With the consent of the Municipal People's Government, the Interim Measures of Jiangmen Municipal Bureau of Finance and Jiangmen Municipal Development and Reform Bureau on the management of Jiangmen Municipal Government and social capital cooperation (PPP) projects are hereby printed and distributed to you, please implement them carefully. Problems encountered in the implementation process, please report to the Municipal Finance Bureau and the Municipal Development and Reform Bureau.
Contact: Government Investment and Financing Finance Section of Jiangmen Finance Bureau, 3501666,3501667; Investment Section of Jiangmen Development and Reform Bureau, 3278665.
Jiangmen bureau of finance
Jiangmen Development and Reform Bureau
April 2022 12
Disclosure method: voluntary disclosure
Jiangmen Municipal Finance Bureau Jiangmen Municipal Development and Reform Bureau Jiangmen Municipal Government and Social Capital Cooperation (PPP) Project Management Interim Measures
Chapter I General Principles
Article 1 In order to further strengthen the management of government and social capital cooperation projects and standardize the project operation process, According to the Notice of the General Office of the State Council on Forwarding the Guiding Opinions of the People's Bank of the Development and Reform Commission of the Ministry of Finance on Promoting the Cooperation Mode of Government and Social Capital in the Field of Public Services (Guo Ban Fa [2015] No.42) and the Implementation Opinions of the Ministry of Finance on Promoting the Development of Government and Social Capital Cooperation Norms (Jin Cai [20 19] 10). The National Development and Reform Commission's Notice on Strengthening the Management of Investment and Construction of PPP Projects in Accordance with Laws and Regulations (Development and Reform Investment Regulation [20 19] 1098) and other documents, combined with the actual situation of our city, these measures are formulated.
Article 2 These Measures shall apply to government and social capital cooperation projects in the fields of energy, transportation, water conservancy construction, ecological construction and environmental protection, municipal engineering, comprehensive urban development, agriculture, forestry, science and technology, affordable housing projects, tourism, medical and health care, pension, education, culture, sports, social security and other infrastructure and public services within Jiangmen City.
Article 3 The cooperation between the government and social capital as mentioned in these Measures (hereinafter referred to as "PPP") refers to the activities in which the government selects the social capital party through competition, the two parties conclude an agreement to clarify their respective rights and obligations, and the social capital party is responsible for the investment, construction and operation of infrastructure and public service projects, and obtains reasonable income through user fees, government fees and feasibility gap subsidies.
The term "social capital party" as mentioned in these Measures refers to domestic and foreign for-profit legal persons established in accordance with the law and effectively existing, including private enterprises, state-owned enterprises, foreign enterprises and foreign-invested enterprises, but excluding financing platform companies owned by the government at the corresponding level and other state-controlled enterprises (except listed companies).
The term "project implementation agency" as mentioned in these Measures refers to the relevant functional departments or institutions authorized by the people's government at the same level to be responsible for project preparation, procurement, supervision and handover during the whole life cycle of PPP projects.
Article 4 The common operation modes of PPP mode mainly include BOT, BOO, BOO, ROT, TOT and O&T; M), management contract (MC), etc. The choice of specific operation mode is mainly determined by the charging pricing mechanism, the level of project investment income, the basic framework of risk allocation, financing demand, reconstruction and expansion demand and due disposal.
Article 5 Cooperation projects adopting PPP mode shall follow the principles of legal compliance, scientific decision-making, equal consultation, good faith performance, performance orientation, openness and transparency, and adhere to the principle of giving priority to public interests.
Chapter II Division of Labor and Working Mechanism
Article 6 Relevant government departments shall, in accordance with the division of responsibilities determined by the people's government at the corresponding level, strengthen coordination and cooperation, form a joint force, and promote the standardized and healthy development of PPP projects in our city.
(1) The financial department is responsible for the financial management of PPP projects, making overall arrangements for financial funds, state-owned assets and other public assets, carrying out equal and mutually beneficial PPP project cooperation with social capital parties, reviewing and checking the PPP projects declared in the local area to be included in the national PPP comprehensive information platform, earnestly performing the duties of value for money and financial affordability verification, budget revenue and expenditure and performance management, and government procurement supervision, so as to ensure the standardized implementation and efficient operation of the project throughout its life cycle.
(II) The development and reform department shall perform the investment management duties of PPP projects, mainly responsible for the feasibility demonstration review and project approval of PPP projects, strengthen the supervision of PPP projects and related untrustworthy behaviors, guide and supervise PPP consulting institutions to carry out related work, and incorporate all PPP projects into the national online approval supervision and management platform for investment projects in accordance with laws and regulations.
(III) Industry authorities should standardize the use of PPP mode to provide public services in accordance with the characteristics of the industry and the requirements of relevant documents at higher levels, guide and work with project implementation agencies to do a good job in the preliminary identification and demonstration of PPP projects, strengthen the industry supervision and management of the whole life cycle of PPP projects, and work with financial departments to do a good job in budget management of PPP projects in accordance with budget management requirements.
(4) The project implementation agency is responsible for coordinating the concrete implementation of the work related to the whole life cycle of PPP projects, such as prophase, procurement, construction, operation, performance evaluation and handover, earnestly fulfilling the main responsibilities of PPP contracts and accelerating the implementation of PPP projects.
Article 7 Establish a PPP project coordination mechanism, and give full play to its functions such as work organization, departmental coordination, problem solving, information exchange, etc. in the whole life cycle of PPP projects. Jiangmen PPP project is led by the industry authorities and project implementation agencies to convene and set up a work coordination group and office, and set up departments and personnel according to the actual situation of PPP project; After the expiration or early termination of this PPP project, the work coordination group will cancel it by itself.
Article 8 Establish a joint evaluation and review mechanism for PPP projects. According to the needs of the project, the project implementation agency or the competent industry department may organize relevant departments to jointly evaluate and review the PPP project implementation plan, value-for-money evaluation report, financial affordability demonstration report, procurement documents, PPP contract draft and other project documents.
Article 9 Establish a legal guarantee mechanism. Project implementation agencies or industry authorities should strengthen legal risk awareness and encourage third-party legal institutions to provide professional legal advice. In case of major changes in the terms of the PPP contract, the project implementation agency shall entrust a third-party legal institution to provide professional legal advice to ensure the legal and compliance implementation of the PPP project.
Article 10 Establish a PPP project information submission and sharing mechanism. Finance, development and reform departments should promptly submit the project progress, stage documents, existing problems and difficulties, excellent project cases and publicity materials to the higher-level finance, development and reform departments.
Chapter III Reserve Management
Article 11 PPP projects shall be included in the three-year rolling plan, annual preliminary plan and annual plan prepared by the development and reform department, and be linked with the medium-term financial plan prepared by the financial department.
Article 12 In the preparation and review stage of the feasibility study report, the project implementation agency or the competent department of industry should actively introduce the third-party evaluation agency to prepare the feasibility study report according to the relevant specifications, and incorporate the demonstration of whether the PPP model is applicable to the project into the feasibility study demonstration and decision-making.
PPP projects that implement the approval system management can only carry out follow-up work such as PPP implementation plan review and social capital selection after the feasibility study report is approved. PPP projects that implement the examination and approval system should be independently demonstrated and reviewed at the same time as examination and approval. PPP projects with filing system should be demonstrated and audited independently.
Article 13 For the PPP project initiated by the government, the project implementation agency may prepare the PPP project implementation plan by itself or entrust a third-party consulting agency, organize an expert group meeting and prepare a value-for-money evaluation report. The financial department at the same level shall, jointly with the competent department of industry, prepare a demonstration report on financial affordability.
Project implementation agencies can carry out market tests in the process of organizing the preparation of PPP project implementation plan, verify whether the project can be responded by social capitalists or financial institutions, optimize the project implementation plan, and improve the feasibility, competitiveness and financing ability of the project. The PPP project included in the key construction project plan of Jiangmen City shall be organized by the project implementation agency for market testing.
Article 14 The project implementing agency shall submit the completed implementation plan, value-for-money evaluation report and financial affordability demonstration report to the PPP work coordination group for joint evaluation and review, and the financial department shall issue verification and review opinions on the value-for-money evaluation report and financial affordability demonstration report. If the review is unqualified, it can be resubmitted after adjustment, and if it is still unqualified, PPP mode will no longer be adopted; If the project is approved, the project implementation agency shall report it to the people's government at the corresponding level for approval.
Fifteenth PPP projects whose implementation plan has been approved by the people's government at the same level, the project implementation agency shall apply to the financial department at the same level for inclusion in the project management library of the national PPP integrated information platform.
The financial department at the same level shall review the compliance, feasibility and integrity of the PPP project after receiving the warehousing application and warehousing materials from the project implementation agency. After the approval, the project implementation agency will input the basic information of the project declared for warehousing into the national PPP comprehensive information platform, and submit the warehousing application and basic information to Jiangmen Finance Bureau step by step, including but not limited to the audit opinions of the people's government at the same level agreeing to adopt PPP mode, project approval documents, project implementation plan, value-for-money evaluation report and audit opinions, financial affordability demonstration report and audit opinions, power of attorney of the project implementation agency and commitment letter of project specification implementation, etc. Stock projects involving the transfer of rights and interests of state-owned assets shall also submit relevant documents for examination, approval and evaluation of state-owned assets.
Jiangmen Municipal Bureau of Finance shall review the data of the application for warehousing projects. If the approval fails, you can adjust the data and resubmit it; If it passes the examination, it shall be submitted to the Provincial Department of Finance for examination by the Jiangmen Municipal Finance Bureau. Projects that have passed the examination by the Provincial Department of Finance and the PPP Center of the Ministry of Finance have been officially released on the extranet of the national PPP comprehensive information platform. If the project fails to pass the examination by the Provincial Department of Finance, it shall be re-declared after being revised and improved by the project implementation agency and the financial department at the corresponding level.
Sixteenth in the national PPP comprehensive information platform to adjust the information of the project has been put into storage, the project implementation agency shall submit a written application. Involving major adjustments, the financial department will submit the application materials to the Provincial Department of Finance step by step after obtaining the consent of the people's government at the same level. Project implementation agencies or industry authorities, financial departments and social capitalists shall timely input the adjusted documents into the national PPP comprehensive information platform.
Article 17 If a project that has been included in the PPP project management library needs to be voluntarily withdrawn from the library, it shall be proposed by the project implementation agency, and with the consent of the local people's government, the local financial department shall submit a written application to the provincial finance department step by step to explain the reasons for withdrawing from the library. In principle, the refunding project shall not apply for warehousing again within three years.
Article 18 Except for confidential projects, all PPP projects need to be included in the management of the national online approval and supervision platform for investment projects, and the generated project codes should be used to go through various approval procedures respectively. Do not evade or replace PPP projects in other forms and incorporate them into the unified management of network platforms.
The project implementation agency shall also apply to the development and reform department at the same level for the inclusion of PPP projects in the national major construction project library, and input the project information into the Guangdong PPP monitoring service platform in accordance with relevant regulations.
Chapter IV Procurement Management
Article 19 For PPP projects that have been included in the project management database of the national PPP comprehensive information platform and released to the outside world, the project implementation agency shall strictly follow the provisions of the Procurement Law of People's Republic of China (PRC) and the Bidding Law of People's Republic of China (PRC), and purchase social capital parties of PPP projects through competitive means such as public bidding.
Article 20 The project implementing agency shall, in strict accordance with the project implementation plan, value-for-money evaluation report, financial affordability demonstration report and other documents, prepare pre-qualification documents, procurement documents and draft PPP project contracts, and attach legal opinions issued by third-party legal institutions, and submit them to the PPP work coordination group for joint evaluation and joint review. After the PPP project at the city level has passed the joint evaluation and joint trial, the relevant documents shall also be submitted to the people's government at the same level for review.
Twenty-first project implementation agencies shall, in accordance with the relevant provisions, carry out social capital procurement, complete procurement intention publicity, pre-qualification, on-site inspection or question-and-answer session, procurement announcement, review, negotiation confirmation, signing negotiation memorandum, bid-winning announcement and other work. On the other hand.
Twenty-second project implementation agencies or industry authorities should take the lead in convening and setting up a special procurement result confirmation negotiation working group, organizing confirmation negotiations before the contract is signed, and strengthening the contract content review with third-party legal institutions.
Article 23 After the publicity of procurement results is over, and before the PPP project contract is formally signed, the project implementation agency shall submit the PPP project contract to the competent department of industry, the financial department and other relevant functional departments for approval, and then report it to the people's government at the same level for approval. After the approval of the people's government at the same level, the project implementation agency and the selected social capital party formally signed a PPP project contract.
Article 24 The project company is a legally established business entity with independent legal personality, operating independently and being responsible for its own profits and losses. The social capital party (which can be an enterprise or a consortium of several enterprises) can set up a project company according to law, and the relevant institutions designated by the people's government at the corresponding level can participate in the project company as representatives of government investment according to law. The proportion of government-funded representatives in the project company should be less than 50%, and they have no actual control and management rights.
Article 25 After the establishment of the project company, the project company may re-sign the PPP project contract with the project implementing agency, or sign a supplementary contract on inheriting the project contract to inherit the rights and obligations of the social capital party under the PPP project contract. The project implementation agency should fully consider the financial expenditure responsibility of the project to ensure that it does not exceed the scope determined by the demonstration of the financial affordability of the project.
Chapter V Implementation and Management
Twenty-sixth during the cooperation of the project, major issues such as signing supplementary agreements and changing the terms of the contract are involved. The project implementing agency shall fully negotiate with the social capital party and entrust a third-party legal institution to issue legal opinions on the negotiation. The finance, development and reform departments at the same level shall also put forward opinions on the changes of government investment, subsidies and charging standards, and submit relevant opinions in writing to the people's government at the same level for review.
Article 27 For PPP projects that have been approved by the people's government at the same level to be included in the medium-term financial planning, the industry authorities and the project implementation agencies shall, in accordance with the budget preparation procedures and requirements, incorporate the financial revenue and expenditure of the PPP project contract in the next year into the budget management, report it to the financial department for approval, and then incorporate it into the draft budget, and report it to the people's congress at the same level for deliberation after being approved by the people's government.
When compiling the annual expenditure budget of PPP projects paid by the government and subsidized by the feasibility gap, the project implementation agency shall submit the annual performance targets and indicators together with the prepared budget application materials to the financial department for review. PPP projects paid by users shall be implemented by reference.
Article 28 The financial department should give full play to the role of Jiangmen Municipal Government-enterprise Cooperation Financing Support Fund, deepen cooperation with China PPP Fund, continuously improve the availability of financing for PPP projects in our city, and guide and support social capital and financial institutions to participate in the investment and construction of PPP projects in our city.
Twenty-ninth PPP project construction should comply with the relevant provisions of the Jiangmen Municipal Government Investment Management Measures. In case of any of the following circumstances in the project construction, it shall be reported to the original examination and approval, approval and filing authority to re-perform the project review and filing procedures, and timely adjust the implementation plan and other related documents:
(a) the project construction site changes;
(2) Major changes have taken place in the project construction scale and main construction contents;
(3) Major changes have taken place in the project construction standards;
(4) The investment scale of the project exceeds 10% of the approved investment.
The project company or the social capitalist shall perform its operational responsibilities in accordance with the contract, and shall not return the project operational responsibilities to the government-funded representative or a third party other than the designated social capitalist.
In order to ensure the operation quality of the project, the project company or social capital can prepare an operation and maintenance manual and submit it to the project implementation agency or the competent department of the industry before the operation begins. During the operation period, the development and reform departments, industry authorities and project implementation agencies should improve the price adjustment mechanism of public services according to the results of project operation and performance evaluation.
Thirtieth industry departments or project implementation agencies shall, in conjunction with the financial sector, do a good job in project life cycle cost monitoring. The project company or social capital party shall submit the financial report audited by the third party in the previous year and the explanatory materials of the project construction and operation cost to the competent industry department and the financial department every year, and input the relevant information into the national PPP comprehensive information platform.
Thirty-first after the project operation enters a stable period, it is encouraged to revitalize the existing assets of the project through equity transfer, asset transaction and asset securitization. To enrich the investment access and exit channels of PPP projects.
Chapter VI Transfer Management
Article 32 If the project assets need to be handed over according to the agreement one year before the expiration of the project term or when it is terminated in advance, the project implementation agency or other agencies designated by the government will set up a project handover working group, which will formulate a handover work plan (including asset evaluation and performance test plan).
Article 33 The project transfer working group shall entrust an asset evaluation institution with corresponding qualifications to evaluate the transferred assets according to the evaluation method agreed in the project contract as the basis for determining the compensation amount. The project handover working group shall conduct performance tests on the transferred assets in strict accordance with the performance test scheme and handover standards.
Article 34 When the project is handed over, the project implementing agency or other agencies designated by the government will recover the project assets on behalf of the government, and the project company or social capital will assist in the legal handover and management handover procedures. Handover materials include: project assets, intellectual property rights, technical legal documents and asset list.
Chapter VII Performance Management
Article 35 In principle, the project implementing agency shall conduct performance evaluation in combination with the completion acceptance during the project construction, and the projects constructed in stages shall conduct performance evaluation in combination with the completion acceptance of sub-projects in each stage.
Project implementation agencies should carry out performance evaluation at least once a year during the project operation; Mid-term evaluation of the project every 3-5 years, focusing on the analysis of the project operation status and the compliance, adaptability and rationality of the project contract; Timely carry out risk assessment on the problems found, formulate countermeasures and carry out rectification. The project implementation agency shall timely input the performance evaluation report, interim evaluation report, rectification information and other materials into the national PPP comprehensive information platform.
Project implementation agencies should also regularly carry out PPP project performance monitoring, and track, monitor and manage the daily operation of the project and the realization degree of annual performance targets.
Article 36 The financial department may, according to the actual situation, select major PPP projects to carry out performance re-evaluation.
After the handover of the project is completed, the financial department shall organize relevant departments to evaluate the project output performance, cost-effectiveness, regulatory effectiveness, sustainability and the application of government and social capital cooperation mode, and make the evaluation results public according to relevant regulations. The evaluation results can be used as a reference for the government to carry out cooperative management of government and social capital.
Thirty-seventh government-paid and feasibility gap subsidy projects, the annual operating subsidy expenditure undertaken by the government should be completely linked to the performance evaluation results of the project company or social capital party in the current year. For user-paid projects, the project income obtained by the project company or social capital party should be linked to the performance evaluation results of the project company or social capital party in the current year.
Article 38 The project company or social capitalist shall actively cooperate with the performance management of PPP projects and be responsible for the authenticity, completeness and effectiveness of the data and information provided.
Chapter VIII Supervision and Administration
Article 39 The financial departments, industry authorities, project implementation agencies, social capital, financial institutions, project companies, consulting institutions and experts shall input and publish the required relevant information on the national PPP comprehensive information platform according to the different stages of PPP projects and the corresponding input time requirements, and in accordance with the principles of objectivity, fairness, timeliness and convenience.
In addition to relying on the national PPP comprehensive information platform, financial departments, industry authorities and project implementation agencies should actively publish and update PPP project information on their respective government affairs public websites.
Fortieth PPP project information providers such as financial departments, project implementation agencies, project companies or social capital parties, and third-party consulting institutions shall be responsible for the authenticity, completeness, accuracy and timeliness of the information they provide.
Forty-first industry authorities should strengthen the dynamic supervision of the whole process of the project company or social capital party's performance ability. In the process of project construction, it is necessary to supervise the project company or social capital to organize the project construction in strict accordance with the design documents to ensure the quality, safety and construction period of the project. During the operation of the project, supervise the project company or social capital party to provide high-quality, safe and efficient public services in accordance with the contract.
Forty-second financial departments at all levels shall, in conjunction with the competent departments of the industry, strengthen the monitoring of PPP project debts. Liabilities formed during the implementation of PPP projects belong to the debts of the project company, and the project company shall bear the repayment responsibility independently. When the project expires, the debts of the project company shall not be handed over to the government.
Article 43 The public has the right to supervise the initiation and implementation of PPP projects. Any unit or individual may report and complain about the illegal acts of the project implementation agencies, industry departments and other relevant government departments in the process of the project. After receiving reports and complaints, the relevant departments shall promptly deal with them according to law.
Chapter IX Risk Management
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