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Order of the National Development and Reform Commission | | 国家发展和改革委员会令 |
| (No. 12) | | （第12号） |
| The Administrative Measures for the Confirmation and Recordation of Foreign-Funded Projects, as deliberated and adopted at the Director's Executive Meeting of the National Development and Reform Commission (“NDRC”), are hereby issued and shall come into force on June 17, 2014. The Interim Measures for the Administration of Confirmation of Foreign-Funded Projects (Order No. 22, NDRC) issued by the NDRC on October 9, 2004 shall be repealed concurrently. | | 《外商投资项目核准和备案管理办法》已经国家发展和改革委员会主任办公会讨论通过，现予发布，自2014年6月17日起施行。国家发展和改革委员会2004年10月9日发布的《外商投资项目核准暂行管理办法》（国家发展和改革委员会令第22号）同时废止。 |
| Director: Xu Shaoshi | | 主任：徐绍史 |
| May 17, 2014 | | 2014年5月17日 |
| Administrative Measures for the Confirmation and Recordation of Foreign-Funded Projects | | 外商投资项目核准和备案管理办法 |
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| Chapter I General Provisions | | 第一章 总则 |
| Article 1 To further deepen the reform of the foreign investment management system, these Measures are developed in accordance with the Administrative License Law of the People's Republic of China, the Provisions on Guiding the Direction of Foreign Investments, theDecision of the State Council on Reforming the Investment Systemand the Catalogue of Investment Projects Subject to Government Confirmation (2013 Version) (hereinafter referred to as the “Catalogue”). | | 第一条 为进一步深化外商投资管理体制改革，根据《中华人民共和国行政许可法》、《指导外商投资方向规定》、《国务院关于投资体制改革的决定》及《政府核准的投资项目目录（2013 年本）》（以下简称《核准目录》），特制定本办法。 |
| Article 2 These Measures shall apply to Chinese-foreign equity joint venture projects, Chinese-foreign contractual joint venture projects, wholly foreign-owned projects, foreign-funded partnership projects, projects of acquisition or merger of domestic enterprises by foreign investors, projects of capital increase or reinvestment of foreign-funded enterprises, and other foreign-funded projects. | | 第二条 本办法适用于中外合资、中外合作、外商独资、外商投资合伙、外商并购境内企业、外商投资企业增资及再投资项目等各类外商投资项目。 |
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| Chapter II Project Management Methods | | 第二章 项目管理方式 |
| Article 3 Foreign-funded projects shall be subject to management by two methods, namely, confirmation and recordation. | | 第三条 外商投资项目管理分为核准和备案两种方式。 |
| Article 4According to the Catalogue, the following foreign-funded projects shall be subject to the confirmation system: | | 第四条 根据《核准目录》，实行核准制的外商投资项目的范围为： |
| (1) The encouraged projects in the Catalogue of Industries for Guiding Foreign Investment with a total investment (including capital increase) of 300 million US dollars or more and requiring that the Chinese party has a controlling share (including having a comparatively controlling share) and the restricted projects (excluding real estate projects) in the same catalogue with a total investment (including capital increase) of 50 million US dollars or more shall be subject to confirmation by the NDRC. | | （一）《外商投资产业指导目录》中有中方控股（含相对控股）要求的总投资（含增资）3亿美元及以上鼓励类项目，总投资（含增资）5000 万美元及以上限制类（不含房地产）项目，由国家发展和改革委员会核准。 |
| (2) Real estate projects falling under the restricted category in theCatalogue of Industries for Guiding Foreign Investment and other restricted projects in the same catalogue with a total investment (including capital increase) of less than 50 million US dollars shall be subject to confirmation by provincial governments. The encouraged projects in theCatalogue of Industries for Guiding Foreign Investment with a total investment (including capital increase) of less than 300 million US dollars and requiring that the Chinese party has a controlling share (including having a comparatively controlling share) shall be subject to confirmation by local governments. | | （二）《外商投资产业指导目录》限制类中的房地产项目和总投资（含增资）5000万美元以下的其他限制类项目，由省级政府核准。《外商投资产业指导目录》中有中方控股（含相对控股）要求的总投资（含增资）3亿美元以下鼓励类项目，由地方政府核准。 |
| (3) The foreign-funded projects that are not covered by the preceding two paragraphs but listed in items (1) through (11) of the Catalogue shall be subject to confirmation according to items (1) through (11) of the Catalogue. | | （三）前两项规定之外的属于《核准目录》第一至十一项所列的外商投资项目，按照《核准目录》第一至十一项的规定核准。 |
| (4) The provincial government may, in light of actual local circumstances, determine the specific confirmation authority of local governments at all levels for the projects subject to confirmation by local governments. The authority of the provincial government to confirm projects shall not be delegated to the governments at lower levels. | | （四）由地方政府核准的项目，省级政府可以根据本地实际情况具体划分地方各级政府的核准权限。由省级政府核准的项目，核准权限不得下放。 |
| For the purposes of these Measures, “project confirmation authority” means the administrative authority which has the power to confirm projects as set forth in this Article. | | 本办法所称项目核准机关，是指本条规定具有项目核准权限的行政机关。 |
| Article 5 The foreign-funded projects other than those set forth in Article 4 of these Measures shall be subject to recordation with the competent investment departments of local governments. | | 第五条 本办法第四条范围以外的外商投资项目由地方政府投资主管部门备案。 |
| Article 6The total investment of a capital increase project of a foreign-funded enterprise shall be calculated at the amount of new investment, and the total investment of a merger or acquisition project shall be calculated at the turnover. | | 第六条 外商投资企业增资项目总投资以新增投资额计算，并购项目总投资以交易额计算。 |
| Article 7 Foreign-funded projects involving national security shall undergo security review according to the relevant provisions of the state. | | 第七条 外商投资涉及国家安全的，应当按照国家有关规定进行安全审查。 |
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| Chapter III Project Confirmation | | 第三章 项目核准 |
| Article 8 For a foreign-funded project to be subject to confirmation upon application, a project application report shall be prepared according to the relevant requirements of the state. The project application report shall cover: | | 第八条 拟申请核准的外商投资项目应按国家有关要求编制项目申请报告。项目申请报告应包括以下内容： |
| (1) information on the project and investor; | | （一）项目及投资方情况； |
| (2) analysis of resource utilization and ecological environment impact; and | | （二）资源利用和生态环境影响分析； |
| (3) analysis of economic and social impact. | | （三）经济和社会影响分析。 |
| The application report on the merger or acquisition of a domestic enterprise by a foreign investor shall include the information on the merging or acquiring party, merger or acquisition arrangement, financing plan and the information on the merged or acquired party, the business operation mode, scope and equity structure after merger or acquisition, and the arrangement on the use of income obtained, among others. | | 外国投资者并购境内企业项目申请报告应包括并购方情况、并购安排、融资方案和被并购方情况、被并购后经营方式、范围和股权结构、所得收入的使用安排等。 |
| Article 9 The NDRC shall, according to actual requirements, prepare and issue the general text of project application reports, model text of application reports on projects in major industries, and the format text of project confirmation documents. | | 第九条 国家发展和改革委员会根据实际需要，编制并颁布项目申请报告通用文本、主要行业的项目申请报告示范文本、项目核准文件格式文本。 |
| For the projects subject to confirmation by the NDRC or subject to confirmation by the State Council after having been reviewed by the NDRC, the NDRC shall develop and issue the Service Guide, listing the application materials for project confirmation, required annexes, acceptance method, handling procedures, handling time limit and other contents, and provide guidance and service for project applicants. | | 对于应当由国家发展和改革委员会核准或者审核后报国务院核准的项目，国家发展和改革委员会制定并颁布《服务指南》，列明项目核准的申报材料和所需附件、受理方式、办理流程、办理时限等内容，为项目申报单位提供指导和服务。 |
| Article 10 A project application report shall be accompanied by the following documents: | | 第十条 项目申请报告应附以下文件： |
| (1) Certification materials of enterprise registration of both Chinese and foreign investors, the latest audited financial statements of the enterprises (including balance sheets, income statements and cash flow statements), and capital credit certificates issued by the bank of deposit. | | （一）中外投资各方的企业注册证明材料及经审计的最新企业财务报表（包括资产负债表、利润表和现金流量表）、开户银行出具的资金信用证明； |
| (2) A letter of intent and, for a project of capital increase, merger, or acquisition, a resolution of the board of directors. | | （二）投资意向书，增资、并购项目的公司董事会决议； |
| (3) A site-selection proposal issued by the urban and rural planning administrative department (only applicable to a project on which the right to use state-owned land is provided by assignment). | | （三）城乡规划行政主管部门出具的选址意见书（仅指以划拨方式提供国有土地使用权的项目）； |
| (4) Preliminary examination opinions on land use issued by the administrative department of land and resources (if no new land use is involved, the preliminary examination of land use is not required for a reconstruction or expansion project within the scope of approved construction land). | | （四）国土资源行政主管部门出具的用地预审意见（不涉及新增用地，在已批准的建设用地范围内进行改扩建的项目，可以不进行用地预审）； |
| (5) Approval documents on the environment assessment impact issued by the environmental protection administrative department. | | （五）环境保护行政主管部门出具的环境影响评价审批文件； |
| (6) Examination opinions on energy conservation issued by the energy conservation examination authority. | | （六）节能审查机关出具的节能审查意见； |
| (7) A confirmation document issued by the relevant competent department, if capital contribution is made with state-owned assets. | | （七）以国有资产出资的，需由有关主管部门出具的确认文件； |
| (8) Other documents that shall be submitted in accordance with the provisions of relevant laws and regulations. | | （八）根据有关法律法规的规定应当提交的其他文件。 |
Article 11 Where a project is subject to confirmation by the NDRC according to the confirmation authority, the provincial development and reform department at the place where the project is located shall, after putting forward preliminary examination opinions, submit a project application report to the NDRC. An enterprise group under separate state planning or a central enterprise may submit directly to the NDRC a project application report accompanied by the opinions of the provincial development and reform department at the place where the project is located.
．．．．．． | | 第十一条 按核准权限属于国家发展和改革委员会核准的项目，由项目所在地省级发展改革部门提出初审意见后，向国家发展和改革委员会报送项目申请报告；计划单列企业集团和中央管理企业可直接向国家发展和改革委员会报送项目申请报告，并附项目所在地省级发展改革部门的意见。
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