| Guiding Opinions of the State Council on Innovation of Investment and Financing Mechanisms in Key Fields to Encourage Social Investment | | 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 |
| (No. 60 [2014] Issued by the State Council) | | （国发〔2014〕60号） |
| The People's Governments of all provinces, autonomous regions and municipalities directly under the Central Government; the ministries and commissions under the State Council; and the institutions directly affiliated to the State Council: | | 各省、自治区、直辖市人民政府，国务院各部委、各直属机构： |
| To promote strategic restructuring of the economy, to strengthen construction at weak links, and to promote sustained and healthy development of the economy, it is imperatively required to further innovate investment and financing mechanisms in such key fields as public services, resources and the environment, ecological construction and infrastructure facilities, to bring into full play the positive role of social capital, particularly nongovernmental capital. Therefore, the following Opinions have been raised. | | 为推进经济结构战略性调整，加强薄弱环节建设，促进经济持续健康发展，迫切需要在公共服务、资源环境、生态建设、基础设施等重点领域进一步创新投融资机制，充分发挥社会资本特别是民间资本的积极作用。为此，特提出以下意见。 |
| I. General Requirement | | 一、总体要求 |
| 1. Guiding ideology: In full-scale implementation of the spirit of the 18th National Congress of the Communist Party of China (CPC) and the 3rd and 4th Plenary Sessions of the 18th CPC Central Committee, in accordance with the relevant decisions and plans of the CPC Central Committee and the State Council, and in efforts to enable the market to play a decisive role in the distribution of resources and bring into better play the role of the government, industrial monopoly and market barriers shall be removed, and the access threshold shall be practically lowered, with establishment of fair, open and transparent market rules, with development of an investment environment with equal rights, equal opportunities and equal rules, with further encouragement of social investment particularly nongovernmental investment, with activation of existing stocks, with a good use of increments, with restructuring, and with filling up of shortfalls, to serve the national productive forces layout, to promote construction in key fields, and to increase effective supply of public goods. | | （一）指导思想。全面贯彻落实党的十八大和十八届三中、四中全会精神，按照党中央、国务院决策部署，使市场在资源配置中起决定性作用和更好发挥政府作用，打破行业垄断和市场壁垒，切实降低准入门槛，建立公平开放透明的市场规则，营造权利平等、机会平等、规则平等的投资环境，进一步鼓励社会投资特别是民间投资，盘活存量、用好增量，调结构、补短板，服务国家生产力布局，促进重点领域建设，增加公共产品有效供给。 |
| 2. Basic principles: Unified market access shall be applied, to develop equal investment opportunities. Investment operation mechanisms shall be innovated, to enlarge channels for social capital investment. Government investment use directions and modes shall be optimized, to bring into play the guiding and leading roles thereof. Financing modes shall be innovated, to expand channels for financing. Price forming mechanisms shall be improved, to bring into play the leverage role of prices. | | （二）基本原则。实行统一市场准入，创造平等投资机会；创新投资运营机制，扩大社会资本投资途径；优化政府投资使用方向和方式，发挥引导带动作用；创新融资方式，拓宽融资渠道；完善价格形成机制，发挥价格杠杆作用。 |
| II. Innovation of Ecological and Environmental Protection Investment Operation Mechanisms | | 二、创新生态环保投资运营机制 |
| 3. Deepening of reform of the forestry management system: Reform of the systems of administration over State-owned forest zones and State-owned forest farms shall be promoted, with improvement of the system of administration over forest management and logging, and with launch of scientific management of forests. Reform of the system of collective forest property rights shall be deepened, with stabilization of relations of forest property rights contracting, with liberalization of forest land management rights, and with encouragement of lawful and regulated turnover of forest property rights. Afforestation in barren mountains and wastelands and lawful turnover of forest property rights to forest land that has been returned from farmland to forests shall be encouraged. Taxes and fees on forest property rights turnover shall be reduced or exempted, to effectively lower the cost of turnover thereof. | | （三）深化林业管理体制改革。推进国有林区和国有林场管理体制改革，完善森林经营和采伐管理制度，开展森林科学经营。深化集体林权制度改革，稳定林权承包关系，放活林地经营权，鼓励林权依法规范流转。鼓励荒山荒地造林和退耕还林林地林权依法流转。减免林权流转税费，有效降低流转成本。 |
| 4. Promotion of diversification of ecological construction entities: Under the premise of strict protection of forest resources, social capital shall be encouraged to actively participate in ecological construction and protection, and qualified cooperatives of farmers, family farms (forest farms), leading specialized households, forestry enterprises and other new types of operators shall be supported in making investment in projects of ecological construction. Where social capital makes a use of barren mountains or wastelands for afforestation, development of ecological industries including under-forest economy and forest tourism shall be permitted, under the premise of guaranteeing ecological benefits and conforming to the requirement for control over the purpose of land use. | | （四）推进生态建设主体多元化。在严格保护森林资源的前提下，鼓励社会资本积极参与生态建设和保护，支持符合条件的农民合作社、家庭农场（林场）、专业大户、林业企业等新型经营主体投资生态建设项目。对社会资本利用荒山荒地进行植树造林的，在保障生态效益、符合土地用途管制要求的前提下，允许发展林下经济、森林旅游等生态产业。 |
| 5. Promotion of mark etization of treatment of environment pollution: In key industries including electric power generation and the iron and steel industry and in the fields of treatment of pollution in development areas (including industrial parks), third-party treatment of environment pollution shall be vigorously promoted. By means of commissioned treatment services, trusteeship operation services, etc, pollutants discharging enterprises shall be made pay for purchasing services of pollution treatment and emission reduction from specialized environmental service companies, to make treatment of pollution more industrialized and more specialized. Government procurement of environmental monitoring services from society shall be steadily promoted. The system of recommendation of third-party pollution treatment enterprises in key industries shall be established. | | （五）推动环境污染治理市场化。在电力、钢铁等重点行业以及开发区（工业园区）污染治理等领域，大力推行环境污染第三方治理，通过委托治理服务、托管运营服务等方式，由排污企业付费购买专业环境服务公司的治污减排服务，提高污染治理的产业化、专业化程度。稳妥推进政府向社会购买环境监测服务。建立重点行业第三方治污企业推荐制度。 |
| 6. Active launch of pilot projects of trading in emission rights and carbon emission permits: Launch of paid use of and trading in emission rights shall be promoted. The system of paid use of emission rights shall be established. The market of trading in emission rights shall be regulated. Social capital shall be encouraged to participate in emission reduction and trading in emission rights. Adjustment of standards for levy of fees on emission of major pollutants shall be stepped up, to apply differential policies on levy of fees on emission. Trial application of the system of trading in carbon emission permits in China shall be accelerated, and exploration shall be made for trading in forest carbon sinks, with development of markets for trading in carbon emission permits, with encouragement and support of participation by social investors in trading in carbon quotas, with discovery of functions of prices therein through financial markets, and with adjustment of interests of different economic entities, to effectively promote environment protection, energy conservation and emission reduction. | | （六）积极开展排污权、碳排放权交易试点。推进排污权有偿使用和交易试点，建立排污权有偿使用制度，规范排污权交易市场，鼓励社会资本参与污染减排和排污权交易。加快调整主要污染物排污费征收标准，实行差别化排污收费政策。加快在国内试行碳排放权交易制度，探索森林碳汇交易，发展碳排放权交易市场，鼓励和支持社会投资者参与碳配额交易，通过金融市场发现价格的功能，调整不同经济主体利益，有效促进环保和节能减排。 |
| III. Encouragement of Investment by Social Capital in Operation of Agricultural and Water Conservancy Projects | | 三、鼓励社会资本投资运营农业和水利工程 |
| 7. Fostering of diversified investors in agricultural and water conservancy projects: Cooperatives of farmers, family farms, leading specialized households, agricultural enterprises and other new types of operators shall be supported in making investment in building facilities for irrigation and water conservancy and for water and soil conservation. Possession, management and maintenance by organizations for cooperation in agricultural use of water of assets of small-sized irrigation and water conservancy projects and water and soil conservation projects formed with financial subsidies shall be permitted. Participation by social capital in multiple forms including franchising, share acquisition and holding of a controlling stake in construction and operation of major water conservancy projects for water conservation and water supply with certain gains shall be encouraged. For major water conservancy projects in which social capital is willing to making investment, social capital shall be actively encouraged to invest in construction of them. | | （七）培育农业、水利工程多元化投资主体。支持农民合作社、家庭农场、专业大户、农业企业等新型经营主体投资建设农田水利和水土保持设施。允许财政补助形成的小型农田水利和水土保持工程资产由农业用水合作组织持有和管护。鼓励社会资本以特许经营、参股控股等多种形式参与具有一定收益的节水供水重大水利工程建设运营。社会资本愿意投入的重大水利工程，要积极鼓励社会资本投资建设。 |
| 8. Guarantee of rational gains for investment in agricultural and water conservancy projects: Where social capital invests in building, operating or managing facilities for irrigation and water conservancy and for water and soil conservation or major water conservancy projects for water conservation and water supply, the projects thereof can enjoy the same policy treatment as State-owned and collectively invested projects, and can gain operating income including water supply charges in accordance with law. Where social capital assumes public welfare tasks, the government can extend appropriate subsidies to it in terms of project construction investment, funding for repair, maintenance, management and protection, etc, and honor preferential policies for it. Where social capital invests in building, operating or managing facilities for irrigation and water conservancy, major water conservancy projects, etc, the relevant equities arising there from can be inherited, transferred, subleased or mortgaged in accordance with law; and where there is expropriation, requisition or occupation therein, indemnity or compensation shall be offered in accordance with the relevant provisions of the State. | | （八）保障农业、水利工程投资合理收益。社会资本投资建设或运营管理农田水利、水土保持设施和节水供水重大水利工程的，与国有、集体投资项目享有同等政策待遇，可以依法获取供水水费等经营收益；承担公益性任务的，政府可对工程建设投资、维修养护和管护经费等给予适当补助，并落实优惠政策。社会资本投资建设或运营管理农田水利设施、重大水利工程等，可依法继承、转让、转租、抵押其相关权益；征收、征用或占用的，要按照国家有关规定给予补偿或者赔偿。 |
| 9. Inviting social capital to participate in development, utilization and protection of water resources by means of reform of the water rights system: Establishment of the water rights system shall be accelerated. Water rights trading markets shall be fostered and regulated. Exploration shall be actively made for multiform water rights trading and turnover means. All regions shall be permitted to satisfy the newly increased demand for water consumption by means of trading in water rights. Social capital shall be encouraged to have preference in acquiring the right to use newly increased water resources by means of participation in investment in building major water conservation and water supply projects. | | （九）通过水权制度改革吸引社会资本参与水资源开发利用和保护。加快建立水权制度，培育和规范水权交易市场，积极探索多种形式的水权交易流转方式，允许各地通过水权交易满足新增合理用水需求。鼓励社会资本通过参与节水供水重大水利工程投资建设等方式优先获得新增水资源使用权。 |
| 10. Improvement of mechanisms for formation of prices of water from water conservancy projects: Pilot projects of comprehensive reform of water prices in rural areas shall be launched in an in-depth way, to further promote agricultural water conservation. Prices of water supplied by water conservancy projects for non-agricultural use shall be rationally set in accordance with the principles of compensation for costs, fair return, high quality, proper pricing and fair burden sharing, and shall be adjusted in a timely manner in accordance with changes in water supply costs and the bearing capacity of society. Two-part prices of water supplied by water conservancy projects and prices of water in wet and dry seasons shall be applied. Where adjustment of water prices is inadequate, local governments can, in accordance with the realities, earmark financial funds to appropriately extend compensation to operators. | | （十）完善水利工程水价形成机制。深入开展农业水价综合改革试点，进一步促进农业节水。水利工程供非农业用水价格按照补偿成本、合理收益、优质优价、公平负担的原则合理制定，并根据供水成本变化及社会承受能力等适时调整，推行两部制水利工程水价和丰枯季节水价。价格调整不到位时，地方政府可根据实际情况安排财政性资金，对运营单位进行合理补偿。 |
| IV. Promotion of Marketization of Investment in and Operation of Municipal Infrastructure | | 四、推进市政基础设施投资运营市场化 |
| 11. Reform of models of construction and operation of municipal infrastructure: Transformation of public institutions for construction and operation of municipal infrastructure toward enterprise-style management based on independent accounting and independent operation shall be promoted. Breakup of models of decentralized operation with projects as the units shall be encouraged, to realize operation of scale, to lower the cost of construction and operation, and to improve the efficiency of investment. “Packaging” of investment in and operation of sewage collection and treatment and garbage treatment projects at the city, county, township and village levels on industrial lines shall be promoted. Realization of integration of water supply in urban and rural areas and integrated investment in and operation of plants and networks thereof shall be encouraged. | | （十一）改革市政基础设施建设运营模式。推动市政基础设施建设运营事业单位向独立核算、自主经营的企业化管理转变。鼓励打破以项目为单位的分散运营模式，实行规模化经营，降低建设和运营成本，提高投资效益。推进市县、乡镇和村级污水收集和处理、垃圾处理项目按行业“打包”投资和运营，鼓励实行城乡供水一体化、厂网一体投资和运营。 |
| 12. Actively prompting social capital to participate in construction and operation of municipal infrastructure: By multiple means including franchising, investment subsidies and government procurement of services, social capital shall be encouraged to make investment in projects of municipal infrastructure including water supply, heat supply, fuel gas supply, sewage and garbage treatment in urban areas, recycling use and treatment of construction wastes, pipe galleries in urban areas, support services in parks, public transportation and parking facilities; and the government shall choose qualified operators thereof in accordance with law. The government can, by means of entrusted operation or Transfer-Operation-Transfer (TOT), transfer projects of municipal infrastructure whose construction has been completed to social capital for operation and management. | | （十二）积极推动社会资本参与市政基础设施建设运营。通过特许经营、投资补助、政府购买服务等多种方式，鼓励社会资本投资城镇供水、供热、燃气、污水垃圾处理、建筑垃圾资源化利用和处理、城市综合管廊、公园配套服务、公共交通、停车设施等市政基础设施项目，政府依法选择符合要求的经营者。政府可采用委托经营或转让-经营-转让（TOT）等方式，将已经建成的市政基础设施项目转交给社会资本运营管理。 |
13. Strengthening of construction of infrastructure in county seats: In accordance with the requirement of development of new-type urbanization, eligible county seats and key towns shall be developed into small and medium-sized cities, and construction of infrastructure therein shall be supported, to enhance their capacity of admitting population transferred from the agricultural sector. A number of county seats and key towns with the industrial basis, with characteristic resources and with regional advantages shall be chosen to promote operation of pilot projects, and policy support for introduction of market mechanisms into construction and operation of municipal infrastructure shall be strengthened.
．．．．．． | | （十三）加强县城基础设施建设。按照新型城镇化发展的要求，把有条件的县城和重点镇发展为中小城市，支持基础设施建设，增强吸纳农业转移人口的能力。选择若干具有产业基础、特色资源和区位优势的县城和重点镇推行试点，加大对市政基础设施建设运营引入市场机制的政策支持力度。
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