指導外商投資方向規定
現公布《指導外商投資方向規定》，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 為了指導外商投資方向，使外商投資方向與我國國民經濟和社會發展規劃相適應，并有利于保護投資者的合法權益，根據國家有關外商投資的法律規定和產業政策要求，制定本規定。
第二條 本規定適用于在我國境內投資舉辦中外合資經營企業、中外合作經營企業和外資企業(以下簡稱外商投資企業)的項目以及其他形式的外商投資項目(以下簡稱外商投資項目)。
第三條 《外商投資產業指導目錄》和《中西部地區外商投資優勢產業目錄》由國家發展計劃委員會、國家經濟貿易委員會、對外貿易經濟合作部會同國務院有關部門制訂，經國務院批準后公布；根據實際情況，需要對《外商投資產業指導目錄》和《中西部地區外商投資優勢產業目錄》進行部分調整時，由國家經濟貿易委員會、國家發展計劃委員會、對外貿易經濟合作部會同國務院有關部門適時修訂并公布。
《外商投資產業指導目錄》和《中西部地區外商投資優勢產業目錄》是指導審批外商投資項目和外商投資企業適用有關政策的依據。
第四條 外商投資項目分為鼓勵、允許、限制和禁止四類。
鼓勵類、限制類和禁止類的外商投資項目，列入《外商投資產業指導目錄》。不屬于鼓勵類、限制類和禁止類的外商投資項目，為允許類外商投資項目。允許類外商投資項目不列入《外商投資產業指導目錄》。
第五條 屬于下列情形之一的，列為鼓勵類外商投資項目：
(一)屬于農業新技術、農業綜合開發和能源、交通、重要原材料工業的；
(二)屬于高新技術、先進適用技術，能夠改進產品性能、提高企業技術經濟效益或者生產國內生產能力不足的新設備、新材料的；
(三)適應市場需求，能夠提高產品檔次、開拓新興市場或者增加產品國際競爭能力的；
(四)屬于新技術、新設備，能夠節約能源和原材料、綜合利用資源和再生資源以及防治環境污染的；
(五)能夠發揮中西部地區的人力和資源優勢，并符合國家產業政策的；
(六)法律、行政法規規定的其他情形。
第六條 屬于下列情形之一的，列為限制類外商投資項目：
(一)技術水平落后的；
(二)不利于節約資源和改善生態環境的；
(三)從事國家規定實行保護性開采的特定礦種勘探、開采的；
(四)屬于國家逐步開放的產業的；
(五)法律、行政法規規定的其他情形。
第七條 屬于下列情形之一的，列為禁止類外商投資項目：
(一)危害國家安全或者損害社會公共利益的；
(二)對環境造成污染損害，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、開發土地資源的；
(四)危害軍事設施安全和使用效能的；
(五)運用我國特有工藝或者技術生產產品的；
(六)法律、行政法規規定的其他情形。
第八條 《外商投資產業指導目錄》可以對外商投資項目規定“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營、中外合作經營；中方控股，是指中方投資者在外商投資項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 鼓勵類外商投資項目，除依照有關法律、行政法規的規定享受優惠待遇外，從事投資額大、回收期長的能源、交通、城市基礎設施(煤炭、石油、天然氣、電力、鐵路、公路、港口、機場、城市道路、污水處理、垃圾處理等)建設、經營的，經批準，可以擴大與其相關的經營范圍。
第十條 產品全部直接出口的允許類外商投資項目，視為鼓勵類外商投資項目；產品出口銷售額占其產品銷售總額70％以上的限制類外商投資項目，經省、自治區、直轄市及計劃單列市人民政府或者國務院主管部門批準，可以視為允許類外商投資項目。
第十一條 對于確能發揮中西部地區優勢的允許類和限制類外商投資項目，可以適當放寬條件；其中，列入《中西部地區外商投資優勢產業目錄》的，可以享受鼓勵類外商投資項目優惠政策。
第十二條 根據現行審批權限，外商投資項目按照項目性質分別由發展計劃部門和經貿部門審批、備案；外商投資企業的合同、章程由外經貿部門審批、備案。其中，限制類限額以下的外商投資項目由省、自治區、直轄市及計劃單列市人民政府的相應主管部門審批，同時報上級主管部門和行業主管部門備案，此類項目的審批權不得下放。屬于服務貿易領域逐步開放的外商投資項目，按照國家有關規定審批。
涉及配額、許可證的外商投資項目，須先向外經貿部門申請配額、許可證。
法律、行政法規對外商投資項目的審批程序和辦法另有規定的，依照其規定。
第十三條 對違反本規定審批的外商投資項目，上級審批機關應當自收到該項目的備案文件之日起30個工作日內予以撤銷，其合同、章程無效，企業登記機關不予注冊登記，海關不予辦理進出口手續。
第十四條 外商投資項目申請人以欺騙等不正當手段，騙取項目批準的，根據情節輕重，依法追究法律責任；審批機關應當撤銷對該項目的批準，并由有關主管機關依法作出相應的處理。
第十五條 審批機關工作人員濫用職權、玩忽職守的，依照刑法關于濫用職權罪、玩忽職守罪的規定，依法追究刑事責任；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、澳門特別行政區、臺灣地區的投資者舉辦的投資項目，比照本規定執行。
第十七條 本規定自2002年4月1日起施行。1995年6月7日國務院批準，1995年6月20日國家計劃委員會、國家經濟貿易委員會、對外貿易經濟合作部發布的《指導外商投資方向暫行規定》同時廢止。
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.
