外商投资国际海运业管理规定(附英文)

颁布单位：交通部商务部	文号：
颁布日期：2004-02-25	失效日期：
效力级别：部委规章

外商投资国际海运业管理规定

中华人民共和国交通部

中华人民共和国商务部

令

2004年第1号

现公布《外商投资国际海运业管理规定》，自2004年6月1日起施行。

交通部部长张春贤

商务部部长薄熙来

二○○四年二月二十五日

外商投资国际海运业管理规定

第一条为规范对外商在中国境内设立外商投资企业从事国际海上运输业务以及与国际海上运输相关的辅助性经营业务的管理，保护中外投资者的合法权益，根据《中华人民共和国国际海运条例》（以下简称《海运条例》）和中华人民共和国外商投资的有关法律、行政法规，制定本规定。

第二条外商在中国境内投资经营国际海上运输业务以及与国际海上运输相关的辅助性经营业务（以下简称国际海运业），适用本规定。

第三条中华人民共和国交通部和商务部及其授权的部门负责外商在中华人民共和国境内投资设立经营国际海运业的外商投资企业的审批和管理工作。

第四条经交通部和商务部批准，允许外商采用以下形式投资经营国际海运业：

（一）设立中外合资、中外合作企业经营国际船舶运输、国际船舶代理、国际船舶管理、国际海运货物装卸、国际海运集装箱站和堆场业务；

（二）设立中外合资、中外合作、外商独资企业经营国际海运货物仓储业务；

（三）设立中外合资、中外合作、外商独资企业为投资者拥有或者经营的船舶提供日常业务服务。

第五条设立外商投资国际船舶运输企业，需符合如下条件：

（一）有与经营国际海上运输业务相适应的船舶，其中必须有中国籍船舶；

（二）投入运营的船舶符合国家规定的海上交通安全技术标准；

（三）有提单、客票或者多式联运单证；

（四）有具备交通部规定的从业资格的高级业务管理人员；

（五）以中外合资或中外合作企业形式设立，外商的出资比例不得超过49%；

（六）企业的董事长和总经理，由投资各方协商后由中方指定；

（七）法律、行政法规规定的其他条件。

第六条设立外商投资企业经营国际船舶运输业务，应当首先根据《海运条例》及《中华人民共和国海运条例实施细则》（以下简称《海运条例实施细则》）的规定向交通部提出申请，经交通部许可后，申请人应根据国家外商投资法律、行政法规的规定，凭交通部的许可文件向商务部提交本规定第十五条规定的文件，到商务部办理外商投资企业的设立审批手续，取得《外商投资企业批准证书》。

申请人应当持交通部的许可文件和商务部颁发的《外商投资企业批准证书》等有关文件，依法向工商行政管理机关办理工商登记，领取营业执照。

外商投资国际船舶运输企业依法设立后，申请人应当持工商行政管理机关颁发的营业执照向交通部申领《国际船舶运输经营许可证》，取得许可证书后方可从事国际船舶运输经营活动。

第七条设立外商投资国际船舶代理企业，需符合如下条件：

（一）高级业务管理人员中至少2人具有3年以上从事国际海上运输经营活动的经历。高级业务管理人员是指具有中级或中级以上职称、在国际海运企业或者国际海运辅助企业任部门经理以上职务的中国公民；

（二）有固定的营业场所和必要的营业设施，包括具有同港口和海关等部门进行电子数据交换的能力；

（三）以中外合资或中外合作企业形式设立，外商出资比例不得超过49%；

（四）法律、行政法规规定的其他条件。

第八条设立外商投资企业经营国际船舶代理业务，应当首先根据《海运条例》及《海运条例实施细则》的规定向交通部提出申请，经交通部许可后，申请人应根据国家外商投资法律、行政法规的规定，凭交通部的许可文件向商务部提交本规定第十五条规定的文件，到商务部办理外商投资企业的设立审批手续，取得《外商投资企业批准证书》。

申请人应当持交通部的许可文件和商务部颁发的《外商投资企业批准证书》等有关文件，依法向工商行政管理机关办理工商登记，领取营业执照。

外商投资国际船舶代理企业依法设立后，申请人应当持工商行政管理机关颁发的营业执照向交通部申领《国际船舶代理经营资格登记证》，取得资格登记证后方可从事国际船舶代理经营活动。

第九条设立外商投资国际船舶管理企业，需具备下列条件：

（一）高级业务管理人员中至少2人具有3年以上从事国际海上运输经营活动的经历；

（二）有持有与所管理船舶种类和航区相适应的船长、轮机长适任证书的人员；

（三）有与国际船舶管理业务相适应的设备、设施。

第十条设立外商投资企业经营国际船舶管理业务，应当根据《海运条例》及《海运条例实施细则》的规定向交通部提出申请，经交通部许可后，申请人凭交通部的许可文件并提交本规定第十五条规定的材料，根据国家有关外商投资的法律、行政法规的规定向企业所在地省级人民政府商务主管部门办理《外商投资企业批准证书》。

外商投资国际船舶管理企业依法设立后，申请人应当持工商行政管理机关颁发的营业执照向企业所在地的省级人民政府交通主管部门申领《国际海运辅助业经营资格登记证》，取得登记证书后方可从事国际船舶管理经营活动。

第十一条设立外商投资企业经营国际海运集装箱站和堆场业务、国际海运货物仓储，应当根据《海运条例》及《海运条例实施细则》的规定向交通部提出申请，经交通部许可后，申请人凭交通部的许可文件并提交本规定第十五条规定的材料，根据国家有关外商投资的法律、行政法规的规定向企业所在地省级人民政府商务主管部门办理《外商投资企业批准证书》。

外商投资国际海运集装箱站和堆场企业、国际海运货物仓储企业依法设立后，申请人应当持工商行政管理机关颁发的营业执照向企业所在地的省级人民政府交通主管部门申领《国际海运辅助业经营资格登记证》，取得登记证书后方可从事相关业务。

外商投资设立国际海运货物装卸企业，依照国家有关规定办理。

第十二条对已经设立的外商投资企业申请增加经营国际海运或国际海运辅助性业务，应当按照本规定中设立相关外商投资国际海运企业的程序办理相应手续。

已经设立的外商投资国际海运企业设立分支机构，应当按照有关外商投资法律、行政法规的规定和《海运条例》及《海运条例实施细则》的规定分别到交通部和商务部或其授权的部门办理相应手续。

已经设立的外商投资国际海运企业的合营合同、公司章程中有关出资、股权结构、经营范围等重要内容进行变更的，应当按照有关外商投资法律、行政法规的规定到商务部或其授权部门办理相关手续。变更《海运条例实施细则》第二十一条规定事项的，应当向交通部备案。

第十三条外国航运公司可以设立中外合资、中外合作、外商独资企业，为投资者拥有或者经营的船舶提供承揽货物、代签提单、代结运费、代签服务合同等日常业务服务，其申请设立程序依照交通部与商务部联合发布的外商独资船务公司审批管理的有关规定办理。

第十四条在中国境内的外商投资企业经营无船承运业务，应依照《海运条例》及《海运条例实施细则》的规定，向交通部申请登记取得《无船承运业务经营资格登记证》，并依照外商投资的有关法律、行政法规的规定，到商务部办理审批手续。

第十五条申请人向交通部提出申请，应当提交《海运条例》及《海运条例实施细则》规定的材料；向商务部或其授权部门提出申请的，应向审批机关提交如下材料：

（一）申请书；

（二）可行性研究报告；

（三）合营合同和合营公司章程（独资企业只报送章程）；

（四）投资者注册登记证明文件及资信证明文件；

（五）拟设立企业董事长和总经理的身份证明；

（六）法律、行政法规要求的其他文件。

第十六条中国香港特别行政区、澳门特别行政区和台湾地区的投资者在中国其他省、自治区和直辖市投资设立国际海运及其国际海运辅助企业，参照本规定办理。

第十七条根据国务院批准的《内地与香港关于建立更紧密经贸关系的安排》、《内地与澳门关于建立更紧密经贸关系的安排》及其附件的有关规定，自2004年1月1日起，允许香港和澳门的服务提供者在内地设立独资企业经营国际船舶管理、国际海运货物仓储、国际海运集装箱站和堆场、无船承运业务；允许香港和澳门的服务提供者在内地设立独资船务公司，为其拥有或者经营的船舶提供揽货、签发提单、结算运费、签订服务合同等日常业务服务。

第十八条本规定由交通部和商务部负责解释。

第十九条本规定自2004年5月1日起施行。

PROVISIONSONADMINISTRATIONOFFOREIGNINVESTMENTININTERNATIONALMARITIMETRANSPORTATION

(PromulgatedbyDecreeNo.1oftheMinistryofCommunicationsandtheMinistryofCommerceonMarch2nd,2004,andeffectiveasofJune1st,2004)

Article1TheseProvisionsareformulatedinaccordancewiththeRegulationsofthePeople’sRepublicofChinaonInternationalMaritimeTransportation(hereinafterreferredtoastheMaritimeTransportationRegulations)andtherelevantlawsandadministrativeregulationsofthePeople’sRepublicofChinaonforeigninvestment,forthepurposesofregulatingtheestablishmentofforeign-fundedenterprisesbyforeigninvestorstoengageininternationalmaritimetransportationbusinessandauxiliarybusinessrelatingtheretoandsafeguardingthelawfulrightsandinterestsofChineseandforeigninvestors.

Article2TheseProvisionsareapplicabletotheinvestmentinandoperationofinternationalmaritimetransportationbusinessandauxiliarybusinessesrelatingthereto(hereinafterreferredtoasinternationalmaritimetransportation)byforeigninvestorswithintheterritoryofChina.

Article3TheMinistryofCommunicationsandtheMinistryofCommerceofthePeople’sRepublicofChinaaswellastheirauthorizedagenciesareresponsiblefortheapprovalandadministrationoftheestablishmentofforeign-fundedenterpriseswithintheterritoryofthePeople’sRepublicofChinabyforeigninvestorstoengageininternationalmaritimetransportation.

Article4WiththeapprovaloftheMinistryofCommunicationsandtheMinistryofCommerce,aforeigninvestormayinvestinandoperateinternationalmaritimetransportationinthefollowingforms:

(1)toestablishaChinese-foreignequityjointventureoraChinese-foreigncontractualjointventuretoengageininternationalshippingservices,internationalshippingagencyservices,internationalshipmanagementservices,loadingandunloadingofinternationalshipmentsandinternationalmaritimecontainerfreightstationandcontaineryardservices;

(2)toestablishaChinese-foreignequityjointventure,aChinese-foreigncontractualjointventureorawhollyforeign-ownedenterprisetoengageininternationalmaritimecargowarehousingservices;

(3)toestablishaChinese-foreignequityjointventure,aChinese-foreigncontractualjointventureorawhollyforeign-ownedenterprisetoofferroutineservicesforthevesselsownedoroperatedbytheinvestor.

Article5Aforeign-fundedinternationalshippingenterprisetobeestablishedshallmeetthefollowingconditions:

(1)havingvesselssuitableforemploymentininternationalmaritimetransportation,amongwhichtheremustbevesselsofChinesenationality;

(2)vesselsunderemploymentshallbeincompliancewiththetechnicalstandardsformaritimetrafficsafetyassetforthbytheState;

(3)havingbillsoflading,passengerticketsormultimodaltransportationdocuments;

(4)havingseniorexecutiveswiththeprofessionalqualificationsassetforthbytheMinistryofCommunications;

(5)incaseofestablishingaChinese-foreignequityjointventureoraChinese-foreigncontractualjointventure,theproportionofinvestmentmadebyforeigninvestorsshallnotexceed49%;

(6)thechairpersonoftheboardofdirectorsandthegeneralmanagershallbeappointedbytheChinesesideafterconsultationbetweenthebothsides;

(7)otherconditionsspecifiedbylawsoradministrativeregulations.

Article6Whereanyoneistoestablishaforeign-fundedenterprisetoengageininternationalshippingservices,itshallfirstlymakeanapplicationtotheMinistryofCommunicationsinaccordancewiththeprovisionsoftheMaritimeTransportationRegulationsandtheImplementingRulesoftheRegulationsofthePeople’sRepublicofChinaonInternationalMaritimeTransportation(hereinafterreferredtoastheImplementingRulesoftheMaritimeTransportationRegulations);ifsuchapplicationisapprovedbytheMinistryofCommunications,theapplicantshall,inaccordancewiththelawsandadministrativeregulationsonforeigninvestmentoftheStateandonthestrengthoftheapprovaldocumentissuedbytheMinistryofCommunications,gothroughtheapprovalproceduresforestablishingaforeign-fundedenterprisewiththeMinistryofCommercebysubmittingthedocumentsspecifiedinArticle15oftheseProvisionsandobtaintheApprovalCertificateforForeign-fundedEnterprise.

Theapplicantshall,bypresentingtheapprovaldocumentissuedbytheMinistryofCommunications,theApprovalCertificateforForeign-fundedEnterpriseissuedbytheMinistryofCommerceandotherrelevantdocuments,gothroughtheindustrialandcommercialregistrationformalitieswiththeadministrativedepartmentforindustryandcommerceaccordingtolawandobtainthebusinesslicense.

Aftertheestablishmentofaforeign-fundedinternationalshippingenterprise,theapplicantshall,bypresentingthebusinesslicenseissuedbytheadministrativedepartmentforindustryandcommerce,applytotheMinistryofCommunicationsforobtainingthePermitforOperationofInternationalShippingServices.OnlythosethathaveobtainedsuchPermitmayengageinternationalshippingservices.

Article7Aforeign-fundedinternationalshippingagencyenterprisetobeestablishedshallmeetthefollowingconditions:

(1)havingatleasttwoseniorexecutiveswithnolessthanthreeyears’experienceininternationalmaritimetransportationbusinessoperations.Theterm“seniorexecutives”referstoChinesecitizenswhohavesecondaryorhighertechnicaloracademictitlesandserveasdepartmentmanagersoraboveinenterprisesengagingininternationalmaritimetransportationbusinessortheauxiliarybusinessrelatingthereto;

(2)havingafixedplaceofbusinessandnecessarybusinessfacilities,includingtheabilitytohaveelectronicdatainterchange(EDI)withports,theCustomsandotherdepartments;

(3)incaseofestablishingaChinese-foreignequityjointventureoraChinese-foreigncontractualjointventure,theproportionofinvestmentmadebyforeigninvestorsshallnotexceed49%;

(4)otherconditionsspecifiedbylawsoradministrativeregulations.

Article8Whereanyoneistoestablishaforeign-fundedenterprisetoengageininternationalshippingagencyservices,itshallfirstlymakeanapplicationtotheMinistryofCommunicationsinaccordancewiththeprovisionsoftheMaritimeTransportationRegulationsandtheImplementingRulesoftheMaritimeTransportationRegulations;ifsuchapplicationisapprovedbytheMinistryofCommunications,theapplicantshall,inaccordancewiththelawsandadministrativeregulationsonforeigninvestmentoftheStateandonthestrengthoftheapprovaldocumentissuedbytheMinistryofCommunications,gothroughtheapprovalproceduresforestablishingaforeign-fundedenterprisewiththeMinistryofCommercebysubmittingthedocumentsspecifiedinArticle15oftheseProvisionsandobtaintheApprovalCertificateforForeign-fundedEnterprise.

Aftertheestablishmentofaforeign-fundedinternationalshippingagencyenterprise,theapplicantshall,bypresentingthebusinesslicenseissuedbytheadministrativedepartmentforindustryandcommerce,applytotheMinistryofCommunicationsforobtainingtheRegistrationforOperationofInternationalShippingAgencyServices.OnlythosethathaveobtainedsuchRegistrationmayengageinternationalshippingagencyservices.

Article9Aforeign-fundedinternationalshipmanagemententerprisetobeestablishedshallmeetthefollowingconditions:

(1)havingatleasttwoseniorexecutiveswithnolessthanthreeyears’experienceininternationalmaritimetransportationbusinessoperations;

(2)havingstaffmembersinpossessionofmaster’sorchiefengineer’sdocumentsofcompetencethatarecommensuratewiththetypesofvesselsundertheirmanagementandthenavigationzones;

(3)havingtheequipmentorfacilitiescommensuratewiththeinternationalshipmanagementservices.

Article10Whereanyoneistoestablishaforeign-fundedenterprisetoengageininternationalshipmanagementservices,itshallfirstlymakeanapplicationtotheMinistryofCommunicationsinaccordancewiththeprovisionsoftheMaritimeTransportationRegulationsandtheImplementingRulesoftheMaritimeTransportationRegulations;ifsuchapplicationisapprovedbytheMinistryofCommunications,theapplicantshall,inaccordancewiththelawsandadministrativeregulationsonforeigninvestmentoftheStateandonthestrengthoftheapprovaldocumentissuedbytheMinistryofCommunications,gothroughtheapprovalproceduresforobtainingtheApprovalCertificateforForeign-fundedEnterprisewiththecompetentcommerceadministrationdepartmentofthepeople’sgovernmentoftheprovincewheresuchenterpriseistobelocatedbysubmittingthedocumentsspecifiedinArticle15oftheseProvisions.

Aftertheestablishmentofaforeign-fundedinternationalshipmanagemententerprise,theapplicantshall,bypresentingthebusinesslicenseissuedbytheadministrativedepartmentforindustryandcommerce,applytothecompetentcommunicationsadministrationdepartmentofthepeople’sgovernmentoftheprovincewheresuchenterpriseislocatedforobtainingtheRegistrationforOperationofAuxiliaryBusinessesRelatingtoInternationalMaritimeTransportation.OnlythosethathaveobtainedsuchRegistrationmayengageininternationalshipmanagementservices.

Article11Whereanyoneistoestablishaforeign-fundedenterprisetoengageininternationalmaritimecontainerfreightstationandcontaineryardservicesorinternationalmaritimecargowarehousingservices,itshallfirstlymakeanapplicationtotheMinistryofCommunicationsinaccordancewiththeprovisionsoftheMaritimeTransportationRegulationsandtheImplementingRulesoftheMaritimeTransportationRegulations;ifsuchapplicationisapprovedbytheMinistryofCommunications,theapplicantshall,inaccordancewiththelawsandadministrativeregulationsonforeigninvestmentoftheStateandonthestrengthoftheapprovaldocumentissuedbytheMinistryofCommunications,gothroughtheapprovalproceduresforobtainingtheApprovalCertificateforForeign-fundedEnterprisewiththecompetentcommerceadministrationdepartmentofthepeople’sgovernmentoftheprovincewheresuchenterpriseistobelocatedbysubmittingthedocumentsspecifiedinArticle15oftheseProvisions.

Aftertheestablishmentofaforeign-fundedenterpriseengagingininternationalmaritimecontainerfreightstationandcontaineryardservicesorinternationalmaritimecargowarehousingservices,theapplicantshall,bypresentingthebusinesslicenseissuedbytheadministrativedepartmentforindustryandcommerce,applytothecompetentcommunicationsadministrationdepartmentofthepeople’sgovernmentoftheprovincewheresuchenterpriseislocatedforobtainingtheRegistrationforOperationofAuxiliaryBusinessesRelatingtoInternationalMaritimeTransportation.OnlythosethathaveobtainedsuchRegistrationmayengageintherelevantservices.

Theestablishmentofaforeign-fundedenterpriseengaginginloadingandunloadingofinternationalshipmentsshallbegovernedbytherelevantprovisionsoftheState.

Article12Whereanestablishedforeign-fundedenterpriseappliestoaddinternationalmaritimetransportationbusinessortheauxiliarybusinessrelatingtheretotoitsbusinessscope,itshallgothroughthecorrespondingformalitiesinaccordancewiththeproceduresforestablishingaforeign-fundedenterpriseengaginginspecificinternationalmaritimetransportationbusinessessetforthintheseProvisions.

Whereanestablishedforeign-fundedenterpriseengagingininternationalmaritimetransportationistoestablishbranches,itshallgothroughthecorrespondingformalitieswiththeMinistryofCommunicationsandtheMinistryofCommerceortheirauthorizedagenciesinaccordancewiththelawsandadministrativeregulationsonforeigninvestmentoftheState,theMaritimeTransportationRegulationsandtheImplementingRulesoftheMaritimeTransportationRegulations.

Whereanestablishedforeign-fundedenterpriseengagingininternationalmaritimetransportationistomodifytheessentialcontentssuchasinvestmentcontribution,structureofthesharesorscopeofbusinessofitscontactofjointventureorarticlesofassociation,itshallgothroughthecorrespondingformalitieswiththeMinistryofCommerceoritsauthorizedagenciesinaccordancewiththelawsandadministrativeregulationsonforeigninvestmentoftheState.AnymodificationtothemattersspecifiedinArticle21oftheImplementingRulesoftheMaritimeTransportationRegulationsshallbefiledwiththeMinistryofCommunicationsfortherecord.

Article13AforeigncompanyengaginginshippingmayestablishaChinese-foreignequityjointventure,Chinese-foreigncontractualjointventureorwhollyforeign-ownedenterprisetooffersuchroutineservicesascanvassingofcargoes,issuanceofbillsoflading,settlementoffreightandsigningofservicecontractsforthevesselsownedoroperatedbyinvestors.TheproceduresforestablishmentapplicationofsuchanenterpriseshallbegovernedbytherelevantprovisionsjointlyissuedbytheMinistryofCommunicationsandtheMinistryofCommerceonapprovalofestablishmentofwhollyforeign-ownedshippingcompanies.

Article14Whereaforeign-fundedenterprisewithintheterritoryofChinaistoengageinnon-vessel-operatingservices,itshall,inaccordancewiththeprovisionsoftheMaritimeTransportationRegulationsandtheImplementingRulesoftheMaritimeTransportationRegulations,makeanapplicationtotheMinistryofCommunicationsforregistrationandobtainingtheRegistrationofNon-vessel-operatingServicesQualification,andgothroughtheapprovalformalitieswiththeMinistryofCommerceinaccordancewiththerelevantlawsandadministrativeregulationsonforeigninvestmentoftheState.

Article15WhereanapplicantmakesanapplicationtotheMinistryofCommunications,itshallsubmitthedocumentsspecifiedintheMaritimeTransportationRegulationsandtheImplementingRulesoftheMaritimeTransportationRegulations.WhereanapplicantmakesanapplicationtotheMinistryofCommerceoritsauthorizedagencies,heshallsubmitthefollowingdocuments:

(1)theletterofapplication;

(2)thefeasibilitystudyreport;

(3)thecontractofthejointventureandthearticlesofassociationofthecompany(incaseofawhollyforeign-ownedcompany,thearticlesofassociationofthecompanyonly);

(4)theregistrationcertificateandcredit-standingcertificateofinvestors;

(5)theidentitycertificationofthechairpersonoftheboardofdirectorsandthegeneralmanageroftheenterprisetobeestablished;

(6)otherdocumentsrequiredbylawsoradministrativeregulations.

Article16TheseProvisionsaremutatismutandisapplicabletotheestablishmentofenterprisesengagingininternationalmaritimetransportationandtheauxiliaryservicesrelatingtheretoinotherprovinces,autonomousregionsormunicipalitiesdirectlyundertheCentralGovernmentbytheinvestorsformHongKongSpecialAdministrativeRegion,MacaoSpecialAdministrativeRegionorTaiwanregion.

Article17InaccordancewiththerelevantprovisionsoftheMainlandandHongKongCloserEconomicPartnershipArrangement,theMainlandandMacaoCloserEconomicPartnershipArrangementandtheirAnnexes,fromJanuary1st,2004,servicesuppliersfromHongKongorMacaomayestablishedawhollyHongKongorMacao-ownedenterpriseinChinesemainlandtoengageininternationalshipmanagementservices,internationalmaritimecargowarehousing,internationalmaritimecontainerfreightstationandcontaineryardservices,andnon-vessel-operatingservices;theymayalsoestablishawhollyHongKongorMacao-ownedshippingcompanyinChinesemainlandtooffersuchroutineservicesascanvassingofcargoes,issuanceofbillsoflading,settlementoffreightandsigningofservicecontractsfortheirownedoroperatedvessels.

Article18TheMinistryofCommunicationsandtheMinistryofCommerceareresponsiblefortheinterpretationoftheseProvisions.

Article19TheseProvisionsshalltakeeffectasofJune1st,2004.

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