关于《市场准入负面清单(2021 年版)》有关情况的说明

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English中文(简体)

The implementation of the market access negative list system is a major decision and allocation of the Party Central Committee and the State Council, and is an important systemic arrangement for accelerating the improvement of the Socialist Market Economic System. After approval by the Party Central Committee and the State Council, the Market Access Negative List (2021 Edition) (hereinafter The 2021 List) is to be jointly promulgated by the National Development and Reform Commission and the Ministry of Commerce. Relevant explanations are provided as follows.

1. Types of items on the negative list for market access and entry requirements. The market access negative list is divided into two categories: prohibitions and permitting. For items where access is prohibited, market entities must not enter and administrative organs are not to grant approval on review or examination, and the relevant procedures must not be completed; for permitting matters, including related credentialing requirements and procedures, technical standards, and permitting requirements, either the market entry is to submit an application and the administrative organs are to make a decision on whether to approve access, or the market entity is to enter in accordance with access requirements and methods provided by the government; and for industries, fields, and operations not in the market access negative list, all types of market entity are allowed equal entry in accordance with law. The 2021 List has 6 prohibition items and 111 permitting items, for a total of 117 items, 6 items fewer than the 2020 edition of the Market Access Negative List.

II. The application and scope of Market Access Negative List Market Management Measures The Market Access Negative List lists the industries, fields, and operations, etc., for which investment in operations is prohibited or requires a permit in the PRC in accordance with law. Management measures for business activities other than investment, post-entry management measures, recording type management measures, management measures for professional credentials, management measures that are only for overseas market entities, and management measures for specific geographical areas and spaces such as red lines in ecological protection, nature reserves and the protection of drinking water sources, and so forth are not included in the Negative List for Market Access, and are to follow relevant regulations.

III. The legal basis for the Negative List for Market Access management measures. The market access management measures included in the List are to be set in laws, administrative regulations, and State Council decisions. Temporary market access measures may be set from relevant industry and local regulations and the rules of provincial level people's governments. Where specific implementation measures for market access matters are not directly listed in the Negative List for Market access, and the legal basis is sufficient, they shall be implemented in accordance with the regulations. Where in the implementation of the List, temporary access management measures are employed due to special circumstances, they may be included in the list in real time with the approval of the State Council. In order to protect public morality and preserve public interests, relevant departments shall perform their responsibilities for the adjustment and regulation of market access policies in the cultural field and new cultural-related industries in accordance with the law.

4. Other access directories for market access negative list management. 按照党中央、国务院要求编制的涉及行业性、领域性、区域性等方面,需要用负面清单管理方式出台相关措施的,应纳入全国统一的市场准入负面清单。 产业结构调整指导目录、政府核准的投资项目目录纳入市场准入负面清单,地方对两个目录有细化规定的,从其规定。 地方国家重点生态功能区和农产品主产区产业准入负面清单(或禁止限制目录)及地方按照党中央、国务院要求制定的地方性产业结构禁止准入目录,统一纳入市场准入负面清单。 各地区、各部门不得另行制定市场准入性质的负面清单。 五、市场准入负面清单与其他准入规定的衔接。 市场准入负面清单实施中,我国参加的国际公约、与其他国家签署的双多边条约、与港澳台地区达成的相关安排等另有规定的,按照相关规定执行;涉及跨界(境)河流水资源配置调整的重大水利项目和水电站、跨境电网工程、跨境输气管网等跨境事项,以及涉界河工程、涉外海洋科考,征求外事部门意见。

六、市场准入负面清单实施工作机制。 市场主体以告知承诺方式获得许可但未履行信用承诺的,撤销原发放许可,将其履约践诺情况全面纳入信用记录并共享至全国信用信息共享平台,依法依规开展失信惩戒。 对拒不履行司法裁判或行政处罚决定、屡犯不改、造成重大损失的市场主体及其相关责任人,依法依规在一定期限内实施市场和行业禁入措施。 建立违背市场准入负面清单案例归集通报制度,开展市场准入效能评估,畅通市场主体意见反馈渠道,多方面归集违背清单要求案例,完善处理回应机制并定期通报,有关信息在“信用中国”网站上公示。

National Development and Reform Commission and the Ministry of Commerce are responsible for interpreting the Negative List for Market Access in conjunction with relevant departments.

市场准入负面清单(2021年版公开征求意见稿)

Item # 

Matter for Prohibition of Permiting

Index #Description of prohibition or permitting measuresRegulatory DepartmentLocal Permiting Matter
I. Type of Entry Prohibition
1法律、法规、国务院决定等明确设立且与市场准入相关的禁止性规定100001法律、法规、国务院决定等明确设立,且与市场准入相关的禁止性规定(见附件1)
2国家产业政策明令淘汰和限制的产品、技术、工艺、设备及行为100002《产业结构调整指导目录》中的淘汰类项目,禁止投资;限制类项目,禁止新建(调整修订的具体措施见附件2)

禁止投资建设《汽车产业投资管理规定》所列的汽车

投资禁止类事项

3不符合主体功能区建设要求的各类开发活动100003地方国家重点生态功能区产业准入负面清单(或禁止限制目录)、农产品主产区产业准入负面清单(或禁

止限制目录)所列有关事项

4禁止违规开展金融相关经营活动100004非金融机构、不从事金融活动的企业,在注册名称和经营范围中不得使用“银行”“保险(保险公司、保险资产管理公司、保险集团公司、自保公司、相互保险组织)”“证券公司”“基金管理公司(注:指从事公募基金管理业务的基金管理公司)”“信托公司”“金融控

股”“金融集团”“财务公司”“理财”“财富管理”“股权众

筹”“金融租赁”“汽车金融”“货币经纪”“消费金融”“融资担保”“典当”“征信”“交易中心”“交易所”等与金融相关的字样,法律、行政法规和国家另有规定的除外

People's Bank of China

China Banking and Insurance Regulatory Commission

Securities Regulatory Commission

State Administration for Market Regulation

Item # 

Matter for Prohibition of Permiting

 

Index #

Description of prohibition or permitting measures

 

主管部门地方性许可事项

4禁止违规开展金融相关经营活动100004★非金融机构、不从事金融活动的企业,在注册名称和经营范围中原则上不得使用“融资租赁”“商业保理”“小额贷款”“金融”“资产管理”“网贷”“网络借贷”“P2P”“互联网保险”“支付”“外汇(汇兑、结售汇、货币兑换)”“基金管理(注:指从事私募基金管理业务的基金管理公司或者合伙企业,创业投资行业准入按照《国务院关于促进创业投资持续健康发展的若干

意见》(国发〔2016〕53号)有关规定执行)”等与金融相关的字样。

凡在名称和经营范围中选择使用上述字样的企业(包括存量企业),市场监管部门将注册信息及时告知金融管理部门,金融管理部门、市场监管部门予以持续关注,并列入重点监管对象

People's Bank of China

China Banking and Insurance Regulatory Commission

Securities Regulatory Commission

State Administration for Market Regulation

Foreign Exchange Bureau

State Internet Information Office

5禁止违规开展互联网相关经营活动100005《互联网市场准入禁止许可目录》中的有关禁止类措施:

★禁止个人在互联网上发布危险物品信息;禁止任何单位和个人在互联网上发布危险物品制造方法的信

息;禁止危险物品从业单位在本单位网站以外的互联网应用服务中发布危险物品信息及建立相关链接

Ministry of Public Security

State Internet Information Office

Ministry of Industry and Information Technology

Ministry of Ecology and Environment

State Administration for Market Regulation

Item # 

Matter for Prohibition of Permiting

 

Index #

Description of prohibition or permitting measures

 

主管部门地方性许可事项

5禁止违规开展互联网相关经营活动100005★网络借贷信息中介机构不得提供增信服务,不得直接或间接归集资金,不得非法集资,不得损害国家利益和社会公共利益。

网络借贷信息中介机构不得从事或者接受委托从事下列活动:(一)为自身或变相为自身融资;(二)直接或间接接受、归集出借人的资金;(三)直接或变相向出借人提供担保或者承诺保本保息;(四)自行或委托、授权第三方在互联网、

固定电话、移动电话等电子渠道以外的物理场所进行宣传或推介融资项目;(五)发放贷款,但法律法规另有规定的除外;(六)将融资项目的期限进行拆分;(七)自行发售理财等金融产品募集资金,代销理财产品、券商资管、基金、保险或信托产品等金融产品;(八)开展类资产证券化业务或实现以打包资产、证券化资产、信托资产、基金份额等形式的债权转让行为;(九)除法律法规和网络借贷有关监管规定允许外,与其他机构投资、代理销售、经纪等业务

进行任何形式的混合、捆绑、代理;(十)虚构、夸

大融资项目的真实性、收益前景,隐瞒融资项目的瑕疵及风险,以歧义性语言或其他欺骗性手段等进行虚假片面宣传或促销等,捏造、散布虚假信息或不完整信息损害他人商业信誉,误导出借人或借款人;(十一)向借款用途为投资股票、场外配资、期货合约、

结构化产品及其他衍生品等高风险的融资提供信息中介服务;(十二)从事股权众筹等业务;(十三)法律法规、网络借贷有关监管规定禁止的其他活动

★特殊医学用途配方食品中特定全营养配方食品不得进行网络交易

China Banking and Insurance Regulatory Commission

Ministry of Industry and Information Technology

Ministry of Public Security

State Internet Information Office

State Administration for Market Regulation

Item # 

Matter for Prohibition of Permiting

 

Index #

Description of prohibition or permitting measures

 

主管部门地方性许可事项

6Prohibition on conducting news media-related operations in violation of regulations100006Non-public capital must not engage in news gathering, editing, and broadcasting operations

Non-public capital must not invest in the establishment or operation of news institutions, including but not limited to news agencies, newspaper publishers, radio and television broadcasters, radio and television stations, as well as internet news information gathering and publication service institutions, etc.

Non-public capital must not operate news institutions' layouts, frequencies, channels, columns, public accounts, etc.

Non-public capital must not engage in live broadcast operations of politics, economics, military, and foreign affairs, or major activities or incidents in society, culture, technology, health, education, sports, and so forth that are related to political orientation, the orientation of public opinion, and values orientations.

Non-public capital must not introduce news released by foreign entities

Non-public capital must not host summits and award selection activities in the field of news and public opinion

Press and Publication Administration

State Administration of Radio Television and Film

State Internet Information Office

Press and Publication Administration

State Administration of Radio Television and Film

State Internet Information Office

Press and Publication Administration

State Administration of Radio Television and Film

State Internet Information Office

Press and Publication Administration

State Administration of Radio Television and Film

State Internet Information Office

Press and Publication Administration

State Administration of Radio Television and Film

State Internet Information Office

Press and Publication Administration

State Administration of Radio Television and Film

State Internet Information Office

二、许可准入类
(一)农、林、牧、渔业
7未获得许可或相关资格,不得从事特定植物种植或种子、种苗的生产、经营、检测和进出口201001农作物种子、林草种子、食用菌菌种生产经营、进出口许可

农作物种子、食用菌菌种质量检验机构资质认定

Ministry of Agriculture and Rural Affairs

林草局

Ministry of Agriculture and Rural Affairs

工业大麻种植、加工许可(云南)
Item # 

Matter for Prohibition of Permiting

 

Index #

Description of prohibition or permitting measures

 

主管部门地方性许可事项

7未获得许可或相关资格,不得从事特定植物种植或种子、种苗的生产、经营、检测和进出口201001国家重点保护农业、林草天然种质资源采集、采伐审批

向境外提供或者与境外机构、个人开展合作研究利用农作物、林草、食用菌种质资源审批

向外国人转让农业、林草植物新品种申请权或品种权

审批

麻醉药品药用原植物种植国家管制、种植企业指定及种植计划管理

Ministry of Agriculture and Rural Affairs

林草局

Ministry of Agriculture and Rural Affairs

林草局

Ministry of Agriculture and Rural Affairs

林草局

药监局

Ministry of Agriculture and Rural Affairs

8未获得许可,不得繁育、调运农林植物及其产品或从国外引进农林繁殖材料201002从国外引进农业、林草种子、苗木及其他繁殖材料检疫和隔离试种审批

农业、林草植物及其产品的产地检疫合格证、调运检

疫证书核发

Ministry of Agriculture and Rural Affairs

林草局

Ministry of Agriculture and Rural Affairs

林草局

9未获得许可,不得从事农林转基因生物的研究、生产、加工和进口201003农业转基因生物研究、试验、生产、加工、进口审批

开展林草转基因工程活动审批

 

Ministry of Agriculture and Rural Affairs

林草局

10未获得许可,不得从事林木经营或利用森林资源、湿地资源开展生产经营活动201004 

林木采伐许可证核发

 

林草局

采集、出售、收购、加工省级重点珍稀林木审批(各有关地区)

利用森林资源、湿地资源或在生态公益林区内开展旅游和其他经营活动审批(各有关地区)

Item # 

Matter for Prohibition of Permiting

 

Index #

Description of prohibition or permitting measures

 

主管部门地方性许可事项

11未获得许可,不得从事种畜禽等动物遗传材料的生产经营201005种畜禽、畜禽冷冻精液、胚胎、蚕种或者其他遗传材料生产经营许可

水产苗种(含转基因水产苗种)生产经营、进出口审批

畜禽、蜂、蚕遗传资源引进、输出、对外合作研究审批

Ministry of Agriculture and Rural Affairs

Ministry of Agriculture and Rural Affairs

Ministry of Agriculture and Rural Affairs

12未获得许可,不得从事渔业养殖、捕捞业务201006渔业捕捞及远洋渔业审批

水域滩涂养殖证核发

建设禁渔区线内侧的人工鱼礁审批

 

Ministry of Agriculture and Rural Affairs

Ministry of Agriculture and Rural Affairs

Ministry of Agriculture and Rural Affairs

13未获得许可,不得从事动物诊疗、进出境检疫处理等业务201007动物诊疗许可

松材线虫病疫木加工板材定点加工企业审批

进出境动植物检疫处理单位核准

 

Ministry of Agriculture and Rural Affairs

林草局

Customs General Administration

14未获得许可,不得从事动物饲养、屠宰和经营201008设立动物饲养场和隔离场所、动物屠宰加工场所以及动物和动物产品无害化处理场所的动物防疫条件合格证核发;生猪定点屠宰厂(场)设置审查

屠宰、出售或者运输动物,以及出售或者运输动物产

品的检疫合格证核发

从事饲料、饲料添加剂生产的企业审批;新饲料、新饲料添加剂证书核发;饲料添加剂产品批准文号核发

Ministry of Agriculture and Rural Affairs

Ministry of Agriculture and Rural Affairs

Ministry of Agriculture and Rural Affairs

Item # 

Matter for Prohibition of Permiting

 

Index #

Description of prohibition or permitting measures

 

主管部门地方性许可事项

15未获得许可,不得从事生鲜乳运输、收购201009 

生鲜乳收购站许可、准运证明核发

 

Ministry of Agriculture and Rural Affairs

16未获得许可或资质,不得超规模流转土地经营权201010工商企业等社会资本通过流转取得土地、林地经营权审批Ministry of Agriculture and Rural Affairs

林草局

(二)采矿业
Item # 

Matter for Prohibition of Permiting

 

Index #

Description of prohibition or permitting measures

 

主管部门地方性许可事项

(三)制造业
18未获得许可,不得从事特定食品生产经营和进出口203001新食品原料、食品添加剂新品种、食品相关产品新品种审批;进口尚无食品安全国家标准食品的适用标准指定

食品生产、经营许可(仅销售预包装食品除外);食品添加剂生产许可

特殊医学用途配方食品、婴幼儿配方乳粉产品配方、使用保健食品原料目录以外原料或首次进口的保健食品(不包括补充维生素、矿物质等营养物质的保健食品)注册

食盐定点生产、批发企业审批

卫生健康委

State Administration for Market Regulation

State Administration for Market Regulation

Ministry of Industry and Information Technology

食品生产加工小作坊、食品摊贩和小餐饮等从事食品生产经营活动应按有关规定进行登记备

案、获得许可或通过审批(各有关地区)

定点应急粮油加工资质认定(各有关地区)

19未获得许可或履行法定程序,不得从事烟草专卖品生产203002烟叶种植者应当与烟草公司签订合同,约定烟叶种植面积

烟草制品生产企业设立、分立、合并、撤销审批

烟草专卖品生产企业许可

优良烟草品种需由当地烟草公司组织供应

外国烟草制品来牌或来料加工、许可证生产、合作开发卷烟牌号审批

Tobacco Board

Tobacco Board

Tobacco Board

Tobacco Board

Tobacco Board

Item # 

Matter for Prohibition of Permiting

 

Index #

Description of prohibition or permitting measures

 

主管部门地方性许可事项

20未获得许可,不得从事印刷复制业或公章刻制业特定业务203003制作机动车登记证书、行驶证、号牌、驾驶证资格限制

制作拖拉机和联合收割机登记证书、行驶证、号牌、驾驶证资格限制

印制增值税专用发票、银行票据、清算凭证资格限制

印刷企业设立、变更、兼并、合并、分立审批

音像复制单位、电子出版物复制单位接受委托复制境

外音像制品、电子出版物审批

印刷企业接受委托印刷境外出版物审批;内部资料性出版物准印审批

国家秘密载体制作、复制资质认定

公章刻制业特种行业许可

Ministry of Public Security

Ministry of Agriculture and Rural Affairs

People's Bank of China

State Administration of Taxation

Press and Publication Administration

Press and Publication Administration

Press and Publication Administration

保密局

Ministry of Public Security

Item # 

Matter for Prohibition of Permiting

 

Index #

Description of prohibition or permitting measures

 

主管部门地方性许可事项

21未获得许可,不得从事涉核、放射性物品生产、运输和经营203004核材料许可证核发、民用核材料许可证核准

国防科技工业军用核设施和民用核设施核安全设备设计、制造、安装、无损检验单位许可

核电站实体保卫工程验收;核设施选址、建造、运行、退役等活动许可

放射性物品道路运输许可

一类放射性物品运输容器设计审批、制造许可证核

发;使用境外单位制造的一类放射性物品运输容器审批;一类放射性物品运输的核与辐射安全分析报告书审批

放射性同位素转让、野外示踪试验审批

生产、销售、使用放射性同位素和射线装置的辐射安全许可

国防科工局

Ministry of Ecology and Environment

国防科工局

Ministry of Ecology and Environment

国防科工局

Ministry of Ecology and Environment

Ministry of Public Security

Ministry of Public Security

Ministry of Ecology and Environment

国防科工局

Ministry of Ecology and Environment

Ministry of Ecology and Environment

22未获得许可,不得从事特定化学品的生产经营及项目建设,不得从事金属冶炼项目建设203005肥料登记

生产、储存危险化学品建设项目(港口建设项目除外)安全设施设计审查、安全条件审查

第一类监控化学品生产和使用许可

第二、三类和含磷硫氟的第四类监控化学品生产特别许可

 

Ministry of Agriculture and Rural Affairs

应急部

Ministry of Industry and Information Technology

Ministry of Industry and Information Technology

Item # 

Matter for Prohibition of Permiting

 

Index #

Description of prohibition or permitting measures

 

主管部门地方性许可事项

22未获得许可,不得从事特定化学品的生产经营及项目建设,不得从事金属冶炼项目建设203005第二、三类和含磷硫氟的第四类监控化学品生产设施建设审批

第一、二、三类监控化学品及其生产技术、专用设备进出口单位审批、进出口审批

第二类监控化学品经营、使用及改变使用目的许可

危险化学品(另有规定的除外)安全生产许可

第一类、第二类易制毒化学品运输许可;易制毒化学品进出口许可

第一类非药品类易制毒化学品生产、经营、购买许可

危险化学品经营许可、安全使用许可、进出口环境管理登记证核发;剧毒化学品购买、道路运输通行许可

新化学物质环境管理登记证核发(按备案管理的除外)

金属冶炼建设项目安全设施设计审查

Ministry of Industry and Information Technology

Ministry of Industry and Information Technology

Ministry of Industry and Information Technology

应急部

Ministry of Public Security

应急部

Ministry of Public Security

应急部

Ministry of Ecology and Environment

Ministry of Public Security

Ministry of Ecology and Environment

应急部

23未获得许可,不得从事民用爆炸物品、烟花爆竹的生产经营及爆破作业203006民用爆炸物品生产、安全生产、进出口、运输、销售和购买许可

生产、储存烟花爆竹建设项目安全设施设计审查;烟花爆竹安全生产、经营、道路运输许可

爆破作业单位许可以及城市、风景名胜区和重要工程设施附近实施爆破作业审批

Ministry of Industry and Information Technology

Ministry of Public Security

应急部

Ministry of Public Security

Ministry of Public Security

Item # 

Matter for Prohibition of Permiting

 

Index #

Description of prohibition or permitting measures

 

主管部门地方性许可事项

24未获得许可,不得从事医疗器械或化妆品的生产与进口203007化妆品生产许可

特殊化妆品、风险程度较高的化妆品新原料注册审批

第二类、第三类医疗器械生产许可

第二类、第三类医疗器械注册审批

风险程度较高的第三类医疗器械临床试验审批

 

药监局

药监局

药监局

药监局

药监局

25未获得许可,不得从事药品的生产、销售或进出口203008疫苗类制品、血液制品、用于血源筛查的体外诊断试剂等法律规定生物制品销售、进口前批签发;微生物、人体组织、生物制品、血液及其制品等特殊物品出入境卫生检疫审批

药品生产许可;疫苗委托生产审批

;新建、改建或者扩建血液制品生产企业立项审查

麻醉药品和精神药品实验研究活动及成果转让审批药物非临床研究质量管理规范认证

药物临床试验、药品上市注册审批

药监局

Customs General Administration

药监局

药监局

药监局

药监局

采集、猎捕国家和地方重点保护的野生药材物

种许可(黑龙江)

Item # 

Matter for Prohibition of Permiting

 

Index #

Description of prohibition or permitting measures

 

主管部门地方性许可事项

25未获得许可,不得从事药品的生产、销售或进出口203008麻醉药品、精神药品生产企业许可、进出口许可;第一类易制毒化学品(药品类)生产许可

中药保护品种审批;中药保护品种向国外申请注册审

放射性药品生产、经营企业审批

药监局

药监局

药监局

国防科工局

26未获得许可,不得从事兽药及兽用生物制品的临床试验、生产、经营和进出口203009兽药生产、经营许可;强制免疫所需兽用生物制品生产企业指定

兽药产品批准文号核发及标签、说明书审批

兽医微生物菌、毒种进出口审批

国内防疫急需(兽用)疫苗限制或者禁止出口

进口兽药注册和特殊用途兽药进口审批

新兽药研制、注册审批

Ministry of Agriculture and Rural Affairs

Ministry of Agriculture and Rural Affairs

Ministry of Agriculture and Rural Affairs

Ministry of Agriculture and Rural Affairs

Ministry of Agriculture and Rural Affairs

Ministry of Agriculture and Rural Affairs

27未获得许可,不得从事农药的登记试验、生产、经营和进口203010农药登记;农药生产许可;农药经营(卫生用农药除外)许可

农药登记试验单位认定

Ministry of Agriculture and Rural Affairs

Ministry of Agriculture and Rural Affairs

About China Law Translate 1145 Articles
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