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Measures for the Administration of China (Shanghai) Pilot Free Trade Zone [Expired]
中国(上海)自由贸易试验区管理办法 [失效]
【法宝引证码】

Order of the Shanghai Municipal People's Government 

上海市人民政府令

(No. 7) (第7号)

The Measures for the Administration of the China (Shanghai) Pilot Free Trade Zone, as adopted at the 24th executive meeting of the Shanghai Municipal People's Government on September 22, 2013, are hereby issued, and shall come into force on October 1, 2013. 《中国(上海)自由贸易试验区管理办法》已经2013年9月22日市政府第24次常务会议通过,现予公布,自2013年10月1日起施行。
Mayor: Yang Xiong 市长 杨雄
September 29, 2013 2013年9月29日
Measures for the Administration of China (Shanghai) Pilot Free Trade Zone 中国(上海)自由贸易试验区管理办法
(Issued by Order No. 7 of the Shanghai Municipal People's Government on September 29, 2013) (2013年9月29日上海市人民政府令第7号公布)
Chapter I General Provisions 

第一章 总则

Article 1 (Purpose and Basis)   第一条 (目的和依据)
To boost the building of China (Shanghai) Pilot Free Trade Zone, these Measures are formulated in accordance with the Decision of the Standing Committee of the National People's Congress on Authorizing the State Council to Temporarily Adjust the Relevant Administrative Approval Items Prescribed in Laws in China (Shanghai) Pilot Free Trade Zone, the Framework Plan for China (Shanghai) Pilot Free Trade Zone, and other relevant laws and regulations. 为了推进中国(上海)自由贸易试验区建设,根据《全国人民代表大会常务委员会关于授权国务院在中国(上海)自由贸易试验区暂时调整有关法律规定的行政审批的决定》、《中国(上海)自由贸易试验区总体方案》和有关法律、法规,制定本办法。
Article 2 (Scope of Application)   第二条 (适用范围)
These Measures shall apply to China (Shanghai) Pilot Free Trade Zone (hereinafter referred to as “SHFTZ”) established with the approval of the State Council. SHFTZ covers Shanghai Waigaoqiao Free Trade Zone, Shanghai Waigaoqiao Bonded Logistics Park, Yangshan Free Trade Port Area, and Shanghai Pudong Airport Free Trade Zone, with a total area of 28.78 square kilometers. 本办法适用于经国务院批准设立的中国(上海)自由贸易试验区(以下简称“自贸试验区”)。自贸试验区涵盖上海外高桥保税区、上海外高桥保税物流园区、洋山保税港区和上海浦东机场综合保税区,总面积28.78平方公里。
Article 3 (Functions of SHFTZ)   第三条 (区域功能)
SHFTZ promotes the further opening-up of the service sector and the reform of the investment management system, facilitates trade transformation and upgrading, deepens the opening-up of the financial sector, innovates in the regulatory service mode, explores to establish an administrative management system compatible with the system of international investment and trade rules, builds an internationalized and regulated business environment, and plays a positive and exemplary role in serving the whole country. 自贸试验区推进服务业扩大开放和投资管理体制改革,推动贸易转型升级,深化金融领域开放,创新监管服务模式,探索建立与国际投资和贸易规则体系相适应的行政管理体系,培育国际化、法治化的营商环境,发挥示范带动、服务全国的积极作用。
Chapter II Management Organization 

第二章 管理机构

Article 4 (Management Organization)   第四条 (管理机构)
China (Shanghai) Free Trade Zone Management Committee (hereinafter referred to as the “SHFTZ Management Committee”) is established as an external agency of the Municipal Government to undertake the specific reform tasks of SHFTZ and plan, manage and coordinate administrative affairs related to SHFTZ. 本市成立中国(上海)自由贸易试验区管理委员会(以下简称“管委会”)。管委会为市政府派出机构,具体落实自贸试验区改革任务,统筹管理和协调自贸试验区有关行政事务。
The relevant departments of the Municipal Government and the district and county governments such as the Pudong New Area Government shall strengthen cooperation and support the work of the SHFTZ Management Committee. 市有关部门和浦东新区等区县政府应当加强协作,支持管委会的各项工作。
Article 5 (Functions of Management Organization)   第五条 (机构职责)
The SHFTZ Management Committee shall perform the following functions according to these Measures: 管委会依照本办法履行以下职责:
(1) Promoting and executing reform and pilot tasks in SHFTZ, researching, introducing and organizing the implementation of development plans, policies and measures for SHFTZ, and developing administrative management rules for SHFTZ. (一)负责推进落实自贸试验区各项改革试点任务,研究提出并组织实施自贸试验区发展规划和政策措施,制定自贸试验区有关行政管理制度。
(2) Conducting administrative management of investment, trade, financial services, urban planning and land, construction, landscaping and city image, environmental protection, labor and personnel affairs, food and drug regulation, intellectual property, culture, health, and statistics, among others, in SHFTZ. (二)负责自贸试验区内投资、贸易、金融服务、规划国土、建设、绿化市容、环境保护、劳动人事、食品药品监管、知识产权、文化、卫生、统计等方面的行政管理工作。
(3) Leading the administrative management work in SHFTZ of the industry and commerce, quality supervision, taxation, public security, and other departments and coordinating the administrative management work in SHFTZ of the customs, inspection and quarantine, maritime affairs, financial affairs, and other departments. (三)领导工商、质监、税务、公安等部门在自贸试验区内的行政管理工作;协调海关、检验检疫、海事、金融等部门在自贸试验区内的行政管理工作。
(4) Undertaking work related to security review and anti-monopoly review. (四)承担安全审查、反垄断审查相关工作。
(5) Conducting integrated law enforcement in SHFTZ and organizing agency law enforcement in SHFTZ in urban management, culture, and other fields. (五)负责自贸试验区内综合执法工作,组织开展自贸试验区内城市管理、文化等领域行政执法。
(6) Providing comprehensive services in SHFTZ, including guidance, advice, and services for enterprises and relevant institutions in SHFTZ. (六)负责自贸试验区内综合服务工作,为自贸试验区内企业和相关机构提供指导、咨询和服务。
(7) Conducting information technology development work in SHFTZ, organizing the establishment of the regulatory information sharing mechanism and platform in SHFTZ, and releasing public information in a timely manner. (七)负责自贸试验区内信息化建设工作,组织建立自贸试验区监管信息共享机制和平台,及时发布公共信息。
(8) Planning and guiding the industry distribution and the development and construction activities in SHFTZ and coordinating and promoting the construction of major investment projects in SHFTZ. (八)统筹指导自贸试验区内产业布局和开发建设活动,协调推进自贸试验区内重大投资项目建设。
(9) Other functions vested by the Municipal Government. (九)市政府赋予的其他职责。
The related administrative affairs formerly within the purview of the Shanghai Waigaoqiao Free Trade Zone Management Committee, the Yangshan Free Trade Port Area Management Committee, and the Shanghai Pudong Airport Free Trade Zone Management Committee respectively shall be all undertaken by the SHFTZ Management Committee. 原由上海外高桥保税区管理委员会、洋山保税港区管理委员会、上海综合保税区管理委员会分别负责的有关行政事务,统一由管委会承担。
Article 6 (Integrated Law Enforcement)   第六条 (综合执法)
The integrated law enforcement body of the SHFTZ Management Committee shall perform the following functions according to the law: 管委会综合执法机构依法履行以下职责:
(1) Exercising the integrated administrative punishment powers in the fields of urban management and culture, as well as administrative compulsory measure powers and administrative inspection powers associated with such administrative punishment powers. (一)集中行使城市管理领域、文化领域的行政处罚权,以及与行政处罚权有关的行政强制措施权和行政检查权。
(2) Exercising the integrated administrative punishment powers formerly exercised under the laws, administrative regulations and rules by the administrative departments of urban planning and land, construction, housing security and building, environmental protection, civil defense, human resources and social security, intellectual property, food and drug regulation, and statistics, as well as administrative compulsory measure powers and administrative inspection powers associated with such administrative punishment powers. (二)集中行使原由本市规划国土、建设、住房保障房屋管理、环境保护、民防、人力资源社会保障、知识产权、食品药品监管、统计部门依据法律、法规和规章行使的行政处罚权,以及与行政处罚权有关的行政强制措施权和行政检查权。
(3) Exercising other administrative punishment powers as decided by the Municipal Government. (三)市政府决定由管委会综合执法机构行使的其他行政处罚权。
Article 7 (One-Stop Service Places)   第七条 (集中服务场所)
The SHFTZ Management Committee shall, according to the distribution and demands of enterprises in SHFTZ, establish places for one-stop administrative services and management affairs. 管委会应当依据自贸试验区的区域布局和企业需求,设立集中办理行政服务和管理事项的场所。
Article 8 (Agency Offices in SHFTZ)   第八条 (驻区机构)
The administrative departments of customs, inspection and quarantine, maritime affairs, industry and commerce, quality supervision, taxation, and public security, among others, shall establish offices in SHFTZ to perform relevant regulatory and administrative functions in SHFTZ according to the law. 海关、检验检疫、海事、工商、质监、税务、公安等部门设立自贸试验区办事机构,依法履行自贸试验区有关监管和行政管理职责。
Article 9 (Other Administrative Affairs)   第九条 (其他行政事务)
The relevant departments of the Municipal Government and the Pudong New Area Government shall undertake other administrative affairs in SHFTZ according to their respective functions. 市有关部门和浦东新区政府按照各自职责,承担自贸试验区其他行政事务。
Chapter III Investment Management 

第三章 投资管理

Article 10 (Further Opening-up of Service Sector)   第十条 (服务业扩大开放)
SHFTZ shall, according to the Framework Plan for China (Shanghai) Pilot Free Trade Zone, further open up in the fields of financial services, shipping services, commerce and trade services, professional services, cultural services, and social services, among others, and suspend or remove market access restrictions such as qualification requirements for investors, shareholding ratio limitations, and restrictions on business scope. 自贸试验区根据《中国(上海)自由贸易试验区总体方案》,在金融服务、航运服务、商贸服务、专业服务、文化服务和社会服务等领域扩大开放,暂停或者取消投资者资质要求、股比限制、经营范围限制等准入限制措施。
SHFTZ shall, according to the implementation of pilot programs and the needs for industry development, continue to explore the fields for further opening up, the contents of pilot programs, and the corresponding innovations in rules. 自贸试验区根据先行先试推进情况以及产业发展需要,不断探索扩大开放的领域、试点内容及相应的制度创新措施。
Article 11 (Negative List Management Mode)   第十一条 (负面清单管理模式)
In SHFTZ, the pre-establishment national treatment and a special (negative list) management measure shall apply to foreign investment. 自贸试验区实行外商投资准入前国民待遇,实施外商投资准入特别管理措施(负面清单)管理模式。
In those fields outside of the special (negative list) management measure for foreign investment, the confirmation system for foreign investment projects shall be replaced with the recordation system under the principle of “equal treatment to investors both at home and abroad,” except for domestic investment projects which the State Council reserves the right to confirm; and the approval administration of contracts and bylaws of foreign-funded enterprises shall be replaced with recordation administration. 对外商投资准入特别管理措施(负面清单)之外的领域,按照内外资一致的原则,将外商投资项目由核准制改为备案制,但国务院规定对国内投资项目保留核准的除外;将外商投资企业合同章程审批改为备案管理。
The special (negative list) management measure for foreign investment in SHFTZ shall be published by the Municipal Government. The recordation measures for foreign investment projects and foreign-funded enterprises shall be developed by the Municipal Government. 自贸试验区外商投资准入特别管理措施(负面清单),由市政府公布。外商投资项目和外商投资企业备案办法,由市政府制定。
Article 12 (Recordation System for Overseas Investment)   第十二条 (境外投资备案制)
The recordation system shall primarily apply to the overseas establishments of enterprises in SHFTZ, and shall apply to ordinary overseas investment projects. 自贸试验区内企业到境外投资开办企业,实行以备案制为主的管理方式,对境外投资一般项目实行备案制。
The recordation measures for overseas establishments and overseas investment projects shall be developed by the Municipal Government. 境外投资开办企业和境外投资项目备案办法,由市政府制定。
Article 13 (Registration of Subscriptions to Registered Capital)   第十三条 (注册资本认缴登记制)
The registered capital subscriptions registration system shall apply in SHFTZ, under which the shareholders (or promoters) of a company independently agree on their respective subscriptions to registered capital, modes of contribution, periods of contribution, and other matters and record the same in the bylaws of the company, except as otherwise provided for by a law or administrative regulation regarding registration of registered capital of certain enterprises. 自贸试验区实行注册资本认缴登记制,公司股东(发起人)对其认缴出资额、出资方式、出资期限等自主约定并记载于公司章程,但法律、行政法规对特定企业注册资本登记另有规定的除外。
Shareholders (or promoters) shall be responsible for the veracity and legality of capital contributions and be liable to the company only with their subscriptions to registered capital or subscriptions to shares. 公司股东(发起人)对缴纳出资情况的真实性、合法性负责,并以其认缴的出资额或者认购的股份为限对公司承担责任。
Article 14 (Business License and Business Permit)   第十四条 (营业执照与经营许可)
An enterprise in SHFTZ may engage in general production and other business operations upon obtaining a business license; and, to engage in any production or other business operation which requires a permit, may apply to the competent authority for the permit after obtaining a business license. 自贸试验区内取得营业执照的企业即可从事一般生产经营活动;从事需要许可的生产经营活动的,可以在取得营业执照后,向主管部门申请办理。
Where any law or administrative regulation requires that the formation of an enterprise must be subject to approval, the approval formalities shall be undergone before the enterprise applies for a business license. 法律、行政法规规定设立企业必须报经批准的,应当在申请办理营业执照前依法办理批准手续。
Chapter IV Trade Development and Facilitation 

第四章 贸易发展和便利化

Article 15 (Transformation and Upgrading of Trade Mode)   第十五条 (贸易转型升级)
To actively develop the headquarters economy, SHFTZ encourages transnational companies to establish Asia-Pacific regional headquarters in SHFTZ, as well as operation centers integrating trade, logistics, settlement, and other functions. 自贸试验区积极发展总部经济,鼓励跨国公司在自贸试验区内设立亚太地区总部,建立整合贸易、物流、结算等功能的营运中心。
SHFTZ promotes the mode transformation and upgrading of basic business, such as international trade, warehousing and logistics, processing, and manufacturing, and develops new types of trade, such as offshore trade, international trade settlement, international bulk commodity trading, financial leasing, bonded delivery of futures, and cross-border e-commerce. 自贸试验区推动国际贸易、仓储物流、加工制造等基础业务转型升级,发展离岸贸易、国际贸易结算、国际大宗商品交易、融资租赁、期货保税交割、跨境电子商务等新型贸易业务。
Enterprises in SHFTZ are encouraged to develop international and domestic trade under an overall plan to realize the integrated development of domestic and foreign trade. 鼓励自贸试验区内企业统筹开展国际国内贸易,实现内外贸一体化发展。
Article 16 (Functions as a Shipping Hub)
......
   第十六条 (航运枢纽功能)
......

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