Measures for the Administration of Post Evaluation on the Projects Invested by the Central Government (for Trial Implementation)

中央政府投资项目后评价管理办法（试行）

 

Promulgating Institution:National Development and Reform Commission

Document Number:Fa Gai Tou Zi [2008] No. 2959

Promulgating Date:11/07/2008

Effective Date:01/01/2009

颁布机关:国家发展和改革委员会

文      号:发改投资[2008]2959号

颁布时间:11/07/2008

实施时间:01/01/2009

 

Chapter 1: General Provisions

第一章 总则

  Article 1   These Measures are formulated in accordance with the requirements of the Decisions of the State Council on the Investment System Reform to strengthen and promote the administration of projects invested by the Central Government, establish and improve the post project evaluation system, regulate the evaluation on the projects and improve the Government's decision making and investment outcomes.

      第一条 为加强和改进中央政府投资项目的管理，建立和完善政府投资项目后评价制度，规范项目后评价工作，提高政府投资决策水平和投资效益，根据《国务院关于投资体制改革的决定》要求，制定本办法。

  Article 2   These Measures apply to the projects that are invested by the Central Government and whose feasibility study reports are presented to the National Development and Reform Commission for review and approval.

For projects funded with loans from the International Financial Corporation or foreign governments, measures for post project evaluation will be formulated separately.

      第二条 由国家发展改革委审批可行性研究报告的中央政府投资项目，适用本办法。

   国际金融组织和外国政府贷款项目后评价管理办法另行制定。

  Article 3   Post project evaluation of a project invested by the Central Government (hereinafter "Post Project Evaluation") shall be conducted when such project has been completed and has been used or has been in operation for some time, to check the actual effects of the project against the main contents of the feasibility study report for the project and the approval in order to find out the differences and the causes to draw the experience and lessons. Relevant solutions and suggestions shall be presented to continuously improve decision making and investment outcomes. If necessary, a featured evaluation shall be conducted for a specific problem in the project building.

      第三条 中央政府投资项目后评价（以下简称项目后评价）应当在项目建设完成并投入使用或运营一定时间后，对照项目可行性研究报告及审批文件的主要内容，与项目建成后所达到的实际效果进行对比分析，找出差距及原因，总结经验教训，提出相应对策建议，以不断提高投资决策水平和投资效益。根据需要，也可以针对项目建设的某一问题进行专题评价。

  Article 4    Post Project Evaluation shall be conducted on an independent, impartial, objective and scientific basis. A convenient and fast information feedback system shall be built to help establish and improve the supervision system and accountability system for governmental investments.

      第四条 项目后评价应当遵循独立、公正、客观、科学的原则，建立畅通快捷的信息反馈机制，为建立和完善政府投资监管体系和责任追究制度服务。

  Article 5   National Development and Reform Commission establishes the information management system for Post Project Evaluation and conducts the organization and management of Post Project Evaluation.

      第五条 国家发展改革委建立项目后评价信息管理系统，负责项目后评价的组织管理工作。

Chapter 2: Post-evaluation Procedures

第二章 后评价工作程序

  Article 6   National Development and Reform Commission will, at the beginning of each year, determine the list of projects requiring Post Project Evaluation, work out the annual plan of Post Project Evaluation, and deliver it to the relevant competent departments and the project organization.

      第六条 国家发展改革委每年年初研究确定需要开展后评价工作的项目名单，制定项目后评价年度计划，印送有关项目主管部门和项目单位。

  Article 7   Post Project Evaluation shall be conducted mainly for some of the following projects: 

(1) The projects that have important guidance implications for industrial and regional development and industry structure adjustment; 

(2) The projects that have major impact on resource saving, ecological environmental protection, social development promotion and national security safeguarding;

(3) The projects that can be used for reference in resource allocation improvement, investment adjustment, and optimization of major layout;

(4) The projects that have adopted new technologies, processes, equipment, materials, and new investment, financing and operating patterns, or have special significance for demonstration; 

(5) The projects that are cross-regional or inter-basin, that undergo a long construction period, require large investment, projects that are in complicated conditions of construction, and have been subject to significant adjustment of program in the process of the construction; 

(6) The projects that are in a larger scale in land acquisition and relocation and resettlement of the people, and have larger impact on poverty-stricken areas, the poor and other vulnerable groups; 

(7) The projects that use a larger amount and a higher proportion of amount of investment within the central budget; 

(8) The projects that attract the public attentions.

      第七条 开展项目后评价工作应主要从以下项目中选择：

   （一）对行业和地区发展、产业结构调整有重大指导意义的项目；

   （二）对节约资源、保护生态环境、促进社会发展、维护国家安全有重大影响的项目；

   （三）对优化资源配置、调整投资方向、优化重大布局有重要借鉴作用的项目；

   （四）采用新技术、新工艺、新设备、新材料、新型投融资和运营模式，以及其他具有特殊示范意义的项目；

   （五）跨地区、跨流域、工期长、投资大、建设条件复杂，以及项目建设过程中发生重大方案调整的项目；

   （六）征地拆迁、移民安置规模较大，对贫困地区、贫困人口及其他弱势群体影响较大的项目；

   （七）使用中央预算内投资数额较大且比例较高的项目；

   （八）社会舆论普遍关注的项目。

  Article 8   Any project organization who is listed in the annual plan of Post Project Evaluation shall, within three months upon release of the annual plan of Post Project Evaluation, submit National Development and Reform Commission the self-concluded evaluation report, which shall include the following: 

(1) Overview of the project: project objectives, contents of construction, investment estimate, pre-phase examination and approval, capital sources and availability, progress of implementation, approved budget, and implementation situation;

(2) Summary of project implementation process: pre-phase preparation, implementation, and project functioning; 

(3) Project effect evaluation: technical standard, financial and economic benefits, social benefits, environmental benefits;

(4) Project objective evaluation: extent to which the project objective is realized, gap and cause, continuous capacity, etc. 

(5) Main experience and lessons from project construction and the relevant suggestion. 

      第八条 列入项目后评价年度计划的项目单位，应当在项目后评价年度计划下达后3个月内，向国家发展改革委报送项目自我总结评价报告。项目自我总结评价报告的主要内容包括：

   （一）项目概况：项目目标、建设内容、投资估算、前期审批情况、资金来源及到位情况、实施进度、批准概算及执行情况等；

   （二）项目实施过程总结：前期准备、建设实施、项目运行等；

   （三）项目效果评价：技术水平、财务及经济效益、社会效益、环境效益等；

   （四）项目目标评价：目标实现程度、差距及原因、持续能力等；

   （五）项目建设的主要经验教训和相关建议。

  Article 9   After a project organization completes the self-concluded evaluation report, the National Development and Reform Commission will, in accordance with the annual plan of Post Project Evaluation, commission such a Class A engineering consulting organization with the relevant qualification to undertake the Post Project Evaluation task.  

The National Development and Reform Commission shall not commission such an engineering consulting organization as has participated in the pre-stage work and construction of the same project to undertake the Post Project Evaluation task. 

      第九条 在项目单位完成自我总结评价报告后，国家发展改革委根据项目后评价年度计划，委托具备相应资质的甲级工程咨询机构承担项目后评价任务。

   国家发展改革委不得委托参加过同一项目前期工作和建设实施工作的工程咨询机构承担该项目的后评价任务。

  Article 10   After undertaking the commission to conduct Post Project Evaluation, an engineering consultancy institution shall establish a team meeting the requirements for professional evaluation, and conduct comprehensive analysis and evaluation on the project against the contents of the feasibility study report for the project and the approval based on on-site investigation, materials collected and the self-evaluation of the project. If necessary, the comparison and analysis shall be conducted in accordance with the primary design.

      第十条 承担项目后评价任务的工程咨询机构，在接受委托后，应组建满足专业评价要求的工作组，在现场调查和资料收集的基础上，结合项目自我总结评价报告，对照项目可行性研究报告及审批文件的相关内容，对项目进行全面系统地分析评价。必要时应参照初步设计文件的相关内容进行对比分析。

  Article 11   An engineering consultancy institution that undertakes Post Project Evaluation shall conduct Post Project Evaluation independently in accordance with the requirements of State Development and Reform Commission and the evaluation methods, workflow, quality assurance requirements and the code of ethics of the industry, and complete Post Project Evaluation both in time and quality as agreed, and shall provide eligible reports on the Post Project Evaluation.

      第十一条 承担项目后评价任务的工程咨询机构，应当按照国家发展改革委的委托要求，根据业内应遵循的评价方法、工作流程、质量保证要求和执业行为规范，独立开展项目后评价工作，按时、保质地完成项目后评价任务，提出合格的项目后评价报告。

  Article 12   In the process of Post Project Evaluation, the engineering consultancy organization shall pay attention to public involvement, listen to opinions from all sides, and objectively reflect their opinions in the post evaluation report.  

      第十二条 工程咨询机构在开展项目后评价的过程中，应重视公众参与，广泛听取各方面意见，并在后评价报告中予以客观反映。

Chapter 3: Post Evaluation Management and Supervision

第三章 后评价管理和监督

  Article 13   The engineering consultancy organization shall be responsible for the quality and related conclusions of a Post Project Evaluation report and assume the obligation of keeping state secrets and business secrets confidential. If, in carrying out Post Project Evaluation, the engineering consultancy organization commits deception or produces such evaluation results as are seriously inconsistent with facts, the relevant organization and personnel shall be subject to administrative and legal liabilities in accordance with the law and based upon the circumstance and consequence. 

      第十三条 工程咨询机构应对项目后评价报告质量及相关结论负责，并承担对国家秘密、商业秘密等的保密责任。工程咨询机构在开展项目后评价工作中，如有弄虚作假行为或评价结论严重失实等情形的，根据情节和后果，依法追究相关单位和人员的行政和法律责任。

  Article 14   A project organization listed in the annual plan for Post Project Evaluation shall, in accordance with needs of Post Project Evaluation, seriously prepare the self- evaluation report for the project, actively cooperate with the engineering consultancy organization that undertakes the Post Project Evaluation to carry out investigation, provide accurate and complete formal documents, technical and economic materials and data as required in the early stage and implementation of the project. If the project organization makes false or deceptive reports or commits deception when preparing data or materials, the relevant department and personnel of the organization shall be subject to the administrative and legal liabilities in accordance with the law and based on the circumstance and consequence. 

      第十四条 列入项目后评价年度计划的项目单位，应当根据项目后评价需要，认真编写项目自我总结评价报告，积极配合承担项目后评价任务的工程咨询机构开展调查工作，准确完整地提供项目前期及实施阶段的各项正式文件、技术经济资料和数据。如有虚报瞒报有关情况和数据资料等弄虚作假行为，根据情节和后果，依法追究相关单位和人员的行政和法律责任。

  Article 15   National Development and Reform Commission will commission China National Association of Engineering Consultants to conduct regular inspection on the practicing of such engineering consulting organization and its personnel that undertake the Post Project Evaluation, and to take the results of the said inspection as important basis for appraisal of the qualification of the engineering consulting organization and individual qualification and the achievements of the engineering consulting. 

      第十五条 国家发展改革委将委托中国工程咨询协会，定期对承担项目后评价任务的工程咨询机构和人员进行执业检查，并将检查结果作为工程咨询单位资质和个人资质管理及工程咨询成果质量评定的重要依据。

  Article 16   The expenses required for the Post Project Evaluation as commissioned by National Development and Reform Commission shall be borne by National Development and Reform Commission, with the charging standard subject to the relevant provisions of the State. The engineering consultancy organization that undertakes the Post Project Evaluation and its personnel shall not collect any other charges other than the payment of the said expenses from the National Development and Reform Commission. 

      第十六条 国家发展改革委委托的项目后评价所需经费由国家发展改革委支付，取费标准按照国家有关规定执行。承担项目后评价任务的工程咨询机构及其人员，不得收受国家发展改革委支付经费之外的其他任何费用。

Chapter 4: Application of Post Evaluation Results

第四章 后评价成果应用

  Article 17   Through Post Project Evaluation, National Development and Reform Commission will earnestly conclude the experiences and lessons of similar projects and take post evaluation as an important reference for planning, project examination and approval, investment decision making and project management.

      第十七条 国家发展改革委通过项目后评价工作，认真总结同类项目的经验教训，将后评价成果作为规划制定、项目审批、投资决策、项目管理的重要参考依据。

  Article 18   The National Development and Reform Commission will promptly provide the post evaluation results to relevant departments and institutions for reference and enhance information guidance so as to ensure that the feedback is smooth and prompt. 

      第十八条 国家发展改革委将后评价成果及时提供给相关部门和机构参考，加强信息引导，确保信息反馈的畅通和快捷。

  Article 19   With respect to the problems found in Post Project Evaluation, National Development and Reform Commission will work together with the relevant departments to earnestly analyze the cause and formulate opinions for improvement. 

      第十九条 对于通过项目后评价发现的问题，国家发展改革委会同有关部门和地方认真分析原因，提出改进意见。

  Article 20    The National Development and Reform Commission will work together with relevant departments to make considerable efforts to promote such successful experiences and practices that have been drawn from the Post Project Evaluation to continuously improve investment decision making and government investment outcome. 

      第二十条 国家发展改革委会同有关部门，大力推广通过项目后评价总结出来的成功经验和做法，不断提高投资决策水平和政府投资效益。

Chapter 5: Supplementary Provisions

第五章 附则

  Article 21   The competent departments of various sectors and investment authorities of local governments at various levels may refer to these Measures to formulate the measures for implementation of governmental investment Post Project Evaluation of their departments and regions and the detailed rules. 

      第二十一条 各行业主管部门和各级地方政府投资主管部门可参照本办法，制定本部门、本地区的政府投资项目后评价实施办法和细则。

  Article 22   The National Development and Reform Commission shall be responsible for the interpretation of these Measures. 

      第二十二条 本办法由国家发展改革委负责解释。

  Article 23    These Measures shall become effective implemented as of 1 January 2009. 

      第二十三条 本办法自2009年1月1日起施行。