指導(dǎo)外商投資方向規(guī)定
現(xiàn)公布《指導(dǎo)外商投資方向規(guī)定》，自2002年4月1日起施行。
總理 朱镕基
二00二年二月十一日
第一條 為了指導(dǎo)外商投資方向，使外商投資方向與我國國民經(jīng)濟(jì)和社會(huì)發(fā)展規(guī)劃相適應(yīng)，并有利于保護(hù)投資者的合法權(quán)益，根據(jù)國家有關(guān)外商投資的法律規(guī)定和產(chǎn)業(yè)政策要求，制定本規(guī)定。
第二條 本規(guī)定適用于在我國境內(nèi)投資舉辦中外合資經(jīng)營企業(yè)、中外合作經(jīng)營企業(yè)和外資企業(yè)(以下簡稱外商投資企業(yè))的項(xiàng)目以及其他形式的外商投資項(xiàng)目(以下簡稱外商投資項(xiàng)目)。
第三條 《外商投資產(chǎn)業(yè)指導(dǎo)目錄》和《中西部地區(qū)外商投資優(yōu)勢產(chǎn)業(yè)目錄》由國家發(fā)展計(jì)劃委員會(huì)、國家經(jīng)濟(jì)貿(mào)易委員會(huì)、對外貿(mào)易經(jīng)濟(jì)合作部會(huì)同國務(wù)院有關(guān)部門制訂，經(jīng)國務(wù)院批準(zhǔn)后公布；根據(jù)實(shí)際情況，需要對《外商投資產(chǎn)業(yè)指導(dǎo)目錄》和《中西部地區(qū)外商投資優(yōu)勢產(chǎn)業(yè)目錄》進(jìn)行部分調(diào)整時(shí)，由國家經(jīng)濟(jì)貿(mào)易委員會(huì)、國家發(fā)展計(jì)劃委員會(huì)、對外貿(mào)易經(jīng)濟(jì)合作部會(huì)同國務(wù)院有關(guān)部門適時(shí)修訂并公布。
《外商投資產(chǎn)業(yè)指導(dǎo)目錄》和《中西部地區(qū)外商投資優(yōu)勢產(chǎn)業(yè)目錄》是指導(dǎo)審批外商投資項(xiàng)目和外商投資企業(yè)適用有關(guān)政策的依據(jù)。
第四條 外商投資項(xiàng)目分為鼓勵(lì)、允許、限制和禁止四類。
鼓勵(lì)類、限制類和禁止類的外商投資項(xiàng)目，列入《外商投資產(chǎn)業(yè)指導(dǎo)目錄》。不屬于鼓勵(lì)類、限制類和禁止類的外商投資項(xiàng)目，為允許類外商投資項(xiàng)目。允許類外商投資項(xiàng)目不列入《外商投資產(chǎn)業(yè)指導(dǎo)目錄》。
第五條 屬于下列情形之一的，列為鼓勵(lì)類外商投資項(xiàng)目：
(一)屬于農(nóng)業(yè)新技術(shù)、農(nóng)業(yè)綜合開發(fā)和能源、交通、重要原材料工業(yè)的；
(二)屬于高新技術(shù)、先進(jìn)適用技術(shù)，能夠改進(jìn)產(chǎn)品性能、提高企業(yè)技術(shù)經(jīng)濟(jì)效益或者生產(chǎn)國內(nèi)生產(chǎn)能力不足的新設(shè)備、新材料的；
(三)適應(yīng)市場需求，能夠提高產(chǎn)品檔次、開拓新興市場或者增加產(chǎn)品國際競爭能力的；
(四)屬于新技術(shù)、新設(shè)備，能夠節(jié)約能源和原材料、綜合利用資源和再生資源以及防治環(huán)境污染的；
(五)能夠發(fā)揮中西部地區(qū)的人力和資源優(yōu)勢，并符合國家產(chǎn)業(yè)政策的；
(六)法律、行政法規(guī)規(guī)定的其他情形。
第六條 屬于下列情形之一的，列為限制類外商投資項(xiàng)目：
(一)技術(shù)水平落后的；
(二)不利于節(jié)約資源和改善生態(tài)環(huán)境的；
(三)從事國家規(guī)定實(shí)行保護(hù)性開采的特定礦種勘探、開采的；
(四)屬于國家逐步開放的產(chǎn)業(yè)的；
(五)法律、行政法規(guī)規(guī)定的其他情形。
第七條 屬于下列情形之一的，列為禁止類外商投資項(xiàng)目：
(一)危害國家安全或者損害社會(huì)公共利益的；
(二)對環(huán)境造成污染損害，破壞自然資源或者損害人體健康的；
(三)占用大量耕地，不利于保護(hù)、開發(fā)土地資源的；
(四)危害軍事設(shè)施安全和使用效能的；
(五)運(yùn)用我國特有工藝或者技術(shù)生產(chǎn)產(chǎn)品的；
(六)法律、行政法規(guī)規(guī)定的其他情形。
第八條 《外商投資產(chǎn)業(yè)指導(dǎo)目錄》可以對外商投資項(xiàng)目規(guī)定“限于合資、合作”、“中方控股”或者“中方相對控股”。
限于合資、合作，是指僅允許中外合資經(jīng)營、中外合作經(jīng)營；中方控股，是指中方投資者在外商投資項(xiàng)目中的投資比例之和為51％及以上；中方相對控股，是指中方投資者在外商投資項(xiàng)目中的投資比例之和大于任何一方外國投資者的投資比例。
第九條 鼓勵(lì)類外商投資項(xiàng)目，除依照有關(guān)法律、行政法規(guī)的規(guī)定享受優(yōu)惠待遇外，從事投資額大、回收期長的能源、交通、城市基礎(chǔ)設(shè)施(煤炭、石油、天然氣、電力、鐵路、公路、港口、機(jī)場、城市道路、污水處理、垃圾處理等)建設(shè)、經(jīng)營的，經(jīng)批準(zhǔn)，可以擴(kuò)大與其相關(guān)的經(jīng)營范圍。
第十條 產(chǎn)品全部直接出口的允許類外商投資項(xiàng)目，視為鼓勵(lì)類外商投資項(xiàng)目；產(chǎn)品出口銷售額占其產(chǎn)品銷售總額70％以上的限制類外商投資項(xiàng)目，經(jīng)省、自治區(qū)、直轄市及計(jì)劃單列市人民政府或者國務(wù)院主管部門批準(zhǔn)，可以視為允許類外商投資項(xiàng)目。
第十一條 對于確能發(fā)揮中西部地區(qū)優(yōu)勢的允許類和限制類外商投資項(xiàng)目，可以適當(dāng)放寬條件；其中，列入《中西部地區(qū)外商投資優(yōu)勢產(chǎn)業(yè)目錄》的，可以享受鼓勵(lì)類外商投資項(xiàng)目優(yōu)惠政策。
第十二條 根據(jù)現(xiàn)行審批權(quán)限，外商投資項(xiàng)目按照項(xiàng)目性質(zhì)分別由發(fā)展計(jì)劃部門和經(jīng)貿(mào)部門審批、備案；外商投資企業(yè)的合同、章程由外經(jīng)貿(mào)部門審批、備案。其中，限制類限額以下的外商投資項(xiàng)目由省、自治區(qū)、直轄市及計(jì)劃單列市人民政府的相應(yīng)主管部門審批，同時(shí)報(bào)上級主管部門和行業(yè)主管部門備案，此類項(xiàng)目的審批權(quán)不得下放。屬于服務(wù)貿(mào)易領(lǐng)域逐步開放的外商投資項(xiàng)目，按照國家有關(guān)規(guī)定審批。
涉及配額、許可證的外商投資項(xiàng)目，須先向外經(jīng)貿(mào)部門申請配額、許可證。
法律、行政法規(guī)對外商投資項(xiàng)目的審批程序和辦法另有規(guī)定的，依照其規(guī)定。
第十三條 對違反本規(guī)定審批的外商投資項(xiàng)目，上級審批機(jī)關(guān)應(yīng)當(dāng)自收到該項(xiàng)目的備案文件之日起30個(gè)工作日內(nèi)予以撤銷，其合同、章程無效，企業(yè)登記機(jī)關(guān)不予注冊登記，海關(guān)不予辦理進(jìn)出口手續(xù)。
第十四條 外商投資項(xiàng)目申請人以欺騙等不正當(dāng)手段，騙取項(xiàng)目批準(zhǔn)的，根據(jù)情節(jié)輕重，依法追究法律責(zé)任；審批機(jī)關(guān)應(yīng)當(dāng)撤銷對該項(xiàng)目的批準(zhǔn)，并由有關(guān)主管機(jī)關(guān)依法作出相應(yīng)的處理。
第十五條 審批機(jī)關(guān)工作人員濫用職權(quán)、玩忽職守的，依照刑法關(guān)于濫用職權(quán)罪、玩忽職守罪的規(guī)定，依法追究刑事責(zé)任；尚不夠刑事處罰的，依法給予記大過以上的行政處分。
第十六條 華僑和香港特別行政區(qū)、澳門特別行政區(qū)、臺(tái)灣地區(qū)的投資者舉辦的投資項(xiàng)目，比照本規(guī)定執(zhí)行。
第十七條 本規(guī)定自2002年4月1日起施行。1995年6月7日國務(wù)院批準(zhǔn)，1995年6月20日國家計(jì)劃委員會(huì)、國家經(jīng)濟(jì)貿(mào)易委員會(huì)、對外貿(mào)易經(jīng)濟(jì)合作部發(fā)布的《指導(dǎo)外商投資方向暫行規(guī)定》同時(shí)廢止。
Provisions on Guiding The Orientation of Foreign Investment
Decree [2002] No.346 of the State Council
The Provisions on Guiding the Orientation of Foreign Investment are hereby promulgated and shall enter into force on April 1, 2002.
Premier of the State Council: Zhu Rongji
February 11, 2002
Article 1 In order to guide the orientation of foreign investment, to keep the orientation of foreign investment in line with the national economy and social development planning of China, and to protect of the lawful rights and interests of investors, these Provisions have been formulated according to the laws and provision on foreign investment and the requirements of industrial policies of the State.
Article 2 These Provisions shall be applicable to the projects of investment and establishment of Chinese-foreign equity joint ventures, Chinese-foreign contractual joint ventures and foreign-capital enterprises (hereinafter referred to all as enterprises with foreign investment), and projects with foreign investment in other forms (hereinafter referred to as projects with foreign investment) within the territory of China.
Article 3 The Guidance Catalog of Industry with Foreign Investment and the Catalog of Dominant Industries with Foreign Investment of the Mid-west Region shall be formulated by the State Development Planning Commission, the State Economic and Trade Commission, the Ministry of Foreign Trade and Economic Cooperation jointly with other relevant departments under the State Council, and shall be promulgated upon the approval of the State Council; when it is needed to partly adjust the Guidance Catalog of Industry with Foreign Investment and the Catalog of Dominant Industries with Foreign Investment of the Mid-west Region in light of the actual situation, the State Economic and Trade Commission, the State Development Planning Commission, the Ministry of Foreign Trade and Economic Cooperation jointly with the relevant departments under the State Council shall make the revision and promulgation timely.
The Guidance Catalog of Industry with Foreign Investment and the Catalog of Dominant Industries with Foreign Investment of the Mid-west Region shall be the basis of the application of relevant policies in directing and examining and approving projects with foreign investment and enterprises with foreign investment.
Article 4 Projects with foreign investment fall into 4 categories, namely encouraged, permitted, restricted and prohibited ones.
The Projects with foreign investment that are encouraged, restricted and prohibited shall be listed in the Guidance Catalog of Industry with Foreign Investment. And the projects with foreign investment that don''t fall into the categories of encouraged, restricted or prohibited projects shall be the permitted projects with foreign investment. The permitted projects with foreign investment shall not be listed in the Guidance Catalog of Industry with Foreign Investment.
Article 5 A project in any of the following situations shall be listed as the encouraged projects with foreign investment:
1) being of new agriculture technologies, agriculture comprehensive development, or energy, transportation and important raw material industries;
2) being of high and new technologies or advanced application technologies that can improve the product performance and increase the technology economic efficiency of the enterprises or those that can produce the new equipments and new materials which the domestic production capacity fails to produce;
3) meeting the market needs and being able to improve the product level, develop new markets or increase the international competitive capacity of the products;
4) being of new technologies and new equipments that can save energy and raw material, comprehensively utilize resources and regenerate resources, and prevent environment pollutions;
5) being capable of bring into the advantages of human power and resources of the mid-west region into full play and being in conformity to the industrial policies of the State;
6) other situations as provided for by laws and administrative regulations.
Article 6 A project in any of the following situations shall be a restricted project with foreign investment:
1) being of technology lagged behind;
2) being adverse to saving resources and improving environment;
3) engaged in the prospecting and exploitation of the specific type of mineral resources to which the State applies protective exploitation;
4) falling into the industries that the State opens step by step;
5) other situations as provided by laws and administrative regulations.
Article 7 A project in any of the following situations shall be a prohibited project with foreign investment:
1) harming the State safety or impairing the public interests;
2) polluting the environment, damaging natural resources or harming human health;
3) occupying too much farmland and being adverse to the protection and development of land resources;
4) harming the safety and usage of military facilities;
5) using the particular techniques or technologies of China to produce products;
6) other situations as provided for by laws and administrative regulations.
Article 8 The Guidance Catalog of Industry with Foreign Investment may provide that a enterprise with foreign investment is "limited to joint venture, contractual venture", "with Chinese party at the holding position" or "with Chinese party at the relatively holding position".
"Limited to joint venture and operative venture" shall refer to that only Chinese-foreign joint ventures and Chinese-foreign contractual joint ventures are allowed; "with the Chinese parties at the holding position" shall refer to that the total investment proportion of the Chinese parties in the project with foreign investment shall be 51% or more; "with Chinese parties at the relatively holding position" shall refer to that the total investment proportion of the Chinese parties in the project with foreign investment shall be higher that the investment proportion of any foreign party.
Article 9 Apart from enjoying the preferential treatments according to the provisions of the relevant laws and administrative regulations, the encouraged projects with foreign investment that engage in the construction and operation of energy, transportation, municipal infrastructure (coal, oil, natural gas, electric power, railways, highways, ports, airports, city roads, sewage disposition, and garbage disposition, etc.) that needs large amount of investment and long term for recovery may expand their relevant business scope upon approval.
Article 10 The permitted projects with foreign investment of which the products are all directly exported shall be regarded as the encouraged project with foreign investment; the restricted projects with foreign investment of which the export sales accounts for more than 70% of their total amount of sales may be regarded as the permitted projects with foreign investment upon the approval of the people''s governments of provinces, autonomous regions, municipalities directly under the Central Government and municipalities separately listed on the State plan or the competent department under the State Council.
Article 11 The conditions may be eased for the permitted and restricted projects with foreign investment that really can bring the advantages of the mid-west region into full play; among which, those listed in the Guidance Catalog of Industry with Foreign Investment may enjoy the preferential policies for the encouraged projects with foreign investment.
Article 12 Projects with foreign investment shall be examined and approved, and put on record respectively by the departments of development planning and the economic and trade departments according to the limit of authority for examination and approval; the contracts andArticle s of association of enterprises with foreign investment shall be examined and approved, and put on record by the departments of foreign trade and economic cooperation. Among which, the projects with foreign investment under the limit for restricted projects with foreign investment shall be subject to the examination and approval of the corresponding competent departments of the people''s governments of the provinces, autonomous regions, municipalities directly under the Central Government and municipalities separately listed on the State plan, and shall be reported to the competent departments at the next higher level and the competent industrial departments, the power for examination and approval of this kind of projects may not be granted to the authorities at lower levels. The projects with foreign investment in the service area that are opened to the outside world step by step shall be subject to the examination and approval according to the relevant provisions of the State.
The projects with foreign investment involving quotas and licenses must apply to the departments for quotas and licenses first.
Where there are otherwise provisions of laws and administrative regulations on the procedures and measures for the examination and approval of projects with foreign investment, those provisions shall be observed.
Article 13 With respect to the projects with foreign investment examined and approved in violation of the present provisions, the organ of examination and approval at the next higher level shall cancel it within 30 workdays from the day of receiving the documents for record of that project, its contract andArticle s of association shall be void, the department of enterprise registration shall not register it and the customs shall not handle the procedures for import and export for it.
Article 14 Where the applicant of a project with foreign investment manages to obtain the approval for the project by deceiving or other illicit means, his legal liabilities shall be investigated for according to law regarding the seriousness of the circumstances; the organ of examination and approval shall cancel the approval for that project and the relevant competent organs shall deal with it correspondingly according to law.
Article 15 Where any of the personnel of the organ of examination and approval abuses his power or neglects his duties, criminal responsibilities shall be investigated for according to the provisions of the criminal law on the crime of abusing powers or the crime of neglecting duties; where the circumstances are not serious enough for criminal punishment, administrative punishment of recording a special demerit or more severe punishment shall be given.
Article 16 With respect to the investment projects established by overseas Chinese and the investors from the Hong Kong Special Administration Region, Macao Special Administrative Region or Taiwan Area, these Provisions shall be applicable by reference in implementation.
Article 17 These Provisions shall enter into force on April 1, 2002.
The Interim Provisions on the Guidance of Foreign Investment Directions approved by the State Council on June 7, 1995 and promulgated by the State Planning Commission, the State Economic and Trade Commission and the Ministry of Foreign Trade and Economic Cooperation on June 20, 1995 shall be nullified simultaneously.
