KYB CHINA(2002年2月11日中华人民共和国国务院令第346号公布 自2002年4月1日起施行)
(Promulgated by Decree No. 346 of the State Council of the People's Republic of China on February 11, 2002, and effective as of April 1, 2002)
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。
These Provisions are formulated in order to guide the direction of foreign investment, to align the direction of foreign investment with China's national economic and social development plans, and to facilitate the protection of the legitimate rights and interests of investors, in accordance with the relevant laws and regulations of the State on foreign investment and the requirements of industrial policies.
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)。
These Provisions apply to projects invested in and established within the territory of China in the form of Sino-foreign equity joint ventures, Sino-foreign contractual joint ventures, and wholly foreign-owned enterprises (hereinafter referred to as foreign-invested enterprises) and other forms of foreign-invested projects (hereinafter referred to as foreign-invested projects).
《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。
The Guiding Catalogue of Industries for Foreign Investment and the Catalogue of Advantageous Industries for Foreign Investment in Central and Western China shall be formulated by the State Development Planning Commission, the State Economic and Trade Commission, and the Ministry of Foreign Trade and Economic Cooperation jointly with the relevant departments of the State Council, and shall be published after approval by the State Council; when partial adjustments to the Guiding Catalogue of Industries for Foreign Investment and the Catalogue of Advantageous Industries for Foreign Investment in Central and Western China are necessary due to actual circumstances, the State Economic and Trade Commission, the State Development Planning Commission, and the Ministry of Foreign Trade and Economic Cooperation shall jointly with the relevant departments of the State Council make timely revisions and publish them.
《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。
The Guiding Catalogue of Industries for Foreign Investment and the Catalogue of Advantageous Industries for Foreign Investment in Central and Western China are the basis for guiding the approval of foreign-invested projects and the application of relevant policies by foreign-invested enterprises.
外商投资项目分为鼓励、允许、限制和禁止四类。
Foreign-invested projects are divided into four categories: encouraged, permitted, restricted, and prohibited.
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》。
Foreign-invested projects in the encouraged, restricted, and prohibited categories are listed in the Guiding Catalogue of Industries for Foreign Investment. Foreign-invested projects that do not fall into the encouraged, restricted, or prohibited categories are permitted foreign-invested projects. Permitted foreign-invested projects are not listed in the Guiding Catalogue of Industries for Foreign Investment.
属于下列情形之一的，列为鼓励类外商投资项目：
Foreign-invested projects falling under any of the following circumstances are classified as encouraged:
(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；
(1) Those belonging to new agricultural technologies, comprehensive agricultural development, and energy, transportation, and important raw material industries;
(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；
(2) Those belonging to high and new technologies or advanced applicable technologies that can improve product performance, enhance the technical and economic benefits of enterprises, or produce new equipment or new materials for which domestic production capacity is insufficient;
(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；
(3) Those that meet market demand, can upgrade product grades, open up new markets, or increase the international competitiveness of products;
(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；
(4) Those belonging to new technologies or new equipment that can save energy and raw materials, comprehensively utilize resources and renewable resources, and prevent and control environmental pollution;
(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；
(5) Those that can leverage the human and resource advantages of the central and western regions and comply with national industrial policies;
(六)法律、行政法规规定的其他情形。
(6) Other circumstances as provided by laws and administrative regulations.
属于下列情形之一的，列为限制类外商投资项目：
Foreign-invested projects falling under any of the following circumstances are classified as restricted:
(一)技术水平落后的；
(1) Those with backward technology;
(二)不利于节约资源和改善生态环境的；
(2) Those that are not conducive to resource conservation and improvement of the ecological environment;
(三)从事国家规定实行保护性开采的特定矿种勘探、开采的；
(3) Those engaged in the exploration and mining of specific mineral resources that the State stipulates shall be subject to protective mining;
(四)属于国家逐步开放的产业的；
(4) Those belonging to industries that the State is gradually opening up;
(五)法律、行政法规规定的其他情形。
(5) Other circumstances as provided by laws and administrative regulations.
属于下列情形之一的，列为禁止类外商投资项目：
Foreign-invested projects falling under any of the following circumstances are classified as prohibited:
(一)危害国家安全或者损害社会公共利益的；
(1) Those that endanger national security or harm the public interest;
(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；
(2) Those that cause pollution damage to the environment, destroy natural resources, or harm human health;
(三)占用大量耕地，不利于保护、开发土地资源的；
(3) Those that occupy large amounts of arable land and are not conducive to the protection and development of land resources;
(四)危害军事设施安全和使用效能的；
(4) Those that endanger the safety and effectiveness of military facilities;
(五)运用我国特有工艺或者技术生产产品的；
(5) Those that use unique Chinese techniques or technologies to produce products;
(六)法律、行政法规规定的其他情形。
(6) Other circumstances as provided by laws and administrative regulations.
《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”。
The Guiding Catalogue of Industries for Foreign Investment may stipulate that foreign-invested projects are 'limited to equity joint ventures or contractual joint ventures,' 'Chinese-controlled,' or 'Chinese relatively controlled.'
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。
'Limited to equity joint ventures or contractual joint ventures' means that only Sino-foreign equity joint ventures or Sino-foreign contractual joint ventures are permitted; 'Chinese-controlled' means that the total investment proportion of Chinese investors in the foreign-invested project is 51% or more; 'Chinese relatively controlled' means that the total investment proportion of Chinese investors in the foreign-invested project is greater than the investment proportion of any single foreign investor.
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。
In addition to enjoying preferential treatment in accordance with relevant laws and administrative regulations, encouraged foreign-invested projects that are engaged in the construction and operation of energy, transportation, and urban infrastructure (such as coal, oil, natural gas, electricity, railways, highways, ports, airports, urban roads, sewage treatment, waste treatment, etc.) with large investment amounts and long payback periods may, upon approval, expand their related business scope.
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。
Permitted foreign-invested projects whose products are all directly exported shall be regarded as encouraged foreign-invested projects; restricted foreign-invested projects whose product export sales account for 70% or more of their total product sales may, upon approval by the people's government of the province, autonomous region, municipality directly under the Central Government, or city with independent planning status, or by the competent department of the State Council, be regarded as permitted foreign-invested projects.
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。
For permitted and restricted foreign-invested projects that can indeed leverage the advantages of the central and western regions, conditions may be appropriately relaxed; among them, those listed in the Catalogue of Advantageous Industries for Foreign Investment in Central and Western China may enjoy the preferential policies applicable to encouraged foreign-invested projects.
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。
In accordance with the current approval authority, foreign-invested projects shall be approved or filed by the development planning department and the economic and trade department respectively according to the nature of the project; the contracts and articles of association of foreign-invested enterprises shall be approved or filed by the foreign trade and economic cooperation department. Among them, restricted foreign-invested projects below the quota limit shall be approved by the corresponding competent department of the people's government of the province, autonomous region, municipality directly under the Central Government, or city with independent planning status, and shall be filed with the superior competent department and the industry competent department at the same time; the approval authority for such projects shall not be delegated. Foreign-invested projects in the service trade sector that are gradually opened up shall be approved in accordance with relevant State regulations.
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。
Foreign-invested projects involving quotas or licenses must first apply to the foreign trade and economic cooperation department for quotas or licenses.
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。
Where laws or administrative regulations provide otherwise for the approval procedures and methods of foreign-invested projects, those provisions shall prevail.
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。
For foreign-invested projects approved in violation of these Provisions, the superior approval authority shall revoke the approval within 30 working days from the date of receipt of the project's filing documents; the contracts and articles of association shall be invalid, the enterprise registration authority shall not register the enterprise, and the customs shall not handle import and export procedures.
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。
If an applicant for a foreign-invested project obtains project approval by fraudulent or other improper means, legal liability shall be pursued according to the severity of the circumstances; the approval authority shall revoke the approval of the project, and the relevant competent authority shall make corresponding handling in accordance with the law.
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。
If staff members of the approval authority abuse their power or neglect their duties, criminal liability shall be pursued in accordance with the provisions of the Criminal Law on the crime of abuse of power and the crime of neglect of duty; if the conduct does not constitute a criminal offense, administrative sanctions of a demerit of a major demerit or above shall be imposed in accordance with the law.
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。
Projects invested by investors from overseas Chinese, the Hong Kong Special Administrative Region, the Macao Special Administrative Region, and the Taiwan region shall be handled by reference to these Provisions.
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。
These Provisions shall come into effect as of April 1, 2002. The Interim Provisions on Guiding the Direction of Foreign Investment, 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 simultaneously abolished.