China: 火线解读发改委1098号PPP新规,提高决策科学性 加强全过程管理

Last Updated: 9 August 2019
Article by Liu Jingxia

  近年来,PPP项目在我国基础设施补短板和提供公共服务方面,通过激发社会有效投资,发挥了很重要的作用,但实际操作中,也出现了一些不尽如人意的问题,尤其是在PPP项目与政府以往对固定资产投资项目的前期工作和建设管理程序衔接方面,由于规则的模糊性等原因,各地困惑不解,做法差异很大。

  今日,国家发展改革委发布了《关于依法依规加强PPP项目投资和建设管理的通知》(发改投资规〔2019〕1098号)(以下简称《通知》,对PPP项目的投资和建设管理中的问题进行了进一步明确。

  《通知》主要依据《政府投资条例》和《企业投资项目核准和备案管理条例》、《政府信息公开条例》三部法规,同时综合了《国务院办公厅关于保持基础设施领域补短板力度的指导意见》、《国务院办公厅关于推进重大建设项目批准和实施领域政府信息公开的意见》等规范性文件关于PPP项目投资决策科学性及投资和建设管理的要求,文件主要以基础设施补短板、防范化解地方政府隐性债务,以及PPP项目投资和建设管理、投资决策科学性角度为出发点,从PPP项目的可行性论证与审查、决策程序、实施方案审核、社会资本遴选、项目资本金及项目纳入全国投资项目在线审批监管平台统一管理和监督、惩戒违规失信行为等方面进行了规范,并指出了什么是不规范的PPP项目及其后果。本文从法律角度对通知的主要内容详细解读如下:

  可行性论证是PPP项目实施前期首要步骤

  PPP模式近年来在国内推广中出现的一些问题,很重要的一个原因是项没有深入开展可行性研究论证,有些项目甚至在没有可行性研究报告的情况下即开始实施,对此,《通知》从PPP项目涉及公共资源配置和公众利益保障的角度,要求全面、深入开展PPP项目的可行性论证和实施方案审查,规定对PPP项目建设的必要性、可行性等重大事项须由政府研究认可,而且要求所有拟采用PPP模式的项目,均要开展可行性论证,通过可行性论证而且适宜采用PPP模式的项目,方可采用PPP模式建设实施。

  对于项目采用PPP模式进行可行性分析和论证的内容,《通知》规定既包括对经济社会发展需要、规划要求、技术和经济可行性、环境影响、投融资方案、资源综合利用、是否有利于提升人民生活质量等方面进行分析论证,也要从政府投资的必要性、政府投资方式的比选、项目全生命周期成本、运营效率、风险管理以及是否有利于吸引社会资本参与等方面对项目是否适宜采用PPP模式进行分析论证。

  对于《通知》提到的"政府研究认可的方式",笔者认为应该指发改部门和其他有关部门通过投资项目在线平台办理的政府投资项目审批、核准手续以及企业通过在线平台完成的备案告知手续和政府对PPP项目实施方案的批复手续,也包括财政部要求的物有所值评价和财政承受能力论证等手续。

  可行性论证与PPP实施方案之间的关系得到明确

  对于实务界感到困惑的项目可行性论证与PPP实施方案之间的关系,《通知》明确:"实行审批制管理的PPP项目,在可行性研究报告审批通过后,方可开展PPP实施方案审查、社会资本遴选等后续工作。实行核准制的PPP项目,应在核准的同时或单独开展可行性论证和审查。实行备案制的PPP项目,应单独开展可行性论证和审查。"

  PPP项目要依法履行审批核准备案程序

  《通知》要求PPP项目要严格依法依规履行项目决策程序,严格按照《政府投资条例》、《企业投资项目核准和备案管理条例》规定执行固定资产投资项目的审批、核准、备案程序。采取政府资本金注入方式的PPP项目,按照《政府投资条例》规定,实行审批制;列入《政府核准的投资项目目录》的企业投资项目,按照《企业投资项目核准和备案管理条例》规定,实行核准制;对于实行备案制的企业投资项目,拟采用PPP模式的,要严格论证项目可行性和PPP模式必要性。

  根据国家发改委此前对于"《政府投资条例》和PPP的五大关系"的官方解读,在国家目前没有出台专门针对PPP模式的法律法规的情况下,《政府投资条例》和《企业投资项目核准和备案管理条例》是目前我国法律效力最高、与PPP关系十分密切的行政性法规。作为我国固定资产投资项目组织实施的一种方式,PPP项目本身的决策亦应执行《政府投资条例》和《企业投资项目核准和备案管理条例》的规定。

  1、实行审批制管理的PPP项目

  对于使用政府财政预算安排的资金由政府采取资本金注入方式(《政府投资条例》明确"对确需支持的经营性项目,主要采取资本金注入方式")投资的PPP项目(包括新建、扩建、改建、技术改造等固定资产投资项目),实行审批制管理,在项目可行性研究报告审批通过后,开展PPP实施方案审查。笔者理解,按照《政府投资条例》规定,此类政府投资项目,项目单位应当编制项目建议书、可行性研究报告、初步设计,保证前期工作的深度达到规定的要求,按照政府投资管理权限和规定的程序,报投资主管部门或者其他有关部门审批。但《通知》对于"项目单位"如何确定并未明确,实务中还需要进一步依法找到可行的确立方式。

  对于政府虽然采取资本金注入方式投资但仅提供服务而不涉及固定资产投资建设的PPP项目(如由政府与社会资本合作出资提供纯粹养老服务的PPP项目),因为非固定资产投资项目并不一定归属发改委管理,但鉴于《通知》规定所有拟采用PPP模式的项目,均要开展可行性论证,笔者认为,对该类PPP项目采用PPP模式的必要性和可行性应该在实施方案中进行论证。

  另外,有些PPP项目虽然没有政府资本金注入,但是使用了政府补助或贷款贴息的,也属于《政府投资条例》相关条款规范的范围,对其可行性论证和及决策程序,笔者认为应该根据具体情况而定。

  对于政府采取资本金注入方式投资建设的PPP项目,发改部门或者其他有关部门应当根据国民经济和社会发展规划、相关领域专项规划、产业政策等,从下列方面对项目进行审查,作出是否批准的决定:

  (一)项目建议书提出的项目建设的必要性;

  (二)可行性研究报告分析的项目的技术经济可行性、社会效益以及项目资金等主要建设条件的落实情况;

  (三)初步设计及其提出的投资概算是否符合可行性研究报告批复以及国家有关标准和规范的要求;

  (四)依照法律、行政法规和国家有关规定应当审查的其他事项。

  意味着政府采取资本金注入方式投资建设的PPP项目,在获得发改部门或者其他有关部门批准项目建议书、可行性研究报告审批通过后,方可开展PPP实施方案审查、社会资本遴选等后续工作,另外,初步设计还需获得批准。

  如果属于国务院规定应当审批开工报告的重大政府投资项目,应按照规定办理开工报告审批手续后,方可开工建设。

  2、实行核准制的PPP项目

  根据《企业投资项目核准和备案管理条例》规定,实行核准管理的项目,是指企业在中国境内投资建设的,在政府核准的投资项目目录范围内的关系国家安全、涉及全国重大生产力布局、战略性资源开发和重大公共利益等固定资产投资项目。PPP项目如果属于列入《政府核准的投资项目目录》的企业投资项目,亦应按照《企业投资项目核准和备案管理条例》规定,实行核准管理。

  PPP项目公司在办理项目核准手续时,应当向核准机关提交项目申请书。项目申请书应当包括下列内容:

  (一)企业基本情况;

  (二)项目情况,包括项目名称、建设地点、建设规模、建设内容等;

  (三)项目利用资源情况分析以及对生态环境的影响分析;

  (四)项目对经济和社会的影响分析。

  法律、行政法规规定办理相关手续作为项目核准前置条件的,企业应当提交已经办理相关手续的证明文件。

  但可能存在的冲突时是,实行核准制管理的PPP项目,根据目前的PPP项目惯常操作程序,最早应当是已经批复的实施方案中已确定全部由社会资本投资建设的PPP项目,具体办理核准程序应该是在社会资本已经中标并设立项目公司后,由项目公司向核准机关提交项目申请书办理项目核准手续,在核准的同时开展(是否适宜采用PPP模式)可行性论证和(实施方案)审查,均已为时过晚。单独开展(项目是否适宜采用PPP模式)可行性论证和(实施方案)审查,比较符合实际。

  3、实行备案制的PPP项目

  根据《企业投资项目核准和备案管理条例》规定,对于政府核准的投资项目目录规定以外的企业投资的固定资产项目,实行备案管理。除国务院另有规定的,实行备案管理的项目按照属地原则备案,备案机关及其权限由项目所在地的省、自治区、直辖市和计划单列市人民政府规定。对于实行备案制的企业投资项目,拟采用PPP模式的,要严格论证项目可行性和PPP模式必要性,要单独开展可行性论证和(实施方案)审查。

  PPP项目公司应当在开工建设前通过在线平台将下列信息告知备案机关:

  (一)企业基本情况;

  (二)项目名称、建设地点、建设规模、建设内容;

  (三)项目总投资额;

  (四)项目符合产业政策的声明。

  备案机关收到本条第一款规定的全部信息即为备案;企业告知的信息不齐全的,备案机关应当指导企业补正。

  《通知》明确规定:未依法依规履行审批、核准、备案及可行性论证和(实施方案)审查程序的PPP项目,为不规范项目,不得开工建设。

  《通知》同时强调了上位法《政府投资条例》和《企业投资项目核准和备案管理条例》对于固定资产投资项目的审核备要求,明确规定"不得以实施方案审查等任何形式规避或替代项目审批、核准、备案,以及可行性论证和审查程序"。

  PPP项目实施方案要严格审核

  国家发展改革委、财政部、住房城乡建设部、交通运输部、水利部、人民银行于2015年4月25日发布的《基础设施和公用事业特许经营管理办法》(以下简称"25号令")第九条规定,县级以上人民政府有关行业主管部门或政府授权部门对可以提出特许经营项目实施方案,并规定特许经营项目实施方案应当包括以下内容:

  (一)项目名称;

  (二)项目实施机构;

  (三)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;

  (四)投资回报、价格及其测算;

  (五)可行性分析,即降低全生命周期成本和提高公共服务质量效率的分析估算等;

  (六)特许经营协议框架草案及特许经营期限;

  (七)特许经营者应当具备的条件及选择方式;

  (八)政府承诺和保障;

  (九)特许经营期限届满后资产处置方式;

  (十)应当明确的其他事项。

  《通知》规定严格PPP项目的实施方案审核,但对实施方案包括的内容没有明确规定。对于PPP项目实施方案的审核方式,《通知》鼓励各地建立PPP项目实施方案联审机制。这应该是延续了发改委一贯倡导的项目方案联评联审思路,25号令规定项目提出部门依托本级人民政府依法建立的部门协调机制,会同发展改革、财政、城乡规划、国土、环保、水利等有关部门对特许经营项目实施方案进行审查,经各部门审查认为实施方案可行的,由相关各部门根据职责分别出具书面审查意见,项目提出部门再综合各部门书面审查意见,报本级人民政府或其授权部门审定特许经营项目实施方案。这种做法目前基本是各地认同的实操措施,有利于各部门提前介入并把项目可能涉及的公共管理问题在项目方案确定前提出并寻找解决办法。

  对于PPP项目实施方案的审查内容,《通知》要求各级发展改革部门要严格审查实施方案主要内容是否与经批复的可行性研究报告、项目核准文件、备案信息相一致。

  PPP项目实施方案审核(笔者建议此处应继续使用"审查"一词,以保持全文用语的一致性)通过后,方可开展社会资本遴选。而且《通知》明确公开招标应作为遴选社会资本的主要方式,招标文件的主要内容要与经批准的PPP项目实施方案保持一致,实施方案、招标文件、合同的主要内容与经批准的可行性研究报告、核准文件、备案信息保持一致。对于合同的主要内容与经批准的可行性研究报告、核准文件、备案信息保持一致的要求,由于合同的内容是合同当事人双方谈判、妥协的结果,笔者认为应该指项目名称、建设地点、建设规模、建设内容等核心内容不得改变可行性论证中确定的实质性内容。

  《通知》指出,实施方案、招投标文件、合同或建设中出现以下情形的,应当报请原审批、核准、备案机关重新履行项目审核备程序:(1)项目建设地点发生变化;(2)项目建设规模和主要建设内容发生较大变化;(3)项目建设标准发生较大变化;(4)项目投资规模超过批复投资的10%。

  对建设内容单一、投资规模较小、技术方案简单的PPP项目,可将实施方案纳入可行性研究报告一并审核。

  项目资本金规定要严格执行,防止过度举债融资

  《通知》强调,各行业固定资产投资项目资本金必须满足国务院规定的最低比例要求,防止过度举债融资,PPP项目的融资方式和资金来源应符合防范化解地方政府隐性债务风险的相关规定,不得通过约定回购投资本金、承诺保底收益等方式违法违规变相增加地方政府隐性债务,严防地方政府债务风险。

  不规范的PPP项目不得开工建设

  《通知》指出,未依法依规履行审批、核准、备案及可行性论证和审查程序的PPP项目,为不规范项目,其后果是不得开工建设。未录入全国PPP项目信息监测服务平台的项目亦为不规范项目。

  依托在线平台落实PPP项目信息公开

  《通知》以全国投资项目在线审批监管平台(以下简称"在线平台")为抓手,指出依托在线平台建立全国PPP项目信息监测服务平台加强PPP项目管理和信息监测。除涉密项目外,所有PPP项目均须使用在线平台生成的项目代码办理项目各项审核备手续。不得以其他任何形式规避、替代PPP项目纳入在线平台统一管理。

  对于全国PPP项目信息监测服务平台信息审核,《通知》规定实行属地管理,原则上由项目实施主体所在地同级发展改革部门负责取在线监测、现场审核等方式审核项目单位填报的项目信息,并加强对PPP项目实施情况的监督检查。

  对于通过项目审批、核准或备案,以及可行性论证、实施方案审查的PPP项目,依托在线平台,重点公开PPP项目的批准服务信息、批准结果信息、招标投标信息,以及施工、竣工等有关信息,实现全国PPP项目信息定期发布、动态监测、实时查询等功能,便于社会资本、金融机构等有关方面更好参与PPP项目。

  加强PPP项目监管,坚决惩戒违规失信行为

  《通知》要求政府应依法依规履行承诺,不得擅自变更合同约定的政府方责任和义务,同时,要根据PPP项目合同约定加强对社会资本方履约能力的全过程动态监管,防止因社会资本方超出自身能力过度投资、过度举债或因公司股权、管理结构发生重大变化等导致项目无法实施。并指出将依照规定将存在严重失信行为的地方政府、社会资本,通过"信用中国"网站等平台向社会公示,由相关部门依法依规对其实施联合惩戒。

  严禁通过设置"短名单"、"机构库"等方式限制选择PPP咨询机构的自主权

  对于现在许多地方存在的以设置"短名单"、"机构库"等方式限制自主选择PPP咨询机构的做法,《通知》要求指导监督PPP咨询机构严格执行《工程咨询行业管理办法》,通过在线平台履行法定备案义务、接受行业监督管理,指导监督PPP咨询机构资信评价工作,引导PPP咨询机构积极参与行业自律管理,指导有关方面通过充分竞争、自主择优选取PPP咨询机构,严禁通过设置"短名单"、"机构库"等方式限制社会资本方、金融机构等自主选择PPP咨询机构。同时规定,对PPP咨询机构不履行备案程序和违反合同服务、关联回避、质量追溯、反垄断等规定以及违反《政府投资条例》决策程序规定、咨询或评估服务存在严重质量问题影响项目决策实施的,要严格按照规定给予处罚。

  适逢《政府投资条例》亦自今日起施行,严格执行《政府投资条例》、《企业投资项目核准和备案管理条例》、《政府信息公开条例》以及1098号的规定,已经成为规范的PPP项目实施的不可或缺的必要条件。

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