【中英文对照版】国际金融组织和外国政府贷款项目全生命周期管理暂行办法_2023.08.11生效.docx

财政部关于印发国际金融组织和外国政府贷款项目全生命周期管理暂行办法的通知NoticeoftheMinistryofFinanceonPromulgationoftheProvisionalMeasuresfortheFullLifecycleManagementofProjectsSupportedwithLoansfromInternationalFinancialOrganizationsandForeignGovernments发文机关：财政部Promulgatedby：MinistryofFinance发布日期：2023.08.11PromulgationDate：2023.08.11生效日期：2023.08.11EffectiveDate：2023.08.11文号：财国合(2023)DocumentNo.：CaiGuoHe2023No.2222号财政部关于印发国际金融组织和外国政府贷款项目全生命周期管理暂行办法的通知NoticeoftheMinistryofFinanceonPromulgationoftheProvisionalMeasuresfortheFullLifecycleManagementofProjectsSupportedwithLoansfromInternationalFinancialOrganizationsandForeignGovernments财国合(2023)22号CaiGuoHe2023No.22国务院有关部委、有关直属机 构，各省、自治区、直辖市、计划单 列市财政厅(局)，新疆生产建设兵 团财政局，有关中央企业，有关金融 机构：为进一步加强国际金融组织和外 国政府贷款项目管理，提升项目管理 效率和质量，我部研究制定了国际 金融组织和外国政府贷款项目全生命 周期管理暂行办法，现印发你们，RelevantministriesandcommissionsofandagenciesdirectlyundertheStateCouncil,financeauthorities(bureaus)ofallprovinces,autonomousregions,centrallyadministeredmunicipalitiesandcitieswithindependentplanningstatus,FinanceBureauofXinjiangProductionandConstructionCorps,relevantcentrallyadministeredenterprisesandrelevantfinancialinstitutions,Inordertofurtherstrengthenthemanagementofprojectssupportedwithloansfrominternationalfinancialorganizationsandforeigngovernments,andimprovetheefficiencyandqualityofprojectmanagement,theMinistryofFinancehasenactedtheProvisionalMeasuresfortheFullLifecycleManagementofProjectsSupportedwithLoansfromInternationalFinancialOrganizationsandForeignGovernments,whichareherebypromulgatedforyourcompliance.Pleaseinformusinwritingofanyproblem请遵照执行。执行中如有问题，请函encounteredinthecourseofimplementation.告我部。MinistryofFinance财政部August11,2023Annex:2023年8月11日附件：ProvisionalMeasuresfortheFullLifecycleManagementofProjectsSupportedwithLoansfromInternationalFinancialOrganizationsandForeignGovernments国际金融组织和外国政府贷款项目全生命周期管理暂行办法笫一章总则Chapter1GeneralProvisions第一条 为了加强国际金融组织 和外国政府主权贷款项目（以下简称 项目）全生命周期管理，贯通管理链 条、提升管理效能，根据中华人民 共和国预算法及其实施条例、国 务院关于进一步深化预算管理制度改 革的意见（国发（2021） 5号）、国际金融组织和外国政府贷款赠款 管理办法（财政部令第85号）等规 定，制定本办法。第二条 本办法适用于项目征集 与申报、备选项目规划编制，项目准 备、对外磋商与谈判，项目签约与生Article1TheseMeasuresareenactedpursuanttotheprovisionsoftheBudgetLawofthePeople'sRepublicofChinaanditsImplementingRegulation,theOpinionsoftheStateCouncilonFurtherDeepeningtheReformofBudgetManagementSystem(GuoFa2021No.5),andtheAdministrativeMeasuresonLoansandGrantsfromInternationalFinancialOrganizationsandForeignGovernments(MinistryofFinanceDecreeNo.85),amongtheothers,forthepurposesofstrengtheningfulllifecyclemanagementofprojectssupportedwithsovereignloansfrominternationalfinancialorganizationsandforeigngovernments(hereinafterreferredtoasthe“projects”inshort),linkingupthemanagementchain,andimprovingmanagementefficiency.Article2TheseMeasuresshallapplytoadministrationinthefulllifecycleofprojectcollectionanddeclaration,preparationofplanningforproposedprojects,projectpreparation,negotiationandnegotiationwithforeignparties,contractsigningandentryintoforceof效，项目实施，项目完工，项目绩效评价与审计，债务偿还，监督检查等全生命周期的管理。projects,projectimplementation,projectcompletion,projectperformanceappraisalandaudit,debtrepayment,supervisionandinspectionetc.笫三条按照政府承担还款责任 的不同，贷款分为政府负有偿还责任 贷款和政府负有担保责任贷款。政府负有偿还责任贷款（以下称 政府债务外贷），应当纳入本级政府 的预算管理和债务限额管理，其收 入、支出、还本付息付费纳入一般公 共预算管理，按照部门预算相关规定 开展评审，落实预算绩效管理相关要求。政府负有担保责任贷款（以下称 政府担保外贷），不纳入政府债务限 额管理。政府依法承担并实际履行担 保责任时，应当从本级政府预算安排还贷资金，纳入一般公共预算管理。Article3Dependingontheliabilityforrepaymentbornebygovernments,loansareclassifiedintothoseforwhichthegovernmentbearsliabilityforrepaymentandthoseforwhichthegovernmentbearsliabilityforguarantee.Loansforwhichagovernmentisliableforrepayment(hereinafterreferredtoas"thegovernment'sforeigndebtloans")shallbeincludedintothebudgetanddebtlimitmanagementofthegovernmentatthecorrespondinglevel,andtherevenue,expenditureanddebtservicepaymentshallbeincludedintothegeneralpublicbudget,theevaluationshallbecarriedoutinaccordancewiththerelevantprovisionsofthedepartmentalbudget,andtherelevantrequirementsofbudgetperformancemanagementshallbeimplemented.1.oansguaranteedbyagovernment(hereinafterreferredtoasthe"foreignloansguaranteedbythegovernment")shallnotbeincludedintothegovernment'sdebtlimitmanagement.Whenassumingandperformingguaranteeresponsibilityaccordingtolaw,thegovernmentshallrepaytheloanfromitsbudget,whichshallbeincludedintothegeneralpublicbudgetmanagement.第四条 项目作为管理的基本单 元，纳入财政部国际金融组织和外国 政府贷款赠款管理系统（以下称外贷 系统）项目库，依托外贷系统实施项Article4Aproject,asabasicunitformanagement,shallbeincludedintotheprojectlibraryoftheMinistryofFinance'smanagementsystemforloansandgrantsfrominternationalfinancialorganizationsandforeigngovernments(hereinafterreferredtoasthe"ForeignLoansSystem1*inshort).AllprojectparticipantswhichsatisfythesystemaccessconditionsshallparticipateinprojectmanagementthroughtheForeignLoansSystem目全生命周期管理。按照“横向到边、纵向到底”的原则，具备系统接入条件的项目参与undertheprincipleof"horizontaltotheedgeandverticaltotheend".Thedocumentsandmaterialsthatneedtobesubmitted,issuedandfiledfortherecordinthewholelifecyclemanagementoftheprojectsshallbeimplementedthroughtheForeignLoansSystem.方均应当通过外贷系统参与项目管理。项目全生命周期管理中涉及需上报、下达、报备文件资料等均通过外贷系统实施。政府债务外贷项目在完成申报审批等前期管理工作以后，纳入预算管Afterthepreliminarymanagementworksuchastheapplication,examinationandapproval,iscompleted,theprojectsshallbeincludedintheprojectlibraryreserveoftheintegratedsystemforbudgetmanagement,andsubjecttothewholelifecyclemanagementasrequired.TheForeignLoansSystemandtheintegratedsystemforbudgetmanagementshallbeconnectedforinformationsharing.理一体化系统项目库储备，按照规定实施全生命周期管理，外贷系统与预算管理一体化系统对接共享信息。第五条财政部门按照“统一领导、分级管理”的原则，推进、指导、监督项目实施、配套资金落实、还款等活动。财政部门、项目协调机构和项目实施单位（以下称项目单位）、采购代理机构、转贷或代理银行等单位根据有关规定各司其职，做好项目全生命周期管理工作，并根据管理要求分工做好外贷系统管理、信息录入和维护等工作。财政部门应当加强与发展改革等Article5Thefinanceauthoritiesshall,inaccordancewiththeprincipleof"unifiedleadershipandhierarchicalmanagement*',promote,guideandsupervisetheprojectexecution,availabilityofsupportingfunds,repaymentandotheractivities.Financeauthorities,projectcoordinatingagenciesandprojectimplementingentities(hereinafterreferredtoasthe"projectentities*),procurementagencies,on-lendingbankorthecorrespondentbanksandotherentitiesshallperformtheirrespectivedutiesinaccordancewiththerelevantprovisions,effectivelycarryoutthemanagementofprojectsinthewholelifecycle,andeffectivelymanagetheForeignLoansSystem,inputinformation,maintainandotherworkwiththedivisionofresponsibilitiesinaccordancewiththemanagementrequirements.Thefinanceauthoritiesshallstrengthenthelinkageandcooperationwiththe部门联动合作，强化项目统筹协调， 做好项目事前评审、事中监管、事后 绩效评价全生命周期管理。第二章项目征集与申报、备选项 目规划编制笫六条财政部定期在外贷系统 上发布贷款信息，包括国际金融组织 和外国政府贷款机构（以下称贷款 方）对华提供贷款的规模、重点支持 领域、贷款条件等。笫七条项目征集与申报、备选 项目规划编制按照国际金融组织和 外国政府贷款项目前期管理规程（试 行）（财国合（2017） 5号）有关规 定执行。项目应当自申报开始，录入外贷 系统项目库分阶段管理。项目单位无 接入外贷系统硬件条件的，由同级财 政部门代为录入。第八条地方申报项目应当由省 级财政部门组织专家或委托第三方机 构按照相关规定进行评审并出具财政developmentandreformandotherauthorities,strengthentheoverallplanningandcoordinationofprojects,andeffectivelyconductthewholelifecyclemanagementofprojectsincludingex-antereview,interimregulationandexpostperformanceevaluation.Chapter 2 ProjectCollectingandDeclaration,andPreparationofPlansforAlternativeProjectsArticle6TheMinistryofFinanceshallregularlyreleaseloaninformationontheForeignLoansSystem,includingthescaleofloanstobeprovidedtoChinabylenderssuchasinternationalfinancialorganizationsandforeigngovernments(hereinafterreferredtoasthe'lenders*inshort),thekeysupportareasandtheloanconditions,amongothers.Article7Theprojectcollectionanddeclaration,andthepreparationofplansforalternativeprojectsshallbesubjecttotherelevantprovisionsoftheProceduresforthePreliminaryPhaseManagementofProjectsSupportedwithLoansfromInternationalFinancialOrganizationsandForeignGovernments(forTrialImplementation)(CaiGuoHe2017No.5).ProjectsshallbeenteredintotheprojectlibraryoftheForeignLoansSystemformanagementinphasesfromthedateofdeclaration.IfaprojectentityisnotabletoconnecttothehardwareoftheForeignLoansSystem,thefinanceauthorityatthesamelevelshallentertheprojectonbehalfoftheprojectentity.Article8Provincialfinanceauthoritiesshallorganizeexpertsorentrustathird-partyinstitutiontoconductreviewandissueafinancialreviewreportforalocalprojectdeclaredinaccordancewiththerelevantprovisions.Thereviewshallfocusontheinvestment评审报告。评审重点包括项目投入领 域、贷款方式、绩效目标、融资安 排、配套资金安排、偿债机制、债务 风险和执行机构能力等。地方申报项目需同步报送省级财 政部门出具的财政评审报告。省级财 政部门应当严格按照财政部相关格式 及要素要求开展项目财政评审工作、 撰写报告；对于财政评审报告提出的fields,loanmethods,performanceobjectives,financingarrangements,supportingfundarrangements,debtrepaymentmechanism,debtrisksandthecapabilityoftheimplementingbody,amongothers.Foralocalprojectdeclared,afinancialreviewreportissuedbytheprovincialfinanceauthorityshallbesubmittedsimultaneously.Theprovincialfinanceauthorityshall,instrictaccordancewiththerelevantformatsandrequirementsoftheMinistryofFinanceforkeyelements,carryoutfinancialreviewoftheprojectandprepareareport;financeauthoritiesatalllevelsshallurgeandguideprojectentitiestostudyandimplementtherelevantrisktipsandimprovementsuggestionsputforwardinthefinancialreviewreports.相关风险提示及改进建议等，各级财 政部门应当督促指导项目单位研究落 实。中央申报项目由申报部门组织开 展部门评审并出具评审报告，在此基 础上，财政部根据有关预算评审管理 规定，选取项目开展财政评审并出具 评审报告；地方拟申请使用中央财政 统借统还贷款资金项目，由省级财政部门组织开展财政评审并出具评审报 告，在此基础上，财政部根据有关预 算评审管理规定，选取项目开展财政 评审并出具评审报告。Foraprojectdeclaredatthecentrallevel,thedeclaringentityshallorganizeadepartmentalreviewandissueareviewreport,basedonwhichtheMinistryofFinanceshall,inaccordancewiththerelevantadministrativeprovisionsonbudgetreview,selectaprojecttoconductfinancialreviewandissueareviewreport;foraprojecttobedeclaredbyalocalgovernmentwiththeloanfundsuniformlyborrowedandrepaidbythecentralfinance,theprovincialfinanceauthorityshallorganizeafinancialreviewandissueareviewreport,basedonwhichtheMinistryofFinanceshall,inaccordancewiththerelevantadministrativeprovisionsonbudgetreview,selectaprojecttoconductfinancialreviewandissueareviewreport.笫三章项目准备、对外磋商与谈Chapter 3 ProjectPreparation,ConsultationandNegotiationwithForeignParties第九条 项目准备是指自备选项 目规划下达后至项目对外磋商与谈判 前需开展的各项工作。Article9Projectpreparationreferstoallworkrequiredtobeconductedfromtheissuanceoftheplanningforalternativeprojectstothedateofconsultationandnegotiationwithforeignparties.第十条 项目实施单位承担项目主体责任；财政部门应当指导、监督 项目单位组织、开展项目准备工作。Article10Theentityimplementingaprojectshallassumetheprincipalresponsibilityfortheproject;financeauthoritiesshallguideandsuperviseprojectentitiesinorganizingandcarryingoutprojectpreparation.笫十一条 项目单位应当按照相 关规定和要求，开展项目准备工作， 完成环境和社会影响评价报告、土地 利用报告、移民安置计划等的编报， 配合贷款方和国内相关部门按时完成 项目鉴别、评估等准备工作，落实配 套资金，依次编制可行性研究报告或 项目实施框架方案、资金申请报告等 项目材料，办理相关审批手续，每季 度结束后10个工作日内将季度项目准 备及审批进展情况通过同级财政部门 逐级上报省级财政部门。省级财政部门、中央项目协调机 构应当于每季度结束后15个工作日内 将包括但不限于项目进展、存在问题 和下一步工作安排等项目准备情况通Article11Aprojectentityshall,inaccordancewiththerelevantprovisionsandrequirements,carryouttheprojectpreparation,completethepreparationoftheenvironmentalandsocialimpactassessmentreport,landutilizationreport,andresettlementplanetc.,cooperatewiththelenderandtherelevantdomesticauthoritiestocompletetheidentification,evaluationandotherpreparatoryworkontimefortheproject,havethesupportingfundsinplace,successivelypreparethefeasibilitystudyreportorprojectimplementationframeworkprogram,fundapplicationreportandotherprojectmaterials,gothroughtherelevantexaminationandapprovalformalities,andwithin10workingdaysaftertheendofeachquarter,reporttheprojectpreparationandexaminationandapprovalprogressinthequartertotheprovincialfinanceauthoritylevelbylevelthroughthefinanceauthorityatthesamelevel.Theprovincialfinanceauthorityandthecentralprojectcoordinatingagencyshall,within15workingdaysaftertheendofeachquarter,reporttheprojectpreparationinformationincludingbutnotlimitedtotheprojectprogress,existingproblemsandtheworkarrangementforthenextsteptotheMinistryofFinanceviatheForeignLoansSystem.过外贷系统向财政部报告。第十二条已列入备选规划的项 目，原则上不得进行重大调整。项目 准备过程中，对于项目贷款来源、金 额、内容、实施主体等特殊原因需要 进行重大调整或终止项目的，项目单 位应当及时逐级上报财政部门审核。 涉及重大调整的，地方项目由省级财 政部门出具评审意见后报财政部审核 确认；中央项目直接报财政部审核确 认。Article12Nomajoradjustmentshall,inprinciple,bemadetotheprojectsthathavebeenincludedintheplanningforalternativeprojects.Duringtheprojectpreparationprocess,wheremajoradjustmentsarerequiredoraprojectisterminatedforspecialreasonssuchasthesource,amount,contentsandimplementationsubjectoftheprojectloans,theprojectentityshallpromptlyreportlevelbyleveltothefinanceauthorityforexaminationandapproval.Wheremajoradjustmentsarerequiredtoalocalproject,theprovincialfinanceauthorityshallissueitsreviewopinionsandthensubmitthesametotheMinistryofFinanceforexaminationandapproval;wheremajoradjustmentsarerequiredtoacentralproject,theapplicationshallbedirectlysubmittedtotheMinistryofFinanceforexaminationandapproval.第十三条项目单位应当按照相 关规定以及财政部、贷款方有关要 求，完成采购代理机构、转贷或代理 银行的选聘及合同签订工作，并接受 同级财政部门监督。采购代理机构应当根据贷款法律 文件、采购代理合同约定等，在项目 前期准备、组织采购、合同执行等阶 段提供采购代理服务。代理银行应当根据代理合同的约 定，提供对外联络、咨询服务，代理Article13Aprojectentityshall,inaccordancewiththerelevantprovisionsandtherelevantrequirementsoftheMinistryofFinanceandthelender,completetheengagementofthepurchasingagency,on-lendingbankorthecorrespondentbank,andthesigningoftherelevantcontract,andacceptthesupervisionofthefinanceauthorityatthesamelevel.Thepurchasingagencyshall,accordingtothelegaldocumentsontheloan,thepurchasingagencycontract,etc.,providethepurchasingagencyserviceatsuchstagesaspreliminarypreparation,organizationofprocurement,andcontractexecution.Thecorrespondentbankshall,accordingtotheagencycontract,providetheexternalliaison,consultingservice,collectionandpaymentofmoneyandexaminationonanagencybasis,debtverificationandstatistics,tradingofforeignexchange,settlementandotherservices.收付款项及审核、债务核对与统计、 结售汇和结算等业务。转贷银行参照代理银行职贲办理 相关业务，按照贷款法律文件约定负 责办理贷款的转贷业务。外国政府及欧佩克国际发展基 金、北欧投资银行等贷款项目，项目 实施单位应当按照财政部门和贷款方 的有关要求，原则上在备选项目规划On-Iendingbanksshallcarryoutrelevantbusinessesbyreferencetothedutiesofacorrespondentbankandberesponsibleforon-lendingbusinessaccordingtothelegaldocumentsontheloan.Forloanprojectsofforeigngovernments,OPECFundforInternationalDevelopmentandNordicInvestmentBank,amongothers,projectimplementingentitiesshall,accordingtotherelevantrequirementsoffinanceauthoritiesandthelenders,andinprinciple,completetheappointmentoftheentrustedon-lendingbankorthecorrespondentbankandsigningoftherelevantcontractswithinthreemonthsaftertheplanningonalternativeprojectsismade.下达3个月内完成委托转贷或代理银行和采购代理机构的选聘及合同签订工作。Article 14 The Ministry of Finance shall, according to the project preparation status, organize the central project entity, provincial finance authority and other relevant entities to give opinions on the draft of the legal documents on the loan. For a loan from an international financial organization for which negotiation is required by the lender, the Ministry of Finance shall organize negotiations with the foreign party. The provincial finance authority and the central project entity shall organize the relevant authorities to cooperate and participate in the negotiations and put forward opini