国家计委
1987年10月19日
第一条 根据《国务院关于鼓励外商投资的规定》，为鼓励外商投资兴办先进技术企业，帮助企业解决外汇收支平衡，特制定本办法。
第二条 本办法适用于能够提供国内需要的先进技术，从事新产品开发实行产品升级换代的生产型中外合资经营、合作经营企业（以下简称合资、合作企业）。
第三条 符合下列各项条件的，可申请以产顶进：
一、 确属国内需要的技术先进的技术型的合资、合作企业的产品，投产初期，在实现国产化进程中，外汇平衡出现暂时困难的；
二、 上述企业生产的产品属于目前和今后几年中央、地方和部门需要进口的；
三、 申请以产顶进的产品规格、性能、交货期和技术服务，培训应符合国内用户的需要，产品必须经过国家级产品质量检测中心鉴定，确认达到同类进口商品的质量标准，原则上价格不高于当时的国际市场价格。
第四条 凡要求以产顶进的企业，在申报项目建议书的同时，提出以产顶进的申请。在报送项目可行性研究报告时，必须明确合资、合作企业产品的内外销比例，以及国产化的进度，并对以产顶进的可行性（包括分年顶替进口的产品数量和外汇金额）进行充分论证或评估。
第五条 按分级管理原则、合资、合作企业产品申请以产顶进、分别由中央、地方（部门）两级审批。中央审批的限额以上项目需要以产顶进的，由国家计委审批；地方和部门审批的限额以下项目需要以产顶进的，由地方计委和部门自行审批。
第六条 由国家计委审批的限额以上项目的以产顶进：
一、 凡已列入国家批准的中长期中央进口计划的商品，除去对外已签长期贸易协议和必须安排进口的以外，还有可能供以产顶进的，在审批可行性研究报告时，可预批中央进口计划期内的以产顶进。
二、 没有列入中长期中央进口计划的商品，原则上不预批的以产顶进。但在年度中央进口计划中有这类商品进口且能以产顶进时，企业可向国家计委提出申请，批准后，由经贸部办理只在当年有效的以产顶进手续。
三、 没有列入中长期和年度中央进口计划的商品，如当年地方有进口，企业可向地方计委提出申请，经批准后，由地方经贸部门办理以产顶进手续。
第七条 由地方、部门审批的限额以下项目的以产顶进：
一、 凡已列入本省、自治区、直辖市的中长期和年度进口计划内可供以产顶进的商品，可由省、自治区、直辖市计委参照中央的审批办法，预批和办理本地区进口计划期内的以产顶进。
二、 没有列入本地区中长期或年度计划，但本地区或其他地区有进口的，可实行跨地区的以产顶进。企业可向进口这一商品的省、自治区、直辖市计委申报，经批准后，由该省、自治区、直辖市经贸部门办理以产顶进手续。
三、 部门用自有外汇进口的商品，企业可直接向该部门申请，经同意后，办理以产顶进手续。
第八条 上述中央和地方计委（或部门）审批同意以产顶进的产品，属于在中长期进口计划内预批的，必须根据当年的进口计划情况，在年度中进一步核定落实。
凡经批准实行以产顶进的产品，国内用户在同等条件下，必须优先选用。
各级进口管理部门和进口审查部门，对合资、合作企业已能生产并符合以产顶进条件的产品，应指导鼓励国内用户优先采购。
第九条 经批准的以产顶进产品，国内用户采购时，应按双方商定的条件，经国家外汇管理部门批准，向合资、合作企业支持全部或部分外汇。
第十条 机电产品的以产顶进，由国家经委制定并公布顶进目录和以产顶进管理办法，指导国内用户优先采购目录内的产品。
凡生产目录内产品的合资、合作企业可以参加中国机电设备招标中心（或经国家经委批准的招标公司）组织的进口机电设备招标，中标的企业，由该中心出具证明，实现以产顶进。
第十一条 合资、合作企业生产以产顶进产品所需进口的料、件、按《对外经济贸易部关于外商投资企业申领出口许可证的实施办法》第四条规定办理进口手续；上述产品供应给国内用户时，按海关总署《中华人民共和国海关对外商投资企业履行产品出口合同所需进口料、件管理办法》第五条规定办理。
第十二条 经批准其产品实行以产顶进合资、合作企业，必须做到：
一、 严格执行合同中规定的出口比例和国产化进程的要求：
二、 必须努力使产品的技术性能和质量保持先进水平；
三、 按合同规定的数量、时间交货，因交货时间、交货数量和产品质量等问题造成用户经济损失者，要承担相应的经济责任。
四、 为用户提供优质服务。
第十三条 合资、合作企业的产品一俟批准以产顶进后，不能再重复将这部分产品纳入国产物资分配计划。
第十四条 本办法由国家计委负责解释。
第十五条 本办法自公布之日起实行。
附：
“七五”计划期间中央进口计划内可以实行以产顶进的商品目录
1、 钢材
2、 生铁
3、 木材
4、 铜
5、 铝
6、 锌
7、 橡胶
8、 化肥
9、 木浆
10、 腈纶
11、 锦纶
12、 人造丝
国家发展计划委员会 1987年10月19日 颁布
Measures Concerning the Substitution of Products Manufactured by Chinese-foreign Equity Joint Ventures and Chinese-foreign Contractual Joint Ventures for Similar Imported Products
the State Development Planning Commission
October 19, 1987
Article 1 These Measures are formulated in accordance with the Provisions of the State Council Concerning the Encouragement of Foreign Investment, to encourage foreign businessmen to invest in setting up technologically - advanced enterprises, and to help enterprises in achieving a balance between their foreign exchange earnings and expenditures.
Article 2 These Measures shall apply to Chinese-foreign equity joint ventures and Chinese-foreign contractual joint ventures of a production nature (hereinafter referred to as joint ventures and contractual ventures) which can provide advanced technologies China needs and are engaged in the development of new products, thereby realizing the upgrading of products and the replacement of old products with new ones.
Article 3 Enterprises with foreign investment that satisfy the following conditions may apply to substitute their products for similar imported products:
(1) technologically-advanced joint ventures and contractual ventures whose products are indeed needed in China, and which have, at the initial stage of production, experienced some temporary difficulties in balancing their foreign exchange earnings and expenditures in the course of realizing the replacement of imported products with home-made ones;
(2) the products manufactured by enterprises mentioned above belong to the categories of products the central departments, the localities and other departments need to import at present and in the next few years;
(3) products that are recommended as substitutes for similar imported products shall meet the needs of domestic users in specifications, properties, the delivery time, technical services and technical training, and undergo the appraisal conducted by the national testing center for the quality of products, thereby confirming that the aforesaid products measure up to the quality standard of similar imported goods; in principle, the prices of the recommended products shall not be higher than those of the international market at the time.
Article 4 Enterprises that recommend their products as substitutes for similar imported goods shall make an application in that connection at the time when they submit their project proposals. When they submit their project feasibility study reports, they must state clearly in the reports the proportion between domestic sales and export sales of the products manufactured by the joint ventures and contractual ventures and the rate of progress for the replacement of imported products with home-made ones; moreover, they shall prove by an ample demonstration or appraise the feasibility of substituting their products for similar imported ones (including a statement concerning the annual quantity of their products to be used to substitute for imported products and annual amount of foreign exchange to be earned therefrom).
Article 5 Pursuant to the principle of administration at different levels, the applications for the approval of using the products manufactured by the joint ventures and contractual ventures to substitute for similar imported goods shall be examined and approved respectively by the central competent authorities and the local competent authorities (or departments). If items above the norm examined and approved by the central competent authorities need to be recommended as substitutes for similar imported products, the matter shall be examined and approved by the State Planning Commission; and the items below the norm examined and approved by the local competent authorities (or departments) need to be recommended as substitutes for similar imported products, the matter shall be examined and approved by the local planning commissions or departments on their own.
Article 6 Import substitution to be effected in the items above the norm to be examined and approved by the State Economic Planning Commission:
(1) of the goods which have been included in the Central Government's medium-and long-term import plans approved by the State, except those on which long-term import agreements have been concluded with foreign countries, substitution for imports shall be approved in advance within the Central Government's import plans if it is still possible that some of the goods to be imported can be substituted with domestically - manufactured products when the feasibility study reports are examined and approved;
(2) substitution for goods which have not been included in the Central Government's medium-and long-term import plans shall, in principle, not be approved in advance. However, the enterprises may apply to the State Planning Commission for using their products as substitutes for similar imported products if such goods have been included in the Central Government's annual import plans and are available for substitution with home-made similar products. Once the applications are approved, the Ministry of Foreign Economic Relations and Trade shall handle the procedures for substituting home-made product for similar imported products for the current year;
(3) with respect to those commodities which have not been included in the Central Government's long-term, medium-term and annual import plans, if they are to be imported by the local governments in the current year, the enterprises may make an application to the local planning commission; upon approval, the local department of foreign economic relations and trade shall handle the procedures for using their products as substitutes for similar imported products.
Article 7 Import substitution to be effected in the items below the norm to be examined and approved by the local competent authorities (or departments):
(1) of the commodities which have already been included in the long-term, medium-term and annual import plans of the province, autonomous region, or municipality directly under the Central Government, if there are some available for being replaced by home-made products, they may, within the period for executing the locality's import plan, be approved in advance by the planning commission of the province, autonomous region, or municipality directly under the Central Government with reference to the examining and approving procedures adopted by the central competent authorities, and the aforesaid planning commission shall also handle, within the aforesaid period, the procedures for using the home-made products mentioned above as substitutes for similar imported commodities;
(2) with respect to those commodities which have not been included in the localities' long-term, medium-term and annual import plans, but they are to be imported by the local area or by some other areas, a transregional operation may be conducted for using home-made products as substitutes for similar imported commodities. The enterprises may make an application directly to the planning commission of the province, autonomous region, or municipality directly under the Central Government that undertakes the import of the aforesaid commodities; after they have obtained the approval, the department of foreign economic relations and trade of the aforesaid province, autonomous region, or municipality directly under the Central Government shall handle the procedures for using their products as substitutes for similar imported commodities:
(3) with respect to the commodities to be imported by some departments with the foreign exchange in their possession, the enterprises may make an application directly to these departments; after they have obtained the consent of the departments, they shall go through the procedures for using their own products as substitutes for similar commodities to be imported.
Article 8 With respect to the aforesaid products which are to be used as substitutes for similar imported commodities as examined and approved by the planning commission of the central competent authorities or of the local competent authorities (or by local departments), if these products belong to the lot of products which are to be approved in advance within the long-and medium-term plans, they shall be further verified and confirmed in the annual plan in accordance with the actual situation of the execution of the import plan in the current year.
The products which have been approved as substitutes for similar imported products shall, under equal conditions (with similar imported commodities), be given priority of being selected for use by domestic users.
The competent departments for imports administration and the examining and approving departments for imports at various levels shall guide and encourage domestic users to give priority to the purchase of the products which are manufactured by the joint ventures and contractual ventures and are in conformity with the conditions of products used as substitutes for similar imported products.
Article 9 When domestic users purchase products which have been approved as substitutes for similar imported products, the payment for such products shall be made wholly or partially in foreign exchange to the joint ventures and contractual ventures in accordance with the terms agreed upon by both parties and subject to the approval of the State administrative department of foreign exchange control.
Article 10 With respect to machinery and electrical products used as substitutes for similar imported products, the State Economic Commission shall formulate and publish a catalogue of products used as substitutes for similar imported products and also the procedures for the administration of substitution of home-made products for similar imported goods, thereby directing the domestic users to give priority to the purchase of the products included in the aforesaid catalogue.
The joint ventures and contractual ventures which manufacture the products included in the aforesaid catalogue may participate in the open tender for imported machinery and electrical equipment conducted by the China Bidding Center for Machinery and Electrical Equipment (or by other bidding agencies authorized by the State Economic Commission); the Center shall issue a certificate to the enterprise which has won the tender, thereby realizing the substitution of home-made products for similar imported goods.
Article 11 The joint ventures and contractual ventures shall, in accordance with the provisions of Article 4 of the Measures of the Ministry of Foreign Trade and Economic Cooperation for the Implementation of the Application by Enterprises with Foreign Investment for the Export Licence, go through the procedures for the importation of raw materials and component parts needed in the manufacture of products used as substitutes for similar imported goods; when the aforesaid products are supplied to domestic users, the transaction shall be handled in accordance with the provisions of Article 5 of the Measures of the General Administration of Customs of the People's Republic of China on Administration of the Import of Raw Materials and Component Parts Needed by Enterprises with Foreign Investment to Carry out the Product Export Contracts.
Article 12 The joint ventures and contractual ventures which have obtained the approval to use their products as substitutes for similar imported goods must fulfil the following requirements:
(1) strictly fulfil the requirements for the export proportion stipulated in the contract and the rate of progress for the replacement of imported products with home-made ones;
(2) strive to maintain the advanced level of the technical performance and quality of their products;
;(3) deliver their products in accordance with the quantity and schedule stipulated in the contract; in the event that the users suffer economic losses caused by problems relating to the time of delivery, the quantity of products delivered, and the quality of products, they shall bear the corresponding economic liabilities;
(4) provide high-quality service to the users.
Article 13 Once the products manufactured by the joint ventures and contractual ventures have been approved as substitutes for similar imported goods, they shall not be included again in the State plan for the distribution of goods and materials produced domestically.
Article 14 The right to interpret these Measures shall reside in the State Planning Commission.
Article 15 These Measures shall enter into force as of the date of promulgation.
Attachment:
Catalogue of Commodities Which can be Replaced by Home-made Products as Included in the Central Government's Import Plan to be Executed During the "Seventh Five-Year Plan":
(1) steel products
(2) pig iron
(3) timber
(4) copper
(5) aluminium
(6) zinc
(7) rubber
(8) chemical fertilizers
(9) wood pulp
(10) poly acrylonitrile fibre
(11) polyamide fibre
(12) artificial silk
Promulgated by The State Development Planning Commission on 1987-10-19
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