【中英文对照版】基础设施和公用事业特许经营管理办法(2024).docx

基础设施和公用事业特许经营管理办法(2024)MeasuresfortheAdministrationofConcessionforInfrastructureandPublicUtilities(2024)制定机关：国家发展和改革委员会(含原国家发展计划委员会、原国家计划委员会)财政部住房和城乡建设部交通运输部水利部中国人民银行发文字号：中华人民共和国国家发展和改革委员会、中华人民共和国财政部、中华人民共和国住房和城乡建设部、中华人民共和国交通运榆部、中华人民共和国水利部、中国人民银行令第17号公布日期：2024.03.28施行日期：2024.05.01效力住阶：部门规章法规类别：公共场所与环境卫生IssuingAuthority：NationalDevelopment&ReformCommission(incl.fbnnerStateDevelopmentPlanningCommission)MinistryofFinanceMinistiyofHousing&Urban-RuralDevelopmentMinistryOfTransportMiniStryofWaterResourcesPeople'sBankofChinaDocumentNumber：OrderNo.17oftheNationalDevelopmentandReformCommissionofthePeople'sRepublicofChina,theMiniSlryofFinanceofthePeople'sRepublicofChina,theMinistryofHousingandUrban-RuralDevelopmentofthePeople'sRepublicofChina,theMinistryOfTransportofthePeople'sRepublicofChina,theMinistryofWaterResourcesofthePeople'sRepublicofChina,andthePeople'sRepublicofChinaDateIssued：03-28-2024EffectiveDate：05-01-20241.evelofAuthority：DepartmentalRulesAreaof1.aw:PublicPlacesandEnvironmentalSanitation中华人民共和国国家发展和改革委员会、中华人民共和国财政部、中华人民共和国住房和城乡建设部、中华人民共和国交通运输部、中华人民共和国水利部、中国人民银行令OrderoftheNationalDevelopmentandReformCommissionofthePeople,sRepublicofChina,theMinistryofFinanceofthePeople'sRepublicofChina,theMinistryofHousingandUrban-RuralDevelopmentofthePeople'sRepublicofChina,theMinistryofTransportofthePeople'sRepublicofChina,theMinistryofWaterResourcesofthePeople'sRepublicofChina,andthePeople'sRepublicofChina(No.17)基础设施和公用事业特许经营管理办法已经2024年1月31日第8次国家发展改革委委务会议审议通过和财政（第17号）TheMeasuresfortheAdministrationofConcessionforInfrastructureandPublicUtilities,asdeliberatedandadoptedatthe8thexecutivemeetingoftheNationalDevelopmentandReformCommission(uNDRCn)onJanuary31,2024andexaminedandsignedbytheMinistryofFinance,theMinistryofHousingandUrban-RuralDevelopment,theMinistryofTransport,theMinistryofWaterResourcesandthePeople,sRepublicofChina,areherebyissuedandshallcomeintoforceonMay1,2024.部、住房城乡建设部、交通运输部、水利部、中国人民银行审签，现予公布，自2024年5月1日起施行。DirectoroftheNationalDevelopmentandReformCommission:ZhengShanjie国家发展改革委主任：郑栅洁MinisterofFinance:1.anFo'an财政部部长：蓝佛安MinisterofHousingandUrban-RuralDevelopment:NiHong住房城乡建设部部长：倪虹MinisterofTransport:1.iXiaopeng交通运输部部长：李小鹏MinisterofWaterResources:1.iGuoying水利部部长：李国英GovernorofthePeople'sBankofChina:PanGongsheng中国人民银行行长：潘功胜March28,20242024年3月28日MeasuresfortheAdministrationofConcessionforInfrastructureandPublicUtilities基础设施和公用事业特许经营管理办法ChapterIGeneralProvisions第一章总则Article1Forpurposesofencouraginganddirectingprivateinvestors*participationintheconstructionandoperationofinfrastructureandpublicutilities,improvingthequalityandefficiencyofpublicservices,protectingthelawfulrightsandinterestsof第一条为鼓励和引导社会资本参与基础设施和公用事业建设运营，提高公共服务质量和效率，保护特许经营者合法权益，激发民间投资活力，保障社会公共利益和公共安全，促进经济社会持续健康发展，制定本办法。第二条中华人民共和国境内的交通运输、市政工程、生态保护、环境治理、水利、能源、体育、旅游等基础设施和公用事业领域的特许经营活动，适用本办法。concessionaires,bringingouttheenergyofnongovernmentalinvestment,protectingpublicinterestandpublicsecurity,andpromotingthesustainableandsounddevelopmentofeconomyandsociety,theseMeasuresareherebydeveloped.Article2Concessionactivitiesintransportation,municipalengineering,ecologicalprotection,environmentalgovernance,waterconservancy,energy,sports,tourismandotherinfrastructureandpublicutilitieswithintheterritoryofthePeople'sRepublicofChinashallbegovernedbytheseMeasures.第三条本办法所称基础设施和公用事业特许经营，是指政府采用公开竞争方式依法选择中华人民共和国境内外的法人或者其他组织作为特许经营者，通过协议明确权利义务和风险分担，约定其在一定期限和范围内投资建设运营基础设施和公用事业并获得收益，提供公共产品或者公共服务。Article3ForthepurposeoftheseMeasures,concessionforinfrastructureandpublicutilitiesmeansthatthegovernmentselectsalegalpersonoranyotherorganizationfrominsideandoutsidetheterritoryofthePeople'sRepublicofChinaaccordingtothelawastheconcessionaire,bypubliccompetitivemode,toengageininvestment,construction,andoperationofinfrastructureandpublicutilitieswithinacertaintimelimitandscopeandearnprofitsasstipulatedinanagreementthatspecifiestherights,obligations,andrisksharing,toprovidepublicproductsorpublicservices.商业特许经营以及不涉及产权移交环节的公建民营、公办民营等，不属于本办法所称基础设施和公用事业特许经营。CommercialconcessionandpublicconstructionandprivateoperationthatdonotinvolvepublicconstructionandprivateoperationorprivateoperationwithgovernmentinvestmentintransferofpropertyrightsdonotbelongtotheconcessionforinfrastructureandpublicutilitiesasmentionedintheseMeasures.第四条基础设施和公用事业特许经营是基于使用者付费的政府和社会资本合作(PPP)模式，政府就项目投Article4Concessionofinfrastructureandpublicutilitiesisapublic-private-partnership(PPP)modelbasedonuserfees,inwhichthegovernmentcooperateswithprivateinvestorsinprojectinvestment,constructionandoperationwithoutestablishingnewadministrativelicenses.资建设运营与社会资本开展合作，不新设行政许可。Aconcessionaireshallhavetheexclusiverighttoinvest,constructandoperatespecificinfrastructureandpublicutilityprojectsandobtainbenefitswithintheperiodagreedintheagreement,alsoprovidepublicproductsorpublicservicesthatsatisfytherequirementsforqualityandefficiencyasagreedintheagreement,andacceptsupervisionandadministrationaccordingtothelaw.Thegovernmentshallencourageandsupportconcessionairesinimprovingefficiencyandreducingcosts,improvethewelfareofthepublic,andprohibitunauthorizedadditionofadministrativelicenseitemswithoutlegalandregulatorybasis,collectionoffeesfromconcessionairesthroughtheaforesaidunauthorizedadditionofadministrativelicenseitems,andincreaseincostsofpublicproductsorpublicservices.Theabuseofadministrativepowertoexcludeorrestrictcompetitioninthenameofconcessionforinfrastructureandpublicutilitiesshallbeprohibited.Article5Incarryingoutconcessionforinfrastructureandpublicutilities,openness,fairness,andjusticeshallbeadheredto,therelianceinterestsofallpartiesshallbeprotected,andthefollowingprinciplesshallbefollowed:(1) Theadvantagesofprivateinvestorsinfinancing,professionalism,technology,andmanagementshallbemaximized,andthequalityandefficiencyofpublicservicesshallbeimproved.特许经营者获得协议约定期限内对特定基础设施和公用事业项目进行投资建设运营并取得收益的排他性权利，同时应当按照协议约定提供符合质量效率要求的公共产品或者公共服务，并依法接受监督管理。政府鼓励并支持特许经营者提升效率、降低成本，增进社会公众福祉，禁止无法律法规依据擅自增设行政许可事项以及通过前述擅自增设的行政许可事项向特许经营者收费，增加公共产品或者公共服务成本。禁止以基础设施和公用事业特许经营名义滥用行政权力排除、限制竞争。第五条基础设施和公用事业特许经营应当坚持公开、公平、公正，保护各方信赖利益，并遵循以下原则：（一）发挥社会资本融资、专业、技术和管理优势，提高公共服务质量效率；（二）转变政府职能，强化政府与社会资本协商合作；(2) Governmentfunctionsshallbetransformedandconsultationandcooperationbetweenthegovernmentandaprivateinvestorshallbestrengthened.(3) Thelawfulrightsandinterestsofprivateinvestorsshallbeprotected,andthecontinuityandstabilityofconcessionshallbeensured.(4) Equalconsiderationshallbegiventothebalancebetweenoperationandpublicwelfare,andpublicinterestsshallbesafeguarded.(5) Accordingtothenatureofrisksandtheriskcontrolcapabilitiesoftheconcessionparties,therisksharingmechanismshallbespecifiedandimplementedeffectivelytoensuresustainableandstableimplementationofprojects.Article6Concessionforinfrastructureandpublicutilitiesshallfocusonuserpaymentprojects,andspecifythechargingchannelsandmethods.Operatingincomeofprojectsmeetstheconditionsforcoveringtheconstructioninvestmentandoperatingcostsandobtainacertainreturnoninvestment,andthefutureexpenditureresponsibilityoflocalfinanceshallnotbeaddedduetotheadoptionofconcession.Thetermuuserfees"asmentionedintheprecedingparagraphincludesfeescollecteddirectlyfromusersbytheconcessionaire,andfeescollectedfromusersbythegovernmentoritslegallyauthorizedinstitutions.（三）保护社会资本合法权益，保证特许经营持续性和稳定性；（四）兼顾经营性和公益性平衡，维护公共利益；（五）根据风险性质以及特许经营各方风险管控能力，明确风险分担机制并切实执行，保障项目持续稳定实施。第六条基础设施和公用事业特许经营应当聚焦使用者付费项目，明确收费渠道和方式，项目经营收入具备覆盖建设投资和运营成本并获取一定投资回报的条件，不因采取特许经营而额外新增地方财政未来支出责任。前款所称使用者付费，包括特许经营者直接向用户收费，以及由政府或其依法授权机构代为向用户收费。Article7Concessionforinfrastructureandpublicutilitiesmaybeconductedbythefollowingways:第七条基础设施和公用事业特许经营可以采取以下方式：(1)Withinatimelimit,thegovernmentauthorizesaconcessionairetoinvestinandconstruct,orrenovateandexpand,andoperateinfrastructure（一）在一定期限内，政府授予特许经营者投资新建或改扩建、运营基础设施和公用事业，期限届满移交政府；andpublicutilities,andtheconcessionairetransferstheprojectbacktothegovernmentattheexpirationofthetimelimit.（二）在一定期限内，政府授予特许经营者投资新建或改扩建、拥有并运营基础设施和公用事业，期限届满移交政府；(2) Withinatimelimit,thegovernmentauthorizesaconcessionairetoinvestinandconstruct,orrenovateandexpand,aswellaspossessandoperateinfrastructureandpublicutilities,andtheconcessionairetransferstheprojectbacktothegovernmentattheexpirationofthetimelimit.（三）在一定期限内，政府将已经建成的基础设施和公用事业项目转让特许经营者运营，期限届满移交政府；(3) Withinatimelimit,thegovernmentwilltransferinfrastructureandpublicutilityprojectsconstructedtotheconcessionaireforoperation,andtheconcessionairetransferstheprojectbacktothegovernmentattheexpirationofthetimelimit.（四）国家规定的其他方式。(4) Otherwaysasprescribedbythestate.禁止在建设工程完成后直接将项目移交政府，或者通过提前终止协议等方式变相逃避运营义务。第八条基础设施和公用事业特许经营期限应当根据行业特点、所提供公共产品或服务需求、项目生命周期、项目建设投资和运营成本、投资回收期等综合因素确定，充分保障特许经营者合法权益。Itisprohibitedtodirectlytransfertheprojecttothegovernmentafterthecompletionofaconstructionproject,orevadetheoperationalobligationsbyearlyterminationoftheagreementandothermeans.Article8Thetermofconcessionforinfrastructureandpublicutilitiesshallbedeterminedinlightoftheindustrycharacteristics,thepublicproductsprovidedorserviceneeds,theprojectlifecycle,theconstructioninvestmentandoperatingcostsofaproject,theinvestmentpaybackperiod,andlegitimaterightsandinterestsofconcessionairesarefullyprotected.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Theconcessiontermshallnotexceed40yearsinprinciple,andtheconcessionprojectwithlargeinvestmentscaleandlongreturnperiodmaybeappropriatelyextendedaccordingtotheactualsituation,exceptasotherwiseprescribedbylaws另有规定的除夕卜。andregulations.Article9ThedevelopmentandreformdepartmentoftheStateCouncilshalltaketheleadineffectivelypromotingthemodelofconcessionforinfrastructureandpublicutilitiesandstrengthenpolicyguidance.1.ocaldevelopmentandreformdepartmentsatalllevelsshallmaximizeacomprehensiveandcoordinatingrole,strictlychecktheareas,scopeandplansofprojectimplementation,performthedutiesofprojectexamination,approvalorrecordationinaccordancewiththelawandregulations,andpromotetheimplementationofprojects.第九条国务院发展改革部门牵头做好基础设施和公用事业特许经营模式推进工作，加强政策指导。地方各级发展改革部门发挥综合协调作用，严格把关项目实施领域、范围、方案等，依法依规履行项目审批、核准或者备案职责，推动项目落地实施。ThecompetentindustrydepartmentsoftheStateCouncilshall,inaccordancewiththerequirementsoftheStateCouncilforstandardizingtheimplementationofthenewmechanismforPPP,andperformtheindustrymanagementfunctionsinaccordancewiththeirrespectiveduties;andpolicymattersinvolvingconcessionforinfrastructureandpublicutilitiesshallbesubmittedtothedevelopmentandreformdepartmentoftheStateCouncilforsufficientlyrequestingopinionsandforevaluationtobeconsistentwiththemacropolicyorientation,andpolicymattersthathavenotbeensubjecttoevaluationanddemonstrationorthatareevaluatedtobeinconsistentwiththemacropolicyorientationshallnotbeannouncedandimplemented.1.ocaldepartmentsofnaturalresources,ecology,housingandurban-ruraldevelopment,transportation,waterconservancy,energy,finance,safetysupervisionandotherrelevantdepartmentsatalllevelsshall,inaccordancewithgovernmentauthorizationandtheirrespectiveduties,carryouttherelevantworkofconcessionprojectsinaccordancewiththelaw.国务院有关行业主管部门应当根据国务院关于规范实施政府和社会资本合作新机制的要求，按照各自职责履行行业管理职能；涉基础设施和公用事业特许经营政策事项，应当送国务院发展改革部门充分征求意见并经评估与宏观政策取向一致，未经评估论证或者经评估论证与宏观政策取向不一致的，不应当公布实施。地方各级自然资源、生态环境、住房城乡建设、交通运输、水利、能源、金融、安全监管等有关部门应当按照政府授权以及各自职责，依法开展特许经营项目相关工作。政府及其工作部门发生的与特Theincomeandexpenditurerelatedtoconcession许经营项目相关的收入与支出应当符合有关预算的法律、行政法规以及国家有关规定。各级财政部门应当严格执行预算管理制度，依法加强政府资金监管和地方政府债务管理，加大财会监督力度，严肃财经纪律。projectsincurredbythegovernmentanditsdepartmentsshallcomplywiththerelevantlawsandadministrativeregulationsonbudgetandrelevantrulesofthestate.Financialdepartmentsatshalllevelsshallstrictlyimplementthebudgetmanagementsystem,strengthenthesupervisionandadministrationofgovernmentfundsandmanagementoflocalgovernmentdebtsaccordingtothelaw,intensifyfinancialsupervision,andstrictlyimplementthefinancialdisciplines.第十条地方各级人民政府应当规范推进本级政府事权范围内的特许经营项目，依法依规授权有关行业主管部门、事业单位等作为基础设施和公用事业特许经营项目实施机构（以下简称“实施机构”），负责特许经营项目筹备、实施及监管，并明确其授权内容和范围。第二章特许经营协议订立Article101.ocalpeople'sgovernmentsatalllevelsshallstandardizeandpromoteconcessionprojectswithinthescopeofthepowersofthegovernmentsatthecorrespondinglevel,andauthorizerelevantindustrydepartments,publicinstitutions,etc.astheimplementationinstitutionsofinfrastructureandpublicutilitiesconcessionprojects(hereinafterreferredtoasthe"implementationinstitutions,)toberesponsibleforthepreparation,implementation,supervisionandadministrationofconcessionprojectsaccordingtothelawandregulations,andspecifythecontentsandscopeoftheirauthorization.ChapterIlConclusionofConcessionAgreements第十一条特许经营项目提出的主要目的，应当为发挥社会资本在经营管理、技术创新等方面的优势，促进民间投资，提高公共产品和公共服务的质量效率。Article11Themainpurposeofaconcessionprojectshallbemaximizingtheadvantagesofprivateinvestorsinoperationandmanagement,technologicalinnovationandotherrespects,promotingprivateinvestment,andimprovingthequalityandefficiencyofpublicproductsandservices.特许经营项目应当符合国民经济和社会发展规划纲要、专项规划、区域规划、国土空间规划等，并且建设运营标准和监Concessionprojectsshallconformtotheoutlineofthenationaleconomicandsocialdevelopmentplan,specialplanning,regionalplanning,territorialspaceplanning,etc.,andhavespecificconstructionandoperationstandardsandregulatoryrequirements.管要求明确。Article12Animplementationinstitutionshalltaketheleadinpreparingaconcessionplanaccordingtotheauthorization,mutatismutandisto,thefeasibilitystudyreport.Aconcessionplanshallincludethefollowingcontents:第十二条实施机构根据授权，参照可行性研究报告编写规范，牵头编制特许经营方案。特许经营方案应当包括以下内容：(1)Theprojectnameandoverview,constructionbackgroundandnecessity.（一）项目名称及概述，建设背景和必要性；(2)Theconstructionscaleoftheproject,thetotalamountofinvestment,theprogressofimplementation,andthestandardsfortheprovisionofpublicproductsorpublicservices,andotherbasiceconomicandtechnicalindicators.（二）项目建设规模、投资总额、实施进度，以及提供公共产品或公共服务的标准等基本经济技术指标；(3)Thereturnoninvestment,priceanditsestimate.（三）投资回报、价格及其测(4)Thedemonstrationofprojectfeasibilityandconcessionfeasibility.（四）项目可行性及特许经营可行性论证；(5)Theconditionstobesatisfiedconcessionairesandselectionmethod.by（五）特许经营者应当具备的条件及选择方式；(6)Thegovernment'scommitmentandguarantee.（六）政府承诺和保障;(7)Therequirementsforthemanagementofstate-ownedassetsinvolvedintheconcession,andtheassetsdisposalmethodsaftertheexpirationofthetermofconcession.（七）特许经营涉及的国有资产管理要求，以及特许经营期限届满后资产处置方式；(8)Othermattersthatshallbespecified.（八）应当明确的其他事项。实施政府定价的特许经营项目，特许经营方案中有关投资回报、价格及其测算应当征求地方价格主管部门意见。特许经营期限拟超过40年的，应当在特许经营方案中充分论证并随特许经营方案一并报请批准。实施机构应当保证特许经营项目的完整性和连续性。第十三条实施机构可以委托具有相应能力和经验的第三方机构，开展特许经营可行性论证，完善特许经营方案。第十四条本办法所称特许经营可行性论证，应当从项目全生命周期成本、产出或服务效果、建设运营效率、风险防范控制等方面，特别是对采取特许经营模式和传统政府投资模式在投入产出、经济社会效益等方面进行比较分析，对项目是否适合采用特许经营模式进行论证。此外，还应当对相关领域市场发育程度、企业建设运营能力状况和参与意愿、项目产品服务使用者支付意愿和能力进行评估，确保特许经营模式可以落地实施。Intheimplementationofconcessionprojectspricedbythegovernment,theopinionsofthelocalpricedepartmentsonrelevantreturnoninvestment,priceandcalculationintheconcessionplanshallber