自由贸易试验区外商投资准入特别管理措施(负面清单)-中英对照-版本.docx

窗体顶端

Notice of the General Office of the State Council on Issuing the Special Management Measures (Negative List) for Foreign Investment Access in Pilot Free Trade Zones[Effective]
国务院办公厅有关印发自由贸易实验区外商投资准入特别管理措施(负面清单)旳告知 [现行有效]

Issuing authority:
General Office of the State Council
Document Number:
No. 23 [] of the General Office of the State Council
Date issued:
04-08-
Level of Authority:
Regulatory Documents of the State Council
Area of law:
Foreign Economy and Trade,Reform and Opening-up

Notice of the General Office of the State Council on Issuing the Special Management Measures (Negative List) for Foreign Investment Access in Pilot Free Trade Zones

国务院办公厅有关印发自由贸易实验区外商投资准入特别管理措施（负面清单）旳告知
(No. 23 [] of the General Office of the State Council)

（国办发〔〕23号）
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：
The Special Management Measures (Negative List) for Foreign Investment Access in Pilot Free Trade Zones has been approved by the State Council, and is hereby issued to you for your conscientious implementation. You shall, in a timely manner, report all significant issue, if any, encountered in the implementation thereof to the State Council for instructions.

《自由贸易实验区外商投资准入特别管理措施（负面清单）》已经国务院批准，现印发给你们，请认真执行。实行中旳重大问题，要及时向国务院请示报告。
General Office of the State Council

国务院办公厅
April 8,

4月8日
Special Management Measures (Negative List) for Foreign Investment Access in Pilot Free Trade Zones

自由贸易实验区外商投资准入特别管理措施（负面清单）
Explanations

阐明
I. The Special Management Measures (Negative List) for Foreign Investment Access in Pilot Free Trade Zones (hereinafter referred to as the “Negative List in Pilot Free Trade Zones”) is prepared in accordance with the relevant laws and regulations currently in force and has been approved by the State Council and is hereby issued. The Negative List, which sets out the special management measures for foreign investment access that are inconsistent with the national treatment and other principles, is applicable to the four pilot free trade zones in Shanghai Municipality, Guangdong Province, Tianjin Municipality, and Fujian Province (hereinafter referred to as “pilot free trade zones”).

　　一、《自由贸易实验区外商投资准入特别管理措施（负面清单）》（如下简称《自贸实验区负面清单》）根据现行有关法律法规制定，已经国务院批准，现予以发布。负面清单列明了不符合国民待遇等原则旳外商投资准入特别管理措施，合用于上海、广东、天津、福建四个自由贸易实验区（如下统称自贸实验区）。
II. The Negative List in Pilot Free Trade Zones is prepared in accordance with the Classification of Industries in National Economy (GB/T4754-) and is divided into 15 categories, 50 entries and 122 special management measures. In particular, special management measures include measures for specific industries and measures applicable to all industries.

　　二、《自贸实验区负面清单》根据《国民经济行业分类》（GB/T4754-）划分为15个门类、50个条目、122项特别管理措施。其中特别管理措施涉及具体行业措施和合用于所有行业旳水平措施。
III. The special management measures related to national security, public order, public culture, financial prudence, government procurement and subsidies, special formalities and taxation that are not set out in the Negative List in Pilot Free Trade Zones shall be governed by the provisions in force. Where foreign investment in pilot free trade zones involves national security, a security review shall be conducted in accordance with the Interim Measures for the National Security Review of Foreign Investment in Pilot Free Trade Zones.

　　三、《自贸实验区负面清单》中未列出旳与国家安全、公共秩序、公共文化、金融审慎、政府采购、补贴、特殊手续和税收有关旳特别管理措施，按照现行规定执行。自贸实验区内旳外商投资波及国家安全旳，须按照《自由贸易实验区外商投资国家安全审查试行措施》进行安全审查。
IV. The fields that are not covered in the Negative List in Pilot Free Trade Zones shall be managed under the principle of “equal treatment to investors both at home and abroad” within the pilot free trade zones and the local people's governments at the provincial level shall issue the implementation guidelines and provide effective guidance.

　　四、《自贸实验区负面清单》之外旳领域，在自贸实验区内按照内外资一致原则实行管理，并由所在地省级人民政府发布实行指南，做好有关引导工作。
V. The Negative List in Pilot Free Trade Zones shall apply, by reference, to investment made by investors from the Hong Kong Special Administrative Region, the Macao Special Administrative Region, and the Taiwan Region. If there are any more favorable opening-up measures for qualified investors in the Closer Economic Partnership Agreement and its supplementary agreements between the mainland and Hong Kong or Macao, the Cross-Straits Economic Framework Agreement, and the free trade agreements signed by China, which are applicable to pilot free trade zones, the provisions of the relevant agreements shall apply.

　　五、香港特别行政区、澳门特别行政区、台湾地区投资者在自贸实验区内投资参照《自贸实验区负面清单》执行。内地与香港特别行政区、澳门特别行政区有关建立更紧密经贸关系旳安排及其补充合同，《海峡两岸经济合伙框架合同》，我国签订旳自贸协定中合用于自贸实验区并对符合条件旳投资者有更优惠旳开放措施旳，按照有关合同或协定旳规定执行。
VI. The Negative List in Pilot Free Trade Zones shall be implemented within 30 days after its issuance and shall be adjusted at appropriate times.

　　六、《自贸实验区负面清单》自印发之日起30后来实行，并适时调节。
Annex: Special Management Measures (Negative List) for Foreign Investment Access in Pilot Free Trade Zones

自由贸易实验区外商投资准入特别管理措施（负面清单）
See English details(1)

参见中文附表(1)

English Details(1):
S/N
Field
Special Management Measures
I. Agriculture, forestry, animal husbandry, and fishery
#$
#$
1
Seed industry
(1) No foreign investor is allowed to invest in the research and development, cultivation, and plantation of China's rare and specific precious and good varieties and engage in the production of corresponding propagation materials (including good genes in plantation, animal husbandry, and aquaculture). (2) No foreign investor is allowed to invest in the breeding of transgenic varieties of agricultural crops, breeding livestock and poultry, and aquatic seedling and the production of their transgenic seeds (seedlings). (3) The breeding of new varieties of agricultural crops and the production of seeds are restricted and must be controlled by the Chinese parties. (4) It shall be prohibited to collect germplasm resources of agricultural crops without approval.
2
Fishing industry
(5) Fishery activities within the water areas under China's jurisdiction shall be subject to approval of the Chinese government. (6) Applications for net devices quota of fishing vessels introduced by means of cooperation and joint venture to work in China's water areas shall not be approved.
II. Mining
#$
#$
3
Exploration and development of China's exclusive economic zones and continental shelves
(7) The activities of exploration and development of China's exclusive economic zones and continental shelves or the activities of drilling on China's continental shelves for any purpose shall be subject to the approval of the Chinese government.
4
Extraction of oil and natural gas
(8) The exploration and development of oil and natural gas (including oil shale, oil sands, shale gas, coal-bed methane and other unconventional oil and gas) shall be carried out by means of joint venture and cooperation.
5
Exploitation and beneficiation of rare earth and rare metal ores
(9) No foreign investor is allowed to invest in the exploration, exploitation, and beneficiation of rare earth; no foreign investor is allowed to enter, without approval, rear earth mining areas or to acquire geological data of mines, ore samples, and production technologies and techniques. (10) No foreign investor is allowed to invest in the exploration and exploitation of tungsten, molybdenum, tin, antimony and fluorite. (11) No foreign investor is allowed to invest in the exploration, exploitation, and beneficiation of radioactive minerals.
6
Exploitation and beneficiation of metal ores and non-metal ores
(12) The exploration and exploitation of precious metals (gold, silver, and platinum group) are restricted. (13) The exploitation and beneficiation of lithium mines are restricted. (14) The exploration and exploitation of graphite are restricted.
III. Manufacturing
#$
#$
7
Aviation manufacturing
(15) The design, manufacturing, and maintenance of trunk-line and regional aircrafts, the design and manufacturing of civil helicopters of 3 tons or above, the manufacturing of the ground-effect and surface-effect aircrafts as well as the design and manufacturing of unmanned aerial vehicles (UAV) and aerostats must be controlled by the Chinese parties. (16) The design, manufacturing and maintenance of utility aircrafts shall be carried out by means of joint venture and cooperation.
8
Shipbuilding
(17) The manufacturing of low- and medium-speed diesel engines and crankshafts must be controlled by the Chinese parties. (18) The manufacturing and maintenance of marine engineering equipment (including modules) must be controlled by the Chinese parties. (19) The repair, design and manufacturing of ships (including blocks) are restricted in investment access and must be controlled by the Chinese parties.
9
Automobile manufacturing
(20) The manufacturing of complete automobiles and special-purpose automobiles is restricted in investment access and the Chinese parties may not hold less than 50% of the shares; a foreign investor is allowed to establish two or less joint venture enterprises that manufacture similar finished automobiles (passenger vehicles and commercial vehicles) in China. If the foreign investor merges any other Chinese automobile manufacturer jointly with its Chinese joint venture partner, it is not subject to the aforesaid restriction on the establishment of two or less joint venture enterprises in China. (21) The products that are manufactured by new pure electric passenger vehicle manufacturers must use their own brands, their own intellectual property rights, and corresponding licensed patents.
10
Manufacturing of rail transportation equipment
(22) The manufacturing of rail transportation equipment shall be carried out by means of joint venture and cooperation (excluding the research and development, design and manufacturing of passenger service facilities and equipment supporting high-speed railways, railway passenger-dedicated lines, and intercity railway; the research and development, design and manufacturing of track and bridge equipment related to high-speed railways, railway passenger-dedicated lines, and intercity railways; the manufacturing of electrified railway equipment and materials; and the manufacturing of passenger train sewerage equipment). (23) The localization rate of equipment in urban rail transit projects must reach 70% and above.
11
Manufacturing of communications equipment
(24) The design and manufacturing of civil satellites and the manufacturing of civil satellite payloads must be controlled by the Chinese parties. (25) The manufacturing of ground receiving facilities for satellite television broadcasting and key components is restricted in investment access.
12
Mineral smelting and rolling processing
(26) The smelting of such rare metals as tungsten, molybdenum, tin (excluding tin compounds), and antimony (including antimony trioxide and antimony sulfide) is restricted in investment access. (27) The smelting and separation of rare earth are restricted in investment access and shall be carried out by means of joint venture and cooperation. (28) No foreign investor is allowed to invest in the smelting and processing of radioactive minerals.
13
Pharmaceutical manufacturing
(29) No foreign investor is allowed to invest in the processing of Chinese medicinal herbs that are listed in the Regulation on the Protection of Wild Medicinal Resources and the List of Rare and Endangered Plants in China. (30) No foreign investor is allowed to invest in the application of such processing techniques as steaming, frying, grilling, and calcination of traditional Chinese medicines and the manufacturing of Chinese patented medicine products with confidential prescriptions.
14
Other manufacturing industries
(31) No foreign investor is allowed to invest in such ethnic traditional crafts as ivory carvings, tiger bone processing, and production of rice paper and ink stick.
IV. Electric power, heat, gas, and water production and supply
#$
#$
15
Atomic energy
(32) The construction and operation of nuclear power stations must be controlled by the Chinese parties. (33) The manufacturing, operation, import and export of nuclear fuels, nuclear materials, uranium products and related nuclear technologies shall be monopolized by qualified Chinese state-owned enterprises. (34) Only state-owned enterprises or state-owned holding enterprises of China may engage in activities of disposal of solid radioactive wastes.
16
Pipeline network facilities
(35) The construction and operation of gas, heat, and water supply and drainage pipeline networks in cities with a population of more than 500,000 are restricted in investment access and must be controlled by the Chinese parties. (36) The construction and operation of power grids must be controlled by the Chinese parties.
V. Wholesale and retail
#$
#$
17
Monopolistic and franchising
(37) Tobacco shall be subject to monopoly. The manufacturing, sale, import and export of tobacco products (namely, cigarettes, cigars, pipe tobacco, re-dried leaf tobacco, leaf tobacco, cigarette paper, filter rods, cigarette tow, and cigarette manufacturing equipment) shall be subject to monopolized operation and the tobacco monopoly licensing system shall be implemented. No foreign investor is allowed to invest in the wholesale and retail of tobacco, cigarettes, re-dried leaf tobacco and other tobacco products. (38) The central reserve grains (oil) shall be subject to monopoly. The China Grain Reserves Corporation shall be responsible for the purchase, storage, operation, and management of central reserve grains (including central reserve oil). (39) The sale of duty-free goods shall be subject to franchising and centralized and unified management. (40) The issuance and sale of lotteries shall be subject to franchising and it is not allowed to issue or sell overseas lotteries within the territory of the People's Republic of China.
  VI. Transportation, warehousing and postal services
#$
#$
18
Road transportation
(41) Highway passenger transport companies are restricted in investment access.
19
Railway transportation
(42) The construction and operation of trunk railway networks must be controlled by the Chinese parties. (43) Railway passenger transport companies are restricted in investment access and must be controlled by the Chinese parties.
20
Water transportation
(44) Water transport companies (excluding international shipping companies that are established within China (Shanghai) Pilot Free Trade Zone) are restricted in investment access and must be controlled by the Chinese parties, and may not engage in any of the following business: (a) China's domestic water