法规：市政公用事业特许经营管理办法（中英文）
administrative measures on the franchise of municipal public utilities

（2004年3月19日建设部令第126号公布）

（promulgated by order no.126 of the ministry of construction on march 19, 2004）

第一条　为了加快推进市政公用事业市场化，规范市政公用事业特许经营活动，加强市场监管，保障社会公共利益和公共安全，促进市政公用事业健康发展，根据国家有关法律、法规，制定本办法。

article 1 the present measures are hereby formulated in accordance with the relevant state laws and regulations for the purpose of speeding up the marketization of the municipal public utilities, regulating the franchising activities of municipal public utilities, strengthening market supervision, safeguarding the public interests and public security, and promoting the healthy development of the municipal public utilities.

第二条　本办法所称市政公用事业特许经营，是指政府按照有关法律、法规规定，通过市场竞争机制选择市政公用事业投资者或者经营者，明确其在一定期限和范围内经营某项市政公用事业产品或者提供某项服务的制度。

城市供水、供气、供热、公共交通、污水处理、垃圾处理等行业，依法实施特许经营的，适用本办法。

article 2 the “franchise of municipal public utilities” as mentioned in the present measures shall refer to the systems in which the municipal government selects the investors or operators of municipal public utilities through the market competition mechanism according to relevant laws and regulations, clarifying that they may deal in certain products of municipal public utilities or provide certain services within a certain period of time and scope.

the measures shall be applicable to the implementation of franchise according to law of water supply, gas supply, heating, public traffic, sewage treatment and garbage treatment.

第三条　实施特许经营的项目由省、自治区、直辖市通过法定形式和程序确定。

article 3 the franchise projects shall be determined by the provinces, autonomous regions, and municipalities directly under the central government through legal forms and procedures.

第四条　国务院建设主管部门负责全国市政公用事业特许经营活动的指导和监督工作。

省、自治区人民政府建设主管部门负责本行政区域内的市政公用事业特许经营活动的指导和监督工作。

直辖市、市、县人民政府市政公用事业主管部门依据人民政府的授权（以下简称主管部门），负责本行政区域内的市政公用事业特许经营的具体实施。

article 4 the competent construction department of the state council shall be responsible for guiding and supervising the franchise activities of municipal public utilities nationwide.

the competent construction departments of the people’s governments of provinces and autonomous regions shall be responsible for guiding and supervising the franchise activities of municipal public utilities within their administrative regions.

the competent departments of municipal public utilities of the people’s governments of municipalities directly under the central governments, cities, and counties shall, upon the authorization of the people’s governments (hereinafter referred to as the supervisory departments) be responsible for the specific implementation of the franchise of municipal public utilities within their own administrative regions.

第五条　实施市政公用事业特许经营，应当遵循公开、公平、公正和公共利益优先的原则。

article 5 the principles of openness, fairness, justness and priority of public interests shall be followed for implementing franchise of municipal public utilities.

第六条　实施市政公用事业特许经营，应当坚持合理布局，有效配置资源的原则，鼓励跨行政区域的市政公用基础设施共享。

跨行政区域的市政公用基础设施特许经营，应当本着有关各方平等协商的原则，共同加强监管。

article 6 the principles of rational overall arrangement, and effective allocation of resources shall be adhered to for implementing franchise of municipal public utilities, encouraging the share of municipal infrastructures surpassing the administrative regions.

the principle of equality of the relevant parties concerned in negotiation shall be followed for trans-administrative regions franchise of municipal infrastructure, and supervisions shall be strengthened together.

第七条　参与特许经营权竞标者应当具备以下条件：

（一）依法注册的企业法人；

（二）有相应的注册资本金和设施、设备；

（三）有良好的银行资信、财务状况及相应的偿债能力；

（四）有相应的从业经历和良好的业绩；

（五）有相应数量的技术、财务、经营等关键岗位人员；

（六）有切实可行的经营方案；

（七）地方性法规、规章规定的其他条件。

article 7 the bidders taking part in the competitive bidding of franchise right shall meet the following requirements:

(1) being a legally registered enterprise legal person;

(2) having corresponding registered capital and establishments or equipment;

(3) having good bank credit, financial status and corresponding debt repayment capabilities;

(4) having corresponding practicing experiences and outstanding achievements;

(5) having corresponding number of employees in such key posts as technology, finance and management, etc.;

(6) having practical and feasible management plans; and

(7) having other conditions as prescribed in the local rules and regulations.

第八条　主管部门应当依照下列程序选择投资者或者经营者：

（一）提出市政公用事业特许经营项目，报直辖市、市、县人民政府批准后，向社会公开发布招标条件，受理投标；

（二）根据招标条件，对特许经营权的投标人进行资格审查和方案预审，推荐出符合条件的投标候选人；

（三）组织评审委员会依法进行评审，并经过质询和公开答辩，择优选择特许经营权授予对象；

（四）向社会公示中标结果，公示时间不少于20天；

（五）公示期满，对中标者没有异议的，经直辖市、市、县人民政府批准，与中标者（以下简称“获得特许经营权的企业”）签订特许经营协议。

article 8 the supervisory departments shall choose investors or managers in accordance with the following procedures:

(1) putting forward franchising projects of municipal public utilities, after reporting them to the people’s governments of municipalities directly under the central governments, cities, or counties for approval, releasing the conditions for public bidding to the general public openly, and accepting tender;

(2) making examination and pre-examination on the qualifications of the bidders of franchise right on the basis of public bidding conditions, and recommending qualified candidates for the bid;

(3) organizing the appraisal committee to make appraisal according to law, and choosing the excellent party to win the franchise right through inquiry and making an open reply;

(4) making a public announcement on the bid winner, the time for the announcement shall be no less than 20 days; and

(5) at the expiry of the public announcement, if there is no objections to the bid-winner, it shall sign the franchise agreement with the bid-winner (hereinafter referred to as the “enterprise gaining the franchise right”) upon the approval of the people’s governments of the municipalities directly under the central governments, the cities, and the counties.

第九条　特许经营协议应当包括以下内容：

（一）特许经营内容、区域、范围及有效期限；

（二）产品和服务标准；

（三）价格和收费的确定方法、标准以及调整程序；

（四）设施的权属与处置；

（五）设施维护和更新改造；

（六）安全管理；

（七）履约担保；

（八）特许经营权的终止和变更；

（九）违约责任；

（十）争议解决方式；

（十一）双方认为应该约定的其他事项。

article 9 the franchising agreement shall include the following contents:

(1) the contents, area, scope and period of validity of the franchising;

(2) the standards for the products and services;

(3) the methods or standards for determination of the price and charges, and the adjustment procedures thereof;

(4) the ownership and disposal of the facilities;

(5) the maintenance and renovation and reconstruction of the facilities;

(6) security management;

(7) guarantee for performance of contract;

(8) termination and alteration of the franchise right;

(9) liabilities for breach of contract;

(10) ways of dispute resolution; and

(11) other matters that shall be stipulated as believed necessary by the two parties.

第十条　主管部门应当履行下列责任：

（一）协助相关部门核算和监控企业成本，提出价格调整意见；

（二）监督获得特许经营权的企业履行法定义务和协议书规定的义务；

（三）对获得特许经营权的企业的经营计划实施情况、产品和服务的质量以及安全生产情况进行监督；

（四）受理公众对获得特许经营权的企业的投诉；

（五）向政府提交年度特许经营监督检查报告；

（六）在危及或者可能危及公共利益、公共安全等紧急情况下，临时接管特许经营项目；

（七）协议约定的其他责任。

article 10 the supervisory departments shall perform the following duties:

(1) assisting the relevant departments to make business accounting and monitor the cost of the enterprises, and putting forward opinions of price adjustment;

(2) supervising enterprises that have obtained the franchise right over their performance of legal obligations and duties as stipulated in the agreement;

(3) supervising the enterprises that have obtained the franchise right over their implementation of business plans, quality of products and services, and the work safety thereof;

(4) accepting and handling the complaints of the general public on enterprises with franchise right;

(5) submitting annual report on supervision over and inspection on franchising to the governments;

(6) under the emergency circumstance that endangers or may endanger the public interests or public security, taking over the franchise projects temporarily; and

(7) other obligations as stipulated in the agreements.

第十一条　获得特许经营权的企业应当履行下列责任：

（一）科学合理地制定企业年度生产、供应计划；

（二）按照国家安全生产法规和行业安全生产标准规范，组织企业安全生产；

（三）履行经营协议，为社会提供足量的、符合标准的产品和服务；

（四）接受主管部门对产品和服务质量的监督检查；

（五）按规定的时间将中长期发展规划、年度经营计划、年度报告、董事会决议等报主管部门备案；

（六）加强对生产设施、设备的运行维护和更新改造，确保设施完好；

（七）协议约定的其他责任。

article 11 enterprises that have obtained the franchise right shall perform the following obligations:

(1) making scientific and reasonable annual production and supply plans of the enterprises;

(2) organizing the safety production of the enterprises in accordance with the state work safety laws and regulations and the standard criterions for industry work safety;

(3) performing business agreements to provide sufficient and qualified products and services to the society;

(4) accepting supervisions and inspection of the competent departments in charge on the quality of products and services;

(5) putting on records the medium and long term development plans, annual business plans, annual report and the resolutions of the board of directors at the competent departments in charge within the prescribed time limit;

(6) strengthening maintenance and renovation and reconstruction on the running of production establishments or equipment to ensure that the establishments be in good condition; and

(7) other obligations as stipulated in the agreement.

第十二条　特许经营期限应当根据行业特点、规模、经营方式等因素确定，最长不得超过30年。

article 12 the term of franchising shall be determined according to such factors as the character, scale, and ways of operation of the industry, and etc.; the maximum term shall not exceed 30 years.

第十三条　获得特许经营权的企业承担政府公益性指令任务造成经济损失的，政府应当给予相应的补偿。

article 13 where the enterprises that have obtained franchise right cause economic losses due to undertaking the mandatory welfare task of the government, the government shall give compensation to them accordingly.

第十四条　在协议有效期限内，若协议的内容确需变更的，协议双方应当在共同协商的基础上签订补充协议。

article 14 where during the period of validity of the agreement, if there is necessity to alter the contents of the agreement, the two parties of the agreement shall sign a supplementary agreement on the basis of negotiation together.

第十五条　获得特许经营权的企业确需变更名称、地址、法定代表人的，应当提前书面告知主管部门，并经其同意。

article 15 where an enterprise that has obtained the franchise right really needs to alter its name, address, or legal representative, it shall notify beforehand the competent departments in charge in writing, and gain their approval.

第十六条　特许经营期限届满，主管部门应当按照本办法规定的程序组织招标，选择特许经营者。

article 16 at the expiration of the franchising term, the competent departments in charge shall organize a public bidding to choose the franchising managers in accordance with the procedures as prescribed in the present measures.

第十七条　获得特许经营权的企业在协议有效期内单方提出解除协议的，应当提前提出申请，主管部门应当自收到获得特许经营权的企业申请的3个月内作出答复。在主管部门同意解除协议前，获得特许经营权的企业必须保证正常的经营与服务。

article 17 where an enterprise that has obtained franchise right proposes to cancel the agreement unilaterally within the period of validity of the agreement, it shall file an application in advance, and the supervisory departments shall give a reply within three months after receiving the application of the enterprise. the enterprise that has obtained the franchise right shall ensure the ordinary operation and service before the supervisory departments approve to cancel the agreement.

第十八条　获得特许经营权的企业在特许经营期间有下列行为之一的，主管部门应当依法终止特许经营协议，取消其特许经营权，并可以实施临时接管：

（一）擅自转让、出租特许经营权的；

（二）擅自将所经营的财产进行处置或者抵押的；

（三）因管理不善，发生重大质量、生产安全事故的；

（四）擅自停业、歇业，严重影响到社会公共利益和安全的；

（五）法律、法规禁止的其他行为。

article 18 where an enterprise that has obtained franchise right has any of the following acts during the franchising period, the supervisory departments shall terminate the franchising agreement according to law, cancel its franchise right, and may also take it over temporarily:

(1) transferring or leasing franchise right without authorization;

(2) making disposal or mortgage on the property they operate without authorization;

(3) grave quality or work safety accidents occurred due to poor management;

(4) shutting down or going out of business without permission, which seriously influences the public interests and security; or

(5) other acts as prohibited by laws and regulations.

第十九条　特许经营权发生变更或者终止时，主管部门必须采取有效措施保证市政公用产品供应和服务的连续性与稳定性。

article 19 where the franchise right is altered or terminated, the supervisory departments shall take effective measures to ensure the continuity and stability of supply and service of the municipal utility products.

第二十条　主管部门应当在特许经营协议签订后30日内，将协议报上一级市政公用事业主管部门备案。

article 20 the supervisory departments shall, within 30 days after signing the franchising agreement, report it to and put it on records at the upper level departments in charge of municipal public utilities.

第二十一条　在项目运营的过程中，主管部门应当组织专家对获得特许经营权的企业经营情况进行中期评估。

评估周期一般不得低于两年，特殊情况下可以实施年度评估。

article 21 during the process of operation of the projects, the supervisory departments shall organize the relevant experts to make middle-term appraisal on the business operation of the enterprises who have obtained the franchise right.

the period of the appraisal shall be no less than two years in general, and an annual appraisal may be carried out under special circumstances.

第二十二条　直辖市、市、县人民政府有关部门按照有关法律、法规规定的原则和程序，审定和监管市政公用事业产品和服务价格。

article 22 the relevant departments of the people’s governments of the municipalities directly under the central governments, cities, and counties shall, according to the principles and procedures as prescribed by the relevant laws and regulations, examine and approve and supervise the price of the municipal utility products and services.

第二十三条　未经直辖市、市、县人民政府批准，获得特许经营权的企业不得擅自停业、歇业。

获得特许经营权的企业擅自停业、歇业的，主管部门应当责令其限期改正，或者依法采取有效措施督促其履行义务。

article 23 no enterprises that have obtained the franchise right may shut down or go out of business at will without the approval of the people’s governments of the municipalities directly under the central governments, cities, or counties.

in case the enterprises that have obtained franchise right shut down or go out of business without permission, the supervisory departments shall order them to correct within a prescribed time limit, or take effective measures to urge them to perform duties according to law.

第二十四条　主管部门实施监督检查，不得妨碍获得特许经营权的企业正常的生产经营活动。

article 24 the supervisory departments shall not obstruct the ordinary production and operation activities of the enterprises that have obtained the franchise rights when implementing supervision and inspection.

第二十五条　主管部门应当建立特许经营项目的临时接管应急预案。

对获得特许经营权的企业取消特许经营权并实施临时接管的，必须按照有关法律、法规的规定进行，并召开听证会。

article 25 the supervisory departments shall establish preparatory plans to meet the emergency of temporary takeover of the franchising projects.

where the supervisory departments have cancelled the franchise right of an enterprise that has obtained the franchise right and implement temporary takeover on it, they shall process in accordance with the provisions of the relevant laws and regulations, and convene a hearing.

第二十六条社会公众对市政公用事业特许经营享有知情权、建议权。

直辖市、市、县人民政府应当建立社会公众参与机制，保障公众能够对实施特许经营情况进行监督。

article 26 the general public shall have the right to know or suggest concerning the franchising of municipal public utilities.

the people’s governments of the municipalities directly under the central governments, cities and counties shall establish a mechanism of participation by the general public, so as to ensure that the general pubic be able to make supervision over the franchising conditions.

第二十七条　国务院建设主管部门应当加强对直辖市市政公用事业主管部门实施特许经营活动的监督检查，省、自治区人民政府建设主管部门应当加强对市、县人民政府市政公用事业主管部门实施特许经营活动的监督检查，及时纠正实施特许经营中的违法行为。

article 27 the competent construction department of the state council shall strengthen supervision over and inspection on the implementation of franchising activities by the competent departments of the municipal public utilities of the municipalities directly under the central governments. and the competent construction departments of the people’s governments of the provinces and autonomous regions shall strengthen supervision over and inspection on the implementation of franchising activities by the competent departments of municipal public utilities of the people’s governments of the cities and counties, and correct in time the illegal acts in the implementation of franchising.

第二十八条　对以欺骗、贿赂等不正当手段获得特许经营权的企业，主管部门应当取消其特许经营权，并向国务院建设主管部门报告，由国务院建设主管部门通过媒体等形式向社会公开披露。被取消特许经营权的企业在三年内不得参与市政公用事业特许经营竞标。

article 28 the supervisory departments shall cancel the franchise right of an enterprise who obtains the franchise right by such illegal means as cheating or bribery, and report to the competent construction department of the state council, who shall then reveal this openly to the general public through media and other ways. and the enterprise whose franchise right is cancelled shall be prohibited from taking part in the competitive bidding for franchising of municipal public utilities within 3 years.

第二十九条　主管部门或者获得特许经营权的企业违反协议的，由过错方承担违约责任，给对方造成损失的，应当承担赔偿责任。

article 29 where the supervisory departments or the enterprises that have obtained the franchise right are in breach of the agreement, the party who has faults shall undertake the liabilities for breach of faith, and shall bear the compensation liabilities if it leads to the damage of the other party.

第三十条　主管部门及其工作人员有下列情形之一的，由对其授权的直辖市、市、县人民政府或者监察机关责令改正，对负主要责任的主管人员和其他直接责任人员依法给予行政处分；构成犯罪的，依法追究刑事责任：

（一）不依法履行监督职责或者监督不力，造成严重后果的；

（二）对不符合法定条件的竞标者授予特许经营权的；

（三）滥用职权、徇私舞弊的。

article 30 in case the supervisory departments and their staff members have any of the following circumstances, the people’s governments or supervisory organs of the municipalities directly under the central governments, cities and counties who give them authorization shall order them to correct, and impose administrative punishments according to law on the main responsible person and other persons directly liable. in case they commit a crime, they shall be prosecuted for criminal liabilities according to law:

(1) failing to perform supervision duties according to law or failing to do their best to make supervision, which lead to serious consequences;

(2) granting franchise rights to those bidders not meeting the legal requirements; or

(3) misusing authority to practice fraudulent acts for private gains.

第三十一条　本办法自2004年5月1日起施行。

article 31 the present measures shall be implemented as of may 1, 2004.