| Notice of the National Development and Reform Commission and the Ministry of Water Resources on Issuing the Operating Guidelines for the Major Water Conservancy Projects Constructed via Public-Private-Partnership (for Trial Implementation) | | 国家发展改革委、水利部关于印发《政府和社会资本合作建设重大水利工程操作指南（试行）》的通知 |
| (No. 2119 [2017] of the National Development and Reform Commission) | | （发改农经〔2017〕2119号） |
| The development and reform commissions and water resources (waster affairs) departments (bureaus) of all provinces, autonomous regions, municipalities directly under the Central Government and cities under separate state planning, and the Development and Reform Commission of Xinjiang Production and Construction Corps; and all river basin institutions of the Ministry of Water Resources: | | 各省、自治区、直辖市及计划单列市、新疆生产建设兵团发展改革委、水利（水务）厅（局），水利部各流域机构： |
| For the purposes of further regulating the participation of private investors in the construction and operation procedures of major water conservancy projects and enhancing the quality and effect of public-private-partnership, we have developed the Operating Guidelines for the Major Water Conservancy Projects Constructed via Public-Private-Partnership (for Trial Implementation), which are hereby issued for your reference in work. Please report the important circumstances and problems encountered in the implementation in a timely manner. | | 为进一步规范社会资本参与重大水利工程建设和运营操作流程，提升政府和社会资本合作质量和效果，我们编制了《政府和社会资本合作建设重大水利工程操作指南（试行）》。现印发给你们，供在工作中参考。实施中的重要情况和问题，请及时报告。 |
| Annex: Operating Guidelines for the Major Water Conservancy Projects Constructed via Public-Private-Partnership (for Trial Implementation) | | 附件：政府和社会资本合作建设重大水利工程操作指南（试行） |
| National Development and Reform Commission | | 国家发展改革委 |
| Ministry of Water Resources | | 水 利 部 |
| December 7, 2017 | | 2017年12月7日 |
| Operating Guidelines for the Major Water Conservancy Projects Constructed via Public-Private-Partnership (for Trial Implementation) | | 政府和社会资本合作建设重大水利工程操作指南（试行） |
| (December 2017) | | （2017年12月） |
| Chapter I General Provisions | | 第一章 总则 |
| Article 1 These Guidelines are developed for the purposes of further regulating the participation of private investors in the construction and operation of major water conservancy projects and enhancing the quality and effects of Public-Private-Partnership (“PPP”), in accordance with the requirements of the Opinions of the CPC Central Committee and the State Council on Deepening the Reform of the Investment and Financing System (No. 18 [2016], CPC Central Committee), the Guiding Opinions of the State Council on Innovating on the Investment and Financing Mechanisms in Key Areas to Encourage Social Investment (No. 60 [2014], State Council), the Measures for the Administration of Concession for Infrastructure and Public Utilities (Order No. 25 [2015], NDRC and other ministries), the Implementation Opinions of the National Development and Reform Commission, the Ministry of Finance and the Ministry of Water Resources on Encouraging and Directing the Participation of Private Investors in the Construction and Operation of Major Water Conservancy Projects (No. 488 [2015], NDRC) and other documents and in light of the reality of the construction and operation of major water conservancy projects. | | 第一条 为进一步规范社会资本参与重大水利工程建设运营，提升政府和社会资本合作（PPP）质量和效果，根据《中共中央国务院关于深化投融资体制改革的意见》（中发〔2016〕18号）、《国务院关于创新重点领域投融资机制鼓励社会投资的指导意见》（国发〔2014〕60号）、《基础设施和公用事业特许经营管理办法》（国家发展改革委等部门令2015年第25号）、《国家发展改革委财政部水利部关于鼓励和引导社会资本参与重大水利工程建设运营的实施意见》（发改农经〔2015〕488号）等文件要求，结合重大水利工程建设运营实际，制定本指南。 |
| Article 2 These Guidelines shall be used for directing the major water conservancy projects for which the government assumes responsibility of provision, that has long-term stable needs, for which market-oriented operation is suitable, and for which the PPP model is adopted for the construction and operation thereof (hereinafter referred to as “water conservancy PPP projects”), including major water source projects, major water diversion projects, large-scale irrigation projects and backbone river and lake improvement projects, among others. The relevant work may be effectively completed for other water conservancy projects constructed by the PPP model, mutatis mutandis thereto. | | 第二条 本指南用于指引政府负有提供责任、需求长期稳定和较适宜市场化运作、采用PPP模式建设运营的重大水利工程项目（以下简称水利PPP项目）操作，包括重点水源工程、重大引调水工程、大型灌区工程、江河湖泊治理骨干工程等。采用PPP模式建设的其他水利工程可参照做好相关工作。 |
| Except under special circumstances, the construction and operation of water conservancy projects shall be open to private investors, and priority shall be given to private investors' participation in the construction and operation, in principle. | | 除特殊情形外，水利工程建设运营一律向社会资本开放，原则上优先考虑由社会资本参与建设运营。 |
| Article 3 The implementation procedures for water conservancy PPP projects shall mainly include project reserve, project demonstration, selection of private investors and project implementation, among others. | | 第三条 水利PPP项目实施程序主要包括项目储备、项目论证、社会资本方选择、项目执行等。 |
| Article 4 All participants shall, under the principles of compliance with laws and regulations, good faith and keeping promise, sharing of interests, sharing of risks, reasonable profits and public benefits, implement water conservancy PPP projects in a standardized, practical and efficient manner. | | 第四条 各参与方按照依法合规、诚信守约、利益共享、风险共担、合理收益、公众受益的原则，规范、务实、高效实施水利PPP项目。 |
| Article 5 The local development and reform departments and water administrative departments at all levels shall, in conjunction with the relevant departments, effectively implement and coordinate with the water conservancy PPP projects in an overall manner, including strengthening planning guidance, directing project planning, organizing the evaluation and demonstration of PPP implementation plans, giving policy support and conducting project implementation supervision and performance evaluation, among others. | | 第五条 地方各级发展改革、水行政主管部门会同有关部门统筹做好水利PPP项目实施协调工作，包括加强规划引导、指导项目策划、组织PPP实施方案评估论证、给予政策支持、开展项目实施监督与绩效评价等。 |
| The National Development and Reform Commission (“NDRC”) and the Ministry of Water Resources (“MWR”) shall strengthen guidance and supervision according to their functions. | | 国家发展改革委、水利部按职责加强指导和监督。 |
| Chapter II Project Reserves | | 第二章 项目储备 |
| Article 6 Water conservancy PPP projects shall have the relevant planning basis. Local water administrative departments at all levels shall summarize and review the water conservancy PPP projects within their respective regions, establish local uniform and shared PPP project libraries by relying on the online investment project approval and supervision platform (National Major Project Library), issue relevant information to the public in a timely manner, and effectively complete project reserve, dynamic management, advancement in a rolling manner and implementation of monitoring, among others. | | 第六条 水利PPP项目需具备相关规划依据。地方各级水行政主管部门汇总整理本地区水利PPP项目，并依托投资项目在线审批监管平台（国家重大项目库），建立本地统一、共享的PPP项目库，及时向社会发布相关信息，做好项目储备、动态管理、滚动推进、实施监测等工作。 |
| Projects that have a cooperative period of less than 10 years, have no cash flow or conduct illegal financing and raise debts in a disguised manner by means of minimum commitment or repurchase arrangement shall not be included in any PPP project library. | | 项目合作期低于10年及没有现金流，或通过保底承诺、回购安排等方式违法违规融资、变相举债的项目，不纳入PPP项目库。 |
| Article 7 The water conservancy PPP projects that are listed in the PPP project library and are planned to be implemented in the current year shall be included in the local annual implementation plans for local PPP projects. The water conservancy PPP projects using various government investment funds shall be included in the three-year rolling government investment plans. | | 第七条 对列入PPP项目库的水利PPP项目，计划当年推进实施的，需纳入本地PPP项目年度实施计划。使用各类政府投资资金的水利PPP项目，需纳入三年滚动政府投资计划。 |
| Article 8 Water conservancy PPP projects shall be implemented by the departments or entities authorized by the people's governments at or above the county level at the places where the projects are located. | | 第八条 水利PPP项目由项目所在地县级以上人民政府授权的部门或单位作为实施机构。 |
| Project implementation institutions shall, within the scope of authorization, be responsible for the development of the implementation plans for water conservancy PPP projects, the selection of private investors, the signing of project contracts, the organization and implementation of projects, the transfer of projects upon expiration of the cooperation period and other work. | | 项目实施机构在授权范围内负责水利PPP项目实施方案编制、社会资本方选择、项目合同签署、项目组织实施和合作期满项目移交等工作。 |
| Chapter III Project Demonstration | | 第三章 项目论证 |
| Article 9 The implementation methods of water conservancy PPP projects shall be rationally selected and flexibly utilized according to the circumstances of each project. | | 第九条 水利PPP项目实施方式根据各项目情况合理选择，灵活运用。 |
| For newly established profit-oriented water conservancy projects that have good economic benefits and that may balance the construction and operation costs through user fees and obtain reasonable revenue, the concession cooperation methods shall be generally adopted. A public welfare water conservancy project whose social benefits and ecological benefits are significant and that mainly provide public services for the public may improve the comprehensive profitability through combined development with projects that have relatively strong operation capacity, granting the right to yields of resource development relevant to the implementation of the project, unified planning for the project according to the drainage basin or region and other methods, to attract private investors to participate in the construction, management and protection of the project. A quasi-public welfare water conservancy project that has significant social benefits and ecological benefits and has certain economic benefits shall generally adopt the mode of government concession supplemented by some investment subsidies, operation subsidies or equity participation via direct investment, and may also divide the primary project, auxiliary projects and other different construction contents into separate modules according to the idea of modular design under the premise of maintaining the integrity and continuity of the project, and accordingly adopt appropriate cooperation method according to the main functions and level of investment returns of each module. For completed projects, the ownership, equity, right to operate and right to charge of the project assets may be transferred to the private investors in whole or in part through transfer of project assets, reconstruction, authorized operation, equity cooperation and other methods. For projects under construction, private investors may also be actively explored and introduced to be responsible for project investment, construction, operation and management. | | 对新建项目，其中经济效益较好，能够通过使用者付费方式平衡建设经营成本并获取合理收益的经营性水利工程，一般采用特许经营合作方式。社会效益和生态效益显著，向社会公众提供公共服务为主的公益性水利工程，可通过与经营性较强项目组合开发、授予与项目实施相关的资源开发收益权、按流域或区域统一规划项目实施等方式，提高项目综合盈利能力，吸引社会资本参与工程建设与管护。既有显著的社会效益和生态效益，又具有一定经济效益的准公益性水利工程，一般采用政府特许经营附加部分投资补助、运营补贴或直接投资参股的合作方式，也可按照模块化设计的思路，在保持项目完整性、连续性的前提下，将主体工程、配套工程等不同建设内容划分为单独的模块，根据各模块的主要功能和投资收益水平，相应采用适宜的合作方式。对已建成项目，可通过项目资产转让、改建、委托运营、股权合作等方式将项目资产所有权、股权、经营权、收费权等全部或部分转让给社会资本，规范有序盘活基础设施存量资产，提高项目运营管理效率和效益。对在建项目，也可积极探索引入社会资本负责项目投资、建设、运营和管理。 |
Article 10 For a newly established major water conservancy project intended to be invested by the government or enterprises by the PPP model, the demonstration whether the PPP model applies to the project shall be included in the project feasibility study or the demonstration and decision-making of project application reports. Where the completed projects and projects under construction for which the PPP model is intended to be adopted involve newly increased investment and construction, the investment management procedures shall be followed according to the laws and regulations. The strategic value, functional positioning, expected return, bankability and management requirements of the projects shall be fully considered, and the necessity and feasibility of the projects for adopting the PPP model shall be scientifically analyzed.
．．．．．． | | 第十条 对拟采用PPP模式的政府或企业投资新建重大水利工程项目，要将项目是否适用PPP模式的论证纳入项目可行性研究或项目申请报告论证和决策。对拟采用PPP模式的已建成项目和在建项目，涉及新增投资建设的，应依法依规履行投资管理程序。要充分考虑项目的战略价值、功能定位、预期收益、可融资性以及管理要求，科学分析项目采用PPP模式的必要性和可行性。
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