【中英文对照版】政府核准的投资项目目录(2016年本).docx

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1、【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NoticeoftheStateCouncilonIssuingtheCatalogofIn

2、vestmentProjectsSubjecttoGovernmentConfirmation(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：GovernmentAff

3、airsNoticeoftheStateCouncilonIssuingtheCatalogofInvestmentProjectsSubjecttoGovernmentConfirmation(2016)(No.722016oftheStateCouncil)Thepeoplesgovernmentsofallprovinces,autonomousregions,andmunicipalitiesdirectlyundertheCentralGovernment;allministriesandcommissionsoftheStateCouncil;andallinstitutionsd

4、irectlyundertheStateCouncil:ForpurposesofimplementingtheOpinionsoftheCPCCentralCommitteeandtheStateCouncilonDeepeningtheReformoftheInvestmentandFinancingSystem,makingfurtherandmoreeffortsinthereformofsimplificationofadministrativeprocedures,thedelegationofpowers,combinationofdecentralizationandcontr

5、ol,andoptimizationofservices,enablingthemarkettoplayadecisiveroleinallocatingresources,givingbetterplaytotheroleofthegovernment,effectivelytransformingthefunctionsofthegovernmenttomanageinvestment,strengtheningadimprovingmacro-adjustmentandcontrol,establishthestatusofenterprisesasinvestors,andsparki

6、ngthevigorofmarketparticipantstoexpandreasonableandeffectiveinvestment,makeinnovationsandcreatenewbusinesses,theCatalogofInvestmentProjectsSubjecttotheApprovalofGovernment(2016)isherebyissued,andtherelevantmattersareherebyannouncedasfollows:I. Toinvestintheconstructionoffixed-assetinvestmentprojects

7、listedintheCatalog,enterprisesmustreporttherelevantprojectstotheprojectconfirmationauthoritiesforconfirmationinaccordancewiththerelevantprovisions.WhereenterprisesinvestintheconstructionofprojectsbeyondthisCatalog,suchprojectsshallbesubjecttorecordationadministration.Theprojectsinvestedbypublicinsti

8、tutionsandsocialorganizations,amongothers,shallbegovernedbythisCatalog.II. Crudeoilandnaturalgas(includingcoal-bedmethane)developmentprojectsshallbedecidedbytheenterpriseswiththeminingrightattheirdiscretion,andbereportedtotheindustryadministrativedepartmentoftheStateCouncilforrecordation.Therelevant

9、enterpriseswiththeminingrightshall,inaccordancewiththerelevantlawsandregulations,adheretooverallplanning,reasonablydevelopandutilizeresources,andavoidthedisorderlyminingofresources.III. 1.aws,administrativeregulations,andthedevelopmentplans,industrialpolicies,totalquantitycontrolobjectives,technical

10、policies,accessstandards,landusepolicies,environmentalprotectionpolicies,seaandislandusepoliciesandcreditpolicies,amongothers,developedbythestatearetheimportantbasisforenterprisestocarryoutthepreliminaryworkoftheprojects,andthebasisforprojectconfirmationauthorities,landandresources,environmentalprot

11、ection,urbanandruralplanning,oceanmanagement,industrialadministrationandotherdepartments,aswellasfinancialinstitutionstoexamineprojects.Developmentandreformdepartmentsshall,inconjunctionwithrelevantdepartments,compileandimprovethespecialplanninginrelevantfieldswithoutdelay,andprovidebasisforallregio

12、nstoeffectivelyconductprojectconfirmation.Environmentalprotectiondepartmentsshallconductmultilevelandcategorizedadministrationofprojectsbasedontheextentoftheirimpactontheenvironment,conductstrictenvironmentalassessmentapprovalofprojectswithalargeimpactonenvironmentandhighenvironmentalrisks,andstreng

13、theninterimandpostsupervision.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

14、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.Developmentplanningshallbeusedasanimpo

15、rtantmethodtoguideinvestmentdirection,stabilizeinvestmentoperation,regulateprogramaccess,optimizeprogramdistribution,andreasonablyallocatefunds,land,energy,humanresources,andotherresources.TheCatalogforGuidingIndustrialRestructuring,andtheCatalogofIndustriesforGuidingForeignInvestment,amongothers,sh

16、allbeimprovedtoprovidebasisandguidanceforinvestmentactivitiesofenterprises.Amorescientific,completeandoperableindustryaccessstandardsystemshallbedevelopedandthemarketaccessstandardsfortheconservationofland,energyandwater,environment,technology,andsafety,amongothersshallbeenhanced.Theindustrymacro-ad

17、justmentandcontrolmeasuresandinter-departmentalcoordinationmechanismshallbeimprovedsoastojoinforcesandpromotetheorderlydevelopmentofrelevantindustries.V. Forprojectsintheindustrieswithseriousovercapacitysuchassteel,electrolyticaluminum,cement,plateglassandvessels,theGuidingOpinionsoftheStateCouncilo

18、nResolvingtheConflictsofSevereOvercapacity(No.412013,StateCouncil)shallbestrictlyimplemented,andalllocalitiesanddepartmentsshallnotgranttherecordationofnewproductioncapacityprojectsinanyothernameorform,andallrelevantdepartmentsandinstitutionsshallnothandletherelevantbusinessessuchasthesupplyofland(s

19、eaareasanduninhabitedislands),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

20、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Coalmineprojectsshallbestric

21、tlygovernedbytherequirementoftheOpinionsoftheStateCouncilontheCoalIndustryResolvingExcessProductionCapacityandRealizingDifficultyReliefandDevelopment(No.72016,StateCouncil),andtheapprovalofthenewestablishmentofcoalmineprojects,technologyretrofitprojectsofnewlyincreasedproductioncapacity,andproductio

22、ncapacityconfirmationandincreaseprojectsshall,withinthreeyears置换。from2016,inprinciple,beceased;andifanewcoalmineisindeedrequiredtobebuilt,reductionswapshallbeconducted.Thenewlyincreasedproductioncapacityofconventionalfuelvehiclesshallbestrictlycontrolledandtheestablishmentofanewconventionalfuelvehic

23、lemanufacturershall,inprinciple,notbeconfirmed.Thesoundandorderlydevelopmentofnewenergyvehiclesshallbevigorouslyguided,andanewenergyvehiclemanufacturermusthavethecapabilitytoresearchanddevelopthekeytechnologysuchasthepowersystemandwholevehicles,andcomplywiththeProvisionsontheAdministrationofNewlyEst

24、ablishedPureElectricPassengerVehicleEnterprisesandotherrelevantrequirements.VI. Projectconfirmationauthoritiesshallimproveadministrativemeasures,effectivelyenhanceadministrativeefficiency,conscientiouslyperformconfirmationfunctionsandconductexaminationinstrictaccordancewiththeprescribedpower,procedu

25、res,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

26、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. Accordingtotheprincipleofthosewhichgrantedtheappr

27、ovalshallimposesupervisionandthosewhicharecompetentdepartmentsshallimposesupervision,thesupervisionresponsibilityshallbeimplemented,attentionshallbepaidtogivingplaytotheroleofthelocalgovernmentsinimposingsupervisionwithintheirjurisdictionsattheirconvenience,thespecializedadvantageousofindustryadmini

28、strativedepartmentsanddepartmentsofenvironmentalprotection,qualityandsupervision,andsafetysupervision,amongothers,andthecomprehensivesupervisionfunctionsofindustryadministrativedepartments,soastorealizecoordinatedsupervision.Inconjunctionwiththedelegationofthepowersofconfirmationandrecordationofinve

29、stmentprojects,thesupervisionresponsibilityshallbeassignedtolowerlevels.Thelocalgovernmentsatalllevelsandtherelevantdepartmentsshallvigorouslyexploreandinnovateonsupervisionmodesandmethods,enhanceinterimandex-postsupervision,andeffectivelyundertakesupervisionresponsibility.VIII. Fortheprojectssubjec

30、ttoconfirmationbytheStateCouncilinaccordancewiththerelevantprovisions,theNationalDevelopmentandReformCommissionshall,afterconductingexamination,reportthemtotheStateCouncilforconfirmation.Fortheprojectsreported,uponexamination,totheStateCouncilandtheindustryadministrativedepartmentoftheStateCouncilfo

31、rconfirmation,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

32、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,specificallydividethea

33、dministrationpowersofthelocalgovernmentsatalllevels,anddevelopunifiedcatalogsofinvestmentprojectssubjecttogovernmentconfirmationwithintheirrespectiveadministrativeregions.Theundertakingcapabilityofbasic-levelgovernmentsshallbeusedasanimportantfactorofthedivisionofgovernmentadministrationpowers,andit

34、isinappropriatetosimply,delegatethepowerstothelowestlevel.,Aprojectinvolvinglocalmajorplanninganddistribution,ordevelopmentandallocationofimportantresourcesshall,bygivingfullplaytotheadvantagesoftheprovincial-levelgovernmentinpolicygrasping,technologyforces,andotheraspects,besubjecttoconfirmationbyt

35、heprovincial-levelgovernment,whichshallnotdelegatedtoanygovernmentattheprefecturecitylevelinprinciple,nortoanygovernmentatorbelowthecountylevel.X. Withrespecttoaprojectofwhichtheconfirmationiscanceledandchangedtorecordationadministration,theprojectrecordationdepartmentshallstrengthentheimplementatio

36、nofdevelopmentplanning,industrypoliciesandaccessstandards,andtheindustryadministrativedepartmentanddepartmentsofurbanandruralplanning,landadministration,environmentalprotection,andsafetysupervision,amongothersshall,basedonthedivisionofduties,strengthentheguidancetoandrestraintsontheproject.XI. Where

37、therearespecialprovisionsofanylaw,administrativeregulationorthestate,suchprovisionsshallprevail.Thecompetentcommercedepartmentshall,inaccordancewiththerelevantprovisionsofthestate,conductexaminationorrecordationadministrationoftheestablishmentandmodificationofforeign-fundedenterprises,andtheinvestme

38、ntintheformationofenterprisesabroad(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

39、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.StateCouncilDecember12,2016CatalogofInvestmentProjectsSubjectGo

40、vernmentConfirmation(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:majorwaterconservancyprojectsinvolvingthetransboundaryriverso

41、radjustmentofallocationofresourcescrossingtwoormoreprovinces(autonomousregionsormunicipalitiesdirectlyundertheCentralGovernment)shallbesubjecttoconfirmationbytheinvestmentadministrativedepartmentoftheStateCouncil,amongwhichthereservoirsprojectswithastoragecapacityofonebillioncubicmetersormoreorinvol

42、ving10,000migrantsormoreshallbesubjecttoconfirmationbytheStateCouncil.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

43、。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),withatotalinstalledcapacityof5

44、00,000Kwormoreinasinglestation,shallbesubjecttoconfirmationbytheinvestmentadministrativedepartmentoftheStateCouncil,amongwhichtheprojectswithatotalinstalledcapacityofthreemillionKwormoreinasinglestationorinvolving10,000migrantsormoreshallbesubjecttoconfirmationbytheStateCouncil.Theremainingprojectss

45、hallbesubjecttoconfirmationbythelocalgovernments.Pumpedstoragepowerstationsshallbesubjecttoconfirmationbytheprovincial-levelgovernmentsaccordingtotherelevantplanningmadebythestate.Thermalpowerstations(includingcaptivepowerplants)shallbesubjecttoconfirmationbytheprovincial-levelgovernments,amongwhich

46、coal/gas-firedthermalpowerprojectsshallbesubjecttoconfirmationbasedontheconstructionplanpreparedbythestateundertotalquantitycontrol.Steampowerstations(includingcaptivepowerplants)shallbesubjecttoconfirmationbythelocalgovernments,amongwhichextractioncondensingcoal-firedthermalpowerprojectsshallbesubj

47、ecttoconfirmationbytheprovincial-levelgovernmentsbasedontheconstructionplanpreparedbythestateundertotalquantitycontrol.Windpowerplantsshallbesubjecttoconfirmationbythelocalgovernmentsbasedontheconstructionplanpreparedbythestateundertotalquantitycontrolandtheinstructedscaleinannualdevelopment.Nuclear

48、powerplantsshallbesubjecttoconfirmationbytheStateCouncil.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

49、（区、Powergridprojects:thedirectcurrentprojectswithavoltageof500KVormoreinvolvingpowertransmissioncrossingtheborderorcoveringtwoormoreprovinces(autonomousregionsormunicipalitiesdirectlyundertheCentralGovernment),andthealternatingcurrentprojectswithavoltageof500KV,750KVor1,000KVinvolvingpowertransmissioncrossingtheborderorcoveringtwoormoreprovinces(autonomousregionsormunicipalitiesdirectlyu