Interim Administrative Measures for Projects Financed by Loans of International Financial Organizations and Foreign Governments

国际金融组织和外国政府贷款投资项目管理暂行办法

 

Promulgating Institution: National Development and Reform Commission

Document Number: Order No. 28 of the National Development and Reform Commission

Promulgating Date: 02/28/2005

Effective Date: 03/01/2005

 

颁布机关: 国家发展和改革委员会

文      号: 国家发展和改革委员会令第28号

颁布时间: 02/28/2005

实施时间: 03/01/2005

Chapter 1 General Provisions

第一章  总则

  Article 1   In accordance with the Decision of the State Council on Investment System Reform and relevant State provisions on external debts, these Measures are formulated with a view to strengthening the administration over projects financed by the loans of international financial organizations and foreign governments (hereinafter referred to as the Foreign Loan) and improving the use efficiency of Foreign Loans.

       第一条  为加强国际金融组织和外国政府贷款(以下简称国外贷款)投资项目管理,提高国外贷款使用效益,根据《国务院关于投资体制改革的决定》和国家有关外债管理规定,制定本办法。

  Article 2   These Measures shall be applicable to the administration over projects financed by the loans of foreign governments and such international financial organizations as the World Bank, Asian Development Bank and International Fund for Agricultural Development, projects financed by donation funds together with loans, and/or projects having joint financing support.

       第二条  借用世界银行、亚洲开发银行、国际农业发展基金会等国际金融组织贷款和外国政府贷款及与贷款混合使用的赠款、联合融资等投资项目的管理,适用本办法。

  Article 3   All domestic enterprises, institutions or organizations may apply for Foreign Loans.

       第三条  境内企业、机构、团体均可申请借用国外贷款。

  Article 4   Foreign Loans shall be sovereign external debts and shall be administered as government investment funds. Foreign Loans shall be mainly used for the construction of welfare and public infrastructure facilities to protect and improve the ecological environment as well as to promote the development of under-developed regions.

       第四条  国外贷款属于国家主权外债,按照政府投资资金进行管理。国外贷款主要用于公益性和公共基础设施建设,保护和改善生态环境,促进欠发达地区经济和社会发展。

Chapter 2 Planning of Candidate Projects for Foreign Loans

第二章  国外贷款备选项目规划

  Article 5   The planning of candidate projects for Foreign Loans is the basis for carrying out project-related foreign work. Projects intended to be financed by Foreign Loans shall be included in the planning of candidate projects for Foreign Loans.

For the projects not included in the planning of candidate projects for Foreign Loans, relevant departments of the State Council, local governments at all levels and entities using project funds may not file formal loan applications to such foreign lending institutions as international financial organizations or foreign governments.

       第五条  国外贷款备选项目规划是项目对外开展工作的依据。借用国外贷款的项目必须纳入国外贷款备选项目规划。

    未纳入国外贷款备选项目规划的项目,国务院各有关部门、地方各级政府和项目用款单位不得向国际金融组织或外国政府等国外贷款机构正式提出贷款申请。

  Article 6   The development and reform department of the State Council shall, in accordance with the national economic and social development planning, industrial policies, the principles and requirements on external debt management and use of Foreign Loans, formulate the planning of candidate projects for Foreign Loans, and shall formulate and distribute the annual plan on conclusion of project contracts in accordance therewith. 

The development and reform department of the State Council shall put forward the planning of candidate projects for loans of the World Bank, Asian Development Bank and the Japanese Yen (JPY) loans of the Japanese Government, and shall, after deliberating with the finance department of the State Council, submit the same to the State Council for approval.

       第六条  国务院发展改革部门按照国民经济和社会发展规划、产业政策、外债管理及国外贷款使用原则和要求,编制国外贷款备选项目规划,并据此制定、下达年度项目签约计划。

    世界银行、亚洲开发银行贷款和日本政府日元贷款备选项目规划由国务院发展改革部门提出,商国务院财政部门后报国务院批准。

  Article 7   The competent industrial department of the State Council, development and reform departments at the provincial level, enterprise groups separately designated in the State Plan and enterprises under the central management shall report the candidate projects to be included in the Foreign Loan planning to the development and reform department of the State Council.

Where a local government arranges supporting funds, assumes responsibilities for loan repayment or provides loan guarantee for a project declared by the competent industrial department of the State Council, the opinions of a development and reform department at the provincial level and other relevant departments shall be simultaneously submitted.

       第七条  国务院行业主管部门、省级发展改革部门、计划单列企业集团和中央管理企业向国务院发展改革部门申报纳入国外贷款规划的备选项目。

    国务院行业主管部门申报的项目,由地方政府安排配套资金、承担贷款偿还责任或提供贷款担保的,应当同时出具省级发展改革部门及有关部门意见。

  Article 8   The materials for the declaration of a candidate project to be incorporated in the Foreign Loan planning shall include the following contents:

(1) project overview;

(2) necessity for construction of the project;

(3) type of the Foreign Loan under application or the country offering the loan;

(4) the amount and intended purposes of the loan; and

(5) responsibilities for loan repayment.

       第八条  申报纳入国外贷款规划的备选项目材料包括以下内容:

    (一)项目简要情况;

    (二)项目建设必要性;

    (三)拟申请借用国外贷款的类别或国别;

    (四)贷款金额及用途;

    (五)贷款偿还责任。

  Article 9   Where the source of a loan needs to be adjusted or the loan needs to be cancelled for a project already included in the planning of candidate projects for loans of international financial organizations or the JPY loans of the Japanese Government, the adjusted contents shall be reported to the development and reform department of the State Council in accordance with the procedures as specified in Article 7 of these Measures.

Where the source of a loan needs to be adjusted for a project included in the planning of candidate projects for loans of other foreign governments, the adjusted contents shall be reported together with the project fund application report for approval at the examination and approval stage of the said report.

       第九条  已纳入国际金融组织贷款、日本政府日元贷款备选项目规划的项目,如需调整贷款来源或撤销贷款的,应当将调整内容按照本办法第七条规定的程序报国务院发展改革部门。

    纳入其他外国政府贷款备选项目规划的项目,如需调整贷款来源的,应当将调整内容在项目资金申请报告审批阶段一并报批。

  Article 10   Where a project originally approved to use other funds intends to use Foreign Loans instead, or where vice versa, a report shall be submitted to the development and reform department of the State Council in accordance with the procedures as specified in Article 7 of these Measures.

       第十条  原批准使用其他资金的项目,拟申请转用国外贷款;或已批准使用国外贷款的项目,拟申请转用其他资金的,应当按照本办法第七条规定的程序报国务院发展改革部门。

  Article 11   The development and reform department of the State Council and development and reform departments at the provincial level shall participate in the project-related foreign work, instruct and supervise the implementation of the Foreign Loan planning and the annual plan on conclusion of project contracts.

       第十一条  国务院发展改革部门、省级发展改革部门参与项目的有关对外工作,指导和督促国外贷款规划及年度项目签约计划的落实。

  Article 12   The procedures of examination and approval, verification and approval or record-filing of projects included in the planning of candidate projects for Foreign Loans shall be gone through depending on specific circumstances:

(1). A project for which the Central Government borrows and repays the loans uniformly shall be administered as a project directly invested by the Central Government, and the project proposal and feasibility study report thereof shall be reported to the State Council for examination and approval after having been examined and approved or examined and verified by the development and reform department of the State Council.

2. A project for which a government at the provincial level assumes the responsibilities of loan repayment or providing repayment guarantee shall be administered as a project directly invested by the government at the provincial level, and the authority thereof for project examination and approval shall be subject to relevant provisions of the State Council and the development and reform department of the State Council. Except for projects that shall be examined and approved by the State Council or the development and reform department of the State Council, the feasibility study reports of other projects shall all be examined and approved by development and reform departments at the provincial level and the authority for examination and approval shall not be delegated to government authorities at lower levels.

3. For a project whose loans shall be repaid by the entity using the project funds and require no government guarantee, the project shall be handled with reference to the provisions of the Catalog of Investment Projects Subject to Government Verification and Approval, specifically: for a project listed under the Catalog of Investment Projects Subject to Government Verification and Approval, the project application report thereof shall be verified and approved by a development and reform department at the provincial level and the development and reform department of the State Council respectively, or reported to the State Council for verification and approval after having been examined and verified by the development and reform department of the State Council; a project not listed under the Catalog of Investment Projects Subject to the Government Verification and Approval shall be reported to the development and reform department at the provincial level at the locus of the project for record-filing purposes.

       第十二条  纳入国外贷款备选项目规划的项目,应当区别不同情况履行审批、核准或备案手续:

    (一)由中央统借统还的项目,按照中央政府直接投资项目进行管理,其项目建议书、可行性研究报告由国务院发展改革部门审批或审核后报国务院审批。

    (二)由省级政府负责偿还或提供还款担保的项目,按照省级政府直接投资项目进行管理,其项目审批权限,按国务院及国务院发展改革部门的有关规定执行。除应当报国务院及国务院发展改革部门审批的项目外,其他项目的可行性研究报告均由省级发展改革部门审批,审批权限不得下放。

    (三)由项目用款单位自行偿还且不需政府担保的项目,参照《政府核准的投资项目目录》规定办理:凡《政府核准的投资项目目录》所列的项目,其项目申请报告分别由省级发展改革部门、国务院发展改革部门核准,或由国务院发展改革部门审核后报国务院核准;《政府核准的投资项目目录》之外的项目,报项目所在地省级发展改革部门备案。

Chapter 3 Project Fund Application Report

第三章  项目资金申请报告

  Article 13   After a project has been included in the planning for candidate projects for Foreign Loans and the procedures of examination and approval, verification and approval or record-filing have been completed, the entity using the project funds shall submit to the development and reform department at the provincial level at the domicile of the said entity a project fund application report. 

The project fund application report shall be reported to the development and reform department of the State Council for examination and approval after preliminary review by the development and reform department at the provincial level.

The project fund application reports of the competent industrial department of the State Council, enterprise groups separately designated in the State plan or enterprises under the central management shall be directly reported to the development and reform department of the State Council for examination and approval.

       第十三条  项目纳入国外贷款备选项目规划并完成审批、核准或备案手续后,项目用款单位须向所在地省级发展改革部门提出项目资金申请报告。

    项目资金申请报告由省级发展改革部门初审后,报国务院发展改革部门审批。

    国务院行业主管部门、计划单列企业集团和中央管理企业的项目资金申请报告,直接报国务院发展改革部门审批。

  Article 14   The feasibility study report of a project subject to the examination and approval of the State Council and the development and reform department of the State Council shall contain contents of the project fund application report, and the latter shall not be examined and approved separately.

       第十四条  由国务院及国务院发展改革部门审批的项目可行性研究报告,可行性研究报告中应当包括项目资金申请报告内容,不再单独审批项目资金申请报告。

  Article 15   A project fund application report shall contain the following contents:

(1) project overview, including the construction scale and content of the project, total investment, capital, Foreign Loans and other funds, project owner, project implementing agency and the construction period;

(2) sources of and conditions for Foreign Loans, including the foreign lending institution or the country offering the loan, repayment period, grace period, interest rates, commitment fees, etc;

(3) progress of the project-related foreign work;

(4) utilization scope of the loan, including capital arrangement of the loan for civil engineering, equipment, materials, consulting and training, etc;

(5) a list of equipment and materials to be procured and the procurement methods, including the specifications, quantities and unit price of major equipment and materials;

(6) conclusions of economic analysis and financial evaluation; and

(7) responsibilities for loan repayment and guarantee, sources of funds for loan repayment and the repayment plan.

       第十五条  项目资金申请报告应当具备以下内容:

    (一)项目概况,包括项目建设规模及内容、总投资、资本金、国外贷款及其他资金、项目业主、项目执行机构、项目建设期;

    (二)国外贷款来源及条件,包括国外贷款机构或贷款国别、还款期、宽限期、利率、承诺费等;

    (三)项目对外工作进展情况;

    (四)贷款使用范围,包括贷款用于土建、设备、材料、咨询和培训等的资金安排;

    (五)设备和材料采购清单及采购方式,包括主要设备和材料规格、数量、单价;

    (六)经济分析和财务评价结论;

    (七)贷款偿还及担保责任、还款资金来源及还款计划。

  Article 16   The following documents shall be attached to a project fund application report:

(1) project approval documents (approval documents on the project feasibility study report, verification and approval documents on the project application report or project record-filling documents).

(2) for a project financed by the loans of international financial organizations or the Japan Bank for International Cooperation, a project evaluation report of the foreign lending institution shall be provided.

(3) where it is necessary for a local government to arrange supporting funds, assume responsibilities for loan repayment or provide loan guarantee for a project when the competent industrial department of the State Council proposes the project fund application report, the opinions of a development and reform department at the provincial level and other relevant departments shall be produced.

(4) upon application for a Foreign Loan project with restrictive conditions on procurement, a report on the results of the comparison of such respects as conditions of Foreign Loans, proportion between domestic and foreign procurement as well as equipment prices shall be produced.

       第十六条  项目资金申请报告应当附以下文件:

    (一)项目批准文件(项目可行性研究报告批准文件、项目申请报告核准文件或项目备案文件)。

    (二)国际金融组织和日本国际协力银行贷款项目,提供国外贷款机构对项目的评估报告。

    (三)国务院行业主管部门提出项目资金申请报告时,如项目需地方政府安排配套资金、承担贷款偿还责任或提供贷款担保的,出具省级发展改革部门及有关部门意见。

    (四)申请使用限制性采购的国外贷款项目,出具对国外贷款条件、国内外采购比例、设备价格等比选结果报告。

  Article 17   A project fund application report shall be examined and approved by the development and reform department of the State Council on the following conditions:

(1) State policies on the utilization of Foreign Loans and provisions on the use thereof are complied with;

(2) the planning of candidate projects for Foreign Loans is complied with;

(3) the project has gone through the examination and approval, verification and examination or record-filing procedures as specified;

(4) the responsibilities for repayment and guarantee for the Foreign Loan are clearly defined, sources of funds for repayment and the repayment plan have been specified; and 

(5) the foreign lending institution has made an initial commitment to provide loans for the project.

       第十七条  国务院发展改革部门审批项目资金申请报告的条件是:

    (一)符合国家利用国外贷款的政策及使用规定;

    (二)符合国外贷款备选项目规划;

    (三)项目已按规定履行审批、核准或备案手续;

    (四)国外贷款偿还和担保责任明确,还款资金来源及还款计划落实;

    (五)国外贷款机构对项目贷款已初步承诺。

  Article 18    After a project fund application report is approved, where there are changes in the construction content of the project, amount and purposes of the loans, etc., an adjustment program shall be reported to the development and reform department of the State Council for approval in accordance with the procedures as specified in Article 13 of these Measures.

       第十八条  项目资金申请报告批准后,项目建设内容、贷款金额及用途等发生变化的,须按本办法第十三条规定的程序将调整方案报国务院发展改革部门批准。

  Article 19   The approval documents of the State Council and the development and reform department of the State Council on the feasibility study report or the fund application report of a project shall be the basis for negotiating and concluding contracts with foreign parties, and for going through formalities for sub-loan validation, external debt registration, procurement bidding invitation and tax exemption domestically.

       第十九条  国务院及国务院发展改革部门对项目可行性研究报告或资金申请报告的批准文件,是对外谈判、签约和对内办理转贷生效、外债登记、招标采购和免税手续的依据。

  Article 20    With respect to projects whose feasibility study report or fund application report has not been examined and approved by the State Council and the development and reform department of the State Council, relevant departments and entities may not conclude loan conventions, agreements or contracts with foreign parties, and administrations for foreign exchange, taxation authorities or customs and banks may not handle relevant formalities.

       第二十条  未经国务院及国务院发展改革部门审批可行性研究报告或资金申请报告的项目,有关部门和单位不得对外签署贷款协定、协议和合同,外汇管理、税务、海关等部门及银行不予办理相关手续。

  Article 21    Where no sub-lending agreement on Foreign Loans for a relevant project is concluded within two (2) years since the approval of the project fund application report, the approval shall automatically become invalid.

       第二十一条  项目资金申请报告自批准之日起两年内,项目未签订国外贷款转贷协议的,该批准文件自动失效。

Chapter 4 Administration over Project Implementation

第四章  项目实施管理

  Article 22   The development and reform department of the State Council and development and reform departments at the provincial level shall instruct and coordinate the project implementation, and supervise the relevant bidding and bid activities.

       第二十二条  国务院发展改革部门、省级发展改革部门指导和协调项目实施工作,监督有关招投标活动。

  Article 23   Where there is surplus money for a Foreign Loan project, the entity using the project funds shall timely handle relevant formalities to cancel the surplus money, and shall copy the same to the development and reform department of the State Council in accordance with the procedures as specified in Article 13 of these Measures.

Where the surplus money continues to be used to improve the construction of the same project, the entity using the project funds shall formulate a program on the use of the surplus money with reference to the requirements for the project fund application report and shall submit the same to the development and reform department of the State Council for approval in accordance with the procedures as specified in Article 13 of these Measures.

       第二十三条  国外贷款项目出现余款时,项目用款单位应当及时办理有关余款取消手续,并按本办法第十三条规定的程序抄报国务院发展改革部门。

    如将余款继续用于完善原项目建设的,应当参照项目资金申请报告的要求,编制余款使用方案,并按本办法第十三条规定的程序报国务院发展改革部门批准。

  Article 24   Sub-loaning institutions responsible for sub-lending the Foreign Loans shall, in accordance with the approval documents of the State Council and the development and reform department of the State Council on feasibility study reports or fund application reports, sub-lend the Foreign Loans of the projects and shall, at the end of June and December each year, report the information on the payment and repayment of Foreign Loans to the development and reform department of the State Council.

Regarding projects for which governments at all levels assume responsibilities for repayment of Foreign Loans or providing guarantee therefor, sub-loaning institutions shall, in principal, sub-lend the loans in accordance with the loan conditions specified by the lenders. Where it is necessary to adjust the sub-lending conditions of the aforesaid projects for the purpose of avoiding risks of external debts, the sub-loaning institutions shall obtain prior consent of the development and reform department of the State Council.

       第二十四条  负责将国外贷款进行转贷的转贷机构,应当根据国务院及国务院发展改革部门对项目可行性研究报告或资金申请报告的批准文件,对项目的国外贷款进行转贷,并于每年六月底和十二月底向国务院发展改革部门报送国外贷款支付和偿还情况。

    由各级政府负责偿还国外贷款或提供还款担保的项目,转贷机构原则上应当按贷款方提供的贷款条件进行转贷。如以规避外债风险为目的需对上述项目转贷条件进行调整的,转贷机构应当事先征得国务院发展改革部门同意。

  Article 25   Entities using the project funds shall fulfill their responsibilities for repayment of Foreign Loans in accordance with the law, timely register external debts and strengthen debt risk management of Foreign Loans. 

Entities using the project funds shall establish a project information feedback system, and submit reports on project progress to the development and reform departments that approve the projects at the end of June and December each year.

       第二十五条  项目用款单位要依法履行国外贷款偿还责任,及时进行外债登记,加强国外贷款债务风险管理。

    项目用款单位要建立项目信息反馈制度,并于每年六月底和十二月底向批准项目的发展改革部门提交项目进度报告。

  Article 26   The development and reform department of the State Council shall supervise and inspect project implementation and the work relevant to project approval and administration of development and reform departments at the provincial level, and shall give opinions regarding the treatment of confirmed issues.

       第二十六条  国务院发展改革部门应当对项目实施情况和省级发展改革部门批准及管理项目情况进行监督检查,并对查实的问题提出处理意见。

  Article 27   In order to ensure the repayment to foreign parties and prevent avoidance of debt repayment and debt invalidation, an entity using the project funds that has not repaid Foreign Loans in full shall, prior to asset restructuring, change of ownership or application for bankruptcy, obtain a prior written approval of the sub-loaning institution on the repayment arrangement of the outstanding debts, clarify the responsibilities for loan repayment and forward relevant results to the development and reform department of the State Council.

       第二十七条  为确保对外还款,防止逃废债务,尚未偿还全部国外贷款的项目用款单位,在进行资产重组、产权变更或破产申请前,应当事先征得转贷机构对剩余债务偿还安排的书面认可,落实还贷责任,并将有关结果抄报国务院发展改革部门。

Chapter 5 Supplementary Provisions

第五章  附则

  Article 28   Development and reform departments at the provincial level shall formulate corresponding administrative measures in accordance with these Measures.

       第二十八条  省级发展改革部门依据本办法的规定,制定相应的管理办法。

  Article 29   These Measures shall be interpreted by the National Development and Reform Commission.

       第二十九条  本办法由国家发展改革委负责解释。

  Article 30   These Measures shall come into effect as of March 1, 2005. In the case of any discrepancies between and among these Measures and previous rules, regulations and other normative documents on the administration over projects financed by Foreign Loans, these Measures shall prevail.

       第三十条  本办法自2005年3月1日起施行。此前有关国外贷款投资项目管理的规章和其他规范性文件,与本办法不一致的,按本办法规定执行。