【中英文对照版】政府核准的投资项目目录(2016年本).docx

【制定机关】 【发文字号】 【公布日期】 【施行日期】 【效力位阶】 【法规类别】国务院关于发布政府核准的投 资项目目录（2016年本）的通 知（国发（2016） 72 号） ，：各府构、自治区、直辖市人民政国务院各部委、各直属机为贯彻落实中共中央国务 院关于深化投融资体制改革的 意见，进一步加大简政放权、 放管结合、优化服务改革力度, 使市场在资源配置中起决定性 作用，更好发挥政府作用，切 实转变政府投资管理职能，加 强和改进宏观调控，确立企业国务院关于发布政府核准的投资项目目录(2016年本)的通知NoticeoftheStateCouncilonIssuingtheCatalogofInvestmentProjectsSubjecttoGovernmentConfirmation(2016)国务院国发201672号2016.12.122016.12.12国务院规范性文件机关工作综合规定，营商环境优化Issuingauthority；StateCouncilDocumentNumber：No.722016oftheStateCouncilDateissued：12-12-2016Effectivedate：12-12-20161.evelofAuthority：RegulatoryDocumentsoftheStateCouncilAreaofLaw：GovernmentAffairsNoticeoftheStateCouncilonIssuingtheCatalogofInvestmentProjectsSubjecttoGovernmentConfirmation(2016)(No.722016oftheStateCouncil)Thepeople'sgovernmentsofallprovinces,autonomousregions,andmunicipalitiesdirectlyundertheCentralGovernment;allministriesandcommissionsoftheStateCouncil;andallinstitutionsdirectlyundertheStateCouncil:ForpurposesofimplementingtheOpinionsoftheCPCCentralCommitteeandtheStateCouncilonDeepeningtheReformoftheInvestmentandFinancingSystem,makingfurtherandmoreeffortsinthereformofsimplificationofadministrativeprocedures,thedelegationofpowers,combinationofdecentralizationandcontrol,andoptimizationofservices,enablingthemarkettoplayadecisiveroleinallocatingresources,givingbetterplaytotheroleofthegovernment,effectivelytransformingthefunctionsofthegovernmenttomanageinvestment,strengtheningadimprovingmacro-adjustmentandcontrol,establishthestatusofenterprisesasinvestors,andsparkingthevigorofmarketparticipantstoexpandreasonableandeffectiveinvestment,makeinnovationsandcreatenewbusinesses,theCatalogofInvestmentProjectsSubjecttotheApprovalofGovernment(2016)isherebyissued,andtherelevantmattersareherebyannouncedasfollows:I. Toinvestintheconstructionoffixed-assetinvestmentprojectslistedintheCatalog,enterprisesmustreporttherelevantprojectstotheprojectconfirmationauthoritiesforconfirmationinaccordancewiththerelevantprovisions.WhereenterprisesinvestintheconstructionofprojectsbeyondthisCatalog,suchprojectsshallbesubjecttorecordationadministration.Theprojectsinvestedbypublicinstitutionsandsocialorganizations,amongothers,shallbegovernedbythisCatalog.II. Crudeoilandnaturalgas(includingcoal-bedmethane)developmentprojectsshallbedecidedbytheenterpriseswiththeminingrightattheirdiscretion,andbereportedtotheindustryadministrativedepartmentoftheStateCouncilforrecordation.Therelevantenterpriseswiththeminingrightshall,inaccordancewiththerelevantlawsandregulations,adheretooverallplanning,reasonablydevelopandutilizeresources,andavoidthedisorderlyminingofresources.III. 1.aws,administrativeregulations,andthedevelopmentplans,industrialpolicies,totalquantitycontrolobjectives,technicalpolicies,accessstandards,landusepolicies,environmentalprotectionpolicies,seaandislandusepoliciesandcreditpolicies,amongothers,developedbythestatearetheimportantbasisforenterprisestocarryoutthepreliminaryworkoftheprojects,andthebasisforprojectconfirmationauthorities,landandresources,environmentalprotection,urbanandruralplanning,oceanmanagement,industrialadministrationandotherdepartments,aswellasfinancialinstitutionstoexamineprojects.Developmentandreformdepartmentsshall,inconjunctionwithrelevantdepartments,compileandimprovethespecialplanninginrelevantfieldswithoutdelay,andprovidebasisforallregionstoeffectivelyconductprojectconfirmation.Environmentalprotectiondepartmentsshallconductmultilevelandcategorizedadministrationofprojectsbasedontheextentoftheirimpactontheenvironment,conductstrictenvironmentalassessmentapprovalofprojectswithalargeimpactonenvironmentandhighenvironmentalrisks,andstrengtheninterimandpostsupervision.总量控制目标、技术政策、准 入标准、用地政策、环保政策、 用海用岛政策、信贷政策等是 企业开展项目前期工作的重要 依据，是项目核准机关和国土 资源、环境保护、城乡规划、 海洋管理、行业管理等部门以 及金融机构对项目进行审查的 依据。发展改革部门要会同有关部门 抓紧编制完善相关领域专项规 划，为各地区做好项目核准工 作提供依据。环境保护部门应根据项目对环 境的影响程度实行分级分类管 理，对环境影响大、环境风险 高的项目严格环评审批，并强 化事中事后监管。三、要充分发挥发展规划、 产业政策和准入标准对投资活 动的规范引导作用。把发展规 划作为引导投资方向，稳定投 资运行，规范项目准入，优化 项目布局，合理配置资金、土 地、能源、人力等资源的重要 手段。完善产业结构调整指导 目录、外商投资产业指导目录 等，为企业投资活动提供依据 和指导。构建更加科学、更加IV. Fullplayshallbegiventotheroleofthedevelopmentplanning,industrypolicies,industrypoliciesandaccessstandardsinregulatingandguidinginvestmentactivities.Developmentplanningshallbeusedasanimportantmethodtoguideinvestmentdirection,stabilizeinvestmentoperation,regulateprogramaccess,optimizeprogramdistribution,andreasonablyallocatefunds,land,energy,humanresources,andotherresources.TheCatalogforGuidingIndustrialRestructuring,andtheCatalogofIndustriesforGuidingForeignInvestment,amongothers,shallbeimprovedtoprovidebasisandguidanceforinvestmentactivitiesofenterprises.Amorescientific,completeandoperableindustryaccessstandardsystemshallbedevelopedandthemarketaccessstandardsfortheconservationofland,energyandwater,environment,technology,andsafety,amongothersshallbeenhanced.Theindustrymacro-adjustmentandcontrolmeasuresandinter-departmentalcoordinationmechanismshallbeimprovedsoastojoinforcesandpromotetheorderlydevelopmentofrelevantindustries.V. Forprojectsintheindustrieswithseriousovercapacitysuchassteel,electrolyticaluminum,cement,plateglassandvessels,theGuidingOpinionsoftheStateCouncilonResolvingtheConflictsofSevereOvercapacity(No.412013,StateCouncil)shallbestrictlyimplemented,andalllocalitiesanddepartmentsshallnotgranttherecordationofnewproductioncapacityprojectsinanyothernameorform,andallrelevantdepartmentsandinstitutionsshallnothandletherelevantbusinessessuchasthesupplyofland(seaareasanduninhabitedislands),energyevaluationandenvironmentalassessmentandnewcreditsupport,andmakeconcertedeffortstopromoteallkindsofworkonresolvingtheconflictsofseriousovercapacity.完善、更具可操作性的行业准 入标准体系，强化节地节能节 水、环境、技术、安全等市场 准入标准。完善行业宏观调控 政策措施和部门间协调机制， 形成工作合力，促进相关行业 有序发展。四、对于钢铁、电解铝、 水泥、平板玻璃、船舶等产能 严重过剩行业的项目，要严格 执行国务院关于化解产能严 重过剩矛盾的指导意见（国 发（2013） 41号），各地方、 各部门不得以其他任何名义、 任何方式备案新增产能项目， 各相关部门和机构不得办理土 地（海域、无居民海岛）供应、 能评、环评审批和新增授信支 持等相关业务，并合力推进化 解产能严重过剩矛盾各项工 作。对于煤矿项目，要严格执行国 务院关于煤炭行业化解过剩产 能实现脱困发展的意见（国 发（2016） 7号）要求，从2016 年起3年内原则上停止审批新 建煤矿项目、新增产能的技术 改造项目和产能核增项目；确 需新建煤矿的，一律实行减量CoalmineprojectsshallbestrictlygovernedbytherequirementoftheOpinionsoftheStateCouncilontheCoalIndustryResolvingExcessProductionCapacityandRealizingDifficultyReliefandDevelopment(No.72016,StateCouncil),andtheapprovalofthenewestablishmentofcoalmineprojects,technologyretrofitprojectsofnewlyincreasedproductioncapacity,andproductioncapacityconfirmationandincreaseprojectsshall,withinthreeyears置换。from2016,inprinciple,beceased;andifanewcoalmineisindeedrequiredtobebuilt,reductionswapshallbeconducted.Thenewlyincreasedproductioncapacityofconventionalfuelvehiclesshallbestrictlycontrolledandtheestablishmentofanewconventionalfuelvehiclemanufacturershall,inprinciple,notbeconfirmed.Thesoundandorderlydevelopmentofnewenergyvehiclesshallbevigorouslyguided,andanewenergyvehiclemanufacturermusthavethecapabilitytoresearchanddevelopthekeytechnologysuchasthepowersystemandwholevehicles,andcomplywiththeProvisionsontheAdministrationofNewlyEstablishedPureElectricPassengerVehicleEnterprisesandotherrelevantrequirements.VI. Projectconfirmationauthoritiesshallimproveadministrativemeasures,effectivelyenhanceadministrativeefficiency,conscientiouslyperformconfirmationfunctionsandconductexaminationinstrictaccordancewiththeprescribedpower,procedures,timelimitandotherrequirements.Therelevantdepartmentsshallcloselycooperatewitheachother,improveadministrativemeasuresaccordingtotheirrespectivefunctions,andenhancetheadministrationofinvestmentactivitiesaccordingtolaw.严格控制新增传统燃油汽车产 能，原则上不再核准新建传统 燃油汽车生产企业。积极引导 新能源汽车健康有序发展，新 建新能源汽车生产企业须具有 动力系统等关键技术和整车研 发能力，符合新建纯电动乘 用车企业管理规定等相关要 求。五、项目核准机关要改进 完善管理办法，切实提高行政 效能，认真履行核准职责，严 格按照规定权限、程序和时限 等要求进行审查。有关部门要 密切配合，按照职责分工，相 应改进管理办法，依法加强对 投资活动的管理。六、按照谁审批谁监管、 谁主管谁监管的原则，落实监 管责任，注重发挥地方政府就 近就便监管作用，行业管理部 门和环境保护、质量监督、安 全监管等部门专业优势，以及 投资主管部门综合监管职能， 实现协同监管。投资项目核准、VII. Accordingtotheprincipleofthosewhichgrantedtheapprovalshallimposesupervisionandthosewhicharecompetentdepartmentsshallimposesupervision,thesupervisionresponsibilityshallbeimplemented,attentionshallbepaidtogivingplaytotheroleofthelocalgovernmentsinimposingsupervisionwithintheirjurisdictionsattheirconvenience,thespecializedadvantageousofindustryadministrativedepartmentsanddepartmentsofenvironmentalprotection,qualityandsupervision,andsafetysupervision,amongothers,andthecomprehensivesupervisionfunctionsofindustryadministrativedepartments,soastorealizecoordinatedsupervision.Inconjunctionwiththedelegationofthepowersofconfirmationandrecordationofinvestmentprojects,thesupervisionresponsibilityshallbeassignedtolowerlevels.Thelocalgovernmentsatalllevelsandtherelevantdepartmentsshallvigorouslyexploreandinnovateonsupervisionmodesandmethods,enhanceinterimandex-postsupervision,andeffectivelyundertakesupervisionresponsibility.VIII. FortheprojectssubjecttoconfirmationbytheStateCouncilinaccordancewiththerelevantprovisions,theNationalDevelopmentandReformCommissionshall,afterconductingexamination,reportthemtotheStateCouncilforconfirmation.Fortheprojectsreported,uponexamination,totheStateCouncilandtheindustryadministrativedepartmentoftheStateCouncilforconfirmation,theopinionsoftheindustryadministrativedepartmentoftheStateCouncilmustbesolicitedinadvance.备案权限下放后，监管责任要 同步下移。地方各级政府及其 有关部门要积极探索创新监管 方式方法，强化事中事后监管, 切实承担起监管职责。七、按照规定由国务院核 准的项目，由国家发展改革委 审核后报国务院核准。核报国 务院及国务院投资主管部门核 准的项目，事前须征求国务院 行业管理部门的意见。八、由地方政府核准的项 目，各省级政府可以根据本地 实际情况，按照下放层级与承 接能力相匹配的原则，具体划 分地方各级政府管理权限，制 定本行政区域内统一的政府核 准投资项目目录。基层政府承 接能力要作为政府管理权限划 分的重要因素，不宜简单地“一IX. Inrespectofprojectssubjecttoconfirmationbythelocalgovernments,allprovincial-levelgovernmentsmay,basedonthelocalactualcircumstances,accordingtotheprincipleofdelegationlevelmatchingundertakingcapability,specificallydividetheadministrationpowersofthelocalgovernmentsatalllevels,anddevelopunifiedcatalogsofinvestmentprojectssubjecttogovernmentconfirmationwithintheirrespectiveadministrativeregions.Theundertakingcapabilityofbasic-levelgovernmentsshallbeusedasanimportantfactorofthedivisionofgovernmentadministrationpowers,anditisinappropriatetosimply',delegatethepowerstothelowestlevel.,Aprojectinvolvinglocalmajorplanninganddistribution,ordevelopmentandallocationofimportantresourcesshall,bygivingfullplaytotheadvantagesoftheprovincial-levelgovernmentinpolicygrasping,technologyforces,andotheraspects,besubjecttoconfirmationbytheprovincial-levelgovernment,whichshallnotdelegatedtoanygovernmentattheprefecturecitylevelinprinciple,nortoanygovernmentatorbelowthecountylevel.X. Withrespecttoaprojectofwhichtheconfirmationiscanceledandchangedtorecordationadministration,theprojectrecordationdepartmentshallstrengthentheimplementationofdevelopmentplanning,industrypoliciesandaccessstandards,andtheindustryadministrativedepartmentanddepartmentsofurbanandruralplanning,landadministration,environmentalprotection,andsafetysupervision,amongothersshall,basedonthedivisionofduties,strengthentheguidancetoandrestraintsontheproject.XI. Wheretherearespecialprovisionsofanylaw,administrativeregulationorthestate,suchprovisionsshallprevail.Thecompetentcommercedepartmentshall,inaccordancewiththerelevantprovisionsofthestate,conductexaminationorrecordationadministrationoftheestablishmentandmodificationofforeign-fundedenterprises,andtheinvestmentintheformationofenterprisesabroad(excludingfinancialenterprises)bydomesticenterprises.放到底“。对于涉及本地区重 大规划布局、重要资源开发配 置的项目，应充分发挥省级部 门在政策把握、技术力量等方 面的优势，由省级政府核准， 原则上不下放到地市级政府、 一律不得下放到县级及以下政 府。九、对取消核准改为备案 管理的项目，项目备案机关要 加强发展规划、产业政策和准 入标准把关，行业管理部门与 城乡规划、土地管理、环境保 护、安全监管等部门要按职责 分工加强对项目的指导和约 束。十、法律、行政法规和国 家有专门规定的，按照有关规 定执行。商务主管部门按国家 有关规定对外商投资企业的设 立和变更、国内企业在境外投 资开办企业（金融企业除外） 进行审核或备案管理。十一、本目录自发布之日XII. ThisCatalogshallcomeintoforceonthedateofissuance.TheCatalogofInvestmentProjectsSubjecttoGovernmentConfirmation(2014)shallberepealedconcurrently.StateCouncilDecember12,2016CatalogofInvestmentProjectsSubjectGovernmentConfirmation(2016)I. Agricultureandwaterconservancy国务院2016年12月12日to 政府核准的投资项目目录（2016年本）一、农业水利Agriculture:theprojectsinvolvingwastelandreclamationshallbesubjecttoconfirmationbytheprovincial-levelgovernments.Waterconservancyprojects:majorwaterconservancyprojectsinvolvingthetransboundaryriversoradjustmentofallocationofresourcescrossingtwoormoreprovinces(autonomousregionsormunicipalitiesdirectlyundertheCentralGovernment)shallbesubjecttoconfirmationbytheinvestmentadministrativedepartmentoftheStateCouncil,amongwhichthereservoirsprojectswithastoragecapacityofonebillioncubicmetersormoreorinvolving10,000migrantsormoreshallbesubjecttoconfirmationbytheStateCouncil.Theremainingprojectsshallbesubjecttoconfirmationbythelocalgovernments.II. Energy起执行，政府核准的投资项 目目录（2014年本）即行废 止。农业：涉及开荒的项目由省级 政府核准。水利工程：涉及跨界河流、跨 省（区、市）水资源配置调整 的重大水利项目由国务院投资 主管部门核准，其中库容10 亿立方米及以上或者涉及移民 1万人及以上的水库项目由国 务院核准。其余项目由地方政 府核准。二、能源水电站：在跨界河流、跨省（区、 市）河流上建设的单站总装机 容量50万千瓦及以上项目由 国务院投资主管部门核准，其 中单站总装机容量300万千瓦 及以上或者涉及移民1万人及 以上的项目由国务院核准。其Hydropowerstations:theprojectsconstructedontransboundaryriversorriverscrossingtwoormoreprovinces(autonomousregionsormunicipalitiesdirectlyundertheCentralGovernment),withatotalinstalledcapacityof500,000Kwormoreinasinglestation,shallbesubjecttoconfirmationbytheinvestmentadministrativedepartmentoftheStateCouncil,amongwhichtheprojectswithatotalinstalledcapacityofthreemillionKwormoreinasinglestationorinvolving10,000migrantsormoreshallbesubjecttoconfirmationbytheStateCouncil.Theremainingprojectsshallbesubjecttoconfirmationbythelocalgovernments.Pumpedstoragepowerstationsshallbesubjecttoconfirmationbytheprovincial-levelgovernmentsaccordingtotherelevantplanningmadebythestate.Thermalpowerstations(includingcaptivepowerplants)shallbesubjecttoconfirmationbytheprovincial-levelgovernments,amongwhichcoal/gas-firedthermalpowerprojectsshallbesubjecttoconfirmationbasedontheconstructionplanpreparedbythestateundertotalquantitycontrol.Steampowerstations(includingcaptivepowerplants)shallbesubjecttoconfirmationbythelocalgovernments,amongwhichextractioncondensingcoal-firedthermalpowerprojectsshallbesubjecttoconfirmationbytheprovincial-levelgovernmentsbasedontheconstructionplanpreparedbythestateundertotalquantitycontrol.Windpowerplantsshallbesubjecttoconfirmationbythelocalgovernmentsbasedontheconstructionplanpreparedbythestateundertotalquantitycontrolandtheinstructedscaleinannualdevelopment.NuclearpowerplantsshallbesubjecttoconfirmationbytheStateCouncil.余项目由地方政府核准。抽水蓄能电站：由省级政府按 照国家制定的相关规划核准。火电站（含自备电站）：由省 级政府核准，其中燃煤燃气火 电项目应在国家依据总量控制 制定的建设规划内核准。热电站（含自备电站）：由地 方政府核准，其中抽凝式燃煤 热电项目由省级政府在国家依 据总量控制制定的建设规划内 核准。风电站：由地方政府在国家依 据总量控制制定的建设规划及 年度开发指导规模内核准。核电站：由国务院核准。电网工程：涉及跨境、跨省（区、 市）输电的±500千伏及以上 直流项目，涉及跨境、跨省（区、Powergridprojects:thedirectcurrentprojectswithavoltageof±500KVormoreinvolvingpowertransmissioncrossingtheborderorcoveringtwoormoreprovinces(autonomousregionsormunicipalitiesdirectlyundertheCentralGovernment),andthealternatingcurrentprojectswithavoltageof500KV,750KVor1,000KVinvolvingpowertransmissioncrossingtheborderorcoveringtwoormoreprovinces(autonomousregionsormunicipalitiesdirectlyu