指导外商投资方向规定
现公布《指导外商投资方向规定》，自2002年4月1日起施行。
总理 朱镕基
二00二年二月十一日
第一条 为了指导外商投资方向，使外商投资方向与我国国民经济和社会发展规划相适应，并有利于保护投资者的合法权益，根据国家有关外商投资的法律规定和产业政策要求，制定本规定。
第二条 本规定适用于在我国境内投资举办中外合资经营企业、中外合作经营企业和外资企业(以下简称外商投资企业)的项目以及其他形式的外商投资项目(以下简称外商投资项目)。
第三条 《外商投资产业指导目录》和《中西部地区外商投资优势产业目录》由国家发展计划委员会、国家经济贸易委员会、对外贸易经济合作部会同国务院有关部门制订，经国务院批准后公布；根据实际情况，需要对《外商投资产业指导目录》和《中西部地区外商投资优势产业目录》进行部分调整时，由国家经济贸易委员会、国家发展计划委员会、对外贸易经济合作部会同国务院有关部门适时修订并公布。
《外商投资产业指导目录》和《中西部地区外商投资优势产业目录》是指导审批外商投资项目和外商投资企业适用有关政策的依据。
第四条 外商投资项目分为鼓励、允许、限制和禁止四类。
鼓励类、限制类和禁止类的外商投资项目，列入《外商投资产业指导目录》。不属于鼓励类、限制类和禁止类的外商投资项目，为允许类外商投资项目。允许类外商投资项目不列入《外商投资产业指导目录》。
第五条 属于下列情形之一的，列为鼓励类外商投资项目：
(一)属于农业新技术、农业综合开发和能源、交通、重要原材料工业的；
(二)属于高新技术、先进适用技术，能够改进产品性能、提高企业技术经济效益或者生产国内生产能力不足的新设备、新材料的；
(三)适应市场需求，能够提高产品档次、开拓新兴市场或者增加产品国际竞争能力的；
(四)属于新技术、新设备，能够节约能源和原材料、综合利用资源和再生资源以及防治环境污染的；
(五)能够发挥中西部地区的人力和资源优势，并符合国家产业政策的；
(六)法律、行政法规规定的其他情形。
第六条 属于下列情形之一的，列为限制类外商投资项目：
(一)技术水平落后的；
(二)不利于节约资源和改善生态环境的；
(三)从事国家规定实行保护性开采的特定矿种勘探、开采的；
(四)属于国家逐步开放的产业的；
(五)法律、行政法规规定的其他情形。
第七条 属于下列情形之一的，列为禁止类外商投资项目：
(一)危害国家安全或者损害社会公共利益的；
(二)对环境造成污染损害，破坏自然资源或者损害人体健康的；
(三)占用大量耕地，不利于保护、开发土地资源的；
(四)危害军事设施安全和使用效能的；
(五)运用我国特有工艺或者技术生产产品的；
(六)法律、行政法规规定的其他情形。
第八条 《外商投资产业指导目录》可以对外商投资项目规定“限于合资、合作”、“中方控股”或者“中方相对控股”。
限于合资、合作，是指仅允许中外合资经营、中外合作经营；中方控股，是指中方投资者在外商投资项目中的投资比例之和为51％及以上；中方相对控股，是指中方投资者在外商投资项目中的投资比例之和大于任何一方外国投资者的投资比例。
第九条 鼓励类外商投资项目，除依照有关法律、行政法规的规定享受优惠待遇外，从事投资额大、回收期长的能源、交通、城市基础设施(煤炭、石油、天然气、电力、铁路、公路、港口、机场、城市道路、污水处理、垃圾处理等)建设、经营的，经批准，可以扩大与其相关的经营范围。
第十条 产品全部直接出口的允许类外商投资项目，视为鼓励类外商投资项目；产品出口销售额占其产品销售总额70％以上的限制类外商投资项目，经省、自治区、直辖市及计划单列市人民政府或者国务院主管部门批准，可以视为允许类外商投资项目。
第十一条 对于确能发挥中西部地区优势的允许类和限制类外商投资项目，可以适当放宽条件；其中，列入《中西部地区外商投资优势产业目录》的，可以享受鼓励类外商投资项目优惠政策。
第十二条 根据现行审批权限，外商投资项目按照项目性质分别由发展计划部门和经贸部门审批、备案；外商投资企业的合同、章程由外经贸部门审批、备案。其中，限制类限额以下的外商投资项目由省、自治区、直辖市及计划单列市人民政府的相应主管部门审批，同时报上级主管部门和行业主管部门备案，此类项目的审批权不得下放。属于服务贸易领域逐步开放的外商投资项目，按照国家有关规定审批。
涉及配额、许可证的外商投资项目，须先向外经贸部门申请配额、许可证。
法律、行政法规对外商投资项目的审批程序和办法另有规定的，依照其规定。
第十三条 对违反本规定审批的外商投资项目，上级审批机关应当自收到该项目的备案文件之日起30个工作日内予以撤销，其合同、章程无效，企业登记机关不予注册登记，海关不予办理进出口手续。
第十四条 外商投资项目申请人以欺骗等不正当手段，骗取项目批准的，根据情节轻重，依法追究法律责任；审批机关应当撤销对该项目的批准，并由有关主管机关依法作出相应的处理。
第十五条 审批机关工作人员滥用职权、玩忽职守的，依照刑法关于滥用职权罪、玩忽职守罪的规定，依法追究刑事责任；尚不够刑事处罚的，依法给予记大过以上的行政处分。
第十六条 华侨和香港特别行政区、澳门特别行政区、台湾地区的投资者举办的投资项目，比照本规定执行。
第十七条 本规定自2002年4月1日起施行。1995年6月7日国务院批准，1995年6月20日国家计划委员会、国家经济贸易委员会、对外贸易经济合作部发布的《指导外商投资方向暂行规定》同时废止。
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.
