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Order of the National Development and Reform Commission | | 国家发展和改革委员会令 |
| (No. 9) | | （第9号） |
| The Measures for the Administration of Confirmation and Recordation of Overseas Investment Projects, as deliberated and adopted at the Director's Executive Meeting of the National Development and Reform Commission, are hereby issued and shall come into force on May 1, 2014. The Interim Measures for the Administration of Confirmation of Overseas Investment Projects (Order No. 21, NDRC) issued by the National Development and Reform Commission in October 2004 shall be repealed concurrently. | | 《境外投资项目核准和备案管理办法》业经国家发展改革委主任办公会讨论通过，现予以发布，并于2014年5月8日起施行。我委2004年10月发布的《境外投资项目核准暂行管理办法》（国家发展改革委第21号令）同时废止。 |
| Director : Xu Shaoshi | | 主任：徐绍史 |
| April 8, 2014 | | 2014年4月8日 |
| Measures for the Administration of Confirmation and Recordation of Overseas Investment Projects | | 境外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 These Measures are developed in accordance with the Administrative Licensing Law of the People's Republic of China, the Decision of the State Council on Reforming the Investment System and the Decision of the State Council on Establishing Administrative License for Administrative Examination and Approval Items Really Necessary to Be Retained | | 第一条 为促进和规范境外投资，加快境外投资管理职能转变，根据《中华人民共和国行政许可法》、《国务院关于投资体制改革的决定》和《国务院对确需保留的行政审批项目设定行政许可的决定》，特制定本办法。 |
| Article 2 These Measures shall apply to overseas investment projects launched by various legal persons (hereinafter referred to as “investors”) within the territory of the People's Republic of China through new establishment, mergers & acquisitions, stock purchase, capital increase and capital injection, among others, and overseas investment projects launched by the investors via their overseas enterprises or institutions by means of providing financing or guarantees. | | 第二条 本办法适用于中华人民共和国境内各类法人（以下简称“投资主体”）以新建、并购、参股、增资和注资等方式进行的境外投资项目，以及投资主体以提供融资或担保等方式通过其境外企业或机构实施的境外投资项目。 |
| Article 3 For the purpose of these Measures, “overseas investment projects” means activities under which investors obtain overseas ownerships, operation and management rights, and other related rights and interests by contributing assets and rights and interests including cash, negotiable securities, in kind, intellectual property or technologies, stock rights, and creditor's rights or by providing guarantees. | | 第三条 本办法所称境外投资项目是指投资主体通过投入货币、有价证券、实物、知识产权或技术、股权、债权等资产和权益或提供担保，获得境外所有权、经营管理权及其他相关权益的活动。 |
| Article 4 For the purpose of these Measures, “amount of Chinese investment” means the total amount of the assets and rights and interests, including cash, negotiable securities, in kind, intellectual property or technologies, stock rights and creditor's rights, and guarantees that an investor has contributed to or provided for an overseas investment project. | | 第四条 本办法所称中方投资额是指投资主体为境外投资项目投入的货币、有价证券、实物、知识产权或技术、股权、债权等资产和权益或提供担保的总额。 |
| Article 5 The state shall subject overseas investment projects to confirmation or recordation administration according to different circumstances. | | 第五条 国家根据不同情况对境外投资项目分别实行核准和备案管理。 |
| Article 6 The National Development and Reform Commission (“NDRC”) shall, in conjunction with the relevant departments, strengthen the macro and investment guidance to and comprehensive services for overseas investments of enterprises and, through multilateral and bilateral investment cooperation and dialogue mechanism, actively create a favorable external environment for investors to launch overseas investment projects. | | 第六条 国家发展和改革委员会（以下简称“国家发展改革委”）会同有关部门加强对企业境外投资的宏观指导、投向引导和综合服务，并通过多双边投资合作和对话机制，为投资主体实施境外投资项目积极创造有利的外部环境。 |
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| Chapter II Confirmation and Recordation Authorities and Their Powers | | 第二章 核准和备案机关及权限 |
| Article 7 An overseas investment project with the amount of Chinese investment of 1 billion USD or above shall be subject to confirmation by the NDRC. Overseas investment projects involving sensitive countries and regions or sensitive industries shall be subject to confirmation by the NDRC, regardless of the limit of investment. In particular, an overseas investment project with the amount of Chinese investment of 2 billion USD or above and involving any sensitive country or region or sensitive industry shall be subject to an examination opinion of the NDRC before being reported to the State Council for confirmation. | | 第七条 中方投资额10亿美元及以上的境外投资项目，由国家发展改革委核准。涉及敏感国家和地区、敏感行业的境外投资项目不分限额，由国家发展改革委核准。其中，中方投资额20 亿美元及以上，并涉及敏感国家和地区、敏感行业的境外投资项目，由国家发展改革委提出审核意见报国务院核准。 |
| “Sensitive countries and regions” as mentioned in these Measures include the countries without a diplomatic relation with China or subject to international sanctions, and countries and regions in war or turmoil. | | 本办法所称敏感国家和地区包括：未建交和受国际制裁的国家，发生战争、内乱等国家和地区。 |
| “Sensitive industries” as mentioned in these Measures include basic telecommunication operation, development and utilization of cross-border water resources, large-scale land development, electric mains, power grids, news media, and other industries. | | 本办法所称敏感行业包括：基础电信运营，跨境水资源开发利用，大规模土地开发，输电干线、电网，新闻传媒等行业。 |
| Article 8 Overseas investment projects other than those prescribed in Article 7 of these Measures shall be subject to recordation administration. Among them, overseas investment projects launched by central enterprises, and overseas investment projects with the amount of Chinese investment of 300 million USD or above that are launched by local enterprises shall be subject to recordation with the NDRC. Overseas investment projects with the amount of Chinese investment of less than 300 million USD that are launched by local enterprises shall be subject to recordation with the competent investment departments of provincial governments in provinces, autonomous regions, municipalities directly under the Central Government, cities under separate state planning and Xinjiang Production and Construction Corps. | | 第八条 本办法第七条规定之外的境外投资项目实行备案管理。其中，中央管理企业实施的境外投资项目、地方企业实施的中方投资额3亿美元及以上境外投资项目，由国家发展改革委备案；地方企业实施的中方投资额3亿美元以下境外投资项目，由各省、自治区、直辖市及计划单列市和新疆生产建设兵团等省级政府投资主管部门备案。 |
| Article 9 Where the preliminary work for an overseas investment project has a long period and requires large-scale upfront fees (including performance bonds, commission charges for letters of guarantee, brokerage fees, and resource exploration fees, among others), according to the requirements of the current foreign exchange administration provisions, the investor may apply for confirmation or recordation of the project upfront fees in accordance with Article 7 or 8 of these Measures. The confirmed or recorded project upfront fees shall be included in the amount of Chinese investment in the project. | | 第九条 对于境外投资项目前期工作周期长、所需前期费用（包括履约保证金、保函手续费、中介服务费、资源勘探费等）规模较大的，根据现行外汇管理规定的需要，投资主体可参照本办法第七、八条规定对项目前期费用申请核准或备案。经核准或备案的项目前期费用计入项目中方投资额。 |
| Article 10 For an overseas acquisition or bidding project with the amount of Chinese investment of 300 million USD or above, the investor shall, before carrying out substantive work with a foreign party, submit a project information report to the NDRC. The NDRC shall, upon receipt of the project information report, issue a confirmation letter within seven working days if the project conforms to the national overseas investment policies. The format text of project information reports shall be released by the NDRC. | | 第十条 中方投资额3亿美元及以上的境外收购或竞标项目，投资主体在对外开展实质性工作之前，应向国家发展改革委报送项目信息报告。国家发展改革委收到项目信息报告后，对符合国家境外投资政策的项目，在7个工作日内出具确认函。项目信息报告格式文本由国家发展改革委发布。 |
| For the purpose of these Measures, “overseas acquisition project” refers to a project under which the investor acquires all or part of the stock rights, assets or other rights and interests of an overseas enterprise through an agreement or offer. “Overseas bidding project” refers to a project under which the investor acquires all or part of the stock rights, assets or other rights and interests of an overseas enterprise through participating in public or private overseas competitive bidding. | | 本办法所称境外收购项目，是指投资主体以协议、要约等方式收购境外企业全部或者部分股权、资产或其它权益的项目。境外竞标项目，是指投资主体参与境外公开或不公开的竞争性投标等方式获得境外企业全部或者部分股权、资产或其它权益的项目。 |
For the purpose of these Measures, “carrying out substantive work with a foreign party” means entering into a binding agreement with a foreign party, making a binding offer to a foreign party and filing an application with the examination authority of the government of the country or region of the counterparty in the case of an overseas acquisition project, and means overseas formal bidding in the case of an overseas bidding project.
．．．．．． | | 本办法所称对外开展实质性工作，境外收购项目是指对外签署约束性协议、提出约束性报价及向对方国家或地区政府审查部门提出申请，境外竞标项目是指对外正式投标。
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