目。地方各级人 民政府可依法依规授权有关行 业主管部门、事业单位等，作5. Specifyingthedivisionofmanagementresponsibilities.TheNationalDevelopmentandReformCommissionshalltaketheleadineffectivelypromotingthefranchisemodelandeffectivelystrengthenpolicyguidance.Localpeople'sgovernmentsatalllevelsshalleffectivelyassumeprimaryresponsibilitiesandpromotefranchiseprojectswithinthescopeofthegovernmentspoweratthesamelevelinastandardizedmanner.Localpeople,sgovernmentsatalllevelsmay,inaccordancewiththelawsandregulations,authorizerelevantindustrydepartmentsandpublicinstitutionstoserveasfranchiseprojectimplementationinstitutions(hereinafterreferredtoasuprojectimplementationinstitutions")toberesponsibleforthepreparationoffranchiseplans,theselectionoffranchisees,thesigningoffranchiseagreements,thesupervisionoverimplementationofprojects,andthetransferandreceiptuponexpirationofcooperation.Localdevelopmentandreformdepartmentsatalllevelsshallmaximizethecomprehensivecoordinationrole,strictlycontroltherelevantcontentsoftheprojectfranchiseplan,andperformthedutiesofprojectapproval,verificationorrecordationinaccordancewiththelawsandregulations.Financialdepartmentsatalllevelsshallstrictlyimplementthebudgetmanagementsystem,strengthenthemanagementoflocalgovernmentdebts,intensifyfinancialsupervision,andstrictlyimplementthefinancialdisciplines.为特许经营项目实施机构（以 下简称项目实施机构），负责 特许经营方案编制、特许经营 者选择、特许经营协议签订、 项目实施监管、合作期满移交 接收等工作。地方各级发展改 革部门要发挥综合协调作用， 严格把关项目特许经营方案等 有关内容，依法依规履行项目 审批、核准或备案职责。各级 财政部门要严格执行预算管理 制度，加强地方政府债务管 理，加大财会监督力度，严肃 财经纪律。（六）稳妥推进新机制实 施。把握好工作力度、节奏， 2023年2月政府和社会资本合 作项目清理核查前未完成招标 采购程序的项目，以及后续新 实施的政府和社会资本合作项 目，均应按照本指导意见规定 的新机制执行，不再执行2015 年5月印发的国务院办公厅 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（国办发（2015） 42 号）。6. Prudentlyadvancingtheimplementationofthenewmechanism.Theintensityandpaceofworkshallbeeffectivelygrasped.TheprojectsforwhichthebiddingandprocurementprocedureshavenotcompletedbeforetheliquidationandverificationofPPPprojectsinFebruary2023,aswellasthenewlyimplementedPPPprojectsshallbeimplementedinaccordancewiththenewmechanismstipulatedintheseGuidingOpinions.TheNoticebytheGeneralOfficeoftheStateCouncilofForwardingtheGuidingOpinionsoftheMinistryofFinance,theNationalDevelopmentandReformCommission,andthePeople'sBankofChinaforPromotingthePublic-Private-PartnershipModelinthePublicServiceFields(No.422015,GeneralOfficeoftheStateCouncil)issuedinMay2015shallnolongerbeimplemented.II.Promotingconstructionandimplementationinastandardizedmanner7. Strictlyreviewingthefranchiseplan.Forprojectstobeimplementedbythefranchisemodel,theprojectimplementationinstitutionshalltaketheleadinpreparingthefranchiseplanwithreferencetothefeasibilitystudyreportpreparationspecifications,andtheexaminationformalitiesshallbeundergonebytherelevantdepartmentsinaccordancewiththeapprovalauthorityandrequirementsofgovernmentinvestmentprojects,toreasonablycontrolthecontentandscaleoftheprojectconstructionandspecifytheprojectoutput(service)plan.Whenexaminingthefranchiseplan,feasibilitydemonstrationoffranchisemodelshallbeconductedconcurrently,andwhethertheprojectissuitableforadoptingthefranchisemodelshallbediligentlycomparedanddemonstrated;andifnecessary,evaluationmaybeentrustedtoprofessionalconsultinginstitutionstoevaluateandimprovethequalityoffeasibilitydemonstration.二、规范推进建设实施（七）严格审核特许经营 方案。对拟采取特许经营模式 实施的项目，项目实施机构应 参照可行性研究报告编写规 范，牵头编制特许经营方案， 并比照政府投资项目审批权限 和要求，由有关方面履行审核 手续，以合理控制项目建设内 容和规模、明确项目产出（服 务）方案。在审核特许经营方 案时，要同步开展特许经营模 式可行性论证，对项目是否适 合采取特许经营模式进行认真 比较和论证；必要时可委托专 业咨询机构评估，提高可行性 论证质量。（A）公平选择特许经营 者。项目实施机构应根据经批 准的特许经营方案，通过公开 竞争方式依法依规选择特许经 营者（含特许经营者联合体， 下同）。应将项目运营方案、 收费单价、特许经营期限等作 为选择特许经营者的重要评定 标准，并高度关注其项目管理 经验、专业运营能力、企业综 合实力、信用评级状况。选定 的特许经营者及其投融资、建 设责任原则上不得调整，确需 调整的应重新履行特许经营者8. Fairselectionoffranchisees.Theprojectimplementationinstitutionsshall,inaccordancewiththeapprovedfranchiseplans,selectfranchisees(including"franchiseconsortium)throughfaircompetitioninaccordancewiththelawsandregulations.Projectoperationplans,unitpriceandfranchisetermshallberegardedasimportantevaluationcriteriaforselectingfranchisees,andgreatattentionshallbepaidtotheirprojectmanagementexperience,professionaloperationability,comprehensivestrengthofenterpriseandcreditratingstatus.Theselectedfranchiseeanditsinvestment,financingandconstructionresponsibilitiesshallnotbeadjustedinprinciple,andwhereadjustmentisindeedneeded,thefranchiseselectionprocedureshallbere-undergone.Inaccordancewithrelevantrulesofthestateandprojectconstructioninvestment,operatingcosts,investmentrecoveryperiod,thefranchisetermshallbereasonablydetermined,andthelegitimaterightsandinterestsoffranchiseesshallbefullyprotected.Thefranchisetermshallnotexceed40yearsinprinciple,andthefranchiseprojectwithlargeinvestmentscaleandlongreturnperiodmaybeappropriatelyextendedaccordingtotheactualSituation5exceptasotherwiseprescribedbylawsandregulations.9. Standardizingthesigningoffranchiseagreements.Theprojectimplementationinstitutionandthefranchiseeshallenterintoafranchiseagreementonthebasisofequallegalstatusandequalrightsandobligations.Whereaprojectcompanyneedstobeformed,theprojectimplementationinstitutionshallenterintoanagreementwiththefranchisee,stipulatingthataprojectcompanyshallbeformedwithintheprescribedtimelimit,andenterintoafranchiseagreementwiththeprojectcompany.Thefranchiseagreementshallspecifythescopeofprojectimplementation,qualityandstandardofoutput(service),methodofobtainingreturnoninvestment,projectriskmanagementandcontrol,alterationoftheagreement,franchisetermandothercontents,andstipulatetherights,obligationsandresponsibilitiesofbothparties.选择程序。根据国家有关规定 和项目建设投资、运营成本、 投资回收年限等，合理确定特 许经营期限，充分保障特许经 营者合法权益。特许经营期限 原则上不超过40年，投资规模 大、回报周期长的特许经营项 目可以根据实际情况适当延 长，法律法规另有规定的除 外。（九）规范签订特许经营 协议。项目实施机构与特许经 营者应在法律地位平等、权利 义务对等的基础上签订特许经 营协议。需成立项目公司的， 项目实施机构应当与特许经营 者签订协议，约定其在规定期 限内成立项目公司，并与项目 公司签订特许经营协议。特许 经营协议应明确项目实施范 围、产出（服务）质量和标 准、投资收益获得方式、项目 风险管控、协议变更、特许经 营期限等内容，约定双方的权 利、义务和责任。（十）严格履行投资管理 程序。对政府采用资本金注入 方式给予投资支持的特许经营 项目，应按照政府投资条 例有关规定履行审批手续； 对由社会资本方单独投资的项 目，应按照企业投资项目核 准和备案管理条例有关规定10. Strictlyundergoingtheinvestmentmanagementprocedures.Forafranchiseprojectforwhichthegovernmentprovidesinvestmentsupportbymeansofcapitalinjection,theexaminationandapprovalformalitiesshallbeundergoneinaccordancewiththerelevantprovisionsoftheRegulationsonGovernmentInvestment;andforaprojectinvestedseparatelybyaprivateinvestor,theapprovalorrecordationformalitiesshallbeundergoneinaccordancewiththerelevantprovisionsoftheRegulationsontheAdministrationoftheApprovalandRecordationofEnterpriseInvestmentProjects.Theprojectadjustmentproceduresshallbeundergoneinaregulatedmanner.Projectsforwhichtheexamination,approvalorrecordationformalitieshavebeenundergoneandthatfallundermajorcircumstancesofchangeintheconstructionsite,adjustmenttomainconstructioncontents,andadjustmenttoconstructionstandardsshallbereportedtotheoriginalexaminationandapprovalauthoritiesforundergoingtheprojectexaminationproceduresagain.Ifnecessary,feasibilitydemonstrationofthefranchisemodelandexaminationofthefranchiseprogrammaybere-ca