| | |
| Order of the State Council of the People's Republic of China | | 中華人民共和國國務院令 |
| (No. 792) | | （第792號） |
| The Regulation of the People's Republic of China on the Export Control of Dual-use Items, as adopted at the 41st executive meeting of the State Council on September 18, 2024, is hereby issued and shall come into force on December 1, 2024. | | 《中華人民共和國兩用物項出口管制條例》已經2024年9月18日國務院第41次常務會議通過，現予公布，自2024年12月1日起施行。 |
| Premier: Li Qiang | | 總理 李強 |
| September 30, 2024 | | 2024年9月30日 |
| Regulation of the People's Republic of China on the Export Control of Dual-use Items | | 中華人民共和國兩用物項出口管制條例 |
| Chapter I General Provisions | | 第一章 總 則 |
| Article 1 This Regulation is enacted in accordance with the Export Control Law of the People's Republic of China (“Export Control Law”) and other applicable laws for the purposes of safeguarding national security and interest, fulfilling nonproliferation and other international obligations, and strengthening and regulating the export control of dual-use items. | | 第一條 為了維護國家安全和利益，履行防擴散等國際義務，加強和規範兩用物項出口管制，根據《中華人民共和國出口管制法》（以下簡稱出口管制法）等法律，制定本條例。 |
| Article 2 This Regulation shall apply to the export control of dual-use items by the state. | | 第二條 國家對兩用物項的出口管制，適用本條例。 |
| For the purposes of this Regulation, “dual-use items” means goods, technologies, and services that are for both civil and military purposes or contribute to an increase in military potential, especially those that may be applied to design, develop, produce, or use weapons of mass destruction and their means of delivery, including relevant technical information and other data. | | 本條例所稱兩用物項，是指既有民事用途，又有軍事用途或者有助于提升軍事潛力，特別是可以用于設計、開發、生產或者使用大規模殺傷性武器及其運載工具的貨物、技術和服務，包括相關的技術資料等數據。 |
| For the purposes of this Regulation, “export control” means the prohibitive or restrictive measures taken by the state on the outward movement of dual-use items from the territory of the People's Republic of China and the provision of dual-use items by a citizen, legal person, or unincorporated organization of the People's Republic of China to a foreign organization or individual, including the export of dual-use items for trade, as well as the donation, exhibition, cooperation, and assistance to overseas parties and other forms of transfer. | | 本條例所稱出口管制，是指國家對從中華人民共和國境內向境外轉移兩用物項，以及中華人民共和國公民、法人和非法人組織向外國組織和個人提供兩用物項，包括兩用物項的貿易性出口及對外贈送、展覽、合作、援助和以其他方式進行的轉移，采取禁止或者限制性措施。 |
| Article 3 The export control of dual-use items shall be carried out by upholding the leadership of the Communist Party of China, adhering to a holistic approach to national security, safeguarding international peace, coordinating high-quality development and high-level security, improving the administration of and services for the export control of dual-use items, and enhancing the governance capacity for the export control of dual-use items. | | 第三條 兩用物項出口管制工作堅持中國共產黨的領導，堅持總體國家安全觀，維護國際和平，統籌高質量發展和高水平安全，完善兩用物項出口管制管理和服務，提升兩用物項出口管制治理能力。 |
| The export of dual-use items and related activities shall comply with the applicable laws, administrative regulations, and relevant provisions of the state, and shall not endanger national security and interest. | | 兩用物項的出口及其相關活動，應當遵守法律、行政法規和國家有關規定，不得損害國家安全和利益。 |
| Article 4 The national coordination mechanism for export control shall be responsible for organizing and guiding the export control of dual-use items and coordinating major matters concerning the export control of dual-use items. The commerce department of the State Council shall be responsible for the export control of dual-use items, and other relevant departments of the state shall be responsible for the work relating to the export control of dual-use items according to their respective duties. The commerce department of the State Council and other relevant departments of the state shall closely cooperate with each other to strengthen information sharing. | | 第四條 國家出口管制工作協調機制負責組織、指導兩用物項出口管制工作，統籌協調兩用物項出口管制重大事項。國務院商務主管部門負責兩用物項出口管制工作，國家其他有關部門按照職責分工負責兩用物項出口管制有關工作。國務院商務主管部門和國家其他有關部門應當密切配合，加強信息共享。 |
| The commerce department of the people's government of a province, autonomous region, or municipality directly under the Central Government may, upon the entrustment of the commerce department of the State Council, carry out the work relating to the export control of dual-use items. | | 省、自治區、直轄市人民政府商務主管部門可以受國務院商務主管部門的委托，開展兩用物項出口管制有關工作。 |
| Article 5 The commerce department of the State Council shall, in conjunction with the relevant departments of the state, establish an expert advisory mechanism for the export control of dual-use items to provide advice on the export control of dual-use items. Experts shall safeguard national security and interest and provide advice in an objective, impartial, scientific, and rigorous manner, and shall, in accordance with the law, have the obligation to keep confidential the state secrets, work secrets, trade secrets, individual privacy, personal information, and other information to which they have access in the course of providing advice. | | 第五條 國務院商務主管部門會同國家有關部門建立兩用物項出口管制專家咨詢機制，為兩用物項出口管制工作提供咨詢意見。專家應當維護國家安全和利益，客觀、公正、科學、嚴謹地提供咨詢意見，並對咨詢中所知悉的國家秘密、工作秘密、商業秘密和個人隱私、個人信息等依法負有保密義務。 |
| Article 6 The commerce department of the State Council shall develop and issue the compliance guidelines for the export control of dual-use items, encourage and guide export businesses and other businesses that provide export businesses with freight transport, third-party e-commerce trading platforms, financial, and other services to establish and improve internal compliance rules for the export control of dual-use items, and regulate their operations in accordance with the law. | | 第六條 國務院商務主管部門擬訂並發布兩用物項出口管制合規指南，鼓勵和引導出口經營者以及為出口經營者提供貨運、第三方電子商務交易平台和金融等服務的經營者建立健全兩用物項出口管制內部合規制度，依法規範經營。 |
| Article 7 The commerce department and the foreign affairs department of the State Council shall, in conjunction with other relevant departments of the state, strengthen international cooperation in the export control of dual-use items and participate in the development of relevant international rules. | | 第七條 國務院商務、外交主管部門會同國家其他有關部門加強兩用物項出口管制國際合作，參與有關國際規則的制定。 |
| The commerce department of the State Council shall, in accordance with treaties and agreements concluded or acceded to by China or under the principles of equality and mutual benefits, conduct cooperation and exchanges on the export control of dual-use items with other countries and regions and international organizations, among others. Other relevant departments of the state shall carry out cooperation and exchanges relating to the export control of dual-use items according to their respective duties. | | 國務院商務主管部門根據締結或者參加的條約、協定，或者按照平等互惠原則，與其他國家和地區、國際組織等開展兩用物項出口管制合作與交流。國家其他有關部門按照職責分工開展兩用物項出口管制相關合作與交流。 |
| Article 8 Relevant chambers of commerce, associations, and other industry self-regulatory organizations shall, in accordance with the provisions of applicable laws, regulations, and bylaws, provide their members with information consulting, publicity and training, and other services relating to the export control of dual-use items, and strengthen industry self-regulation. | | 第八條 有關商會、協會等行業自律組織應當依照法律法規和章程的規定，為其成員提供與兩用物項出口管制有關的信息咨詢、宣傳培訓等服務，加強行業自律。 |
| Chapter II Control Policies | | 第二章 管制政策 |
| Article 9 The commerce department of the State Council shall, in conjunction with relevant departments of the state, develop and adjust the policies for the export control of dual-use items, among which major policies shall be reported to the State Council or to the State Council and the Central Military Commission for approval. | | 第九條 國務院商務主管部門會同國家有關部門制定、調整兩用物項出口管制政策，其中重大政策應當報國務院批准，或者報國務院、中央軍事委員會批准。 |
| Article 10 The commerce department of the State Council may, in conjunction with the foreign affairs, Customs, and other relevant departments of the state, assess the destination countries and regions to which dual-use items are exported in light of the following factors, determine their risk levels, and take appropriate control measures: | | 第十條 國務院商務主管部門會同外交、海關等國家有關部門可以結合下列因素對兩用物項出口目的國家和地區進行評估，確定風險等級，采取相應的管制措施： |
| (1) impact on national security and interest; | | （一）對國家安全和利益的影響； |
| (2) the needs for fulfilling nonproliferation and other international obligations; | | （二）履行防擴散等國際義務的需要； |
| (3) the needs for fulfilling treaties and agreements concluded or acceded to by China; | | （三）履行我國締結或者參加的條約、協定的需要； |
| (4) the needs for implementing relevant binding resolutions and measures, among others, adopted by the United Nations Security Council; and | | （四）執行聯合國安全理事會作出的具有約束力的相關決議和措施等的需要； |
| (5) other factors that need to be considered. | | （五）其他需要考慮的因素。 |
| Article 11 The commerce department of the State Council shall, in accordance with the provisions of the Export Control Law and this Regulation as well as the policies for the export control of dual-use items, develop and adjust the list of dual-use items subject to export control under the prescribed procedures in conjunction with the relevant departments of the state, and publish the list in a timely manner. | | 第十一條 國務院商務主管部門依據出口管制法和本條例的規定，根據兩用物項出口管制政策，按照規定程序會同國家有關部門制定、調整兩用物項出口管制清單，並及時公布。 |
| For the development and adjustment of the list of dual-use items subject to export control, the opinions of relevant enterprises, chambers of commerce, associations, and other parties may be solicited in an appropriate manner, and industrial surveys and assessment shall be conducted when necessary. | | 制定、調整兩用物項出口管制清單可以以適當方式征求有關企業、商會、協會等方面意見，必要時開展產業調查和評估。 |
| Article 12 As needed for maintaining national security and interest and fulfilling nonproliferation and other international obligations, with the approval of the State Council or both the State Council and the Central Military Commission, the commerce department of the State Council may exercise temporary control over the export of goods, technologies, and services not included in the list of dual-use items subject to export control, and make an announcement thereon. The term of temporary control shall not exceed two years each time. Assessment shall be conducted in a timely manner before the expiration of the term of temporary control, and based on the assessment result, a decision shall be made as follows: | | 第十二條 根據維護國家安全和利益、履行防擴散等國際義務的需要，經國務院批准，或者經國務院、中央軍事委員會批准，國務院商務主管部門可以對兩用物項出口管制清單以外的貨物、技術和服務實施臨時管制，並予以公告。臨時管制的實施期限每次不超過2年。臨時管制實施期限屆滿前應當及時進行評估，根據評估結果作出以下決定： |
| (1) If control is no longer necessary, temporary control shall be canceled. | | （一）不再需要實施管制的，取消臨時管制； |
| (2) If control needs to be continued but it is inappropriate to include it in the list of dual-use items subject to export control, temporary control shall be extended for no more than twice. | | （二）需要繼續實施管制但不宜列入兩用物項出口管制清單的，延長臨時管制，延長臨時管制不超過2次； |
| (3) If it is necessary to exercise the control for a long term, the item shall be included in the list of dual-use items subject to export control. | | （三）需要長期實施管制的，列入兩用物項出口管制清單。 |
| Article 13 As needed for safeguarding national security and interest and fulfilling nonproliferation and other international obligations, with the approval of the State Council or both the State Council and the Central Military Commission, the commerce department of the State Council may, in conjunction with other relevant departments of the state, prohibit the export of specific dual-use items or prohibit the export of specific dual-use items to specific destination countries and regions and specific organizations and individuals. | | 第十三條 根據維護國家安全和利益、履行防擴散等國際義務的需要，經國務院批准，或者經國務院、中央軍事委員會批准，國務院商務主管部門會同國家有關部門可以禁止特定兩用物項的出口，或者禁止特定兩用物項向特定目的國家和地區、特定組織和個人出口。 |
| Chapter III Control Measures | | 第三章 管制措施 |
| Section 1 Licensing for the Export of Dual-Use Items | | 第一節 兩用物項出口許可 |
| Article 14 The state shall implement a licensing system for the export of dual-use items. | | 第十四條 國家對兩用物項的出口實行許可制度。 |
| To export any dual-use items specified in the export control list or dual-use items subject to temporary control, an export business shall apply to the commerce department of the State Council for licensing. | | 出口兩用物項出口管制清單所列兩用物項或者實施臨時管制的兩用物項，出口經營者應當向國務院商務主管部門申請許可。 |
| If relevant goods, technologies, and services fall under the circumstances specified in paragraph 3 of Article 12 of the Export Control Law, the export business shall apply for a license from the commerce department of the State Council in accordance with the provisions of the Export Control Law and this Regulation. If it is otherwise prescribed in any law, administrative regulation, or military regulation, such provisions shall prevail. | | 相關貨物、技術和服務存在出口管制法第十二條第三款規定情形的，出口經營者應當依照出口管制法和本條例的規定向國務院商務主管部門申請許可。法律、行政法規、軍事法規另有規定的，從其規定。 |
| An export business shall understand the performance indicators and main uses, among others, of the goods, technologies, and services to be exported and determine whether such goods, technologies, and services are dual-use items; and if it is impossible to determine, the export business may consult the commerce department of the State Council, and the latter shall give a reply in a timely manner. If an export business files an inquiry, it shall, at the same time, provide the performance indicators and main uses of the goods, technologies, and services to be exported and the reasons for being unable to determine whether such goods, technologies, and services are dual-use items. | | 出口經營者應當了解擬出口貨物、技術和服務的性能指標、主要用途等，確定其是否屬于兩用物項；無法確定的，可以向國務院商務主管部門提出咨詢，國務院商務主管部門應當及時答複。出口經營者提出咨詢的，應當同時提供擬出口貨物、技術和服務的性能指標、主要用途以及無法確定是否屬于兩用物項的原因。 |
| Article 15 For the export of dual-use items, a single or general license shall be obtained in accordance with the provisions of the Export Control Law and this Regulation or an export certificate shall be obtained through the registration and submission of information. | | 第十五條 出口兩用物項應當依照出口管制法和本條例的規定獲得單項許可、通用許可，或者以登記填報信息方式獲得出口憑證。 |
| A single license allows an export business to export specific dual-use items to a single end user once within the scope, conditions, and validity period specified in the export license. The validity period of a single license shall not exceed one year, and the export license shall be invalidated automatically if the export is completed within the validity period. | | 單項許可允許出口經營者在出口許可證件載明的範圍、條件和有效期內，向單一最終用戶進行一次特定兩用物項出口。單項許可的有效期不超過1年，有效期內完成出口的，出口許可證件自動失效。 |
| A general license allows an export business to export specific dual-use items to a single or multiple end users for many times within the scope, conditions, and validity period specified in the export license. The validity period of a general license shall not exceed three years. | | 通用許可允許出口經營者在出口許可證件載明的範圍、條件和有效期內，向單一或者多個最終用戶進行多次特定兩用物項出口。通用許可的有效期不超過3年。 |
| If an export certificate is obtained through the registration and submission of information, the export business shall, prior to each export of specific dual-use items, undergo registration formalities at the commerce department of the State Council, truthfully enter relevant information as required to obtain the export certificate, and export such items based on the export certificate. | | 以登記填報信息方式獲得出口憑證出口的，出口經營者應當在特定兩用物項每次出口前向國務院商務主管部門辦理登記，按照規定如實填報相關信息獲得出口憑證後，憑出口憑證自行出口。 |
| Article 16 To apply for a single license, an export business shall file an application with the commerce department of the State Council in a written form or by data message, truthfully enter an application form for the export of dual-use items, and submit the following materials: | | 第十六條 出口經營者申請單項許可，應當通過書面方式或者數據電文方式向國務院商務主管部門提出申請，如實填寫兩用物項出口申請表，並提交下列材料： |
| (1) the identifications of the applicant's legal representative, chief manager, and handling personnel; | | （一）申請人的法定代表人、主要經營管理人以及經辦人的身份證明； |
| (2) the duplicates of contracts or agreements relating to the export of dual-use items or other supporting documents; | | （二）與兩用物項出口有關的合同、協議的副本或者其他證明文件； |
| (3) technical specifications or testing reports of dual-use items; | | （三）兩用物項的技術說明或者檢測報告； |
| (4) end users and supporting documents on the end uses of dual-use items; and | | （四）兩用物項的最終用戶和最終用途證明文件； |
| (5) other materials required by the commerce department of the State Council. | | （五）國務院商務主管部門要求提交的其他材料。 |
| An export business that has established internal compliance rules for the export control of dual-use items, is in good operating condition, and has relevant records of the export of dual-use items and relatively fixed export channels and end users may apply for a general license from the commerce department of the State Council. In addition to the materials specified in the preceding paragraph, the following materials shall also be submitted for the application for a general license: | | 出口經營者建立兩用物項出口管制內部合規制度且運行良好，具有相關兩用物項出口記錄和相對固定的出口渠道及最終用戶的，可以向國務院商務主管部門申請通用許可。申請通用許可，除前款規定的材料外，還應當提交下列材料： |
| (1) a description of the operation of internal compliance rules for the export control of dual-use items; | | （一）兩用物項出口管制內部合規制度運行情況說明； |
| (2) a description of the application for and use of the license for the export of dual-use items; and | | （二）兩用物項出口許可證件申領及使用情況說明； |
| (3) a description of the export channels and information on the end users of dual-use items. | | （三）兩用物項出口渠道及最終用戶有關情況說明。 |
| Article 17 The commerce department of the State Council shall, in accepting an application for the export license for dual-use items, examine the application independently or in conjunction with other relevant departments of the state in accordance with the Export Control Law and this Regulation, and shall make a decision on whether or not to grant a license within 45 working days. If a license is granted, the commerce department of the State Council shall issue an export license; and if no license is granted, the commerce department of the State Council shall inform the applicant in writing of its rejection. | | 第十七條 國務院商務主管部門應當自受理兩用物項出口許可申請之日起，單獨或者會同國家有關部門依照出口管制法和本條例的規定對出口許可申請進行審查，在45個工作日內作出准予或者不予許可的決定。准予許可的，由國務院商務主管部門頒發出口許可證件；不予許可的，應當書面告知申請人。 |
| ．．．．．． | | 對國家安全和利益有重大影響的兩用物項出口，國務院商務主管部門應當會同國家有關部門報國務院批准，或者報國務院、中央軍事委員會批准。需要報國務院批准，或者報國務院、中央軍事委員會批准的，不受前款規定出口許可審查期限的限制。 |
| | 國務院商務主管部門對出口許可申請進行審查，依法需要組織鑒別，征詢專家意見，或者對出口經營者、最終用戶進行實地核查的，所需時間不計算在本條第一款規定的出口許可審查期限內。 |
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