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外商投資國際海運業(yè)管理規(guī)定
中華人民共和國交通部
中華人民共和國商務部令
2004年第1號
現公布《外商投資國際海運業(yè)管理規(guī)定》，自2004年6月1日起施行。
交通部部長 張春賢
商務部部長 薄熙來
二○○四年二月二十五日
外商投資國際海運業(yè)管理規(guī)定
第一條 為規(guī)范對外商在中國境內設立外商投資企業(yè)從事國際海上運輸業(yè)務以及與國際海上運輸相關的輔助性經營業(yè)務的管理，保護中外投資者的合法權益，根據《中華人民共和國國際海運條例》（以下簡稱《海運條例》）和中華人民共和國外商投資的有關法律、行政法規(guī)，制定本規(guī)定。
第二條 外商在中國境內投資經營國際海上運輸業(yè)務以及與國際海上運輸相關的輔助性經營業(yè)務（以下簡稱國際海運業(yè)），適用本規(guī)定。
第三條 中華人民共和國交通部和商務部及其授權的部門負責外商在中華人民共和國境內投資設立經營國際海運業(yè)的外商投資企業(yè)的審批和管理工作。
第四條 經交通部和商務部批準，允許外商采用以下形式投資經營國際海運業(yè)：
（一）設立中外合資、中外合作企業(yè)經營國際船舶運輸、國際船舶代理、國際船舶管理、國際海運貨物裝卸、國際海運集裝箱站和堆場業(yè)務；
（二）設立中外合資、中外合作、外商獨資企業(yè)經營國際海運貨物倉儲業(yè)務；
（三）設立中外合資、中外合作、外商獨資企業(yè)為投資者擁有或者經營的船舶提供日常業(yè)務服務。
第五條 設立外商投資國際船舶運輸企業(yè)，需符合如下條件：
（一）有與經營國際海上運輸業(yè)務相適應的船舶，其中必須有中國籍船舶； （二）投入運營的船舶符合國家規(guī)定的海上交通安全技術標準； （三）有提單、客票或者多式聯運單證； （四）有具備交通部規(guī)定的從業(yè)資格的高級業(yè)務管理人員；
（五）以中外合資或中外合作企業(yè)形式設立，外商的出資比例不得超過49%；
（六）企業(yè)的董事長和總經理，由投資各方協(xié)商后由中方指定；
（七）法律、行政法規(guī)規(guī)定的其他條件。
第六條 設立外商投資企業(yè)經營國際船舶運輸業(yè)務，應當首先根據《海運條例》及《中華人民共和國海運條例實施細則》（以下簡稱《海運條例實施細則》）的規(guī)定向交通部提出申請，經交通部許可后，申請人應根據國家外商投資法律、行政法規(guī)的規(guī)定，憑交通部的許可文件向商務部提交本規(guī)定第十五條規(guī)定的文件，到商務部辦理外商投資企業(yè)的設立審批手續(xù)，取得《外商投資企業(yè)批準證書》。
申請人應當持交通部的許可文件和商務部頒發(fā)的《外商投資企業(yè)批準證書》等有關文件，依法向工商行政管理機關辦理工商登記，領取營業(yè)執(zhí)照。
外商投資國際船舶運輸企業(yè)依法設立后，申請人應當持工商行政管理機關頒發(fā)的營業(yè)執(zhí)照向交通部申領《國際船舶運輸經營許可證》，取得許可證書后方可從事國際船舶運輸經營活動。
第七條 設立外商投資國際船舶代理企業(yè)，需符合如下條件：
（一）高級業(yè)務管理人員中至少2人具有3年以上從事國際海上運輸經營活動的經歷。高級業(yè)務管理人員是指具有中級或中級以上職稱、在國際海運企業(yè)或者國際海運輔助企業(yè)任部門經理以上職務的中國公民； （二）有固定的營業(yè)場所和必要的營業(yè)設施，包括具有同港口和海關等部門進行電子數據交換的能力；
（三）以中外合資或中外合作企業(yè)形式設立，外商出資比例不得超過49%；
（四）法律、行政法規(guī)規(guī)定的其他條件。
第八條 設立外商投資企業(yè)經營國際船舶代理業(yè)務，應當首先根據《海運條例》及《海運條例實施細則》的規(guī)定向交通部提出申請，經交通部許可后，申請人應根據國家外商投資法律、行政法規(guī)的規(guī)定，憑交通部的許可文件向商務部提交本規(guī)定第十五條規(guī)定的文件，到商務部辦理外商投資企業(yè)的設立審批手續(xù)，取得《外商投資企業(yè)批準證書》。
申請人應當持交通部的許可文件和商務部頒發(fā)的《外商投資企業(yè)批準證書》等有關文件，依法向工商行政管理機關辦理工商登記，領取營業(yè)執(zhí)照。
外商投資國際船舶代理企業(yè)依法設立后，申請人應當持工商行政管理機關頒發(fā)的營業(yè)執(zhí)照向交通部申領《國際船舶代理經營資格登記證》，取得資格登記證后方可從事國際船舶代理經營活動。
第九條 設立外商投資國際船舶管理企業(yè)，需具備下列條件：
（一）高級業(yè)務管理人員中至少2人具有3年以上從事國際海上運輸經營活動的經歷； （二）有持有與所管理船舶種類和航區(qū)相適應的船長、輪機長適任證書的人員；
（三）有與國際船舶管理業(yè)務相適應的設備、設施。
第十條 設立外商投資企業(yè)經營國際船舶管理業(yè)務，應當根據《海運條例》及《海運條例實施細則》的規(guī)定向交通部提出申請，經交通部許可后，申請人憑交通部的許可文件并提交本規(guī)定第十五條規(guī)定的材料，根據國家有關外商投資的法律、行政法規(guī)的規(guī)定向企業(yè)所在地省級人民政府商務主管部門辦理《外商投資企業(yè)批準證書》。
外商投資國際船舶管理企業(yè)依法設立后，申請人應當持工商行政管理機關頒發(fā)的營業(yè)執(zhí)照向企業(yè)所在地的省級人民政府交通主管部門申領《國際海運輔助業(yè)經營資格登記證》，取得登記證書后方可從事國際船舶管理經營活動。
第十一條 設立外商投資企業(yè)經營國際海運集裝箱站和堆場業(yè)務、國際海運貨物倉儲，應當根據《海運條例》及《海運條例實施細則》的規(guī)定向交通部提出申請，經交通部許可后，申請人憑交通部的許可文件并提交本規(guī)定第十五條規(guī)定的材料，根據國家有關外商投資的法律、行政法規(guī)的規(guī)定向企業(yè)所在地省級人民政府商務主管部門辦理《外商投資企業(yè)批準證書》。
外商投資國際海運集裝箱站和堆場企業(yè)、國際海運貨物倉儲企業(yè)依法設立后，申請人應當持工商行政管理機關頒發(fā)的營業(yè)執(zhí)照向企業(yè)所在地的省級人民政府交通主管部門申領《國際海運輔助業(yè)經營資格登記證》，取得登記證書后方可從事相關業(yè)務。
外商投資設立國際海運貨物裝卸企業(yè)，依照國家有關規(guī)定辦理。
第十二條 對已經設立的外商投資企業(yè)申請增加經營國際海運或國際海運輔助性業(yè)務，應當按照本規(guī)定中設立相關外商投資國際海運企業(yè)的程序辦理相應手續(xù)。
已經設立的外商投資國際海運企業(yè)設立分支機構，應當按照有關外商投資法律、行政法規(guī)的規(guī)定和《海運條例》及《海運條例實施細則》的規(guī)定分別到交通部和商務部或其授權的部門辦理相應手續(xù)。
已經設立的外商投資國際海運企業(yè)的合營合同、公司章程中有關出資、股權結構、經營范圍等重要內容進行變更的，應當按照有關外商投資法律、行政法規(guī)的規(guī)定到商務部或其授權部門辦理相關手續(xù)。變更《海運條例實施細則》第二十一條規(guī)定事項的，應當向交通部備案。
第十三條 外國航運公司可以設立中外合資、中外合作、外商獨資企業(yè)，為投資者擁有或者經營的船舶提供承攬貨物、代簽提單、代結運費、代簽服務合同等日常業(yè)務服務，其申請設立程序依照交通部與商務部聯合發(fā)布的外商獨資船務公司審批管理的有關規(guī)定辦理。
第十四條 在中國境內的外商投資企業(yè)經營無船承運業(yè)務，應依照《海運條例》及《海運條例實施細則》的規(guī)定，向交通部申請登記取得《無船承運業(yè)務經營資格登記證》，并依照外商投資的有關法律、行政法規(guī)的規(guī)定，到商務部辦理審批手續(xù)。
第十五條 申請人向交通部提出申請，應當提交《海運條例》及《海運條例實施細則》規(guī)定的材料；向商務部或其授權部門提出申請的，應向審批機關提交如下材料：
（一） 申請書；
（二） 可行性研究報告；
（三）合營合同和合營公司章程（獨資企業(yè)只報送章程）；
（四）投資者注冊登記證明文件及資信證明文件；
（五）擬設立企業(yè)董事長和總經理的身份證明；
（六）法律、行政法規(guī)要求的其他文件。
第十六條 中國香港特別行政區(qū)、澳門特別行政區(qū)和臺灣地區(qū)的投資者在中國其他省、自治區(qū)和直轄市投資設立國際海運及其國際海運輔助企業(yè)，參照本規(guī)定辦理。
第十七條 根據國務院批準的《內地與香港關于建立更緊密經貿關系的安排》、《內地與澳門關于建立更緊密經貿關系的安排》及其附件的有關規(guī)定，自2004年1月1日起，允許香港和澳門的服務提供者在內地設立獨資企業(yè)經營國際船舶管理、國際海運貨物倉儲、國際海運集裝箱站和堆場、無船承運業(yè)務；允許香港和澳門的服務提供者在內地設立獨資船務公司，為其擁有或者經營的船舶提供攬貨、簽發(fā)提單、結算運費、簽訂服務合同等日常業(yè)務服務。
第十八條 本規(guī)定由交通部和商務部負責解釋。
第十九條 本規(guī)定自2004年5月1日起施行。
PROVISIONS ON ADMINISTRATION OF FOREIGN INVESTMENT IN INTERNATIONAL MARITIME TRANSPORTATION
(Promulgated by Decree No. 1 of the Ministry of Communications and the Ministry of Commerce on March 2nd, 2004, and effective as of June 1st, 2004)
Article 1 These Provisions are formulated in accordance with the Regulations of the People’s Republic of China on International Maritime Transportation (hereinafter referred to as the Maritime Transportation Regulations) and the relevant laws and administrative regulations of the People’s Republic of China on foreign investment, for the purposes of regulating the establishment of foreign-funded enterprises by foreign investors to engage in international maritime transportation business and auxiliary business relating thereto and safeguarding the lawful rights and interests of Chinese and foreign investors.
Article 2 These Provisions are applicable to the investment in and operation of international maritime transportation business and auxiliary businesses relating thereto (hereinafter referred to as international maritime transportation) by foreign investors within the territory of China.
Article 3 The Ministry of Communications and the Ministry of Commerce of the People’s Republic of China as well as their authorized agencies are responsible for the approval and administration of the establishment of foreign-funded enterprises within the territory of the People’s Republic of China by foreign investors to engage in international maritime transportation.
Article 4 With the approval of the Ministry of Communications and the Ministry of Commerce, a foreign investor may invest in and operate international maritime transportation in the following forms: (1) to establish a Chinese-foreign equity joint venture or a Chinese-foreign contractual joint venture to engage in international shipping services, international shipping agency services, international ship management services, loading and unloading of international shipments and international maritime container freight station and container yard services; (2) to establish a Chinese-foreign equity joint venture, a Chinese-foreign contractual joint venture or a wholly foreign-owned enterprise to engage in international maritime cargo warehousing services; (3) to establish a Chinese-foreign equity joint venture, a Chinese-foreign contractual joint venture or a wholly foreign-owned enterprise to offer routine services for the vessels owned or operated by the investor.
Article 5 A foreign-funded international shipping enterprise to be established shall meet the following conditions: (1) having vessels suitable for employment in international maritime transportation, among which there must be vessels of Chinese nationality; (2) vessels under employment shall be in compliance with the technical standards for maritime traffic safety as set forth by the State; (3) having bills of lading, passenger tickets or multimodal transportation documents; (4) having senior executives with the professional qualifications as set forth by the Ministry of Communications; (5) in case of establishing a Chinese-foreign equity joint venture or a Chinese-foreign contractual joint venture, the proportion of investment made by foreign investors shall not exceed 49%; (6) the chairperson of the board of directors and the general manager shall be appointed by the Chinese side after consultation between the both sides; (7) other conditions specified by laws or administrative regulations.
Article 6 Where anyone is to establish a foreign-funded enterprise to engage in international shipping services, it shall firstly make an application to the Ministry of Communications in accordance with the provisions of the Maritime Transportation Regulations and the Implementing Rules of the Regulations of the People’s Republic of China on International Maritime Transportation (hereinafter referred to as the Implementing Rules of the Maritime Transportation Regulations); if such application is approved by the Ministry of Communications, the applicant shall, in accordance with the laws and administrative regulations on foreign investment of the State and on the strength of the approval document issued by the Ministry of Communications, go through the approval procedures for establishing a foreign-funded enterprise with the Ministry of Commerce by submitting the documents specified in Article 15 of these Provisions and obtain the Approval Certificate for Foreign-funded Enterprise.
The applicant shall, by presenting the approval document issued by the Ministry of Communications, the Approval Certificate for Foreign-funded Enterprise issued by the Ministry of Commerce and other relevant documents, go through the industrial and commercial registration formalities with the administrative department for industry and commerce according to law and obtain the business license.
After the establishment of a foreign-funded international shipping enterprise, the applicant shall, by presenting the business license issued by the administrative department for industry and commerce, apply to the Ministry of Communications for obtaining the Permit for Operation of International Shipping Services. Only those that have obtained such Permit may engage international shipping services.
Article 7 A foreign-funded international shipping agency enterprise to be established shall meet the following conditions: (1) having at least two senior executives with no less than three years’ experience in international maritime transportation business operations. The term “senior executives” refers to Chinese citizens who have secondary or higher technical or academic titles and serve as department managers or above in enterprises engaging in international maritime transportation business or the auxiliary business relating thereto; (2) having a fixed place of business and necessary business facilities, including the ability to have electronic data interchange (EDI) with ports, the Customs and other departments; (3) in case of establishing a Chinese-foreign equity joint venture or a Chinese-foreign contractual joint venture, the proportion of investment made by foreign investors shall not exceed 49%; (4) other conditions specified by laws or administrative regulations.
Article 8 Where anyone is to establish a foreign-funded enterprise to engage in international shipping agency services, it shall firstly make an application to the Ministry of Communications in accordance with the provisions of the Maritime Transportation Regulations and the Implementing Rules of the Maritime Transportation Regulations; if such application is approved by the Ministry of Communications, the applicant shall, in accordance with the laws and administrative regulations on foreign investment of the State and on the strength of the approval document issued by the Ministry of Communications, go through the approval procedures for establishing a foreign-funded enterprise with the Ministry of Commerce by submitting the documents specified in Article 15 of these Provisions and obtain the Approval Certificate for Foreign-funded Enterprise.
The applicant shall, by presenting the approval document issued by the Ministry of Communications, the Approval Certificate for Foreign-funded Enterprise issued by the Ministry of Commerce and other relevant documents, go through the industrial and commercial registration formalities with the administrative department for industry and commerce according to law and obtain the business license.
After the establishment of a foreign-funded international shipping agency enterprise, the applicant shall, by presenting the business license issued by the administrative department for industry and commerce, apply to the Ministry of Communications for obtaining the Registration for Operation of International Shipping Agency Services. Only those that have obtained such Registration may engage international shipping agency services.
Article 9 A foreign-funded international ship management enterprise to be established shall meet the following conditions: (1) having at least two senior executives with no less than three years’ experience in international maritime transportation business operations; (2) having staff members in possession of master’s or chief engineer’s documents of competence that are commensurate with the types of vessels under their management and the navigation zones; (3) having the equipment or facilities commensurate with the international ship management services.
Article 10 Where anyone is to establish a foreign-funded enterprise to engage in international ship management services, it shall firstly make an application to the Ministry of Communications in accordance with the provisions of the Maritime Transportation Regulations and the Implementing Rules of the Maritime Transportation Regulations; if such application is approved by the Ministry of Communications, the applicant shall, in accordance with the laws and administrative regulations on foreign investment of the State and on the strength of the approval document issued by the Ministry of Communications, go through the approval procedures for obtaining the Approval Certificate for Foreign-funded Enterprise with the competent commerce administration department of the people’s government of the province where such enterprise is to be located by submitting the documents specified in Article 15 of these Provisions.
After the establishment of a foreign-funded international ship management enterprise, the applicant shall, by presenting the business license issued by the administrative department for industry and commerce, apply to the competent communications administration department of the people’s government of the province where such enterprise is located for obtaining the Registration for Operation of Auxiliary Businesses Relating to International Maritime Transportation. Only those that have obtained such Registration may engage in international ship management services.
Article 11 Where anyone is to establish a foreign-funded enterprise to engage in international maritime container freight station and container yard services or international maritime cargo warehousing services, it shall firstly make an application to the Ministry of Communications in accordance with the provisions of the Maritime Transportation Regulations and the Implementing Rules of the Maritime Transportation Regulations; if such application is approved by the Ministry of Communications, the applicant shall, in accordance with the laws and administrative regulations on foreign investment of the State and on the strength of the approval document issued by the Ministry of Communications, go through the approval procedures for obtaining the Approval Certificate for Foreign-funded Enterprise with the competent commerce administration department of the people’s government of the province where such enterprise is to be located by submitting the documents specified in Article 15 of these Provisions.
After the establishment of a foreign-funded enterprise engaging in international maritime container freight station and container yard services or international maritime cargo warehousing services, the applicant shall, by presenting the business license issued by the administrative department for industry and commerce, apply to the competent communications administration department of the people’s government of the province where such enterprise is located for obtaining the Registration for Operation of Auxiliary Businesses Relating to International Maritime Transportation. Only those that have obtained such Registration may engage in the relevant services.
The establishment of a foreign-funded enterprise engaging in loading and unloading of international shipments shall be governed by the relevant provisions of the State.
Article 12 Where an established foreign-funded enterprise applies to add international maritime transportation business or the auxiliary business relating thereto to its business scope, it shall go through the corresponding formalities in accordance with the procedures for establishing a foreign-funded enterprise engaging in specific international maritime transportation businesses set forth in these Provisions.
Where an established foreign-funded enterprise engaging in international maritime transportation is to establish branches, it shall go through the corresponding formalities with the Ministry of Communications and the Ministry of Commerce or their authorized agencies in accordance with the laws and administrative regulations on foreign investment of the State, the Maritime Transportation Regulations and the Implementing Rules of the Maritime Transportation Regulations.
Where an established foreign-funded enterprise engaging in international maritime transportation is to modify the essential contents such as investment contribution, structure of the shares or scope of business of its contact of joint venture or articles of association, it shall go through the corresponding formalities with the Ministry of Commerce or its authorized agencies in accordance with the laws and administrative regulations on foreign investment of the State. Any modification to the matters specified in Article 21 of the Implementing Rules of the Maritime Transportation Regulations shall be filed with the Ministry of Communications for the record.
Article 13 A foreign company engaging in shipping may establish a Chinese-foreign equity joint venture, Chinese-foreign contractual joint venture or wholly foreign-owned enterprise to offer such routine services as canvassing of cargoes, issuance of bills of lading, settlement of freight and signing of service contracts for the vessels owned or operated by investors. The procedures for establishment application of such an enterprise shall be governed by the relevant provisions jointly issued by the Ministry of Communications and the Ministry of Commerce on approval of establishment of wholly foreign-owned shipping companies.
Article 14 Where a foreign-funded enterprise within the territory of China is to engage in non-vessel-operating services, it shall, in accordance with the provisions of the Maritime Transportation Regulations and the Implementing Rules of the Maritime Transportation Regulations, make an application to the Ministry of Communications for registration and obtaining the Registration of Non-vessel-operating Services Qualification, and go through the approval formalities with the Ministry of Commerce in accordance with the relevant laws and administrative regulations on foreign investment of the State.
Article 15 Where an applicant makes an application to the Ministry of Communications, it shall submit the documents specified in the Maritime Transportation Regulations and the Implementing Rules of the Maritime Transportation Regulations. Where an applicant makes an application to the Ministry of Commerce or its authorized agencies, he shall submit the following documents: (1) the letter of application; (2) the feasibility study report; (3) the contract of the joint venture and the articles of association of the company (in case of a wholly foreign-owned company, the articles of association of the company only); (4) the registration certificate and credit-standing certificate of investors; (5) the identity certification of the chairperson of the board of directors and the general manager of the enterprise to be established; (6) other documents required by laws or administrative regulations.
Article 16 These Provisions are mutatis mutandis applicable to the establishment of enterprises engaging in international maritime transportation and the auxiliary services relating thereto in other provinces, autonomous regions or municipalities directly under the Central Government by the investors form Hong Kong Special Administrative Region, Macao Special Administrative Region or Taiwan region.
Article 17 In accordance with the relevant provisions of the Mainland and Hong Kong Closer Economic Partnership Arrangement, the Mainland and Macao Closer Economic Partnership Arrangement and their Annexes, from January 1st, 2004, service suppliers from Hong Kong or Macao may established a wholly Hong Kong or Macao-owned enterprise in Chinese mainland to engage in international ship management services, international maritime cargo warehousing, international maritime container freight station and container yard services, and non-vessel-operating services; they may also establish a wholly Hong Kong or Macao-owned shipping company in Chinese mainland to offer such routine services as canvassing of cargoes, issuance of bills of lading, settlement of freight and signing of service contracts for their owned or operated vessels.
Article 18 The Ministry of Communications and the Ministry of Commerce are responsible for the interpretation of these Provisions.
Article 19 These Provisions shall take effect as of June 1st, 2004. |