Notice from Ministry of Finance and National Development and Reform Commission regarding the Printing and Distribution of "Interim Administrative Measures on Fiscal Incentive Funds for Projects on Energy Management Contract"

合同能源管理财政奖励资金管理暂行办法

 

Promulgating Institution: Ministry of Finance; National Development and Reform Commission

Document Number: Cai Jian [2010] No.249

Promulgating Date: 06/03/2010

Effective Date: 06/03/2010

 

颁布机关: 财政部; 国家发展和改革委员会

文      号: 财建[2010]249号

颁布时间: 06/03/2010

实施时间: 06/03/2010

Chapter 1   General Provisions

第一章   总  则

  Article 1   In accordance with the Notice from the General Office of State Council Forwarded to Development and Reform Commissions and Other Departments regarding Opinions on Accelerating the Advancement in Energy Management Contract and Promoting the Development of Energy Conservation Service Industry (Guo Fa Ban [2010] No. 25), the Central Finance has made arrangement for funds to provide appropriate incentives to projects on energy management contract (hereinafter referred to as "fiscal incentive funds"). These Measures have been promulgated for the purposes of standardizing and tightening the administration of fiscal incentive funds and enhancing the effectiveness in the use of funds.

      第一条 根据《国务院办公厅转发发展改革委等部门关于加快推行合同能源管理促进节能服务产业发展意见的通知》（国办发[2010]25号），中央财政安排资金，对合同能源管理项目给予适当奖励（以下简称“财政奖励资金”）。为规范和加强财政奖励资金管理，提高资金使用效益，特制定本办法。

  Article 2   Energy management contract mentioned in these Measures refers to the agreement on the goals for energy saving in the form of a contract between an energy conservation service company and the energy consuming organization. The energy conservation service company provides the necessary services. The energy consuming organization pays for the investment of the energy conservation service company and its reasonable profit based on the energy saving benefits. These Measures primarily support energy management contract that shares energy saving benefits.

Energy conservation service company refers to a specialized company that provides services such as diagnosis of the state of energy consumption, as well as the design, financing, transformation and operational management of energy saving projects.

      第二条 本办法所称合同能源管理，是指节能服务公司与用能单位以契约形式约定节能目标，节能服务公司提供必要的服务，用能单位以节能效益支付节能服务公司投入及其合理利润。本办法支持的主要是节能效益分享型合同能源管理。

   节能服务公司，是指提供用能状况诊断和节能项目设计、融资、改造、运行管理等服务的专业化公司。

  Article 3   The fiscal incentive funds shall be budgeted and planned by the Central Finance, implemented based on open and fair administrative measures and be subjected to social supervision.

      第三条 财政奖励资金由中央财政预算安排，实行公开、公正管理办法，接受社会监督。

Chapter 2   Target and Scope of Support

第二章  支持对象和范围

  Article 4   Target of support. The target that fiscal incentive fund supports is the energy conservation service company engaging in energy management contract projects through sharing of energy saving benefits.

      第四条 支持对象。财政奖励资金支持的对象是实施节能效益分享型合同能源管理项目的节能服务公司。

  Article 5   Scope of support. The fiscal incentive fund is to be used in supporting energy-saving transformation projects implemented in sectors such as industries, buildings, transportation, as well as public organizations by adopting the approach of energy management contract. Energy management contract projects that have already enjoyed other related subsidy policies of the State shall not be included in the scope of support under these Measures.

      第五条 支持范围。财政奖励资金用于支持采用合同能源管理方式实施的工业、建筑、交通等领域以及公共机构节能改造项目。已享受国家其他相关补助政策的合同能源管理项目，不纳入本办法支持范围。

  Article 6   An energy conservation service company that meets the conditions for support shall implement audit, record filing and dynamic management systems. An energy conservation service company shall submit the application to the competent department in charge of energy conservation at provincial level at the domicile of the company. The competent department in charge of energy conservation at provincial level shall conduct preliminary examination jointly with the finance department, summarize and report to National Development and Reform Commission and Ministry of Finance. After the review by experts formed by National Development and Reform Commission jointly with Ministry of Finance, a list of energy conservation service companies and their scope of businesses shall be announced publicly.

      第六条 符合支持条件的节能服务公司实行审核备案、动态管理制度。节能服务公司向公司注册所在地省级节能主管部门提出申请，省级节能主管部门会同财政部门进行初审，汇总上报国家发展改革委、财政部。国家发展改革委会同财政部组织专家评审后，对外公布节能服务公司名单及业务范围。

Chapter 3   Conditions for Support

第三章  支持条件

  Article 7   Energy management contract project shall satisfy the following conditions in order to apply for the fiscal incentive fund:  

(1) Investment by the energy conservation service company shall be more than 70%, at the same time, the method of sharing of energy saving benefits shall be agreed in the contract.  

(2) The annual energy saving amount (refers to energy saving capability) shall be below 10000 tonnes of standard coal and above 100 tonnes of standard coal (inclusive) per project, of which, the energy saving amount for industrial project shall be above 500 tonnes of standard coal (inclusive).  

(3) Be fully equipped with energy consumption metering device, put in place complete energy statistics and management systems and the energy saving amount shall be measurable, can be monitored and shall be verifiable.

      第七条 申请财政奖励资金的合同能源管理项目须符合下述条件：

   （一）节能服务公司投资70%以上，并在合同中约定节能效益分享方式；

   （二）单个项目年节能量（指节能能力）在10000吨标准煤以下、100吨标准煤以上（含），其中工业项目年节能量在500吨标准煤以上（含）；

   （三）用能计量装置齐备，具备完善的能源统计和管理制度，节能量可计量、可监测、可核查。

  Article 8   Energy conservation service company shall satisfy the following conditions in order to apply for the fiscal incentive fund:  

(1) Has the status of an independent legal person with the main business in energy saving services including energy saving diagnosis, design, transformation, operation, etc. At the same time, it shall file records with National Development and Reform Commission.  

(2) Registered capital of more than Renminbi five million (RMB 5 million) (inclusive) with relatively strong financing capacity. 

(3) Good operating conditions and credit records, and sound financial management system.  

(4) Staffed with compatible professional personnel and energy management contract personnel, and possess the capability in ensuring smooth implementation and stable operation of the projects.

      第八条 申请财政奖励资金的节能服务公司须符合下述条件：

   （一）具有独立法人资格，以节能诊断、设计、改造、运营等节能服务为主营业务，并通过国家发展改革委、财政部审核备案；

   （二）注册资金500万元以上（含），具有较强的融资能力；

   （三）经营状况和信用记录良好，财务管理制度健全；

   （四）拥有匹配的专职技术人员和合同能源管理人才，具有保障项目顺利实施和稳定运行的能力。

Chapter 4   Mode of Support and Criteria of Incentives

第四章  支持方式和奖励标准

  Article 9   Mode of support. The finance department shall grant a one-time incentive to energy management contract project according to the annual energy saving amount and prescribed criteria. The incentive fund shall be used primarily in expenditure related to the energy management contract project and the development of energy saving service industry.

      第九条 支持方式。财政对合同能源管理项目按年节能量和规定标准给予一次性奖励。奖励资金主要用于合同能源管理项目及节能服务产业发展相关支出。

  Article 10   Criteria of incentive and method of cost bearing. The fiscal incentive fund shall be jointly borne by the Central Government and the finance department at provincial level, of which, the criteria for central fiscal incentive shall be RMB 240/tonne of standard coal. The criteria for provincial fiscal incentive shall not be less than RMB 60/tonne of standard coal. Where certain conditions exist, the criteria for incentive may be raised, as appropriate, according to the circumstance.

      第十条 奖励标准及负担办法。奖励资金由中央财政和省级财政共同负担，其中：中央财政奖励标准为240元/吨标准煤，省级财政奖励标准不低于60元/吨标准煤。有条件的地方，可视情况适当提高奖励标准。

  Article 11   The Ministry of Finance shall arrange for certain amount of working funds to support the relevant local departments and the relevant central organizations in carrying out tasks such as evaluation, examination, approval and record filing, supervision and inspection, etc. related to energy management contract.

      第十一条 财政部安排一定的工作经费，支持地方有关部门及中央有关单位开展与合同能源管理有关的项目评审、审核备案、监督检查等工作。

Chapter 5   Application for and Disbursement of Funds

第五章  资金申请和拨付

  Article 12  The Ministry of Finance shall take into consideration the energy saving potential, conditions of implementing energy management contract projects, the funding needs, the scale of central finance's budget and other factors at various regions jointly with National Development and Reform Commission, to plan as a whole, verify and approve the annual scale of fiscal incentive funds for all provinces (districts and cities). The Ministry of Finance shall assign the incentive funds to be borne by the central finance to the local departments according to certain proportion.

      第十二条 财政部会同国家发展改革委综合考虑各地节能潜力、合同能源管理项目实施情况、资金需求以及中央财政预算规模等因素，统筹核定各省（区、市）财政奖励资金年度规模。财政部将中央财政应负担的奖励资金按一定比例下达给地方。

  Article 13   After the completion of the energy management contract project, the energy conservation service company shall file an application for fiscal incentive fund with the finance department and competent department in charge of energy conservation at the provincial level at the domicile of the project. The specific format and the requirements of the application shall be determined by the local departments.

      第十三条 合同能源管理项目完工后，节能服务公司向项目所在地省级财政部门、节能主管部门提出财政奖励资金申请。具体申报格式及要求由地方确定。

  Article 14   The competent department in charge of energy conservation at provincial level shall organize jointly with the finance department to conduct examination and audit on the project for which application has been filed and the contract, as well as confirm the annual amount of energy saving for the project.

      第十四条 省级节能主管部门会同财政部门组织对申报项目和合同进行审核，并确认项目年节能量。

  Article 15   The finance department at provincial level shall, according to the outcome of the examination and audit, truthfully appropriate and disburse the incentive fund from the central finance and the supporting incentive fund from the provincial finance to the energy conservation service company. At the same time, it shall fill up "Quarterly Statistical Form for the Arrangement and the Use of Fiscal Incentive Funds for Energy Management Contracts" (refers to Appendix 1 for the format) within 10 days after the end of the quarter, and file it with the Ministry of Finance and National Development and Reform Commission.

      第十五条 省级财政部门根据审核结果，据实将中央财政奖励资金和省级财政配套奖励资金拨付给节能服务公司，并在季后10日内填制《合同能源管理财政奖励资金安排使用情况季度统计表》（格式见附1），报财政部、国家发展改革委。

  Article 16   National Development and Reform Commission shall organize jointly with the Ministry of Finance in conducting inspection of the implementation of energy management contract projects, the energy saving effects and the execution of the contracts.

      第十六条 国家发展改革委会同财政部组织对合同能源管理项目实施情况、节能效果以及合同执行情况等进行检查。

  Article 17   Prior to the end of February in each year, the finance department at provincial level shall, according to the implementation of the energy management contract projects, the energy saving effects, the arrangement and the use of incentive funds from the central finance and the remaining balance, supporting funds from the local finance, etc pertaining to its own province (districts and cities) for the last year, compile "Statement of Yearly Settlement of Incentive Funds from Central Finance for Energy Management Contracts" (refers to Appendix 2 for the format) and file it with the Ministry of Finance in document form.

      第十七条 每年2月底前，省级财政部门根据上年度本省（区、市）合同能源管理项目实施及节能效果、中央财政奖励资金安排使用及结余、地方财政配套资金等情况，编制《合同能源管理中央财政奖励资金年度清算情况表》（格式见附2），以文件形式上报财政部。

  Article 18   The Ministry of Finance shall incorporate the local reporting and the situation of special inspection, and settle the fiscal incentive funds truthfully. The remaining local surplus from the incentive fund target set by central finance shall be carried forward to the following year for use.

      第十八条 财政部结合地方上报和专项检查情况，据实清算财政奖励资金。地方结余的中央财政奖励资金指标结转下一年度安排使用。

Chapter 6   Regulation and Punishment

第六章  监督管理及处罚

  Article 19   The Ministry of Finance shall organize jointly with National Development and Reform Commission to conduct comprehensive evaluation of the implementation of energy management contract and the effectiveness in the use of funds by the local organizations, and make use of the evaluation outcome as one of the bases for planning the funds for the following year.

      第十九条 财政部会同国家发展改革委组织对地方推行合同能源管理情况及资金使用效益进行综合评价，并将评价结果作为下一年度资金安排的依据之一。

  Article 20   The local finance departments and the competent departments in charge of energy conservation shall establish sound regulatory systems, tighten the tracking, examination and supervision of the energy management contract projects and the use of fiscal incentive funds so as to ensure that the fiscal funds are secured and effective.

      第二十条 地方财政部门、节能主管部门要建立健全监管制度，加强对合同能源管理项目和财政奖励资金使用情况的跟踪、核查和监督，确保财政资金安全有效。

  Article 21   The energy conservation service company shall be responsible for the authenticity of the materials reported in conjunction with the application for fiscal incentive funds. In respect of the energy conservation service company that defrauds of the fiscal incentive fund, besides demanding for payment and return of the fiscal incentive fund, it shall be disqualified from applying for fiscal incentive fund.

      第二十一条 节能服务公司对财政奖励资金申报材料的真实性负责。对弄虚作假、骗取财政奖励资金的节能服务公司，除追缴扣回财政奖励资金外，将取消其财政奖励资金申报资格。

  Article 22   The fiscal incentive fund shall be a dedicated fund earmarked for dedicated use. No organization may retain or misappropriate it for any reasons through any ways. In respect of violation of the provisions, it shall be dealt with and punishment shall be meted out according to the relevant provisions in "Regulations for Punishments of and Disciplinary Actions for Conducts of Fiscal Violation" (State Council Order no. 427).

      第二十二条 财政奖励资金必须专款专用，任何单位不得以任何理由、任何形式截留、挪用。对违反规定的，按照《财政违法行为处罚处分条例》（国务院令第427号）等有关规定进行处理处分。

Chapter 7   Supplementary Provisions

第七章  附 则

  Article 23   Various regions shall, according to the provisions in these Measures and the actual local circumstances, formulate the specific rules for implementation and file them with the Ministry of Finance and National Development and Reform Commission for records promptly.

      第二十三条 各地要根据本办法规定和本地实际情况，制定具体实施细则，及时报财政部、国家发展改革委备案。

  Article 24   The Ministry of Finance shall be responsible for the interpretation of these Measures jointly with National Development and Reform Commission.

      第二十四条 本办法由财政部会同国家发展改革委负责解释。

  Article 25   These Measures shall be implemented on the day these Measures are printed and distributed.

      第二十五条 本办法自印发之日起实施。