September 2011
September 2011
2011年9月
China
中国
莫桑比克公私合营，大型工程项目与特许经营
莫桑比克第15/2011号法律于2011年8月10日生效，该法确立了公私合营，大型工程项目和特许经营合同在项目缔约，项目实行和项目监管方面的法律框架。
该法的立法目的一方面在于促进私人和投资者参与公私合营，大型工程项目和特许经营，另一方面在于给资源探索和其他国有资产的 利用带来更多的效益，提升质量，提高物资服务采购的效益，促进各方利益的公平分配。
受该法律规范的公私合营、大型工程项目和特许经营包括由中央政府、省级、区级和地方政府发起的或决议并控制的全部项 目。该法律不适用于：（1）单纯的国家机构物资服务采购合同，包括市政工程项目和咨询服务；（2）非盈利性的带有利他性质、社会性质、人文性质、文化性质、体育性质或类似性质的公私合营。
公私合营、大型工程项目和特许经营的概念
根据该法的规定，公私合营、大型工程项目和特许经营指：
（1）公私合营——指所有由公共行政主体与私人主体以合同方式约定的由私人主体以有效率的方式落实、经营公共项目，提供服务，并承担全部或部分融资和相关风险的项目；
（2）大型工程项目——自2009年1月1日起所有由政府授权批准或签署的投资额超过125亿梅蒂xx的投资项目；
（3）特许经营——所有依合同条款，以探矿、勘探、提炼和或开发自然资源或其它国有资源为目的之项目。管理体制
所有的公私合营、大型工程项目和特许经营项目都可归入两类主管部门管理：具体项目所属行业的政府行业部门和监督管理金融领域的政府财政部门。其中政府行业部门的监管职能由其具体管辖的行业来决定。
公私合营合同
该法确立的公私合营项目缔约规则，以政府公开招标规则为主，以政府公共采购规则为辅（亦即2010年5月24日第15/2010号法令——政府市政工程和国家物资服务采购规则）。在满足法律的要求的情况下，公私合营项目将采用资格预审的招标形式或者两段 式招标的形式，这体现了项目的公开属性。而在有充分理由的重大项目中，公私合营项目可例外采用直接谈判和私下协议的方式， 当然此等情况需得到政府的提前批准。
公私合营中的风险管理
政府和其他对特定行业有管理职权的主管当局应当依据该法第16条要求预防和控制风险的发生（例如，对不利于或对公私合营项目的运营和管理、竞争力以及经济财务能力产生消极影响的行为）。而另一方面，公私合营合同双方主体（即私人主体和签约的主管当局）都需防范和减轻该法第17条规定的风险（例如，项目本身固有的财政和汇率风险，以及商业、管理和运营风险）。
资金保障
投标人与签约主管当局都需提供资金担保以保证其完全履行义务的能力。资金担保要求应与工程规模和复杂程度相一致。担保可用抵押物替代，或经公私合营合同主体与财务主管当局通过合同约定，由被认可的具备担保实力的主体或母公司提供担保。如果该公私合营项目具有战略意义或对国家具有特殊社会经济利益，而该项目本身不具备财政可行性的，国家需提供财政资助以使其具备经济财政方面的可行性，财务主管当局在得到政府批准后，还能通过融资资助或提供资金担保的方式进行资金支持。
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PPP’S, LARGE SCALE PROJECTS AND BUSINESS CONCESSIONS IN MOZAMBIQUE
莫桑比克公私合营，大型工程项目与特许经营
合同的种类，期限和形式
合同的形式包括（1）特许合同，最长期限为30年；（2）转让经营合同，最长期限为20年；（3）管理合同，最长期限为10年。视项目具体实行、运营和管理情况可增加其他补充合同。合同需经过行政法院的提前批准，并在莫桑比克官方公报上公示合同的主要条款。
法定程序
该法并未确立公私合营项目的具体阶段，也未确认构成各阶段的组成要素。这些问题有待莫桑比克政府解决，而自该法生效日起，莫桑比克政府还有180天批准与之配套的一般规章和特定规章。
本通讯旨在向客户及同事介绍一些普遍和抽象的概述。它不应该被用来作为作出决策和专业法律意见的基础。本通讯的内容未经作者明确统一不得复制部分或全部内容。如果需要有关此主题的详细信息，请联系：Xxxx Xxxxxxx Xxxx (xxxx.xxxxxxxxxxx@xxxx.xx) 或 Xxxxxx Xxxxxx Xxxxx (xxxxxx.xxxxxxxxxxx@xxxx.xx).
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Think Global, Act Local 立足本土，放眼全球
September 2011
2011年9月
PUBLIC-PRIVATE PARTNERSHIPS, LARGE SCALE PROJECTS AND BUSINESS CONCESSIONS IN MOZAMBIQUE
Law no. 15/2011, which came into force on 10 August, establishes the guidelines for the process of contracting, implementation and supervision of public-private partnership (“PPP”) projects, large scale projects (LSPs) and business concessions (BCs).
This Law is intended, on the one hand, to foster greater involvement of private partners and investors in carrying out PPPs, LSPs and BCs and, on the other hand, to bring greater effectiveness and quality to the exploitation of resources and other national assets, as well as the efficient provision of goods and services to society and to the fair sharing of the respective benefits.
The Law applies to all PPPs, LSPs and BCs carried out in the country under the initiative of or decided on and controlled by government bodies on a central, provincial and district level, or by local government. Falling outside the scope of application of this Law are: (i) Simple agreements for the supply of goods and services to state institutions including agreements for public works and consultancy services; and (ii) non-profit PPPs of an altruistic, social, humanitarian, cultural, sporting or similar nature.
PPP, LSP AND BC CONCEPTS
For the purposes of the Law, PPPs, LSPs and BCs are considered to be:
(i) PPPs - all projects that involve an agreement between the public administration and private entities under which the latter gives an undertaking to the public partner to implement and manage these public interest projects, services and activities in an efficient manner, while bearing all or part of the financing and the risk involved;
(ii) LSPs - all investment projects authorised or contracted by the Government, the value of which exceeds, with reference to the date 1 January 2009, the amount of 12 500 000 000.00 MT (twelve thousand five hundred million meticals);
(iii) BCs - all projects carried out under the terms of a contract, the object of which is prospecting, exploration, extraction and or the exploitation of natural resources or other resources or assets that make up the property of the State.
INSTITUTIONAL FRAMEWORK
PPPS, LSPS and BCS are come under two authorities: by sector and financial. Authority over the sector is exercised by the Government entity responsible for the area or sector into which the project falls. Financial authority is exercised by the Government entity that supervises the financial area. The functions and powers of the entity with authority over the sector are complemented by the jurisdiction and powers of the respective regulatory authority that deals with the sector or sub-sector.
PPP CONTRACTING LEGISLATION
Under this Law the system for contracting PPP projects is, as a general rule, the public invitation to tender, with the rules that govern public procurement applying on a subsidiary level (Decree 15/2010 of 24 May - Regulations on Contracting of Public Works Projects, Supply of Goods and Provision of Services to the State). To respond to the public interest, and if the applicable legal requirements are met, the contracting of the PPP may take the form of a tender with pre-qualification or a two-stage tender. In important situations where there are proper grounds, and as a last resort subject to the prior authorisation of the Government, the contracting of the PPP project may, exceptionally, take the form of negotiation and private treaty.
RISK MANAGMENT IN PPPS
The Government and the other entities with authority over the respective areas of activity and responsibility must prevent and control the occurrence of the risks provided for in article 16 of the Law (for example, measures or acts with effects that are negative and adverse to the normal operation and management of the PPP project or to its competitiveness and economic and financial viability). In turn, the private partner and the contracting authority are also responsible for the prevention and mitigation of the risks provided for in article 17 of the Law (for example, financial and exchange rate risks inherent to the project and commercial, management and performance risks of the project).
FINANCIAL GUARANTEES
The bidder and the contracting authority must give financial guarantees that ensure full compliance with the obligations they have taken on. The guarantee must be calculated in accordance with the size of the project and the complexity of its aim. The guarantee may be substituted by collateral or a guarantee issued by an entity of recognised reputation and financial capacity
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or by the parent company, through an agreement between the contracting parties and authorisation of the entity with financial authority over the transaction. In PPP projects that are strategic or of special socio-economic interest to the country which are not financially viable in themselves and the State must make a financial contribution to make such projects economically and financially viable, the entity with financial authority may, when authorised by the Government, among other measures, contribute to the financing of the project or provide a financial guarantee for it.
CONTRACT – TYPES, DURATION AND FORMALITIES
The types of contracts are: (i) concession, the maximum duration of which is thirty years; (ii) assignment of operation, with the maximum duration of twenty years; and (iii) management, with the maximum duration of ten years. Other complementary contracts may be made which are deemed necessary for the implementation, operation and maintenance of the project. The contract is subject to the prior issue of a permit by the Administrative Court and to publication (only the main terms of the contract) in the Boletim da República - Mozambique’s official gazette.
PROCESS AND LEGAL PROCEDURES
This Law does not establish the phases of the process for the PPP project nor the acts and elements that make up each phase. It is for the Government to deal with these issues and it has the period of one hundred and eighty days from the date the Law comes into force to approve the general and specific regulations.
This Newsletter is intended for general distribution to clients and colleagues and the information contained herein is provided as a general and abstract overview. It should not be used as a basis on which to make decisions and professional legal advice should be sought for specific cases. The contents of this Newsletter may not be reproduced, in whole or in part, without the express consent of the author. If you should require further information on this topic, please contact Xxxx Xxxxxxx Xxxx (xxxx.xxxxxxxxxxx@
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