| Notice of the National Development and Reform Commission, the Ministry of Finance, the Ministry of Human Resources and Social Security and the State-owned Assets Supervision and Administration Commission on Issuing the Guiding Opinions on Encouraging and Regulating the Introduction of Non-State-owned Capital into Investment Projects of State-owned Enterprises | | 国家发展改革委、财政部、人力资源社会保障部、国资委关于印发《关于鼓励和规范国有企业投资项目引入非国有资本的指导意见》的通知 |
| The people's governments of all provinces, autonomous regions, and municipalities directly under the Central Government; all ministries and commissions of the State Council; and all institutions directly under the State Council: | | 各省、自治区、直辖市人民政府，国务院各部委、各直属机构： |
| With the approval of the State Council, the Guiding Opinions on Encouraging and Regulating the Introduction of Non-State-owned Capital into Investment Projects of State-owned Enterprises are hereby issued to you for you conscientious implementation based on the actual circumstances. | | 经国务院同意，现将《关于鼓励和规范国有企业投资项目引入非国有资本的指导意见》印发给你们，请结合实际认真贯彻执行。 |
| National Development and Reform Commission | | 国家发展改革委 |
| Ministry of Finance | | 财政部 |
| Ministry of Human Resources and Social Security | | 人力资源社会保障部 |
| State-Owned Assets Supervision and Administration Commission | | 国资委 |
| October 26, 2015 | | 2015年10月26日 |
| Guiding Opinions on Encouraging and Regulating the Introduction of Non-State-owned Capital into Investment Projects of State-owned Enterprises | | 关于鼓励和规范国有企业投资项目引入非国有资本的指导意见 |
| Introducing non-state-owned capital into investment projects of state-owned enterprises is an important task in deepening the reform of the state-owned enterprises, and an important path to develop mixed-ownership economy. For purposes of implementing the spirit of the 18th National Congress of the Communist Party of China (CPC) and the Third and Fourth Plenary Sessions of the 18th CPC Central Committee, and encouraging and regulating the introduction of non-state-owned capital into investment projects of state-owned enterprises, with the approval of the State Council, the following opinions are hereby offered based on the relevant laws and regulations. | | 国有企业投资项目引入非国有资本是深化国有企业改革的一项重要任务，是发展混合所有制经济的重要路径。为贯彻落实党的十八大和十八届三中、四中全会精神，鼓励和规范国有企业投资项目引入非国有资本，根据有关法律法规规定，经国务院同意，现提出以下意见。 |
| I. General requirements | | 一、总体要求 |
| (1)Overall requirements. Introducing non-state-owned capital into investment projects of state-owned enterprises is helpful to improve the structure of property in the investment projects of state-owned enterprises, and improve project management and efficiency of fund utilization; help magnify the functions, preserve and add value, and improve the competitiveness of state-owned capital; and help capital of all kinds of ownerships make up each other's deficiencies, promote each other and grow together. When non-state-owned capital holds or controls shares in investment projects of state-owned enterprises, it shall abide by the requirement of the market access negative list and the foreign investment negative list system | | （一）总体要求。国有企业投资项目引入非国有资本，要有利于改善国有企业投资项目的产权结构，提高项目的管理水平和资金使用效率；要有利于国有资本放大功能、保值增值、提高竞争力；要有利于各种所有制资本取长补短、相互促进、共同发展。非国有资本参股或控股国有企业投资项目，应当遵循实施市场准入负面清单和外商投资负面清单制度的要求。 |
| (2) Main Principles. The following principles shall be adhered to in introducing non-state-owned capital into investment projects of state-owned enterprises: | | （二）主要原则。推进国有企业投资项目引入非国有资本，要坚持以下原则： |
| Government guidance and market operation. Attracting capital and transforming mechanisms shall be organically combined, the law of markets shall be respected, government functions shall be transformed, and play shall be given to the decisive role of the market in allocating resources. | | 政府引导、市场运作。把引资本与转机制有机结合起来，尊重市场规律，转变政府职能，发挥市场在资源配置中的决定性作用。 |
| Equal rights and interests, and mutual development. Equal rights, equal opportunity and equal rules shall be guaranteed for state-owned capital and non-state-owned capital, and various ownership interests shall be indiscriminatingly protected by law, so as to truly realize sharing of risks and the achievements in reform and development. | | 权益对等、共同发展。保证国有资本和非国有资本权利平等、机会平等、规则平等，各类所有者权益同等受到法律保护，真正实现共担风险、共享改革发展成果。 |
| Compliance with the laws and regulations, openness and transparency. The relevant laws and regulations shall be strictly observed, the relevant procedures shall be satisfied, the openness of procedures, rules and results shall be ensured, and social supervision shall be strengthened, so as to effectively prevent black-box operation and loss of state-owned assets. | | 依法依规、公开透明。严格遵守有关法律法规，履行相关程序，确保程序公开、规则公开和结果公开，加强社会监督，切实防止暗箱操作和国有资产流失。 |
| Improving the system and optimizing the environment. The improvement of relevant systems and supporting policies shall be accelerated, outstanding conflicts shall be solved, and the regulated and orderly introduction of capital and a complete, scientific and regulated system featuring effective operation shall be ensured. | | 完善体制、优化环境。加快完善相关制度和配套政策，解决突出矛盾，确保引资工作规范有序进行，做到制度完备、科学规范、运行有效。 |
| II. Expanding fields for cooperation | | 二、拓宽合作领域 |
| (3) Advancing the introduction of non-state-owned capital into investment projects of state-owned enterprises by category. Non-state-owned capital shall be allowed to participate in investment projects of state-owned enterprises unless the access is expressly prohibited or restricted by the laws and regulations. Non-state-owned capital shall be supported in holding or controlling shares in commercial investment projects of state-owned enterprises of which the principal business is in the industry or field featuring full competition. In the case that the investment project of a commercial state-owned enterprise of which the principal business is in an important industry or key field relating to the national security or the lifelines of the national economy, or is to mainly undertake major special tasks, is in the field of natural monopoly, the project shall be solely owned or controlled by the state; and in the case that the project is of special business or competitive business, the business section shall be effectively separated, and in particular the competitive parts shall be gradually more opened up to non-state-owned capital. Non-state-owned capital shall be supported in holding or controlling shares in investment projects of state-owned enterprises in public welfare category. | | （三）分类推进国有企业投资项目引入非国有资本工作。允许非国有资本参与除法律法规明确禁止和限制准入以外的国有企业投资项目。对主业处于充分竞争行业和领域的商业类国有企业投资项目，支持非国有资本参股或控股。对主业处于关系国家安全、国民经济命脉的重要行业和关键领域、主要承担重大专项任务的商业类国有企业投资项目，属于自然垄断领域的实行国有独资或控股；属于特殊业务和竞争性业务的实行业务板块有效分离，其中竞争性环节逐步加大对非国有资本开放力度。对公益类国有企业的投资项目，支持非国有资本参股或控股。 |
| In respect of a field in which non-state-owned capital may be introduced, in the advancement of the introduction of non-state-owned capital to hold shares in the principal business of state-owned enterprises, non-principal business projects shall be encouraged to introduce non-state-owned capital to hold or control shares, and all business sections of state-owned enterprises shall be promoted in seeking development paths according to their own characteristics and patterns, so as to release the development vigor of state-owned enterprises to the maximum extent, and fully mine the internal growth potentials of state-owned enterprises. | | 对可以引入非国有资本的领域，在推进国有企业主业项目引入非国有资本参股的同时，鼓励非主业项目引入非国有资本参股或控股，推动国有企业各业务板块按照自身特点和规律寻求发展路径，最大限度释放国有企业发展活力，充分挖掘国有企业内在增长潜力。 |
| (4) Encouraging foreign-funded enterprises to hold shares in projects of state-owned enterprises. Foreign-funded enterprises shall, on the premise of compliance with the Catalog of Industries for Guiding Foreign Investment, the Administrative Measures for the Confirmation and Recordation of Foreign-Funded Projects, and other provisions, be encouraged to hold shares in the investment projects of state-owned enterprises. The pre-access national treatment plus negative list management mode shall be vigorously explored and the working mechanism of security review of foreign investment shall be improved so as to effectively prevent risks. Enterprises shall be encouraged, based on "heading overseas" and international cooperation in production capacity, to vigorously introduce foreign-funded enterprises to hold shares and attract foreign investment in the overseas investment of state-owned enterprises. | | （四）鼓励外资企业参股国有企业项目。在符合外商投资产业指导目录、外商投资项目核准和备案管理办法等规定的前提下，鼓励外资企业参股国有企业投资项目。积极探索准入前国民待遇加负面清单的管理模式，完善外商投资安全审查工作机制，有效防范风险。鼓励企业结合“走出去”和国际产能合作，积极引入外资企业参股，吸引外资进入国有企业在境外的投资项目。 |
(5) First fostering and promoting a group of exemplary projects in some fields. In the fields of petroleum, natural gas, hydropower, nuclear power, cross-regional electric transmission corridors, power distribution, regional main power grids, distributed generation grids and electric vehicle charging facilities, water conservancy facilities, basic telecommunications, establishment and operations of broadband access networks, construction of civil space facilities, railway projects, port and inland shipping facilities, airline hubs, principal airports, urban water and heating supply, sewage and waste treatment, and public transport, a group of exemplary projects conforming to industrial policies and helpful to transformation and upgrade shall be first promoted, and the introduction of non-state-owned capital into investment in accordance with the laws and regulations shall be encouraged.
．．．．．． | | （五）在部分领域率先培育推出一批示范项目。优先在石油、天然气、水电、核电、跨区输电通道、配电、区域主干电网、分布式电源并网和电动汽车充换电设施、水利设施、基础电信、宽带接入网络建设运营、民用空间设施建设、铁路项目、港口内河航运设施、枢纽机场、干线机场、城镇供水供热、污水垃圾处理、公共交通等领域，率先推出一批符合产业政策、有利于转型升级的示范项目，鼓励依法依规引入非国有资本投资。
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