KYB CHINA(2016年10月8日国务院第149次常务会议通过 2016年11月30日中华人民共和国国务院令第673号公布 自2017年2月1日起施行)
(Adopted at the 149th Executive Meeting of the State Council on October 8, 2016, promulgated by Order No. 673 of the State Council of the People's Republic of China on November 30, 2016, and effective as of February 1, 2017)
为了规范政府对企业投资项目的核准和备案行为，加快转变政府的投资管理职能，落实企业投资自主权，制定本条例。
This Regulation is formulated to regulate the government's verification and filing of enterprise investment projects, accelerate the transformation of the government's investment management functions, and implement the autonomy of enterprises in investment.
本条例所称企业投资项目(以下简称项目)，是指企业在中国境内投资建设的固定资产投资项目。
For the purposes of this Regulation, "enterprise investment projects" (hereinafter referred to as "projects") refer to fixed asset investment projects invested and constructed by enterprises within the territory of China.
对关系国家安全、涉及全国重大生产力布局、战略性资源开发和重大公共利益等项目，实行核准管理。具体项目范围以及核准机关、核准权限依照政府核准的投资项目目录执行。政府核准的投资项目目录由国务院投资主管部门会同国务院有关部门提出，报国务院批准后实施，并适时调整。国务院另有规定的，依照其规定。
Projects involving national security, major national productivity layout, strategic resource development, and major public interests shall be subject to verification management. The specific scope of projects, as well as the verification authorities and their powers, shall be implemented in accordance with the Government-Verified Investment Project Catalog. The Government-Verified Investment Project Catalog shall be proposed by the investment competent department of the State Council together with relevant departments of the State Council, submitted to the State Council for approval before implementation, and adjusted as appropriate. Where the State Council provides otherwise, such provisions shall prevail.
对前款规定以外的项目，实行备案管理。除国务院另有规定的，实行备案管理的项目按照属地原则备案，备案机关及其权限由省、自治区、直辖市和计划单列市人民政府规定。
Projects other than those specified in the preceding paragraph shall be subject to filing management. Unless otherwise provided by the State Council, projects subject to filing management shall be filed in accordance with the principle of territorial jurisdiction, and the filing authorities and their powers shall be prescribed by the people's governments of provinces, autonomous regions, municipalities directly under the Central Government, and cities with independent planning status.
除涉及国家秘密的项目外，项目核准、备案通过国家建立的项目在线监管平台(以下简称在线平台)办理。
Except for projects involving state secrets, project verification and filing shall be handled through the national project online supervision platform (hereinafter referred to as the "online platform") established by the state.
核准机关、备案机关以及其他有关部门统一使用在线平台生成的项目代码办理相关手续。
Verification authorities, filing authorities, and other relevant departments shall uniformly use the project code generated by the online platform to handle relevant procedures.
国务院投资主管部门会同有关部门制定在线平台管理办法。
The investment competent department of the State Council shall, together with relevant departments, formulate measures for the management of the online platform.
核准机关、备案机关应当通过在线平台列明与项目有关的产业政策，公开项目核准的办理流程、办理时限等，并为企业提供相关咨询服务。
Verification authorities and filing authorities shall, through the online platform, list the industrial policies related to the project, disclose the processing procedures and time limits for project verification, and provide relevant consulting services to enterprises.
企业办理项目核准手续，应当向核准机关提交项目申请书；由国务院核准的项目，向国务院投资主管部门提交项目申请书。项目申请书应当包括下列内容：
When an enterprise handles project verification procedures, it shall submit a project application to the verification authority; for projects verified by the State Council, the application shall be submitted to the investment competent department of the State Council. The project application shall include the following contents:
(一)企业基本情况；
(1) Basic information of the enterprise;
(二)项目情况，包括项目名称、建设地点、建设规模、建设内容等；
(2) Project information, including project name, construction location, construction scale, construction content, etc.;
(三)项目利用资源情况分析以及对生态环境的影响分析；
(3) Analysis of the project's utilization of resources and its impact on the ecological environment;
(四)项目对经济和社会的影响分析。
(4) Analysis of the project's impact on the economy and society.
企业应当对项目申请书内容的真实性负责。
The enterprise shall be responsible for the authenticity of the contents of the project application.
法律、行政法规规定办理相关手续作为项目核准前置条件的，企业应当提交已经办理相关手续的证明文件。
Where laws or administrative regulations require the completion of relevant procedures as a precondition for project verification, the enterprise shall submit certification documents proving that such procedures have been completed.
项目申请书由企业自主组织编制，任何单位和个人不得强制企业委托中介服务机构编制项目申请书。
The project application shall be prepared independently by the enterprise. No unit or individual may compel the enterprise to entrust an intermediary service organization to prepare the project application.
核准机关应当制定并公布项目申请书示范文本，明确项目申请书编制要求。
The verification authority shall formulate and publish a model text for the project application, specifying the requirements for its preparation.
由国务院有关部门核准的项目，企业可以通过项目所在地省、自治区、直辖市和计划单列市人民政府有关部门(以下称地方人民政府有关部门)转送项目申请书，地方人民政府有关部门应当自收到项目申请书之日起5个工作日内转送核准机关。
For projects verified by relevant departments of the State Council, the enterprise may transmit the project application through the relevant departments of the people's government of the province, autonomous region, municipality directly under the Central Government, or city with independent planning status (hereinafter referred to as "local people's government departments"). The local people's government departments shall transmit the project application to the verification authority within 5 working days from the date of receipt.
由国务院核准的项目，企业通过地方人民政府有关部门转送项目申请书的，地方人民政府有关部门应当在前款规定的期限内将项目申请书转送国务院投资主管部门，由国务院投资主管部门审核后报国务院核准。
For projects verified by the State Council, if the enterprise transmits the project application through local people's government departments, the local people's government departments shall transmit the project application to the investment competent department of the State Council within the time limit specified in the preceding paragraph, and the investment competent department of the State Council shall review it and submit it to the State Council for verification.
核准机关应当从下列方面对项目进行审查：
The verification authority shall examine the project from the following aspects:
(一)是否危害经济安全、社会安全、生态安全等国家安全；
(1) Whether it endangers national security such as economic security, social security, and ecological security;
(二)是否符合相关发展建设规划、技术标准和产业政策；
(2) Whether it complies with relevant development and construction plans, technical standards, and industrial policies;
(三)是否合理开发并有效利用资源；
(3) Whether it rationally develops and effectively utilizes resources;
(四)是否对重大公共利益产生不利影响。
(4) Whether it adversely affects major public interests.
项目涉及有关部门或者项目所在地地方人民政府职责的，核准机关应当书面征求其意见，被征求意见单位应当及时书面回复。
If the project involves the functions of relevant departments or the local people's government at the project location, the verification authority shall seek their opinions in writing, and the consulted unit shall provide a written reply in a timely manner.
核准机关委托中介服务机构对项目进行评估的，应当明确评估重点；除项目情况复杂的，评估时限不得超过30个工作日。评估费用由核准机关承担。
If the verification authority entrusts an intermediary service organization to evaluate the project, it shall specify the key points of the evaluation; unless the project is complex, the evaluation time limit shall not exceed 30 working days. The evaluation fee shall be borne by the verification authority.
核准机关应当自受理申请之日起20个工作日内，作出是否予以核准的决定；项目情况复杂或者需要征求有关单位意见的，经本机关主要负责人批准，可以延长核准期限，但延长的期限不得超过40个工作日。核准机关委托中介服务机构对项目进行评估的，评估时间不计入核准期限。
The verification authority shall, within 20 working days from the date of accepting the application, make a decision on whether to grant verification; if the project is complex or requires soliciting opinions from relevant units, the verification period may be extended with the approval of the principal responsible person of the authority, but the extension shall not exceed 40 working days. If the verification authority entrusts an intermediary service organization to evaluate the project, the evaluation time shall not be counted in the verification period.
核准机关对项目予以核准的，应当向企业出具核准文件；不予核准的，应当书面通知企业并说明理由。由国务院核准的项目，由国务院投资主管部门根据国务院的决定向企业出具核准文件或者不予核准的书面通知。
If the verification authority approves the project, it shall issue a verification document to the enterprise; if it does not approve, it shall notify the enterprise in writing and state the reasons. For projects verified by the State Council, the investment competent department of the State Council shall issue a verification document or a written notice of disapproval to the enterprise based on the decision of the State Council.
企业拟变更已核准项目的建设地点，或者拟对建设规模、建设内容等作较大变更的，应当向核准机关提出变更申请。核准机关应当自受理申请之日起20个工作日内，作出是否同意变更的书面决定。
If an enterprise intends to change the construction location of a verified project, or intends to make significant changes to the construction scale, construction content, etc., it shall submit a change application to the verification authority. The verification authority shall, within 20 working days from the date of accepting the application, make a written decision on whether to agree to the change.
项目自核准机关作出予以核准决定或者同意变更决定之日起2年内未开工建设，需要延期开工建设的，企业应当在2年期限届满的30个工作日前，向核准机关申请延期开工建设。核准机关应当自受理申请之日起20个工作日内，作出是否同意延期开工建设的决定。开工建设只能延期一次，期限最长不得超过1年。国家对项目延期开工建设另有规定的，依照其规定。
If a project has not commenced construction within 2 years from the date of the verification authority's decision to approve or agree to the change, and an extension of construction commencement is needed, the enterprise shall apply to the verification authority for an extension of construction commencement within 30 working days before the expiration of the 2-year period. The verification authority shall, within 20 working days from the date of accepting the application, make a decision on whether to agree to the extension of construction commencement. Construction commencement may be extended only once, and the extension period shall not exceed 1 year at most. Where the state has other provisions on project extension of construction commencement, such provisions shall prevail.
实行备案管理的项目，企业应当在开工建设前通过在线平台将下列信息告知备案机关：
For projects subject to filing management, the enterprise shall, before commencing construction, inform the filing authority of the following information through the online platform:
(一)企业基本情况；
(1) Basic information of the enterprise;
(二)项目名称、建设地点、建设规模、建设内容；
(2) Project name, construction location, construction scale, and construction content;
(三)项目总投资额；
(3) Total investment amount of the project;
(四)项目符合产业政策的声明。
(4) A declaration that the project complies with industrial policies.
企业应当对备案项目信息的真实性负责。
The enterprise shall be responsible for the authenticity of the filed project information.
备案机关收到本条第一款规定的全部信息即为备案；企业告知的信息不齐全的，备案机关应当指导企业补正。
The filing authority shall deem the filing completed upon receipt of all the information specified in the first paragraph of this Article; if the information provided by the enterprise is incomplete, the filing authority shall guide the enterprise to supplement it.
企业需要备案证明的，可以要求备案机关出具或者通过在线平台自行打印。
If the enterprise needs a filing certificate, it may request the filing authority to issue one or print it by itself through the online platform.
已备案项目信息发生较大变更的，企业应当及时告知备案机关。
If the information of a filed project undergoes significant changes, the enterprise shall promptly inform the filing authority.
备案机关发现已备案项目属于产业政策禁止投资建设或者实行核准管理的，应当及时告知企业予以纠正或者依法办理核准手续，并通知有关部门。
If the filing authority discovers that a filed project falls under a category prohibited for investment and construction by industrial policies or is subject to verification management, it shall promptly inform the enterprise to make corrections or handle verification procedures according to law, and notify the relevant departments.
核准机关、备案机关以及依法对项目负有监督管理职责的其他有关部门应当加强事中事后监管，按照谁审批谁监管、谁主管谁监管的原则，落实监管责任，采取在线监测、现场核查等方式，加强对项目实施的监督检查。
Verification authorities, filing authorities, and other relevant departments legally responsible for supervision and management of projects shall strengthen interim and ex-post supervision, implement supervision responsibilities in accordance with the principle of "who approves, who supervises; who manages, who supervises," and strengthen inspection and supervision of project implementation through online monitoring, on-site inspections, and other means.
企业应当通过在线平台如实报送项目开工建设、建设进度、竣工的基本信息。
Enterprises shall truthfully report basic information on project construction commencement, construction progress, and completion through the online platform.
核准机关、备案机关以及依法对项目负有监督管理职责的其他有关部门应当建立项目信息共享机制，通过在线平台实现信息共享。
Verification authorities, filing authorities, and other relevant departments legally responsible for supervision and management of projects shall establish a project information sharing mechanism and achieve information sharing through the online platform.
企业在项目核准、备案以及项目实施中的违法行为及其处理信息，通过国家社会信用信息平台向社会公示。
Information on illegal acts and their handling in project verification, filing, and implementation by enterprises shall be publicly disclosed to society through the national social credit information platform.
实行核准管理的项目，企业未依照本条例规定办理核准手续开工建设或者未按照核准的建设地点、建设规模、建设内容等进行建设的，由核准机关责令停止建设或者责令停产，对企业处项目总投资额1‰以上5‰以下的罚款；对直接负责的主管人员和其他直接责任人员处2万元以上5万元以下的罚款，属于国家工作人员的，依法给予处分。
If an enterprise subject to verification management commences construction without handling verification procedures in accordance with this Regulation, or constructs not in accordance with the verified construction location, construction scale, construction content, etc., the verification authority shall order it to stop construction or suspend production, and impose a fine of not less than 1‰ but not more than 5‰ of the total project investment amount on the enterprise; and impose a fine of not less than 20,000 yuan but not more than 50,000 yuan on the directly responsible person in charge and other directly responsible persons; if they are state functionaries, they shall be given sanctions according to law.
以欺骗、贿赂等不正当手段取得项目核准文件，尚未开工建设的，由核准机关撤销核准文件，处项目总投资额1‰以上5‰以下的罚款；已经开工建设的，依照前款规定予以处罚；构成犯罪的，依法追究刑事责任。
If a project verification document is obtained by improper means such as fraud or bribery, and construction has not yet commenced, the verification authority shall revoke the verification document and impose a fine of not less than 1‰ but not more than 5‰ of the total project investment amount; if construction has already commenced, punishment shall be imposed in accordance with the preceding paragraph; if a crime is constituted, criminal liability shall be pursued according to law.
实行备案管理的项目，企业未依照本条例规定将项目信息或者已备案项目的信息变更情况告知备案机关，或者向备案机关提供虚假信息的，由备案机关责令限期改正；逾期不改正的，处2万元以上5万元以下的罚款。
If an enterprise subject to filing management fails to inform the filing authority of project information or changes to filed project information in accordance with this Regulation, or provides false information to the filing authority, the filing authority shall order it to make corrections within a specified period; if it fails to make corrections within the period, a fine of not less than 20,000 yuan but not more than 50,000 yuan shall be imposed.
企业投资建设产业政策禁止投资建设项目的，由县级以上人民政府投资主管部门责令停止建设或者责令停产并恢复原状，对企业处项目总投资额5‰以上10‰以下的罚款；对直接负责的主管人员和其他直接责任人员处5万元以上10万元以下的罚款，属于国家工作人员的，依法给予处分。法律、行政法规另有规定的，依照其规定。
If an enterprise invests in and constructs a project prohibited by industrial policies, the investment competent department of the people's government at or above the county level shall order it to stop construction or suspend production and restore the original state, and impose a fine of not less than 5‰ but not more than 10‰ of the total project investment amount on the enterprise; and impose a fine of not less than 50,000 yuan but not more than 100,000 yuan on the directly responsible person in charge and other directly responsible persons; if they are state functionaries, they shall be given sanctions according to law. Where laws or administrative regulations provide otherwise, such provisions shall prevail.
核准机关、备案机关及其工作人员在项目核准、备案工作中玩忽职守、滥用职权、徇私舞弊的，对负有责任的领导人员和直接责任人员依法给予处分；构成犯罪的，依法追究刑事责任。
If verification authorities, filing authorities, or their staff members neglect their duties, abuse their power, or engage in malpractice for personal gain in project verification and filing work, the responsible leaders and directly responsible persons shall be given sanctions according to law; if a crime is constituted, criminal liability shall be pursued according to law.
事业单位、社会团体等非企业组织在中国境内投资建设的固定资产投资项目适用本条例，但通过预算安排的固定资产投资项目除外。
This Regulation applies to fixed asset investment projects invested and constructed within the territory of China by non-enterprise organizations such as public institutions and social groups, except for fixed asset investment projects arranged through budgets.
国防科技工业企业在中国境内投资建设的固定资产投资项目核准和备案管理办法，由国务院国防科技工业管理部门根据本条例的原则另行制定。
Measures for the verification and filing of fixed asset investment projects invested and constructed within the territory of China by national defense science, technology, and industry enterprises shall be separately formulated by the national defense science, technology, and industry administrative department of the State Council in accordance with the principles of this Regulation.
本条例自2017年2月1日起施行。
This Regulation shall take effect as of February 1, 2017.