1、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 ZonesEffective 国务院办公厅关于印发自由贸易试验区外商投资准入特别管理措施(负面清单) 的通知 现行有效Issuing authority: General Office of the State Council Document Number: No. 23 201
2、5 of the General Office of the State CouncilDate issued: 04-08-2015 Level of Authority: Regulatory Documents of the State CouncilArea of law: Foreign Economy and Trade,Reform and Opening-upNotice of the General Office of the State Council on Issuing the Special Management Measures (Negative List) fo
3、r Foreign Investment Access in Pilot Free Trade Zones国务院办公厅关于印发自由贸易试验区外商投资准入特别管理措施（负面清单）的通知(No. 23 2015 of the General Office of the State Council) （国办发2015 23 号）The peoples governments of all provinces, autonomous regions, and municipalities directly under the Central Government; all ministries and
4、 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 co
5、nscientious implementation. You shall, in a timely manner, report all significant issue, if any, encountered in the implementation thereof to the State Council for instructions.自由贸易试验区外商投资准入特别管理措施（负面清单）已经国务院同意，现印发给你们，请认真执行。实施中的重大问题，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, 2015
6、2015 年 4 月 8 日Special Management Measures (Negative List) for Foreign Investment Access in Pilot Free Trade Zones 自由贸易试验区外商投资准入特别管理措施（负面清单）Explanations 说明I. The Special Management Measures (Negative List) for Foreign Investment Access in Pilot Free Trade Zones (hereinafter referred to as the “Negati
7、ve 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, 一、自由贸易试验区外商投资准入特别管理措施（负面清单）（以下简称自贸试验区负面清单）依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which sets out t
8、he 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 “p
9、ilot free trade zones”).民待遇等原则的外商投资准入特别管理措施，适用于上海、广东、天津、福建四个自由贸易试验区（以下统称自贸试验区）。II. The Negative List in Pilot Free Trade Zones is prepared in accordance with the Classification of Industries in National Economy (GB/T4754-2011) and is divided into 15 categories, 50 entries and 122 special management
10、measures. In particular, special management measures include measures for specific industries and measures applicable to all industries.二、自贸试验区负面清单依据国民经济行业分类（GB/T4754-2011）划分为 15 个门类、50 个条目、122 项特别管理措施。其中特别管理措施包括具体行业措施和适用于所有行业的水平措施。III. The special management measures related to national security, p
11、ublic 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 nation
12、al 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、自贸试验区负面清单中未列出的与国家安全、公共秩序、公共文化、金融审慎、政府采购、补贴、特殊手续和税收相关的特别管理措施，按照现行规定执行。自贸试验区内的外商投资涉及国家安全的，须按照自由贸易试验区外商投资国家安全审查试行办法进行安全审查。IV. The
13、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 peoples governments at the provincial level shall issue the implementation guideli
14、nes and provide effective guidance.四、自贸试验区负面清单之外的领域，在自贸试验区内按照内外资一致原则实施管理，并由所在地省级人民政府发布实施指南，做好相关引导工作。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
15、 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 sig
16、ned 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试验区内投资参照自贸试验区负面清单执行。内地与香港特别行政区、澳门特别行政区关于建立更紧密经贸关系的安排及其补充协议，海峡两岸经济合作框架协议，我国签署的自贸协定中适用于自贸试验区并对符合条件的投资者有更优惠的开放措施的，按照相关协议或协定的规定执行。VI. The Negative List in Pilot
17、 Free Trade Zones shall be implemented within 30 days after its issuance and shall be adjusted at appropriate times.六、自贸试验区负面清单自印发之日起 30 日后实施，并适时调整。Annex: Special Management Measures (Negative List) for Foreign Investment Access in Pilot Free Trade Zones 自由贸易试验区外商投资准入特别管理措施（负面清单）See English details(
18、1) 参见中文附表(1)English Details(1):S/N Field Special Management MeasuresI. Agriculture, forestry, animal husbandry, and fishery#$ #$1 Seed industry(1) No foreign investor is allowed to invest in the research and development, cultivation, and plantation of Chinas rare and specific precious and good varie
19、ties and engage in the production of corresponding propagation materials (including good genes in plantation, animal husbandry, and aquaculture). (2) No foreign investor is allowed to invest in the breeding of transgenic varieties of agricultural crops, breeding livestock and poultry, and aquatic se
20、edling and the production of their transgenic seeds (seedlings). (3) The breeding of new varieties of agricultural crops and the production of seeds are restricted and must be controlled by the Chinese parties. (4) It shall be prohibited to collect germplasm resources of agricultural crops without a
21、pproval.2 Fishing industry(5) Fishery activities within the water areas under Chinas jurisdiction shall be subject to approval of the Chinese government. (6) Applications for net devices quota of fishing vessels introduced by means of cooperation and joint venture to work in Chinas water areas shall
22、 not be approved.II. Mining #$ #$3Exploration and development of Chinas exclusive economic zones and continental shelves(7) The activities of exploration and development of Chinas exclusive economic zones and continental shelves or the activities of drilling on Chinas continental shelves for any pur
23、pose shall be subject to the approval of the Chinese government.4 Extraction of oil and natural gas(8) The exploration and development of oil and natural gas (including oil shale, oil sands, shale gas, coal-bed methane and other unconventional oil and gas) shall be carried out by means of joint vent
24、ure and cooperation.5 Exploitation and beneficiation of rare earth and rare metal ores(9) No foreign investor is allowed to invest in the exploration, exploitation, and beneficiation of rare earth; no foreign investor is allowed to enter, without approval, rear earth mining areas or to acquire geolo
25、gical data of mines, ore samples, and production technologies and techniques. (10) No foreign investor is allowed to invest in the exploration and exploitation of tungsten, molybdenum, tin, antimony and fluorite. (11) No foreign investor is allowed to invest in the exploration, exploitation, and ben
26、eficiation of radioactive minerals.6 Exploitation and beneficiation of metal ores and non-metal ores(12) The exploration and exploitation of precious metals (gold, silver, and platinum group) are restricted. (13) The exploitation and beneficiation of lithium mines are restricted. (14) The exploratio
27、n and exploitation of graphite are restricted.III. Manufacturi #$ #$ng7 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
28、-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) T
29、he 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
30、 (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
31、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 ventur
32、e 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 corres
33、ponding 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 equip
34、ment 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 electrif
35、ied 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
36、 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
37、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 ventur
38、e 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 Wil
39、d 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
40、 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 sup
41、ply#$ #$15 Atomic energy(32) The construction and operation of nuclear power stations must be controlled by the Chinese parties. (33) The manufacturing, operation, import and export of nuclear fuels, nuclear materials, uranium products and related nuclear technologies shall be monopolized by qualifi
42、ed Chinese state-owned enterprises. (34) Only state-owned enterprises or state-owned holding enterprises of China may engage in activities of disposal of solid radioactive wastes.16 Pipeline network facilities(35) The construction and operation of gas, heat, and water supply and drainage pipeline ne
43、tworks in cities with a population of more than 500,000 are restricted in investment access and must be controlled by the Chinese parties. (36) The construction and operation of power grids must be controlled by the Chinese parties.V. Wholesale and retail #$ #$17 Monopolistic and franchising(37) Tob
44、acco shall be subject to monopoly. The manufacturing, sale, import and export of tobacco products (namely, cigarettes, cigars, pipe tobacco, re-dried leaf tobacco, leaf tobacco, cigarette paper, filter rods, cigarette tow, and cigarette manufacturing equipment) shall be subject to monopolized operat
45、ion and the tobacco monopoly licensing system shall be implemented. No foreign investor is allowed to invest in the wholesale and retail of tobacco, cigarettes, re-dried leaf tobacco and other tobacco products. (38) The central reserve grains (oil) shall be subject to monopoly. The China Grain Reser
46、ves Corporation shall be responsible for the purchase, storage, operation, and management of central reserve grains (including central reserve oil). (39) The sale of duty-free goods shall be subject to franchising and centralized and unified management. (40) The issuance and sale of lotteries shall
47、be subject to franchising and it is not allowed to issue or sell overseas lotteries within the territory of the Peoples Republic of China.VI. Transportation, warehousing and postal #$ #$services18 Road transportation (41) Highway passenger transport companies are restricted in investment access.19 R
48、ailway 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 compa
49、nies (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) Chinas domestic water transportation business, including the operation of water transportation business in disguise by means of leasing Chinese vessels or shipping space; and (b) Chinas domestic ship management, waterway passenger transport agency, and waterway cargo transport agency. (45) Th
