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Several Opinions of the State Council on Promoting the Sustainable and Healthy Development of the Rare Earth Industry [Effective]
国务院关于促进稀土行业持续健康发展的若干意见 [现行有效]
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Several Opinions of the State Council on Promoting the Sustainable and Healthy Development of the Rare Earth Industry
(No. 12 [2011] of the State Council)
The people's governments of all provinces, autonomous regions and municipalities directly under the Central Government; and all ministries and commissions of the State Council and all institutions directly under the State Council,
Rare earths are an important strategic non-renewable resource, and are increasingly widely used in such fields as new energy, new materials, energy saving, environmental protection, aeronautics, astronautics, electronics and information technology. Effective protection and rational utilization of rare earth resources are of great significance in protecting environment, accelerating the fostering and development of strategic emerging industries, transforming and upgrading traditional industries and promoting the sustainable and healthy development of the rare earth industry. After years of development, great progress has been made in China's rare earth mining, smelting, separation, and research and development of applied technologies, and the industrial scale continues to expand. However, problems, such as repeated illegal mining, rapid expansion of production capacity of smelting and separation, serious damage to the environment, serious waste of resources, weak research and development of high-end applications and export disorder, still exist in the development of the rare earth industry, which seriously affect the healthy development of the industry. We shall further raise our awareness of the importance of effective protection and rational utilization of rare earth resources, and take effective measures to tangibly strengthen the management of the rare earth industry, accelerate the transformation of the development mode of the rare earth industry and promote the sustainable and healthy development of the rare earth industry. We hereby offer the following opinions:
 

国务院关于促进稀土行业持续健康发展的若干意见
(国发〔2011〕12号)


各省、自治区、直辖市人民政府,国务院各部委、各直属机构:
稀土是不可再生的重要战略资源,在新能源、新材料、节能环保、航空航天、电子信息等领域的应用日益广泛。有效保护和合理利用稀土资源,对于保护环境,加快培育发展战略性新兴产业,改造提升传统产业,促进稀土行业持续健康发展,具有十分重要的意义。经过多年发展,我国稀土开采、冶炼分离和应用技术研发取得较大进步,产业规模不断扩大。但稀土行业发展中仍存在非法开采屡禁不止,冶炼分离产能扩张过快,生态环境破坏和资源浪费严重,高端应用研发滞后,出口秩序较为混乱等问题,严重影响行业健康发展。要进一步提高对有效保护和合理利用稀土资源重要性的认识,采取有效措施,切实加强稀土行业管理,加快转变稀土行业发展方式,促进稀土行业持续健康发展。现提出以下意见:
I. Clarifying the guidelines, basic principles and development objectives
   一、明确指导思想、基本原则和发展目标
(1) Guidelines. We shall follow the guidance of Deng Xiaoping Theory and the important thought of “Three Represents”, profoundly carry out the Scientific Outlook on Development, accelerate the transformation of the development mode of the rare earth industry, promote the restructuring of the rare earth industry, strictly control the capacities of mining, smelting separation, vigorously develop new rare earth materials and application industries, and further reinforce the important role of the rare earth industry as an strategic basic industry, to ensure the sustainable and healthy development of the rare earth industry.
 (一)指导思想。以邓小平理论和“三个代表”重要思想为指导,深入贯彻落实科学发展观,加快转变稀土行业发展方式,促进稀土产业结构调整,严格控制开采和冶炼分离能力,大力发展稀土新材料及应用产业,进一步巩固和发挥稀土战略性基础产业的重要作用,确保稀土行业持续健康发展。
(2) Basic principles. We shall adhere to protecting environment and saving resources, apply more stringent protective mining policies and environmental protection standards to rare earth resources, improve the laws and regulations on the administration of rare earths as soon as possible, and crack down on various violations of laws and regulations. We shall adhere to controlling the total volume and optimizing the inventory, speed up the implementation of the strategy of “large enterprises and large groups,” actively promote technological innovation, elevate the technological level of mining, smelting and application, eliminate inefficient production capacity, and further enhance the concentration of the rare earth industry. We shall adhere to making overall plans on both domestic and international markets and resources, and actively carry out international cooperation. We shall adhere to the coordination with the local economic and social development, and correctly handle the relationships between part and whole as well as present and future.
 (二)基本原则。坚持保护环境和节约资源,对稀土资源实施更为严格的保护性开采政策和生态环境保护标准,尽快完善稀土管理法律法规,依法打击各类违法违规行为;坚持控制总量和优化存量,加快实施大企业大集团战略,积极推进技术创新,提升开采、冶炼和应用技术水平,淘汰落后产能,进一步提高稀土行业集中度;坚持统筹国内国际两个市场、两种资源,积极开展国际合作;坚持与地方经济社会发展相协调,正确处理局部与整体、当前与长远的关系。
(3) Development objectives. We shall, in one to two years, realize the standardized development, smelting, separation and market circulation of rare earth resources, and effectively contain the disorderly mining of resources, deterioration of ecological environment, blind expansion of production and rampant export smuggling; basically have the rare earth industry led by large enterprises, and the industrial concentration of the top three enterprise groups in the ionic-type rare earth industry in south China will reach 80% or higher; speed up the development of new products and promotion and application of new technologies, so that new rare earth materials will play an obvious role in supporting and guaranteeing the downstream industries; and preliminarily establish a unified, standard and efficient management system for the rare earth industry, and further improve the relevant policies, laws and regulations. We shall, in another three years or so, further improve the relevant systems and mechanisms to form a sustainable and healthy development pattern of the rare earth industry: rational exploitation, orderly production, efficient utilization, advanced technology and intensive development.
 (三)发展目标。用1-2年时间,建立起规范有序的稀土资源开发、冶炼分离和市场流通秩序,资源无序开采、生态环境恶化、生产盲目扩张和出口走私猖獗的状况得到有效遏制;基本形成以大型企业为主导的稀土行业格局,南方离子型稀土行业排名前三位的企业集团产业集中度达到80%以上;新产品开发和新技术推广应用步伐加快,稀土新材料对下游产业的支撑和保障作用得到明显发挥;初步建立统一、规范、高效的稀土行业管理体系,有关政策和法律法规进一步完善。再用3年左右时间,进一步完善体制机制,形成合理开发、有序生产、高效利用、技术先进、集约发展的稀土行业持续健康发展格局。
II. Establishing a sound supervisory system throughout the industry and strengthening and improving the industry management
   二、建立健全行业监管体系,加强和改善行业管理
(4) Strictly managing the access to the rare earth industry. We shall adopt more stringent protective mining polices and environmental protection standards to rare earth resources, and strictly control the industrial and environmental thresholds for access. We shall expedite the formulation and improvement of rare earth mining and production standards, and clarify the access requirements for rare earth mining enterprises and smelting and separation enterprises in production quality, technology and equipment, scale of production, energy consumption, comprehensive utilization of resources, environmental protection, clean production, production safety, social responsibility and so on. We shall implement a strict environmental access system, strictly implement the Standards for the Discharge of Pollutants of the Rare Earth Industry, and formulate an environmental risk assessment system for the rare earth industry.
 (四)严格稀土行业准入管理。对稀土资源实施更为严格的保护性开采政策和生态环境保护标准,严把行业和环境准入关。加快制定和完善稀土开采及生产标准,明确稀土矿山和冶炼分离企业的产品质量、工艺装备、生产规模、能源消耗、资源综合利用、环境保护、清洁生产、安全生产和社会责任等方面的准入要求。实施严格的环境准入制度,严格执行《稀土工业污染物排放标准》,制定稀土行业环境风险评估制度。
(5) Improving the management of mandatory production plans of rare earths. We shall implement strict systems for the formulation, issuance and oversight of the mandatory production plans for rare earths, strengthen the linkup among plans for rare earth mining, smelting, separation and export, subject enterprises engaging in rare earth smelting and separation to production licensing, establish the ledger and special invoice management systems for rare earth mining, smelting, separation and product circulation, use information technologies to realize the networking of enterprises engaging in the mining, smelting, separation and export of rare earths and the online monitoring.
 (五)完善稀土指令性生产计划管理。实施严格的稀土指令性生产计划编制、下达和监管制度。加强稀土开采、冶炼分离、出口等计划间的相互衔接。对稀土冶炼分离企业实行生产许可。建立稀土开采、冶炼分离和产品流通台账和专用发票管理制度。采用信息技术实现稀土开采、冶炼分离、出口企业联网,实行在线监控。
(6) Raising the qualification threshold for rare earth export enterprises. Rare earth export enterprises must meet the requirements of industry planning, industrial policies, industry and environmental access standards and so on. We shall further raise the qualification standards for rare earth export enterprises in terms of registered capital, product quality, export quantity, export amount and so on, and reasonably determine the number of export enterprises. We shall strengthen the supervision and administration of export enterprises, strengthen industry self-discipline, and legally investigate and punish those enterprises which export products purchased from illegal sources or commit other illegal acts of seriously disturbing the export business order.
 (六)提高稀土出口企业资质门槛。稀土出口企业必须符合行业规划、产业政策、行业准入、环保标准等要求。进一步提高稀土出口企业注册资本金、产品质量、出口数量及出口额等资质标准,合理确定出口企业数量。加强对出口企业的监督管理,强化行业自律,对存在从非法渠道采购产品出口及其他严重扰乱出口经营秩序等违法行为的企业,依法追究相应法律责任。
(7) Strengthening the administration of export of rare earths. We shall, according to the relevant policies on restricting the export of “high pollution, high energy consumption and resource dependent” products, strictly control the export of primary products such as rare earth metals, oxides, salts and rare earth ferroalloys while strictly controlling the total volumes of mining and production of rare earths, and take the relevant restriction measures for mining, production, consumption and export. We shall take into overall consideration domestic resources, production and consumption and international market conditions, and reasonably determine the total annual export quotas of rare earths. We shall improve the ways of allocation of export quotas, and severely punish the acts of scalping export quotas of rare earths. We shall assign more detailed rare earth product tax numbers and customs commodity codes, and include rare earth products in the statutory inspection list. We shall conduct strict customs supervision, standardize the management of declarations filed by enterprises, improve the customs testing methods and means, strengthen input for the frontline customs inspection and testing equipment, and establish a bill linkage system among enterprises engaging in mining, production and export of rare earths. We shall strengthen the post-access supervision of production and trading enterprises in the rare earth industry, and prevent them from exporting rare earth products in disguise.
......
 (七)加强稀土出口管理。按照限制“两高一资”产品出口的有关政策,在严格控制稀土开采和生产总量的同时,严格控制稀土金属、氧化物、盐类和稀土铁合金等初级产品出口,有关开采、生产、消费及出口的限制措施应同步实施。统筹考虑国内资源和生产、消费以及国际市场情况,合理确定年度稀土出口配额总量。完善出口配额分配方式,严惩倒卖稀土出口配额行为。细化稀土产品税号和海关商品编码,并将稀土产品列入法定检验目录。严格海关监管,规范企业申报管理,完善海关检测方法和手段,加强对海关一线查验、检测设备投入,建立稀土开采、生产与出口企业间票据联动制度。加强对稀土行业准入后企业生产经营的监督管理,防止变相出口稀土产品。
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