Lexology GTDT《PPP专章问答（中国篇）》第一期

信息来源：建领城达所　 时间：2023-03-22　 作者：建领城达所

编者按

国家发改委及财政部 PPP双库专家、上海建领城达律师事务所首席合伙人周吉高律师以及负责PPP业务板块的合伙人李瑞升律师受邀作为独家撰稿人，为国际知名法律咨询平台Lexology GTDT撰写《2023年PPP专章问答（中国篇）》。“建领城达”公众号将对问答内容进行分期推送，本文为第一期。

Lexology GTDT是国际知名的法律咨询门户网站，通过与超过900家世界顶级律师事务所和法律服务提供方的合作，汇集了超过80个业务领域、150个重要司法辖区的专家撰写的独家法律信息资源。Lexology GTDT 的“市场动态”系列专访有助于读者了解全球主要司法辖区法律和监管环境的演变情况。

建领城达律师事务所主任、首席合伙人：周吉高。复旦大学法律硕士、中国科学院工学硕士、同济大学工学学士。兼任中华全国律师协会建设工程与房地产专业委员会副主任、国家发改委及财政部PPP“双库专家”等社会职务。擅长建设工程、房地产领域的各类专业法律服务。累计为70余家施工企业、70余家房地产公司（集团）提供建筑房地产专业法律服务。凭借在建设工程领域的高胜诉率、客户满意度和市场口碑，周吉高律师连续多年被钱伯斯、The Legal 500、Benchmark Litigation等国际知名法律评级机构评为推荐律师。

建领城达律师事务所合伙人、业务四部部长李瑞升律师先后在中国政法大学和北京大学获得法学学士和法学硕士学位，长期为承包商提供各类投融建（含PPP）项目的法律咨询服务和纠纷解决服务，以及工程合同纠纷案件代理服务。2021年，李瑞升律师获得ENR/建筑时报“最值得推荐的中国工程法律60位专业律师”奖项。

General PPP framework

总体的PPP框架

Overview

概述

Question1：How has the concept of public-private partnership (PPP) developed in your jurisdiction? (Is there a statutory definition?) What types of transactions (operation and maintenance, concessions, DBFM, DBFOM, DBO, etc) are permitted and commonly used in your jurisdiction?

问题1：在贵国的司法管辖区，政府和社会资本合作（PPP）的概念是如何发展的？(是否有法定的定义？)在你的管辖范围内，哪些类型的交易(运营和维护、特许权、DBFM、DBFOM、DBO等)是被批准且常被使用的？

Response1：According to Regulations on Cooperation between Government and Social Capital in Infrastructure and Public Services (Draft for Comments), Article 2 : The government adopts competitive methods to select social capitalists. Both parties enter into an agreement to clarify their respective rights and obligations. The social capital party is responsible for the investment, construction and operation of infrastructure and public service projects, then obtains reasonable income through user fees, government fees or subsidies provided by government.

回答1：《基础设施和公共服务领域政府和社会资本合作条例（征求意见稿）》第2条：政府采用竞争性方式选择社会资本方，双方订立协议明确各自的权利和义务，由社会资本方负责基础设施和公共服务项目的投资、建设、运营，并通过使用者付费、政府付费、政府提供补助等方式获得合理收益的活动。

Circular of the Ministry of Finance on Issues Related to the Promotion and Application of the Cooperation Model between Government and Social Capital  (CJ [2014] No. 76) : The partnership model between government and social capital is a long-term partnership in the field of infrastructure and public services. The usual model is that social capital undertakes most of the work of designing, constructing, operating and maintaining the infrastructure, and obtains a reasonable return on investment through "user fees" and, if necessary, "government fees"; Government departments are responsible for regulating the price and quality of infrastructure and public services to ensure maximum public interest.

《财政部关于推广运用政府和社会资本合作模式有关问题的通知》（财金[2014]76号）：政府和社会资本合作模式是在基础设施及公共服务领域建立的一种长期合作关系。通常模式是由社会资本承担设计、建设、运营、维护基础设施的大部分工作，并通过“使用者付费”及必要的“政府付费”获得合理投资回报；政府部门负责基础设施及公共服务价格和质量监管，以保证公共利益最大化。

BOT、BOO、ROT、TOT are approved and often used.

BOT、BOO、ROT、TOT是常见的PPP类型。

Covered categories

涵盖类别

Question2：What categories of public infrastructure (eg, transportation, energy, water, telecoms, social infrastructure (schools, hospitals, government buildings, prisons)) are subject to PPP transactions in your jurisdiction?

问题2：在贵国的管辖区内，哪些类别的公共基础设施（例如，交通、能源、水、电信、社会基础设施（学校、医院、政府大楼、监狱））受制于政府和社会资本合作交易？

Response2：In the field of public services, the government has the obligation to provide projects, except for those that are not suitable for social capital due to national security or significant public interest.

回答2：公共服务领域，政府负有提供义务的项目。但不能因涉及国家安全或重大公共利益而不适宜由社会资本承担。

Legislative framework

立法框架

Question3：Is there a legislative framework for PPPs in your jurisdiction (eg, a concessions law), or are PPPs undertaken pursuant to general government powers as one-off transactions?

问题3：在贵国的管辖区内，是否有设立关于政府和社会资本合作交易（PPP）的立法框架（例如，特许权法）？换言之，PPP是否是根据常规政府权力作为一次性交易进行的？

Response3:There are no laws or administrative regulations, but there are regulations and other normative documents of central and local government departments. PPP is implemented as a fixed model of a type of government investment project.

回答3：没有法律、行政法规，但有中央和地方政府部门的部门规章等规范性文件，PPP是作为一类政府投资项目的固定模式被实施的。

Relevant authority

相关主管机关

Question4：Is there a centralised PPP authority or may each agency carry out its own programme? 

问题4：您的国家/管辖区是否存在一个集权的PPP主管部门，亦或是每个机构可以执行自己的方案？

Response4:There is no single department in charge; the finance department and the development and reform department are jointly in charge. The finance department is responsible for the approval and management of government expenditures, and the development and reform department is responsible for project planning, approval, and management.

回答4：不存在单一部门主管，由财政部门和发改部门共同主管。财政部门主管政府支出的审批与管理，发改部门负责的项目规划、审批、管理。

Procurement

采购

Question5：Are PPPs procured only at the national level or may state, municipal or other subdivision government bodies enter into PPPs? 

问题5：PPP是否仅在国家层面设立，或者州、市或其他分区的政府机构是否也可以参与PPP？

Response5:The implementation is usually initiated by the local government, which usually must be at the county level or above.

回答5：一般由地方政府发起实施，政府方通常须为县级以上的政府。