货物进口许可证管理办法（2004年）

《货物进口许可证管理办法》已由商务部第17次部务会议于2004年12月9日通过，现予公布，自2005年1月1日起施行。

部长：薄熙来
二00四年十二月十日

货物进口许可证管理办法

第一章　总则

第一条　为了规范进口许可证管理，维护货物进口秩序，促进对外贸易健康发展，根据《中华人民共和国对外贸易法》和《中华人民共和国货物进出口管理条例》的规定，制定本办法。

第二条　国家实行统一的货物进口许可证制度。国家对限制进口的货物实行进口许可证管理。

第三条　商务部是全国进口许可证的归口管理部门，负责制定进口许可证管理办法及规章制度，监督、检查进口许可证管理办法的执行情况，处罚违规行为。

商务部会同海关总署制定、调整和发布年度《进口许可证管理货物目录》。商务部负责制定、调整和发布年度《进口许可证管理货物分级发证目录》。

《进口许可证管理货物目录》和《进口许可证管理分级发证目录》由商务部以公告形式发布。

第四条　商务部授权配额许可证事务局（以下简称许可证局）统一管理、指导全国各发证机构的进口许可证签发工作，许可证局对商务部负责。

第五条　许可证局及商务部驻各地特派员办事处（以下简称各特办）和各省、自治区、直辖市、计划单列市以及商务部授权的其他省会城市商务厅（局）、外经贸委（厅、局）（以下简称各地方发证机构）为进口许可证发证机构，在许可证局统一管理下，负责授权范围内的发证工作。

第六条　进口许可证是国家管理货物进口的法律凭证。凡属于进口许可证管理的货物，除国家另有规定外，对外贸易经营者（以下简称经营者）应当在进口前按规定向指定的发证机构申领进口许可证，海关凭进口许可证接受申报和验放。

第七条　进口许可证适用于《进口许可证管理货物目录》内货物的进口。

第八条　进口许可证不得买卖、转让、涂改、伪造和变造。

第二章　申请进口许可证应当提交的文件

第九条　经营者申领进口许可证时，应当认真如实填写进口许可证申请表，并加盖印章。

第十条　经营者应当根据进口货物情况，向发证机构提交本办法第三章进口许可证发证依据所规定的进口批准文件及相关材料。

第十一条　经营者应当提交经年检合格的《企业法人登记营业执照》及加盖对外贸易经营者备案登记专用章的《对外贸易经营者备案登记表》或者进出口企业资格证书。经营者为外商投资企业的，还应当提交外商投资企业批准证书。进口货物属国家实行国营贸易或者有其他资质管理要求的，应当提供商务部或者相关部门的有关文件。

第三章　进口许可证发证依据

第十二条　各发证机构按照商务部制定的《进口许可证管理货物目录》和《进口许可证管理货物分级发证目录》范围，依下列规定签发进口许可证：

（一）对监控化学品，发证机构凭国家履行禁止化学武器公约工作领导小组办公室批准的《监控化学品进口核准单》和进口合同（正本复印件）签发进口许可证。

（二）对易制毒化学品，发证机构凭商务部《易制毒化学品进口批复单》签发进口许可证。

（三）对消耗臭氧层物质，发证机构凭国家消耗臭氧层物质进出口管理办公室批准的《受控消耗臭氧层物质进口审批单》签发进口许可证。

（四）对依照法律、行政法规的规定，其他需要限制进口的商品，发证机构按照国务院商务主管部门或者由其会同国务院其他有关部门签发的许可文件签发进口许可证。

第十三条　加工贸易方式进口监控化学品、易制毒化学品和消耗臭氧层物质需领取进口许可证，发证机构分别按第十二条第（一）、（二）、（三）款规定办理。

第十四条　外商投资企业进口监控化学品、易制毒化学品和消耗臭氧层物质需领取进口许可证，发证机构分别按第十二条第（一）、（二）、（三）款规定办理。

第十五条　经营者申领进口许可证时，应当按本办法规定如实申报，不得弄虚作假，严禁以假文件、假合同等手段骗领进口许可证。

第四章　进口许可证的签发

第十六条　发证机构应当严格按照商务部发布的年度《进口许可证管理货物目录》和《进口许可证管理货物分级发证目录》的规定，签发相关商品的进口许可证。经营者进口《进口许可证管理货物目录》中的商品，必须到《进口许可证管理货物分级发证目录》指定的发证机构申领进口许可证。

第十七条　各发证机构应当凭本办法第三章规定的发证依据发放进口许可证，不得越权或者超发证范围签发进口许可证。

第十八条　进口许可证管理实行“一证一关”管理。一般情况下进口许可证为“一批一证”，如要实行“非一批一证”，应当同时在进口许可证备注栏内打印“非一批一证”字样。

“一证一关”指进口许可证只能在一个海关报关：“一批一证”指进口许可证在有效期内一次报关使用：“非一批一证”指进口许可证在有效期内可多次报关使用，但最多不超过十二次，由海关在许可证背面“海关验放签注栏”内逐批签注核减进口数量。

对进口实行许可证管理的大宗、散装货物，溢装数量按照国际贸易惯例办理，即报关进口的大宗、散装货物的溢装数量不得超过进口许可证所列进口数量的5%.不实行“一批一证”制的大宗、散装货物，每批货物进口时，按其实际进口数量进行核扣，最后一批进口货物进口时，其溢装数量按该许可证实际剩余数量并在规定的溢装上限5%内计算。

发证机构在签发此类进口货物许可证时，应当严格按照进口配额数量及批准文件核定的数量签发，并按许可证实际签发数量核扣配额数量，不在进口配额数量或者批准文件核定的数量基础上加上按国际贸易惯例允许的溢装数量签发许可证。

第十九条　申请符合要求的，发证机构应当自收到申请之日起3个工作日内发放进口许可证。特殊情况下，最多不超过10个工作日。

第五章　进口许可证的有效期

第二十条　进口许可证的有效期为一年。

（一）进口许可证应当在进口管理部门批准文件规定的有效期内签发。

（二）进口许可证当年有效。特殊情况需要跨年度使用时，有效期最长不得超过次年3月31日。

（三）进口许可证应当在有效期内使用，逾期自行失效，海关不予放行。

第二十一条　进口许可证因故在有效期内未使用的，经营者应当在进口许可证有效期内向原发证机构提出延期申请。发证机构应当将原证收回，在进出口许可证计算机管理系统中注销原证后，重新签发进口许可证，并在备注栏中注明延期使用和原证证号。

进口许可证因故在有效期内未使用完的，经营者应当在进口许可证有效期内向原发证机构提出未使用部分的延期申请，发证机构收回原证，在发证系统中对原证进行核销，扣除已使用的数量后，重新签发进口许可证，并在备注栏内注明延期使用和原证证号。

进口许可证只能延期一次，延期最长不超过三个月。

未在进口许可证有效期内提出延期申请的，进口许可证自行失效，发证机构不再受理延证手续，该进口许可证则视为持有者自动放弃。

第二十二条　进口许可证一经签发，不得擅自更改证面内容。如需更改，经营者应当在许可证有效期内提出更改申请，并将许可证交回原发证机构，由原发证机构重新换发许可证。

许可证更改内容如涉及经营者，进口商品税号、数量、金额、价格、原产地、进口用途、外汇来源，贸易方式，报关口岸等栏目，如原批准机构有相应限制，经营者应当提供原批准机构同意更改的文件。

第二十三条　已领取的进口许可证如果丢失，经营者应当立即向许可证证面注明的进口口岸地海关及相关发证机构书面报告挂失，声明作废，并及时向公安机关报案。发证机构收到经营者遗失报告，经核实该证确未通关使用后，可撤销原进口许可证并核发新证。

第二十四条　海关、工商、公安、纪检、法院等单位需要向发证机构查询或者调查进口许可证，应当依法出示有关证件，发证机关应当接受查询。

第二十五条　进口许可证管理商品在调整发证机构时，自调整之日起，原发证机构不得再签发该商品的进口许可证，并将经营者在调整前的申领情况报调整后的发证机构。经营者在调整前申领的许可证在有效期内继续有效。有效期内未使用或者未全部使用的进口许可证，按规定到调整后的发证机构办理延期手续。

第六章　检查和处罚

第二十六条　商务部授权许可证局对各发证机构进行定期检查。检查的内容为发证机构执行本办法的情况，重点检查是否有越权越级或者无批件发证等违规行为。检查的方式，实行各发证机构定期或者不定期自查与许可证局抽查相结合的办法。许可证局应当将检查情况向商务部报告。

第二十七条　各发证机构应当按照商务部许可证联网核查的规定及时传送发证数据，以保证经营者顺利报关和海关核查；对海关反馈的核查数据应当认真核对，及时检查许可证的使用情况并找出存在的问题。许可证局应当定期将核对后的海关反馈核查数据报商务部。

第二十八条　越权越级或者无有效批件发放的进口许可证无效。对违反规定的发证机构，商务部将视情节轻重给予其警告、暂停或者取消发证权等处分。

第二十九条　对违反本办法，以欺骗或者其他不正当手段骗领进口许可证的，依法收缴其进口许可证，商务部可以在三年内不受理违法行为人提出的进口许可证申请，或者禁止违法行为人在一年以上三年以下的期限内从事有关货物进口经营活动。

第三十条　对伪造、变造或者买卖进口许可证的，依照刑法关于非法经营罪或者伪造、变造、买卖国家机关公文、证件、印章罪的规定，依法追究刑事责任；尚不够刑事处罚的，依照海关法的有关规定处罚；商务部可以禁止违法行为人在一年以上三年以下的期限内从事有关货物进口经营活动。

第三十一条　对第二十八条、二十九条、三十条所涉及进口许可证，一经查实，商务部予以收缴、吊销。对海关在实际监管或者案件处理过程中发现的涉及上述许可证的问题，发证机构应当给予明确答复和积极配合。

第三十二条　对发证机构工作人员出现违规行为但尚未构成犯罪的，应当调离工作岗位，并视情节轻重分别给予行政处分；构成犯罪的，依法移交司法机关追究其刑事责任。

第七章　附则

第三十三条　法律、行政法规对保税仓库、保税区和出口加工区的货物进口管理另有规定的，依照其规定办理。

第三十四条　本办法由商务部负责解释。

第三十五条　本办法自2005年1月1日起施行。原对外贸易经济合作部印发的《货物进口许可证管理办法》（对外贸易经济合作部令2001年第22号）同时废止。

Administration Measures On Goods Import License

Chapter I General Principles

Article 1 For the purposes of regulating the administration of import License, safeguarding the order of goods import, promoting the healthy development of foreign trade, the said measures are formulated in accordance with Foreign Trade Law of the People's Republic of China and Management Regulations of Goods Import and Export of the People's Republic of China.

Article 2 The state carries out uniform administration of goods import license system. The state implements the administration of import license for import limited goods.

Article 3 Ministry of Commerce is a relevant department of administering import license in the country, responsible for formulating administration measures and regulations of import license, supervising and examining the implementation of administration measures on import license, punishing illegal activities.

Ministry of Commerce formulates, readjusts and promulgates annual Catalogue of Goods Subject to Import License Administration together with General Administration of Customs. Ministry of Commerce is responsible for formulating, readjusting and promulgating annual License-Issuing Catalogue in Grades of Import License Administration.

Catalogue of Goods Subject to Import License Administration and License-Issuing Catalogue in Grades of Import License Administration are published by Ministry of Commerce in the form of announcement.

Article 4 Ministry of Commerce authorizes Bureau of Quota License （hereinafter referred to as "License Bureau"） to execute uniform administration, guide all license-issuing organs allover the country to issue import license. License Bureau is accountable to Ministry of Commerce.

Article 5 License Bureau, commissioner offices of Ministry of Commerce to local areas （hereinafter referred to as "local commissioner offices"） and commercial departments （bureau）, foreign economic and trade commission （departments, bureau） of all provinces, autonomous regions, municipalities under the Central Government, cities specifically designated in the state plan and other provincial capital cities authorized by Ministry of Commerce （hereinafter referred to as " all local license-issuing organs"） are import license issuing organs. They are responsible for license issuing within the scope of authority under uniform administration of License Bureau.

Article 6 Import License is a legal certificate of national administration of goods import. Foreign trade managers （hereinafter referred to as "managers"） should apply for import license to appointed license-issuing organ before importing the goods subject to Import License Administration except that the state has other regulations. The customs accepts and grants the declaration by import license.

Article 7 Import license apply to the import of the goods in Catalogue of Goods Subject to Import License Administration.

Article 8 Import license must not be bought, sold, transferred, altered and forged.

Chapter II The materials that should be submitted for applying for import license

Article 9 Managers should fill in application form for import license carefully according to the facts and affix a seal when they apply for import license.

Article 10 Managers should submit import approval documents and related materials stipulated by basis of import license issuing in Article 3 of these measures to license-issuing organs according to goods import conditions.

Article 11 Managers should submit Business License of Corporations Registration that passed annual examination and Record Registration Form of Foreign Trade Managers affixed a special seal for record registration of foreign trade managers or qualifications of import and export enterprises. If the managers are foreign invested enterprises, they should also submit the approval certificate of foreign invested enterprises. If the imported goods belong to state owned trade or other requirements of qualification management, related documents of Ministry of Commerce or the departments concerned should be submitted.

Article III Basis of Issuing Import License

Article 12 All license-issuing organs should issue import license in accordance with the scope of Catalogue of Goods Subject to Import License Administration and License-Issuing Catalogue in Grades of Import License Administration formulated by Ministry of Commerce, and following provisions:

1. To supervised and controlled chemical products, license-issuing organs issue import license by Import Verification List of Supervised and Controlled Chemical Products approved by leading group office of national implementation of the treaty of forbidding chemical weapons and import contract （copy of reserved copy）.

2. To chemical products that are easy to produce poison, license-issuing organs issue import license by Import Comments Paper of Chemical Products that are Easy to Produce Poison of Ministry of Commerce.

3. To ozone layer depleting substance, license-issuing organs issue import license by Import Approval Paper of Controlled Ozone Layer Depleting Substance approved by State Import and Export Office of Ozone Layer Depleting Substance.

4. To other goods that the import of them needs to be controlled in accordance with laws and administrative regulations, license-issuing organs issue import license or issue it together with the permission documents issued by other related administrations of the State Council.

Article 13 If supervised and controlled chemical products, chemical products that are easy to produce poison and ozone layer depleting substance in the form of processing trade need import license, license-issuing organs handle it in accordance with Section 1, 2 and 3 of Article 12 separately.

Article 14 If foreign invested enterprises need to obtain import license for import of supervised and controlled chemical products, chemical products that are easy to produce poison and ozone layer depleting substance, license issuing organs handle it in accordance with Section 1,2 and 3 of Article 12 separately.

Article 15 Managers should make applications according to the facts in accordance with the said measures, must not practice fraud when they apply for import license. They are forbidden to obtain import license by cheating with false documents and contracts.

Article IV Issuing of Import License

Article 16 License issuing organs should issue import license for related goods strictly in accordance with annual Catalogue of Goods Subject to Import License Administration and License Issuing Catalogue in Grades of Goods Subject to Import License Administration published by Ministry of Commerce. Managers must obtain import license in license-issuing organs assigned in License Issuing Catalogue in Grades of Goods Subject to Import License Administration.

Article 17 All license-issuing organs should issue import license by license issuing basis in Chapter III of these measures, must not exceed their powers to issue import license or issue it beyond the scope of license issuing.

Article 18 Import license is managed in the form of "one license one customs". Normally, import license is " one lot one license". If "Non one lot one license" is implemented, the word of "Non one lot one license" should be printed in the remarks column of import license.

"One license one customs" means import license can only be declared at one customs. "One lot one license" means import license can only be declared at customs once within term of validity. "Non one lot one license" means import license may be declared at customs many times within term of validity, but no more than 12 times. The customs writes comments on import quantity and cut them lot by lot on the backside of the Comments Column of Customs Declaration.

To large, bulk goods subject to import license administration, overfilled quantity is handled in accordance with international trade practice. That is overfilled quantity of imported large, bulk goods must not exceed 5 per cent of the import quantity listed in import license. To large, bulk goods that are not subject to the administration of "one lot one license, the quantity is cut according to actual quantity of import when a lot of goods is imported. When the last lot of goods is imported, the overfilled quantity is calculated in accordance with actual left quantity and 5 per cent of stipulated upper limit of overfilling.

When issuing the license for such imported goods, license-issuing organs should act strictly in accordance with the import quota and the quantity approved in the approval documents, and cut the quantity in accordance with the quantity actually issued in the license, instead of issuing license by adding overfilled quantity approved by international trade practice on the basis of import quota or the quantity approved in the document.

Article 19 If the application meets the requirements, license-issuing organs should distribute import license within 3 working days as of the receipt of the application. They will do it in no more than 10 working days in case of special cases.

Chapter V Term of Validity of Import License

Article 20 Term of validity of import license is one year.

1. Import license should be issued in the term of validity stipulated in the approval documents of import administrations.

2. Import license is effective in the current year. If it needs to be used beyond the year in case of special cases, the term of validity must not exceed March 31 of next year.

3. Import license should be used within the term of validity. If it exceeds the time limit, it will lose efficacy automatically, and the customs will not grant clearance.

Article 21 If import license is not used within term of validity for reasons, managers should make an extension application to license-issuing organs within term of validity. License-issuing organs should recall the original license and issue a new one, indicate clearly the extension and the number of he old one in the remarks column after canceling the old one in computer management system of import license.

If import license is not used up in term of validity for reasons, managers should make an extension application to original license-issuing organs for the parts that have not been used. License-issuing organs issue a new license after recalling the original one and canceling it in license-issuing system, and cutting the quantity that has been used and identifying clearly the extension and the number of the original license in the remarks column.

Import license is only allowed to extend once and the extension is no more than 3 months.

Whoever does not make an extension application within the term of validity, import license loses its efficacy automatically. License-issuing organs will not handle extension formalities. It is regarded that the license holder gives up the import license.

Article 22 Import license could not be altered without authorization once it is issued. If it needs to be altered, managers should make an application for alternation within term of validity and hand back the license to original license-issuing organs. A new license will be issued by original license-issuing organ.

If there are any changes relating to managers, tax number of imported goods, quantity, sum of money, price, place of origin, purpose of import, source of foreign exchange, method of conducting trade, port of making a customs declaration, and if original license-issuing organs have corresponding restrictions, managers should provide the documents of agreeing with the changes of original license-issuing.

Article 23 If the obtained import license is lost, the managers should report in writing at once the loss of it and declare invalid to the customs of import port and related license-issuing organs identified in the license, and report in time the case to the public security administrations. License-issuing organs may cancel the original license and issue a new one at the receipt of the loss report after verifying that the lost license has not been used for customs clearance.

Article 24 If the customs, the administrations of industrial and commercial, public security, inspection discipline need to check or investigate import license, they should provide related certificates, and license-issuing organs should accept the check.

Article 25 When the goods subject to import license administration are readjusted their license-issuing organs, original license-issuing organs must not issue import license for the goods as of the readjustment and report the managers' obtaining conditions before the readjustment to license-issuing organs after the readjustment. The license obtained by managers before the readjustment is still effective in term of validity. Import license that has not been used or has not been used up may be handled extension formalities in the license-issuing organs after the readjustment in accordance with regulations.

Chapter 6 Examination and Punishment

Article 26 Ministry of Commerce authorizes License Bureau to make examination to all license-issuing organs regularly, examining the implementation of the said measures. Focal point of the examination is whether license-issuing organs have the activities of exceeding their power or issuing license without permission. The examination will be carried out in the form of self-examination by license-issuing organs regularly or irregularly and compared with the selective examination by License Bureau. License Bureau should report the result of the examination to Ministry of Commerce.

Article 27 All license-issuing organs should transfer the data of license issuing in time in accordance with the regulations of license network examination of Ministry of Commerce for the purposes of assuring the managers to declare at the customs and be examined by the customs smoothly. They should verify carefully the feedback data of the customs, check in time the usage of license and find out existent problems. License Bureau should report the verified feedback examination data of the customs to Ministry of Commerce regularly.

Article 28 Import license issued by exceeding one's powers and levels or without effective approval documents are invalid. Ministry of Commerce will give the license-issuing organs that act against the regulations a disciplinary warning, suspend or cancel their rights of issuing license in the light of circumstances.

Article 29 If any one obtains Import License by cheating or other illegal ways, his import license will be collected in accordance with laws. Ministry of Commerce may not accept his application for import license or prohibit him to do the business relating goods import in more than one year and less than three years.

Article 30 Whoever fakes, alters, buys or sells import license will be ascertained criminal responsibility in accordance with the regulations of criminal law about faking, altering, buying, selling document, certificate and seal. Whoever does not need to be given criminal punishment will be punished in accordance with related provisions of Customs Law. Ministry of Commerce may prohibits illegal persons to do business relating to goods import within the term of more than one year and less than three years.

Article 31 Ministry of Commerce will collect and cancel the import license referred to in Article 28, 29 and 30 as soon as it is verified to be true. To the problems relating to above license found by the customs during actual supervision or case handling, license-issuing organs should give a clear reply and effective cooperation.

Article 32 If the staffs of license-issuing organs act contrary to the regulations but have not committed a crime, they will be transferred from their posts and given administrative disciplinary measures according to the circumstances. Whoever commits a crime will be transferred to judicial organs and ascertained criminal responsibility.

Chapter VII Supplementary Articles

Article 33 If there are other stipulations in laws and administrative regulations to the management of goods import in bonded warehouse, bonded regions and export processing areas, it will be handled in accordance with those stipulations.

Article 34 The interpretation of the said measures shall be vested in Ministry of Commerce.

Article 35 The said measures come into effect as of January 1, 2005. Management Rules of Goods Import License （MOFTEC Decree No. 22, 2001） distributed by former Ministry of Foreign Trade and Economic Cooperation are abolished at the same time