中国人民银行


关于中国境内机构在境外发行债券的管理规定(附英文)
中国人民银行




一、为了更好地利用外资，支持国民经济建设，确保有计划地在国际金融市场上筹资，合理地安排使用借入的资金，加强对境内机构在境外发行债券的管理，特制订本规定。
二、在中国境内注册的法人（以下简称境内机构）在境外发行债券，必须遵守本规定。
三、中国人民银行总行为境内机构在境外发行债券的审批机关。国家外汇管理局及其分局（以下简称管汇部门）为境内机构在境外发行债券的管理机关，负责审查、协调和监督债券的发行及所筹资金的使用和偿还的管理。
四、境内机构需在境外发行债券，应以书面形式向当地管汇部门申请，并根据本规定第六、七、八条提交有关文件和资料，经当地管汇部门审查提出意见后，报国家外汇管理局核报中国人民银行总行批准。
五、境内机构申请在境外发行债券时，应向管汇部门提交下列文件和资料：
1．发行单位最近连续三年的业务、财务及外汇收支情况的报告；
2．发行债券的市场、方式、金额、币种、期限、利率和各项费用等情况；
3．主干事和主受托银行的情况；
4．发行债券所筹资金的管理办法和对汇率、利率风险的管理措施。
5．发行单位偿还债券本息的安排。
六、对发行债券所筹资金用于固定资产投资项目的，申请时，还应提供下列资料：
1．投资项目的可行性分析报告；
2．固定资产投资计划纳入国家或地方计划的证明文件；
3．固定资产投资项目的配套人民币资金和物资的证明文件；
4．发行债券所筹资金的使用计划。
七、对发行债券所筹资金转贷给国内企业的，申请时，应同时提供下列文件和资料：
1．国内企业的业务、财务经营状况和外汇收支情况；
2．国内企业借款的用途和配套人民币及物资的情况；
3．国内企业的借入资金用于固定资产投资纳入国家或地方计划的证明文件；
4．国内企业借入资金的使用和偿还安排；
5．国内企业固定资产投资的项目可行性分析报告；
6．发行单位与借款单位签订的贷款合同。
八、对受国内机构委托发行债券的，申请时应分别由受托机构及当地管汇部门提供下列文件和资料：
1．由受托机构提交委托机构与受托机构签订的发债协议书；
2．由受托机构根据本规定的要求提交有关文件和资料；
3．委托机构和受托机构所在地的管汇部门，应根据国家外汇管理的有关规定，分别提出委托和受托发行境外债券的审查报告。
九、首次在境外发行债券的机构，如需要申请评级，须向管汇部门提出书面申请，并附评级机构名称，用于评级的材料及评级程序等有关情况和资料，经批准后方可对外提出评级申请。评级后，发行机构应在三日内向管汇部门报告评级结果。中国人民银行总行将根据评级情况，决定是
否批准其发行债券。对于再次需要评级的机构，如其评级结果同前次不同的，应在三日内向管汇部门报告其评级结果及原因。
十、对发行机构本身业务经营需要发行债券的，所筹资金必须按批准的用途使用，债券本息的偿还自行负责。
十一、对受地方政府委托发行债券的，所筹资金应用于地方政府安排的项目，债券本息的偿还纳入地方外汇支出计划，由地方政府负责偿还。
十二、对受国家委托发行债券的，所筹资金由国家安排使用，债券本息的偿还纳入国家外汇支出计划，由国家负责偿还。
十三、债券发行单位应在发行债券的当天，将发行情况报告管汇部门，在发行后二十天内将发行债券的有关文件（包括发债说明书等）和资料报管汇部门备案。
十四、债券发行后，要在债券发行地以外的金融市场上市，须事先报管汇部门备案。对债券上市后的价格变化情况，应随时向管汇部门报告。
十五、债券发行单位，在债券发行后，必须根据管汇部门的要求，按季报送资金的使用情况、投资和贷款项目的经营情况以及资金的偿还情况。如果需要改变资金用途，必须事先取得管汇部门的同意。
十六、管汇部门有权检查债券发行单位的资金使用和偿还情况，债券发行单位必须予以配合，提供有关文件和资料。
十七、凡违反本规定的，管汇部门将视其情节轻重，给予警告、罚款和取消其发行债券资格的处罚。
十八、本规定的解释权属国家外汇管理局。


(Promulgated by the People's Bank of China on September 28, 1987)

Whole Doc.

Article 1
These Provisions are hereby formulated with a view to utilizing
foreign investment, supporting the development of national economy,
assuring the raise of funds on the international financial market based on
a plan, making a rational arrangement for use of borrowed funds and
strengthening the control of issuing bonds abroad.
Article 2
Legal entities which are registered in China (hereinafter referred to
as "institute within China" shall abide by these Provisions in respect of
issuing bonds abroad.
Article 3
The head office of the People's Bank of China is the examination and
approval authority in charge of issuing bonds abroad. The State
Administration of Exchange Control and its branch offices (hereinafter
referred to as "exchange control authorities") are the organs regulating
the issue of bonds abroad by resident institutions, and shall take the
responsibility of examining, adjusting and supervising the issue of bonds
and controlling the use and repayment of the raised funds.
Article 4
In need of issuing bonds abroad, resident institutions shall make a
written application to the local exchange control authority and submit
relevant documents and materials in light of Articles 6, 7 and 8 of these
Provisions. with suggestions made by the local exchange control authority
upon examination, the application shall be subject to the check-up by the
State control Administration of exchange and approval by the head office
of the People's Bank of China.
Article 5
In applying for issuing bonds abroad, resident institutions shall
submit the following documents and materials:
1) the report on business, finance and the status of receipt and
disbursement of foreign exchange of bonds issuing institution within the
recent consecutive three years;
2) matters as the market, types, amount, forms of currency, length,
interest rate and various expenditure of bonds issued;
3) the status of main secretaries in charge and main entrusted banks;
4) controlling methods for the funds raised through issuing bonds and
for exchange rate and rate risk;
5) arrangements of bond issuing institutions for paying back
principal plus interest of bonds;
Article 6
In case that funds raised through issuing bonds are to be used for
fixed assets investment, the following materials shall also be provided:
1) feasibility report on investment project;
2) documentation which shows that the plan about fixed assets
investment has been brought into line of the state's or local plan;
3) documentation of necessary Renminbi (RMB) Funds and necessary
goods and materials;
4) the plan for utilizing the funds raised through issuing bonds.

Article 7
In the event that funds raised through issuing bonds are to be relent
to domestic enterprises, the applicants shall present the following
materials in the meanwhile:
1) reports on conditions for the business, finance and receipts and
expenditure of foreign exchange of the domestic enterprises;
2) reports on the purpose of the loan used by the domestic enterprise
and its necessary Renminbi funds and necessary goods and materials;
3) the document testifying that the borrowed funds which are used for
the investment in fixed assets have been brought into line of the state's
or local plan;
4) arrangement for the use and repayment of the funds borrowed by the
domestic enterprise;
5) feasibility report of such domestic enterprise on the project for
investment in fixed assets;
6) a loan agreement signed between the bond issuer and the borrower.
Article 8
If the issuance of bonds is entrusted by a domestic institution, the
following documents and materials shall be provided upon application by
the entrusted institution and the local exchange control authority
respectively:
1) bonds agreement signed between the entrusting and entrusted
institutions, being submitted by the entrusted party;
2) relevant documents and materials submitted by the entrusted
institution according to these Provisions;
3) examination reports on issuing bonds in entrusting and entrusted
ways, which shall be presented respectively by the local exchange control
authorities where the entrusting and entrusted institutions are located,
in light of relevant provisions of the State Administration of Exchange
Control.
Article 9
If in need of application for grading, the institution which issues
bonds abroad for the first time, shall present the exchange control
authority a written application with materials concerning the name of the
institution for grading, materials useful for grading, grading procedures,
etc. the issuing institution shall not apply for grading abroad until the
approval is given, The issuing institution shall make a report on the
grading results to the exchange control authority within 3 days after the
grading. The head office of the People's Bank of China shall, in light of
the results of grading, decide to approve its issue of bonds or not. In
need of another grading, the institution shall give a report on the
results and reasons of the grading to the exchange control authority if
the results of grading differ from that of the last time.
Article 10
If the bonds are issued for the need of its own operation of the
issuing institution, such funds raised shall be used for the purpose as
approved, and the issuing institution shall take the full responsibility
of paying off the principal and interest of bonds.

Article 11
In case the issue of bonds is entrusted by a local government, the
raised funds shall be used for the projects arranged by the local
government, and the repayment of principal plus interest is brought into
line with the local plan for the expenditure of foreign exchange. The
local government shall be responsible for the repayment.
Article 12
If the issue of bonds is entrusted by the State, the raised funds
shall be used according to the State arrangements and the repayment of the
principal and interests is brought into line with the State plan for the
expenses of foreign exchange, The State shall undertake the responsibility
of the repayment.
Article 13
The bond issuing institution shall report the conditions of the
issuing to the exchange control authority, the same day on which bonds are
issued and file the documents and materials concerning the issue
(including the directions for the issuing of bonds, etc.) with the
exchange control authority within 20 days after the issue.
Article 14
If the bonds are to be marketed in a financial market other than the
place in which the bonds are issued after the issuance, the issuing
institution shall in advance report it to the exchange control authority
for the record, and shall provide a report to the exchange control
authority at any time when there are any changes in price after the bonds
went on the market.
Article 15
After the bonds are issued, the issuing institution shall, in the
light of requirement of the exchange control authority, submit quarterly
the reports concerning the use of the funds, operation of the investment
and loan project and the repayment of the funds. If the purpose of the
using the funds is necessary to be changed, the issuing institution shall
obtain the consent from the exchange control authority in advance.
Article 16
The exchange control authority has the right to examine the use and
repayment of the funds, and the issuing institution shall cooperate with
the exchange control authority, presenting relevant documents and
materials.

Article 17
In case of violation of these Provisions, the exchange control
authority may make the punishment of disciplinary warning, fining and even
canceling the qualification for issuing bonds according to the seriousness
of the case.
Article 18
The authority to interpret these Provisions resides in the State
Administration of Exchange Control.






1987年9月28日
国家环境保护总局


国家环境保护总局

环函〔2005〕344号




关于对申报建立国家级自然保护区有关问题进行整改的函
山西、内蒙古、辽宁、黑龙江、江苏、安徽、福建、山东、河南、湖北、湖南、广西、四川、云南、陕西、甘肃、宁夏、新疆等省、自治区人民政府，农业部、国家林业局：
　　山西五鹿山等30个自然保护区已通过国家级自然保护区评审委员会的评审。在评审过程中，评委对部分保护区提出了一些意见和建议。在评审后的公示过程中，评委会办公室也收到了针对一些保护区提出的意见。现将这些意见和建议转给你们，请认真核查、进行整改，并于2005年9月30日之前将有关情况报送我局。

　　一、山西五鹿山自然保护区

　　2004年2月面积扩大三分之一，扩大的必要性如何，提供相关范围调整的专家论证意见和文件；保护区开矿情况。

　　二、内蒙古额尔古纳自然保护区

　　经费不足，但其所处林场上交利润近千万元，两者关系是如何协调的。

　　三、辽宁努鲁尔虎山自然保护区

　　管理人员业务水平不高；科学考察不深入、不细致，申报材料质量较差。经费投入不足。

　　四、黑龙江凤凰山自然保护区

　　保护区与林场两块牌子一套人马，不利于资源的管护和保护区管理；保护区是松茸产地，如何协调保护与资源开发的关系。

　　五、黑龙江乌伊岭湿地自然保护区

　　保护区主管部门政企合一，经济状况较差，砍伐现象时有发生；保护区固定资产及运行经费较少，设备落后。

　　六、黑龙江红星湿地自然保护区

　　管理人员业务水平较低；区内资源开发活动严重。

　　七、黑龙江呼玛河自然保护区

　　保护区内是否存在淘金现象;该区域经济比较活跃，要进入相邻漠河等地必须先进入核心区，而且保护区面积过大，包含20多万人口，应取其中一段最重要区域保护，或与呼中自然保护区共同管理；区内部分河段采挖、污染严重，且涉及多个县和林业局，如何管理；申报书中所附权属证仅为呼玛一小块的水产养殖证，不是土地权属证明，其林地的林权属林业部门，保护与林业生产如何协调。

　　八、江苏洪泽湖湿地自然保护区

　　淮河污染问题可能会影响到保护区，应重视水体的污染防治。

　　九、安徽安庆沿江湿地自然保护区

　　管理站建在县城，固定资产较少；管理薄弱，人员编制不足，湖区仅依靠群众巡查，自身无力进行有效管护；养殖面积过大，达60%以上；生活面源污染、养殖导致水体严重的富营养化；保护区无湖区使用权属，划建保护区将影响渔民的生产生活。

　　十、安徽铜陵淡水豚自然保护区

　　保护区水面面积较大，如何发挥其他有关部门的作用。

　　十一、福建茫荡山自然保护区

　　保护区内有风景区，如何防止旅游开发对资源和环境造成破坏；自然保护区内国有土地比例过低，农民及集体土地应明确保护职责；申报书中反映在自然保护区内有采育场及工区。

　　十二、福建闽江源自然保护区

　　保护区建立时间短，基础设施严重不足，无派出所，缺乏管理档案。

　　十三、山东荣成大天鹅自然保护区

　　保护区内农田面积过大，占61.1%，周边人口众多；在保护区管理中海洋、林业等部门如何协调共管。保护区内养殖密度过大，媒体反映核心区存在养殖活动；总体规划将港口、养殖场、松林都划入自然保护区内；该保护区在已规划批准的马山港国家级旅游区范围内。

　　十四、山东滨州贝壳堤岛与湿地自然保护区

　　保护区内养殖场和盐场情况如何。

　　十五、河南小秦岭自然保护区

　　保护区科研工作开展较差，科学考察不深入，资源本底不清；应对旅游进行规划；申报材料存在错误。

　　十六、湖北九宫山自然保护区

　　保护区核心区邻近的江西周边开垦很严重；保护区与风景名胜区的关系如何。

　　十七、湖南乌云界自然保护区

　　专业人员业务水平有待提高；保护大型猫科动物，面积应更大一些；区内全为集体林，保护和利用如何协调；规划中搬迁1000多人，未明确时间表。

　　十八、湖南鹰嘴界自然保护区

　　申报材料简单粗糙，保护区技术人员业务水平不高；申报书有些内容不实。其经费紧张，但生态旅游年产值达60万元，两者如何协调； 保护区内有两个乡，其缓冲区、核心区内人口较多。

　　十九、广西千家洞自然保护区

　　保护区水源丰富，水电站建设需要关注；保护区内旅游开发强度过大。

　　二十、广西九万山自然保护区

　　保护区属三个县林业局，如何协调； 管理局级别未确定。

　　二十一、四川米仓山自然保护区

　　人口较多，虽已有搬迁计划，但未明确时间表；保护区是否与观雾山风景区有交叉。

　　二十二、四川雪宝顶自然保护区

　　管理力量不足，运行经费缺乏；进入保护区采摘、偷猎现象普遍，建议加强保护措施；区内存在放牧现象，周边还有开采钨矿等开矿现象。

　　二十三、云南永德大雪山自然保护区

　　保护区晋升后将管理局移至县城内，不利于管理保护；规划中将避雷设施建在山头，对于森林防火作用不大；保护区管理手段落后，基础设施缺乏。

　　二十四、云南会泽黑颈鹤自然保护区

　　管理人员偏少，经费紧张；核心区存在农业活动，影响黑颈鹤等栖息安全； 规划要恢复草地，将防护林砍掉，应慎重；科研监测中应加强鱼类调查。

　　二十五、陕西子午岭自然保护区

　　核心区区划不合理，过境公路如何处理。

　　二十六、甘肃盐池湾自然保护区

　　农业部已将保护区所在县列入重点草原建设规划，两者需要协调；依据《草原法》，草原的土地证早已发给当地牧民，而材料中仅仅说明林权归保护区，回避草原土地权属矛盾。如草原权属问题无法解决，可能会影响到牧民的生产生活；草原鼠兔对草原危害问题应该重视；面对保护区130多万公顷面积，管理人员仅有10人，管理力量单薄，建议相关部门增加编制和加强管理措施或缩小保护区面积。

　　二十七、甘肃安南坝野骆驼自然保护区

　　管护设备简陋、手段落后、资金匮乏；核心区存在开采石棉矿活动，破坏和污染严重；无管护站点，无人管理。

　　二十八、甘肃头二三滩自然保护区

　　技术人员能力有待加强；保护区名称易让人产生误解，头二三滩容易认为是滩涂，能否改名；材料中保护对象描述不具体；保护区周边人口众多，干扰大。

　　二十九、宁夏哈巴湖自然保护区

　　保护区在实验区内开展治沙造林，建议以封育为主；保护区管理局与林场合一，不利于管理和保护。

　　三十、新疆塔里木胡杨自然保护区

　　区内存在放牧问题。

　　二○○五年八月十七日

主题词：环保 自然保护区 评审 问题 函

抄送：各有关省、自治区、直辖市环境保护局（厅）。