Notice of the General Office of the National Development and Reform Commission on Further Improving the Preliminary Work and Enhancing Supervision of Foreign Governments’ Loan Projects

国家发展改革委办公厅关于进一步改进外国政府贷款项目前期工作和加强实施监管的通知

Promulgating Institution: General Office of the National Development and Reform Commission

Document Number: Fa Gai Ban Tou Zi [2008] No. 1969

Promulgating Date: 09/07/2008

Effective Date: 09/07/2008

颁布机关: 国家发展和改革委员会办公厅

文      号: 发改办外资[2008]1969号

颁布时间: 09/07/2008

实施时间: 09/07/2008

To the development and reform commissions of all provinces, autonomous regions, municipalities directly under the Central Government, cities specially designated under State plan and Xinjiang Production and Construction Group:

In order to intensify and regulate the administration of using foreign governments' loan and elevate the qualities and benefits of the foreign governments' loan projects, and according to the spirit of the decisions of the State Council on the reform of investment institutions, the Interim Measures for the Administration of Investment Projects Financed by Loans of International Financial Organizations and Foreign Governments (Order No. 28 of the National Development and Reform Commission) and the Work Rules for the Preliminary Administration of Foreign Government Loan Projects (Trial) (Fa Gai Ban Wai Zi No. 2259 [2006]), this Notice is issued regarding the specific measures and relevant requirements on further improving the preliminary work and enhancing supervision of foreign governments' loan projects as follows:

    各省、自治区、直辖市、计划单列市、新疆生产建设兵团发展改革委:

    为进一步规范和加强借用外国政府贷款管理,提高外国政府贷款项目质量和效益,根据国务院投资体制改革决定的有关精神以及《国际金融组织和外国政府贷款投资项目管理暂行办法》(国家发展改革委令第28号)、《外国政府贷款项目前期管理工作规程(试行)》(发改办外资[2006]2259号),现就进一步改进外国政府贷款(日本政府贷款除外)项目前期工作和加强实施监管的具体措施及有关要求通知如下:

1. Further optimizing the direction of loan investment and deciding on reasonable loan scale. Continue to arrange foreign governments' local application for the qualified public infrastructure projects and public welfare projects and intensify the work on using foreign governments' loans to support the ecological and environmental conservation and energy saving and discharge reduction; and at the same time, decide the reasonable scale of the use of foreign loans for the region and ensure that the region has the ability to repay the foreign loans.

       一、进一步优化贷款投向,确定合理贷款规模。继续安排符合条件的公共基础设施和公益事业项目申请外国政府贷款,加大借用外国政府贷款支持生态环境保护和节能减排工作的力度。同时,要合理确定本地区借用国外贷款规模,确保本地区偿还国外贷款的能力。

2. Achieve full benefits out of the foreign loans. Continue to take foreign governments' loan projects as a carrier for introducing from foreign countries applicable advanced technology and equipment and advanced development concepts and management experiences to facilitate the technology improvement and system innovation. Strictly control the proportion of foreign loans used for civil engineering: loans from countries other than Saudi Arabia and Kuwait used for civil engineering should not exceed 30%, but the proportion can be appropriately increased if it is used for civil engineering in ecological and environmental conservation and energy conservation and discharge reduction projects.

       二、充分发挥外国政府贷款的使用效益。要继续注重以外国政府贷款项目为载体,引进国外先进适用技术设备,以及先进的发展理念和经营管理经验,促进技术进步和制度创新。要严格控制外国政府贷款用于土建的比例。除沙特、科威特政府贷款外,其他国别贷款项目的外国政府贷款额中用于土建的部分不得超过30%;对于生态环境保护和节能减排项目,用于土建部分的比例可适当提高。

3. Ensure good work on comparison and selection of lending countries and improve the standardization and quality of submitted materials. The unit undertaking the project shall, before applying to be included in the candidate projects plan, adequately consult an engineering consultation unit, bidding agency, banks for the on-lending and government departments in terms of technology and equipment plan, financing requirements, and commercial conditions, etc. by referring to the Guidelines for Comparison and Selection of Lending Countries of Foreign Government Loans attached to this Notice. The submitted materials for the candidate projects plan and application report for the project fund shall comply with the content and format requirements stated in the Curricular of Materials Submitted for Candidate Projects Plan for Foreign Governments' Loans (Trial) and the Curricular of Application Report for Foreign Governments' Loan Projects Fund (Trial).

       三、做好国别比选工作,提高上报材料的规范性和质量。项目单位在申请列入备选项目规划前,应参照本通知所附《外国政府贷款国别比选指引》,向工程咨询单位、招标机构和转贷银行以及政府部门,就技术设备方案、融资条件、商务条件等方面进行充分咨询。备选项目规划申报材料和项目资金申请报告应符合本通知所附《外国政府贷款备选项目规划申报材料通用大纲(试行)》和《外国政府贷款项目资金申请报告通用大纲(试行)》的内容和格式要求。

4. Strengthen feasibility study and earnestly implement the responsibility of preliminary examination of projects. Local development and reform commissions shall urge the unit undertaking the project to improve the quality of feasibility study. For projects whose feasibility reports are approved by local development and reform commissions, the unit undertaking the project shall choose an engineering consultation unit possessing the qualification of Grade II or above to prepare the feasibility study report or application report to obtain funds.

Local development and reform commissions shall earnestly implement the responsibility of preliminary examination of application materials, application reports for the funds and other submitted materials, and carefully examine the necessity and feasibility of the projects and ability of the unit undertaking the project to implement the projects. Strictly examine the availability of counterpart funds for projects: for projects using RMB bank loans as the source of counterpart funds, the unit undertaking the project shall be required to provide the letter of intent for the loan issued by branches above the provincial level when submitting the application report for the funds; documents, which are submitted by each local development and reform commission to the National Development and Reform Commission and included in the application materials and application report for the funds, shall include explicit statements of main information, scale and content of projects, total investment, lending countries and required amount, counterpart funds and the sources, bidding mode, and repayment security liability.

       四、加强可行性研究工作,切实履行项目初审职责。各地方发展改革委要督促项目单位提高项目可行性研究工作的质量。对于地方发展改革委批复可行性研究报告的项目,应要求项目单位选择乙级以上资格等级的工程咨询单位编制项目可行性研究报告或项目资金申请报告。

    各地方发展改革委要切实履行列入规划申报材料、资金申请报告等上报材料的初审职责,认真审核项目的必要性、可行性,以及项目单位的实施能力。要严格审查项目配套资金落实情况。对于配套资金来源为银行人民币贷款的项目,在上报项目资金申请报告时,应要求项目单位提供省级以上分行出具的贷款意向书。各地方发展改革委上报我委的列入规划申报材料及资金申请报告的文件中,应包含对项目建设规模及内容、总投资、国外贷款国别及申请额、配套资金及来源、招标采购方式、偿还担保责任等主要内容的明确表述。

5. Regulate the management of adjustment and alteration of projects. With regard to projects already included in the candidate projects plan, application for altering the candidate projects plan shall be submitted to the National Development and Reform Commission if the alteration relates to the adjustment and increase of the scale of foreign loan by at least 10%, significant change to the using plan of the loans (e.g., major change proposed purchases of key equipments or increase of the amount of the loan used for civil engineering and purchasing non-dedicated equipments and materials, etc.), major change of construction scale and contents of projects (major change is deemed where it is necessary to adjust or go through another preliminary procedure for administrative license), or the specific country change such as Saudi Arabia, Kuwait, German Promotion Loan, French Development Agency, Peitou, etc. (specific countries can be adjusted according to circumstances, and further notice will be given). Other alterations can be approved by the National Development and Reform Commission when application reports for the project funds are submitted for approval.

With regard to the approved application report for the funds, in principle, lending countries, construction scale and contents of projects and use of funds shall not been altered, and lending scale shall not been broken. If the quoted price of the bid exceeds the scale of debts approved by the application report for the funds, it shall be solved by reducing the purchases or paid by buying foreign exchange with domestic funds. Necessary adjustments other than material alterations are handled by provincial development and reform commission after consulting the opinions of the Foreign Financial Institution of the National Development and Reform Commission; if it is necessary to make material alterations, relevant procedures shall be carried out, in principle, as if it is new project.

       五、规范项目调整变更管理。对于已列入备选项目规划的项目,如需调增国外贷款规模10%以上、对贷款使用方案作重大变更(如拟采购关键设备的重大变更、增加用于土建及购置非专用设备和材料的贷款额等)、对项目建设规模及内容作重大变更(前置行政许可手续需调整或重新履行的为重大变更)以及沙特、科威特、德国促进贷款、法国开发署、北投等特定国别变更(具体国别可视情况调整,届时另行通知),须向国家发展改革委提出备选项目规划变更申请。其它变更事项可在报批项目资金申请报告时由国家发展改革委一并批复。

    对于已批准资金申请报告的项目,原则上不得变更贷款国别和项目建设规模及内容,不得突破贷款规模和改变资金用途。如中标报价超出资金申请报告批准的外债规模,应通过减少采购内容、用国内资金购汇支付等方式解决。重大变更事项以外的必要调整,由省级发展改革委商国家发展改革委外资司后自行处理。确需进行重大变更的,原则上视同新项目重新履行有关手续。

6. Strictly approach the confirmation of tax exemption for imported equipments. The provincial development and reform commissions shall, after issuing the letter of project confirmation, enhance consistency examination of project construction, bidding contents and the application report for the project funds; if there is any problem, the provincial development and reform commissions shall issue the letter of project confirmation only after consulting the Foreign Financial Institution of the National Development and Reform Commission and taking effective measures to solve the problem; the letter of project confirmation having been issued (including the imported equipments list) shall be recorded with the National Development and Reform Commission for filing in a timely manner.

       六、把好进口设备免税确认关。省级发展改革委在出具项目确认书时,应加强对项目建设及招标采购内容与项目资金申请报告批复的一致性的审查。若发现问题应商国家发展改革委外资司,并采取措施加以解决后,方可出具项目确认书。已出具的项目确认书(含进口设备清单)应及时向国家发展改革委备案。

7. Regulate and enhance supervision and completion acceptance of the projects funded by foreign governments' loans. The provincial development and reform commission shall coordinate with the concerned organization to clarify the organizations responsible for the project supervision, conduct site inspection of the construction projects, keep track of the construction progress, coordinate and solve problems occurring in the construction, and provide such feedback on the project schedule information that includes project signing, bidding, starting of construction and completion of construction to the National Development and Reform Commission; after the project is completed, the provincial development and reform commission shall make arrangements or coordinate the completion acceptance of the project and submit the completion inspection and acceptance report to the National Development and Reform Commission for record-filing. Effectively execute the functions of the inspection and supervision departments of major projects under the National Development and Reform Commission and actively strengthen the cooperation with the audit department in order to systematize the inspection and audit of foreign governments' loans.

       七、规范和加强外国政府贷款项目实施监管和竣工验收工作。省级发展改革委要协调有关方面明确项目的实施监管单位,并对建设中项目进行现场检查,及时跟踪了解项目建设进展情况,协调解决项目建设过程中出现的问题,向国家发展改革委及时反馈项目签约、招标、开工、竣工等项目进度信息。项目建成后,省级发展改革委要安排或协调好项目的竣工验收工作,并将竣工验收报告报国家发展改革委备案。要充分发挥发展改革委重大项目稽查部门在项目实施监管方面的作用,并积极加强与审计部门的合作,将外国政府贷款项目的稽查和审计工作制度化。

8. Enhance coordination between departments and improve work efficiency. Local development and reform commissions shall strengthen contact and communication with relevant departments such as the financial department on foreign governments' loans such as the ideas for arrangement of the loans as well as linkage procedures and project schedule; work with the financial departments to clarify the preliminary working procedure of the projects below the provincial level, and reduce repeating, overlapping and unnecessary links under the pre-condition of ensuring the quality of preliminary work and improve efficiency.

In order to promote a smooth transition between the time of release of the candidate projects plan by the National Development and Reform Commission and the time of release of the list of candidate projects proposed to be publicized by the Ministry of Finance, the National Development and Reform Commission will, effective from the first quarter of 2009, release the quarterly candidate projects plan in the second month of the quarter. In this regard, the deadline for the National Development and Reform Commission to accept application materials of the quarterly candidate projects plan shall be the last workday of the previous quarter.

Local development and reform commissions shall, in accordance with the requirements of relevant regulations of the State and this Notice, improve the management of foreign governments' loans in all project phases, strengthen professional training for the development and reform commissions at the prefecture and county level, make efforts to improve the service quality and efficiency for units undertaking the project, and continually improve the level of borrowing foreign governments' loans.

Annexes:

1. Curricular of Materials Submitted for Candidate Projects Plan for Foreign Loans (Trial) (Omitted)

2. Curricular of Application Report for Foreign Governments' Loan Projects Fund (Trial) (Omitted)

3. Guidelines for Comparison and Selection of Lending Countries of Foreign Governments' Loans (Reference Text for Country Comparison and Selection (Trial) is attached) (Omitted)

General Office of the National Development and Reform Commission

September 7, 2008

       八、加强部门间的配合协调，提高工作效率。各地方发展改革委要加强与财政等有关部门在外国政府贷款安排思路、外国政府贷款程序衔接、项目进展信息等方面的沟通与交流。要会同财政部门对省以下的项目前期工作程序进行梳理，在确保前期工作质量的前提下，减少管理工作中的重复、交叉和不必要的环节，提高效率。

    为使国家发展改革委备选项目规划下达时间与财政部拟对外提出的备选项目清单下达时间更好地衔接，从2009年第一季度起，国家发展改革委将在每季度的第二个月下达该季度的备选项目规划。为此，国家发展改革委受理列入当季备选项目规划申请材料截止日期为前一季度末最后一个工作日。

    各地方发展改革委要按照国家有关规定及本通知的各项要求，把改进外国政府贷款管理落实到项目周期的各个环节，加强对地、县级发展改革委的业务培训，努力提高为项目单位服务的质量和效率，不断提升借用外国政府贷款工作的水平。

    附件:

   一、外国政府贷款备选项目规划申报材料通用大纲（试行） （略）

   二、外国政府贷款项目资金申请报告通用大纲（试行）（略）

    三、外国政府贷款国别比选指引（附:国别比选报告参考文本（试行））（略）

    国家发展和改革委员会办公厅

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