沪府规〔2021〕19号

为促进和便利外商投资,营造更加规范、高效的投资环境，切实提升企业办事便捷度和获得感,根据《中华人民共和国外商投资法》及其实施条例、《企业投资项目核准和备案管理条例》《上海市外商投资条例》等，制定发布《上海市外商投资项目核准和备案管理办法》(以下简称《办法》)。

沪府规〔2021〕19号

上海市外商投资项目核准和备案管理办法

??第一章　总则

??第一条（目的与依据）

??为规范外商投资项目的核准和备案，提高政务服务水平，促进外商投资，根据《中华人民共和国外商投资法》《中华人民共和国外商投资法实施条例》《企业投资项目核准和备案管理条例》《上海市外商投资条例》《外商投资项目核准和备案管理办法》等，制定本办法。

??第二条（适用范围）

??本办法适用于外国投资者、外商投资企业在本市新建或者并购涉及固定资产投资的项目。

??第三条（项目管理方式和机关）

??本市依法对外商投资项目实行核准或者备案管理。

??市发展改革委、区发展改革委以及市政府确定的机构为本市外商投资项目核准机关和备案机关（以下简称“项目核准和备案机关”）。

??市政府确定的机构，是指根据地方性法规、规章规定，对所属区域内项目实施核准和备案的机构。

??第四条（范围和权限）

??项目核准和备案的范围、权限为：

??（一）《外商投资准入特别管理措施（负面清单）》《自由贸易试验区外商投资准入特别管理措施（负面清单）》（以下统称“负面清单”）规定的非禁止投资领域内，总投资（含增资）3亿美元以下的项目，由市发展改革委核准；总投资（含增资）3亿美元及以上的项目的核准，按照国家有关规定执行。

??（二）负面清单之外领域的项目，按照内外资一致原则实施管理。

??属于《上海市政府核准的投资项目目录细则》第一至十条所列的外商投资项目，按照规定实行核准管理。本市核准权限范围中，区发展改革委、市政府确定的机构按照权限核准所属区域内的外商投资项目，其他项目由市发展改革委核准。

??不属于《上海市政府核准的投资项目目录细则》第一至十条所列的外商投资项目，按照规定实行备案管理。区发展改革委、市政府确定的机构按照《上海市政府备案的投资项目目录》规定，负责所属区域内的外商投资项目备案，其他项目由市发展改革委备案。

??国家和本市对长三角生态绿色一体化发展示范区等区域有特殊规定的，从其规定。

??第五条（投资自主权）

??外国投资者和外商投资企业依法对项目的市场前景、经济效益、资金来源和产品技术方案等自主决策、自担风险，项目核准和备案机关不得非法干预其投资自主权，不得在负面清单之外的领域针对外商投资单独设置准入限制。

??第六条（办事指南编制）

??项目核准和备案机关应当列明与外商投资项目有关的产业政策，制定并公开项目核准和备案办事指南。列明项目核准的申报材料、受理方式、审查条件、办理流程、办理时限等，提供项目申请报告通用文本，明确编制要求；列明项目备案所需信息内容、办理流程等。

??第七条（咨询和指导服务）

??项目核准和备案机关应当编制并公开外商投资项目核准和备案常见问题解答，公开咨询方式，通过政务热线、政府网站、信函、电子邮件等方式，为外国投资者和外商投资企业提供咨询和指导。

??第八条（办理结果公开）

??项目核准和备案机关应当根据政府信息公开有关法规、规章规定，将核准和备案结果予以公开。

??第九条（在线办理和项目代码管理）

??除涉及国家秘密的项目外，外商投资项目核准和备案通过“一网通办”的投资项目在线审批监管平台（以下简称“在线平台”）实行网上受理、办理、监管和服务。有关部门通过“一网通办”，共享项目核准和备案信息。

??在线平台生成项目整个实施周期唯一身份标识的项目代码。项目核准和备案机关以及其他有关部门统一使用项目代码办理相关手续，项目的核准和备案信息、监管信息以及其他项目实施过程中的重要信息，统一汇集至项目代码。项目单位可以通过项目代码，查询项目相关信息。

??第十条（安全审查）

??外商投资涉及国家安全的，应当按照国家有关规定进行安全审查。

??第二章　项目核准

??第十一条（项目申请报告）

??实行核准管理的外商投资项目，项目单位应当向项目核准机关提交项目申请报告。

??项目申请报告包括下列内容：

??（一）项目单位情况；

??（二）项目情况，包括项目名称、项目地点、项目内容（含建设内容等）、投资规模、投资方及国别、出资额及出资比例等；

??（三）项目符合负面清单等外商投资相关规定以及符合产业政策的声明；

??（四）项目利用资源情况分析以及对生态环境的影响分析；

??（五）项目对经济和社会的影响分析。

??外国投资者并购境内企业项目申请报告，应当包括并购方情况、被并购方情况、并购方案和并购后企业的治理结构、业务范围等。

??第十二条（报告编写）

??项目申请报告应当按照项目申请报告通用文本等规定编写，可以由项目单位自行编写，也可以由项目单位自主委托具有相关经验和能力的工程咨询单位编写。任何单位和个人不得强制项目单位委托工程咨询单位编制项目申请报告。

??第十三条（附具文件）

??项目申请报告应当附具以下文件：

??（一）中外投资各方的主体证明材料；

??（二）投资意向书，增资、并购项目的公司董事会决议或者其最高权力机构决议；

??（三）规划土地意见书，或者国有建设用地使用权有偿使用合同，或者集体经营性建设用地入市合同；

??（四）法律、行政法规规定需要办理的其他相关手续。

??项目不涉及新增或者调整建设用地，不涉及建筑物、构筑物新建、改建、扩建的，无须提供上款第（三）项材料。

??对依托“一网通办”能够实现数据互认共享获取的文件，不得要求项目单位重复提供。

??第十四条（申请报送）

??属于市发展改革委核准的项目，项目单位可以直接报送项目申请报告，也可以由区发展改革委或者市政府确定的机构转送。属于区发展改革委或者市政府确定的机构核准的项目，项目单位直接向项目核准机关报送项目申请报告。

??项目单位应当对项目申请报告及依法应当附具文件的真实性、合法性和完整性负责。

??属于国家项目核准机关核准的项目，按照国家有关规定执行。

??第十五条（补正与受理）

??项目申报材料齐全、符合法定形式的，项目核准机关应当予以受理。

??申报材料不齐全或者不符合法定形式的，项目核准机关应当在收到项目申报材料之日起5个工作日内，一次告知项目单位补正材料。逾期不告知的，自收到项目申报材料之日起即为受理。

??项目核准机关受理或者不予受理申报材料，都应当出具加盖本机关专用印章并注明日期的书面凭证。对受理的申报材料，书面凭证应当注明“一网通办”平台统一编码，项目单位可以根据“一网通办”平台统一编码，在线查询、监督核准过程和结果。

??第十六条（项目评估）

??项目核准机关在受理项目申报材料后，需要评估的，应当在4个工作日内按照有关规定，委托具有相应经验和能力的工程咨询机构进行评估。

??工程咨询机构与编制项目申请报告的工程咨询机构为同一单位、存在控股、管理关系或者负责人为同一人的，该工程咨询机构不得承担该项目的评估工作。工程咨询机构与项目单位存在控股、管理关系或者负责人为同一人的，该工程咨询机构不得承担该项目单位的项目评估工作。

??项目核准机关委托工程咨询机构对项目进行评估的，应当明确评估重点；除项目情况复杂的，评估时限不得超过30个工作日。评估费用由项目核准机关承担。

??第十七条（部门意见）

??项目涉及有关行业管理部门或者项目所在地地方政府职责的，项目核准机关应当商请有关行业管理部门或者地方政府在7个工作日内出具书面审查意见。有关行业管理部门或者地方政府逾期没有反馈书面审查意见的，视为同意。

??第十八条（公众意见）

??项目实施可能对公众利益构成重大影响的，项目核准机关在作出核准决定前，应当采取适当方式，征求公众意见。

??有关部门对直接涉及群众切身利益的用地（用海）、环境影响、社会稳定风险等事项已经进行实质性审查并出具相关审批文件的，项目核准机关可以不再就相关内容重复征求公众意见。

??对特别重大的项目，可以实行专家评议制度。除项目情况特别复杂外，专家评议时限原则上不得超过30个工作日。

??第十九条（调整、澄清或者补充）

??项目核准机关可以根据评估意见、部门意见、公众意见等，要求项目单位对相关内容进行调整，或者对有关情况和文件作进一步澄清、补充。

??第二十条（核准审查）

??项目核准机关应当从以下方面对外商投资项目进行审查：

??（一）是否符合国家和本市外商投资有关规定；

??（二）是否危害经济安全、社会安全、生态安全等国家安全；

??（三）是否符合相关发展建设规划、技术标准和产业政策；

??（四）是否合理开发并有效利用资源；

??（五）是否对公众利益产生重大不利影响。

??第二十一条（核准决定）

??项目核准机关应当自受理申请之日起20个工作日内，作出是否予以核准的决定；项目情况复杂或者需要征求有关单位意见的，经本行政机关主要负责人批准，可以延长核准期限，但延长的期限不得超过40个工作日，并应当将延长期限的理由告知项目单位。

??项目核准机关需要委托评估或者进行专家评议的，所需时间不计算在上述期限内。项目核准机关应当将咨询委托评估或者专家评议所需时间书面告知项目单位。

??第二十二条（核准文件出具）

??项目核准机关对项目予以核准的，应当向项目单位出具项目核准文件；不予核准的，应当出具不予核准的书面通知并说明理由。

??项目核准机关出具项目核准文件或者不予核准的书面通知应当抄送同级行业管理、住房城乡建设管理、规划资源、生态环境、水务（海洋）、交通等有关部门和下级机关。

??第二十三条（核准变更）

??取得项目核准文件的项目，有下列情形之一的，项目单位应当及时以书面形式向原项目核准机关提出变更申请：

??（一）项目地点发生变更的；

??（二）投资方或者股权发生变更的；

??（三）投资规模、项目内容（含建设内容）等发生较大变化的；

??（四）项目变更可能对经济、社会、环境等产生重大不利影响的；

??（五）需要对项目核准文件所规定的内容进行调整的其他重大情形。

??项目核准机关应当自受理申请之日起20个工作日内，作出是否同意变更的书面决定。

??第二十四条（核准延期）

??项目自核准机关出具项目核准文件或者同意项目变更决定2年内未开工建设，需要延期开工建设的，项目单位应当在2年期限届满的30个工作日前，向项目核准机关申请延期开工建设。

??项目核准机关应当自受理申请之日起20个工作日内，作出是否同意延期开工建设的决定，并出具相应文件。开工建设只能延期一次，期限最长不得超过1年。国家对项目延期开工建设另有规定的，从其规定。

??在2年期限内未开工建设也未按照规定向项目核准机关申请延期的，项目核准文件或者同意项目变更决定自动失效。

??第三章　项目备案

??第二十五条（在线备案）

??实行备案管理的外商投资项目，项目单位应当在项目实施前，通过在线平台将下列项目备案信息告知项目备案机关：

??（一）项目单位情况；

??（二）项目名称、项目地点、项目内容（含建设内容）、投资规模、投资方及国别、出资额及出资比例、符合负面清单及产业政策声明等。

??项目单位应当对项目备案信息的真实性、合法性和完整性负责。

??第二十六条（备案补正与完成）

??项目备案机关收到第二十五条规定的全部项目备案信息即完成备案。项目单位提交的项目备案信息不完整的，项目备案机关应当指导项目单位予以补正。

??项目备案机关发现项目属于负面清单禁止投资领域，或者属于产业政策禁止投资领域，或者依法应当实行核准管理，或者不属于项目备案机关权限范围等情形的，应当及时告知项目单位予以纠正或者依法办理相关手续。项目单位不予纠正的，项目备案机关应当及时撤销项目代码，并通知项目单位。

??第二十七条（备案变更）

??已备案项目的投资规模、项目内容（含建设内容）、投资方或者股权等信息发生较大变更的，或者放弃项目实施的，项目单位应当通过在线平台，及时告知项目备案机关，并变更相关信息。

??项目单位、项目地点发生变化的，项目单位应当通过在线平台重新填报项目备案信息，并撤销原备案项目代码。

??第二十八条（备案证明）

??项目单位完成项目备案或者备案变更的，可以通过在线平台自行打印或者要求项目备案机关出具《上海市外商投资项目备案证明》或者《上海市外商投资项目备案变更证明》。

??第二十九条（异议处理）

??项目单位对项目备案机关撤销项目代码有异议的，项目单位可以向上级项目备案机关申请复核，上级项目备案机关应当及时复核并将结果告知项目单位。

??第四章　监督管理

??第三十条（层级指导和监督）

??上级项目核准和备案机关应当加强对下级项目核准和备案机关的指导和监督，及时纠正项目管理中存在的不当行为。

??第三十一条（事中事后监管）

??项目核准和备案机关应当按照规定的核准和备案权限以及“谁审批谁监管、谁主管谁监管”的原则，对外商投资项目是否在实施前依法取得核准文件或者办理备案手续，以及是否按照核准文件或者备案内容实施等，通过在线监测、现场核查等方式，加强和规范对外商投资项目的事中事后监管。

??第三十二条（监管信息共享和处理）

??项目核准和备案机关以及依法对项目负有监督管理职责的其他部门应当通过“一网通办”，实现监管信息共享。发现项目单位违法违规行为的，应当依法予以处理，并按照规定登记相关违法违规信息。

??第三十三条（项目实施申报）

??项目单位应当通过在线平台，如实报送项目启动、实施进度、项目完成等基本信息。

??项目开工前，项目单位应当登录在线平台报备项目开工基本信息。项目开工后，项目单位应当按照年度在线报备项目建设动态进度基本信息。项目竣工验收后，项目单位应当在线报备项目竣工基本信息。

??并购项目实施后，项目单位应当登录在线平台报备完成情况。

??第三十四条（信用惩戒）

??项目单位在核准、备案以及实施中的违法行为及其处理信息，依照有关法律、法规，通过上海市公共信用信息服务平台归集并向社会公示。

??第五章　法律责任

??第三十五条（层级责令改正）

??项目核准和备案机关有下列情形之一的，由其上级行政机关责令改正，并由有关部门和单位对负有责任的领导人员和直接责任人员依法依纪给予处分:

??（一）超越法定职权予以核准或者备案的；

??（二）对不符合法定条件的项目予以核准的；

??（三）对符合法定条件的项目不予核准的；

??（四）擅自增减核准审查条件,或者以备案名义变相审批、核准的；

??（五）不在法定期限内作出核准决定的；

??（六）不依法履行监管职责或者监督不力，造成严重后果的。

??第三十六条（项目核准和备案机关的责任）

??项目核准和备案机关及其工作人员在项目核准或者备案以及项目监督管理中滥用职权、玩忽职守、徇私舞弊、索贿受贿的，或者泄露、非法向他人提供履行职责过程中知悉的商业秘密的，依法给予处分；构成犯罪的，依法追究刑事责任。

??第三十七条（不实申报的责任）

??项目单位以分拆项目、隐瞒有关情况或者提供虚假申报材料等不正当手段申请项目核准或者备案的，项目核准机关不予受理或者不予核准，项目备案机关通过在线平台撤销项目代码，并按照相关规定予以处理。

??第三十八条（核准项目的责任）

??实行核准管理的项目，项目单位未依法办理核准手续或者未按照核准文件内容实施项目的，由项目核准机关依法责令停止建设或者停产，并按照相关规定予以处理。

??以欺骗、贿赂等不正当手段取得项目核准文件的，项目核准机关应当依法撤销核准文件，按照有关规定予以处罚；构成犯罪的，依法追究刑事责任。

??第三十九条（备案项目的责任）

??实行备案管理的项目，项目单位未依法将项目信息或者已备案项目的信息变更情况告知项目备案机关，或者向项目备案机关提供虚假信息的，由项目备案机关责令限期改正；逾期不改正的，按照相关规定予以处罚。

??第四十条（违反负面清单及产业政策的责任）

??对外国投资者投资负面清单规定禁止投资的领域，或者外国投资者的投资活动违反负面清单规定的限制性准入特别管理措施，或者项目单位投资建设产业政策所禁止投资建设项目的，按照相关规定予以处理。

??第六章　附则

??第四十一条（参照执行）

??香港特别行政区、澳门特别行政区、台湾地区投资者，以及定居在国外的中国公民在本市投资，参照本办法执行；法律、行政法规和国家对外商投资项目管理有专门规定的，按照有关规定执行。

??第四十二条（先行先试）

??国家和本市对浦东新区、中国（上海）自由贸易试验区及临港新片区、虹桥国际开放枢纽等区域出台有关外商投资项目管理先行先试特殊规定的，从其规定。

??第四十三条（施行日期）

??本办法自2022年3月1日起施行，有效期至2027年2月28日。

SMPG D [2021] No.19

Procedures of Shanghai Municipality on the Administration of Approval and Filing of the Projects with Foreign Investment

Chapter I General Provisions

Article 1 Purpose and Basis

For the purposes of standardizing the approval and filing of the projects with foreign investment, improving the government services and facilitating foreign investment, these Procedures are hereby formulated in accordance with the Foreign Investment Law of the People's Republic of China, the Implementation Regulations of the Foreign Investment law of the People's Republic of China, the Regulations on the Administration of Approval and Filing of Enterprise Investment Projects, the Regulations of Shanghai Municipality on Foreign Investment, and the Procedures on the Administration of Approval and Filing of the Projects with Foreign Investment and the other documents.

Article 2 Scope of Application

These Procedures apply to the newly established oracquired projects of foreign investors and foreign-invested enterprises involving fixed assets investment in this Municipality.

Article 3 Projects Management Modes and Competent Organs

This Municipality implements the administration of approval or filing for the foreign investment projects according to law.

The Municipal Development and Reform Commission, district development and reform commissions and the institutions designated by the Municipal People’s Government are the approval and filing organs of the projects with foreign investment in this Municipality (hereinafter referred to as “the project approval and filing organs PAFO”).

The institutions designated by the Municipal People’s Government refer to those that conduct approval and filing of the projects within their regions in accordance with the local rules and regulations.

Article 4 Scope and Limit of Authority

The scope and authority of project approval and filing are as follows:

1.The projects with the total investment (including capital increase) less than 300 million USDin the non-prohibited investment areas prescribed in the Special Administrative Measures for Foreign Investment Access (Negative List) and the Special Administrative Measures for Foreign Investment Access in the Pilot Free Trade Zones (Negative List) (hereinafter referred to as “the Negative List”) shall be approved by the Municipal Development and Reform Commission; the approval of the projects with a total investment of US $300 million (including capital increase) or more shall be conducted in accordance with the relevant provisions of the State.

2. The projects in the areas beyond the Negative List shall be administered in accordance with the principle of consistency for both domestic and foreign investment.

The projects with foreign investment listed in the Articles from 1 to 10 of the Specified Catalogue of the Investment Projects Approved by Shanghai Municipal People’s Government shall be subject to approval administration in accordance with provisions. Within the approval authorities of this Municipality, the institutions designated by the district development and reform commissions and the Municipal People’s Government shall, according to their authorities, approve the projects with foreign investment within their respective regions, and the other projects shall be approved by the Municipal Development and Reform Commission.

The projects with foreign investment not listed in the Articles from 1 to 10 of the Specified Catalogue of the Investment Projects Approved by the Shanghai Municipal People’s Government shall be filed according to the relevant provisions. The institutions designated by the district development and reform commissions and the Municipal People’sGovernment shall be responsible for the filing of the projects with foreign investment in their respective regions according to the Catalogue of the Investment Projects Filed by Shanghai Municipal People’s Government, and the other projects shall be filed by the Municipal Development and Reform Commission.

Where the State and this Municipality have special provisions on the Demonstration Zone for the Green and Integrated Ecological Development of the Yangtze River Delta and other areas, such provisions shall prevail.

Article 5 Investment Autonomy

Foreign investors and enterprises with foreign investment may make their own decisions and bear their own risks in line with the market prospects and economic benefits, sources of funds and product technology solutions of the projects according to law, the project approval and filing organs may not illegally infringe upon their investment autonomy, nor impose restrictions on the access of foreign investment to the areas beyond the Negative List .

Article 6 Compilation of Business Guidance

The project approval and filing organs shall list out the industrial policies related to the projects with foreign investment, formulate and publicize the handling guidelines for project approval and filing. Application materials for project approval, acceptance methods, examination conditions, procedures and time limits shall be clearly listed and the general texts for project application reports shall be provided, the compilation requirements shall be specified; the information and procedures required for project filing shall be clearly listed.

Article 7 Consultancy and Guidance Services

The project approval and filing organs shall compile and make public the answers to frequently asked questions on the approval and filing of the projects with foreign investment, provide consultation and guidance to the foreign investors and enterprises with foreign investment through government hot-lines, government websites, letters, E-mails and so on.

Article 8 Disclosure of Handling Results

The project approval and filing organs shall, in accordance with the relevant rules and regulations on government information disclosure, make public the results of approval and filing.

Article 9 Online Handling and Project Code Management

Except for the projects that involve state secrets, the approval and filing of the projects with foreign investment shall, via the investment project online approval and supervision platform (hereinafter referred to as the online platform) of “Government Online-Offline Shanghai” conduct online acceptance, handling, supervision and service. The relevant departments shall share the project approval and filing information via the “Government Online-Offline Shanghai”.

The online platform generates project codes that are uniquely identified throughout the project implementation cycle. The project approval and filing organs and other relevant departments shall use the project codes uniformly to handle the relevant procedures while the project approval and filing information, supervision information and other important information in the project implementation process shall be uniformly collected into the project codes. The project units may query the information through the project codes.

Article 10 Security Screening

The foreign investment involving national security shall be subject to security screening in accordance with the relevant provisions of the State.

Chapter II Project Approval

Article 11 Project Application Report

For the foreign-invested projects subject to approval administration, the project units shall submit project application reports to the project approval organs.

The project application reports include the following contents:

1. basic information of the project units;

2. basic project information, including project name, project location, project contents (including construction content, etc.), investment scale, investor and country, amount of contribution and proportion of investment, etc.;

3. a statement that the project complies to the Negative List and other foreign investment -related provisions and industrial policies;

4. analysis on the resources utilization of the project and its impact on the ecological environment; and

5. analysis of the project's impact on economy and society.

The foreign investors' project application reports for mergers and acquisitions of domestic enterprises shall include the information of the M & A parties, the M & A plans, the governance structure of the post-M & A enterprise, the scope of business, etc.

Article 12 Report Preparation

The project application reports shall be prepared in accordance with relevant provisions such as the model text and by the project units themselves, or by the engineering consulting units with relevant experiences and abilitiescommissioned by the project units independently. No unit or individual may force a project unit to entrust an engineering consulting unit to prepare a project application report.

Article 13 Annexed Documents

The project application reports shall be annexed with the following documents:

1. main body certification materials of the Chinese and foreign investors;

2. letter of intent for investment, resolution of the directorate of the company or its highest authority on the capital increase or project merger or acquisition;

3. proposal for land planning, or a paid use contract for the right to use the state-owned construction land, or a market entry contract for operational collective construction land；and

4. other relevant procedures required by laws and administrative rules.

If the project does not involve the addition or adjustment of construction land, nor does it involve the new construction, reconstruction or extension of the buildings and structures, the materials in Item 3 of the preceding Paragraph are not required to be provided.

The project units shall not be required to provide duplicate documents that can be obtained by mutual recognition and sharing of data via the Government Online-Offline Shanghai.

Article 14 Application Submission

For the projects subject to approval by the Municipal Development and Reform Commission, the project units may directly submit the project application reports, or they may be forwarded by the organs designated by the district development and reform commission or the Municipal People’s Government. For the projects subject to approval by the district development and reform commission or the organs designated by the Municipal People’s Government, the project units shall directly submit the project application reports to the project approval organs.

The project units shall be responsible for the authenticity, legality and integrity of the project application reports and the annexed documents according to law.

The projects that have to be approved by the national project approval organs shall be implemented in accordance with the relevant provisions of the State.

Article 15 Correction and Handling

Where the project application materials are complete and conform to the legal forms, the project approval organs shall accept them.

Where the application materials are incomplete or do not conform to the legal forms, the project approval organs shall, within 5 working days from the date of receiving the application materials, notify the project units to make up and revise the materials by one time. Failure to notify within the time limits shall be deemed as acceptance from the date of receipt.

When accepting or rejecting the application materials, the project approval organs shall issue written certificates affixed with their special seals and dates. For the application materials accepted, the written certificates shall indicate the unified platform codes of the “Government Online-Offline Shanghai”, and the project units may inquire online, supervise the approval process and the results according to the unified platform codes of the “Government Online-Offline Shanghai”.

Article 16 Project Evaluation

Where the project approval organs need evaluation after receiving the project application materials, they shall, in accordance with relevant provisions, entrust engineering consulting institutions with corresponding experiences and abilities to conduct evaluation within 4 working days.

Where the engineering consulting institutions and the engineering consulting institutions preparing the project application reports are the same units and have a holding or management relationship, or have the same persons in charge, the engineering consulting institutions shall not undertake the evaluation of the projects. Where the engineering consulting institutions have a holding or management relationship with the project units or the person in charge is the same one, the engineering consulting institutions shall not undertake the project evaluation of the project units.

Where the project approving organs entrust the engineering consulting institutions to evaluate projects, they shall specify the key points of evaluation; except for the complicated projects, the time limit for evaluation shall not exceed 30 working days. The evaluation costs shall be borne by the project approval organs.

Article 17 Departmental Opinions

If a project involves the responsibilities of the relevant industrial administrative department or the local government where the project is located, the project approval organ shall consult with the relevant industrial administrative department or the local government to issue the written review opinions within 7 working days. If the relevant industry administrative department or local government fails to give feedback on the written review opinions within the time limit, it shall be deemed as approval.

Article 18 Public Opinions

Where the project implementation may have a major impact on the public interests, the project approval organs shall, before making decisions of approval, take appropriate measures to solicit public opinions.

Where the relevant departments have conducted substantive examination and issued relevant approval documents on matters concerning the use of land (use of sea), environmental impact, and social stability risks that directly affect the vital interests of the people, the project approval organs may not solicit public opinions repeatedly on the relevant contents.

A system of expert evaluation may be adopted for particularly important projects. Except for the particularly complicated project, the time limit for expert evaluation generally shall not exceed 30 working days.

Article 19 Adjustment, Clarification or Supplement

The project approval organs may, according to the evaluation opinions, departmental opinions, public opinions, etc., request the project units to adjust the relevant contents, or further clarify or supplement the relevant information and documents.

Article 20 Approval Review

The project approval organs shall examine the projects with foreign investment in the following aspects:

1. whether it conforms to the relevant provisions on foreign investment of the State and this Municipality;

2. whether it endangers the economic, social and ecological security and other national securities;

3. whether it conforms to the relevant development and construction plans, technical standards and industrial policies;

4. whether resources are rationally developed and effectively utilized; and

5. whether it affects the major public interests.

Article 21 Decision Approval

The project approval organs shall make decisions on whether to approve or not within 20 working days from the date of accepting the application materials; if the projects are complicated or it is necessary to solicit opinions from the relevant units, the time limit for approval may be extended with the consensus of the chief person-in-charge of the administrative organs, but the time limit for extension shall not exceed 40 working days, and the project units shall be informed of the reasons for such extension.

Where the project approval organs require an entrusted evaluation or have to carry out expert evaluation, the time required shall not be counted within the above time limit. The project approval organs shall inform the project units in writing of the time required for consulting, commissioned evaluation or expert evaluation.

Article 22 Issuance of Approval Documents

If the project approval organs approve the projects, they shall issue the project approval documents to the project units; in case of disapproval, a written notice of disapproval shall be issued and the reasons be given.

When the project approval organs issue the project approval documents or send written notices of disapproval, copies shall be sent to the relevant departments and organs at the same level such as industry administration, housing and urban and rural construction administration, planning resources, ecological environment, water (marine) affairs, transportation and other relevant departments and organs and to the organs at lower levels as well.

Article 23 Alteration Approval

Where the projects that have obtained project approval documents fall under any of the following circumstances, the project units shall timely submit written applications to the original project approval organs for alteration:

1.The project location has altered;

2.The investor or equity has altered;

3.The investment scale and project contents (including construction content) have undergone major changes;

4.The alteration of the projects may have major adverse impacts on the economy, society or environment; and

5.Other major circumstances requiring adjustment of the contents prescribed in the project approval documents.

The project approval organs shall, within 20 working days from the date of accepting the application, make written decisions on whether to approve the alteration.

Article 24 Extension Approval

Where the construction of a project needs to be postponed due to the failure of commencement within 2 years since the approval organs issued the project approval documents or approved the decisions on the alteration of the projects, the project units shall apply to the project approval organs for the extension 30 working days prior to the expiration of the two-year period.

The project approval organs shall, within 20 working days from the date of accepting the application, make decisions on whether to approve the extension of the construction commencement and issue corresponding documents. The construction may only be postponed once, and the period shall not exceed one year at most. If the State has other provisions on the extension of project commencement, such provisions shall prevail.

If the construction is not started within 2 years or the application for extension is not made to the project approval organs in accordance with the relevant provisions, the project approval documents or the decisions approving the project alteration shall automatically be invalid.

Chapter III Project Filing

Article 25 Online Filing

For the projects with foreign investment subject to the filing administration, the project units shall inform the project filing organs of the following filing information through online platforms before the project implementation:

1. the information of the project unit; and

2. the project name, project location, project contents (construction content enclosed), investment scale, investor and country, amount of contribution and proportion of investment, statements for complying with the Negative List and industrial policies, etc.

The project units shall be responsible for the authenticity, legality and integrity of the project filing information.

Article 26 Filing Correction and Completion

The project filing organs shall complete the filing upon receipt of all the project filing information as prescribed in Article 25. If the project units submit incomplete project filing information, the project filing organs shall guide the project units to make correction.

If the project filing organs find that the projects are in the areas prohibited from investment by the Negative List, or the investment is prohibited by the industrial policies, or shall be subject to the approval administration according to law, or they are not within the scopes of authority of the project filing organs, they shall timely inform the project units to make corrections or go through relevant procedures according to law. If the project units refuse to make corrections, the project filing organs shall revoke the project codes in a timely way and notify the project units.

Article 27 Filing Alteration

Where there is a major alteration in the investment scale, project contents (construction content enclosed), investors and equity and other information of the filed project, or if the project implementation is abandoned, the project units shall notify the project filing organs in a timely manner through the online platforms, and modify the relevant information.

If the project units or the project locations have altered, the project units shall re-fill in the project filing information through the online platforms and cancel the original filing project codes.

Article 28 Certificate of Filing

If the project units have completed the project filing or altered the project filing , they may print them on their own through the online platforms or require the project filing organs to issue the Certificate of Filing for the Project with Foreign Investment in Shanghai Municipality or the Certificate of Filing Alteration of the Project with Foreign Investment in Shanghai Municipality.

Article 29 Objection Handling

If the project units have objections to the cancellation of the project codes by the project filing organs, the project units may apply to the higher-level project filing organs for review, and the higher-level organs shall make timely reviews and inform the project units of the results.

Chapter IV Supervision Administration

Article 30 Tiered Guidance and Supervision

The higher-level project approval and filing organs shall strengthen their guidance and supervision over the lower-level project approval and filing organs and timely correct improper acts in their project administration.

Article 31 In-process and Post-process Supervision

The project approval and filing organs shall, in accordance with their prescribed authorities of approval and filing and the principle of he who approves conducting supervision and he who is in charge conducting supervision, strengthen and standardize the in-process and post-process supervision on the projects with foreign investment through online monitoring and on-site verification as to make sure whether they have obtained approval documents or have gone through the filing procedures in accordance with the law before implementation, and whether the projects are implemented in accordance with approval documents or filing contents.

Article 32 Sharing and Handling of Regulatory Information

The project approval and filing organs and other departments that are responsible for projects supervision and administration according to law shall realize the sharing of regulatory information via the “Government Online-Offline Shanghai”. If the project units are found to violate laws and rules, the cases shall be dealt with according to law and the relevant violation information shall be registered according to provisions.

Article 33 Project Implementation Declaration

The project units shall truthfully submit the basic information such as project initiation, implementation progress and project completion through online platforms.

Prior to the commencement of the projects, the project units shall log in the online platforms and file the basic information of the project commencement. After the commencement, the project units shall file the basic information of the dynamic progress of the project construction on a yearly basis. After the completion and acceptance of the projects, the project units shall file the basic completion information of the projects.

After the implementation of the project merger and acquisition, the project units shall log in the online platforms to file the project completion.

Article 34 Credit Discipline

The information concerning the illegal acts and their dealing of the project units in the process of approval, filing and implementation shall be collected and made public through the Shanghai Municipal Public Credit Information Service Platform in accordance with relevant laws and rules.

Chapter V Legal Liability

Article 35 Tiered Instruction for Correction

Where the project approval and filing organs are under any of the following circumstances, they shall be ordered to make corrections by their higher administrative organs, and the chief responsible persons and directly responsible persons shall be punished by the relevant departments and units according to law and discipline:

1. Approval or filing is granted beyond legitimate authorities;

2. Approving the projects that do not meet the statutory requirements;

3. Refusing to approve the projects that meet the statutory conditions;

4. Unauthorized addition or reduction of the examination and approval conditions, or examination and approval in a disguised form in the name of filing;

5. Failing to make decisions on approval within the statutory time limit; or

6. Failing to perform supervision duties according to law or failing to conduct supervision effectively, resulting in serious consequences.

Article 36 Responsibility of Project Approval and Filing Organ

The project approval and filing organs and their staff that abuse power, neglect their duties, practice favoritism, solicit and accept bribes, or disclose, illegally provide commercial secrets known to them when performing their duties in the process of project approval or filing and supervision shall be punished in accordance with the law; if the case constitutes a crime, criminal liability shall be investigated according to law.

Article 37 Liability for Untruthful Declaration

Where the project units that apply for approval and filing by spinning off projects, hiding information or providing false application materials or using other unfair means, the project approval organs shall not accept or approve the application, the project filing organs shall cancel the project codes through online platforms, and impose penalty in accordance with the relevant provisions.

Article 38 Liability for Project Approval

As for the projects subject to the approval administration, if the project units fail to go through the approval procedures or fail to implement the projects in line with the contents of the approval documents, the project approval organs shall order them to stop construction or production according to law, and deal with them in accordance with the relevant provisions.

Where the project approval documents are obtained by cheating, bribery or other improper means, the project approval organs shall revoke the approval documents according to law and impose penalties in accordance with relevant provisions. If the cases constitute a crime, criminal liability shall be investigatedaccording to law.

Article 39 Liability for Project Filing

As for the projects subject to the filing administration, if the project units fail to lawfully submit the project information or the alteration information of the filed projects to the filing organs or provide false information to the filing organs, the project filing organs shall order correction within a time limit; those who fail to make correction within the time limit shall be punished according to the relevant provisions.

Article 40 Liability for Violating the Negative List and Industrial Policy

Where foreign investors invest in the areas prohibited from investment according to the Negative List, or their investment activities violate the special administrative measures for restricted access as prescribed in the Negative List, or the project units invest and construct the projects prohibited by the industrial policies, they shall be dealt with in accordance with relevant provisions.

Chapter VI Supplementary Provisions

Article 41 Implementation References

The investors from Hong Kong Special Administrative Region, Macao Special Administrative Region, Taiwan region and Chinese citizens residing abroad who invest in this Municipality shall make investments referred to these Procedures; where laws, administrative rules and the State have special provisions on the administration of the projects with foreign investment, such provisions shall prevail.

Article 42 Preliminary Trial and Implementation

Where the State and this Municipality have special provisions of preliminary trial and implementation on the administration of the projects with foreign investment for Pudong New Area, China (Shanghai) Pilot Free Trade Zone, Lingang New Area, Hongqiao International Open Hub and other areas, such provisions shall prevail.

Article 43 Validity Period

These Procedures shall be effective as of March 1, 2022, and remain valid until February 28, 2027.

(Where the English translation differs in meaning from the Chinese original, the Chinese original shall be taken as the standard.)