中國(guó)的出口管制
China’s Export Controls
中華人民共和國(guó)國(guó)務(wù)院新聞辦公室
The State Council Information Office of the People’s Republic of China
2021年12月
December 2021
目錄
Contents
前言
Preamble
一、中國(guó)出口管制的基本立場(chǎng)
I. China’s Basic Position on Export Controls
二、不斷完善出口管制法律制度和管理體制
II. Ongoing Improvements to the Legal and Regulatory System for Export Controls
三、持續(xù)推進(jìn)出口管制體系現(xiàn)代化
III. Modernizing the Export Control System
四、積極開(kāi)展出口管制國(guó)際交流與合作
IV. Promoting International Exchanges and Cooperation
結(jié)束語(yǔ)
Conclusion
前言
Preamble
出口管制是指對(duì)兩用物項(xiàng)、軍品、核以及其他與維護(hù)國(guó)家安全和利益、履行防擴(kuò)散等國(guó)際義務(wù)相關(guān)的貨物、技術(shù)、服務(wù)等物項(xiàng)出口，采取禁止或者限制性措施，是國(guó)際上通行的做法。
Export controls are a standard international practice. They involve prohibitive or restrictive measures on the export of dual-use items, military products, nuclear materials, and other goods, technologies and services related to safeguarding national security and national interests, and other restrictions related to fulfilling non-proliferation and other international obligations.
當(dāng)今世界正經(jīng)歷百年未有之大變局，不穩(wěn)定性不確定性顯著上升，國(guó)際安全體系和秩序受到?jīng)_擊，世界和平面臨多元挑戰(zhàn)和威脅。公正、合理、非歧視的出口管制，對(duì)于有效應(yīng)對(duì)新形勢(shì)下國(guó)際和地區(qū)安全風(fēng)險(xiǎn)與挑戰(zhàn)、維護(hù)世界和平與發(fā)展，地位和作用日益凸顯。各國(guó)普遍高度重視和積極推進(jìn)出口管制工作，通過(guò)建立和執(zhí)行法律制度，加強(qiáng)和規(guī)范出口管制。
The world is undergoing profound changes of a scale unseen in a century, with an increase in destabilizing factors and uncertainties, disruption to international security and order, and challenges and threats to world peace. The status and role of fair, reasonable, and non-discriminatory export control measures is growing in importance as an effective means to address international and regional security risks and challenges and safeguard world peace and development. All countries pay close attention to export controls and take an active approach to strengthening and standardizing their approach by establishing and enforcing measures through their legal systems.
中國(guó)作為聯(lián)合國(guó)安理會(huì)常任理事國(guó)、世界貨物貿(mào)易和制造業(yè)第一大國(guó)，始終本著維護(hù)國(guó)家安全，維護(hù)世界和平與地區(qū)安全的原則，不斷完善出口管制治理。進(jìn)入新時(shí)代，中國(guó)在習(xí)近平新時(shí)代中國(guó)特色社會(huì)主義思想指引下，堅(jiān)持總體國(guó)家安全觀，更加積極地融入經(jīng)濟(jì)全球化進(jìn)程。中國(guó)著眼于更好地建設(shè)更高水平開(kāi)放型經(jīng)濟(jì)新體制和建設(shè)更高水平的平安中國(guó)，實(shí)現(xiàn)高質(zhì)量發(fā)展和高水平安全的良性互動(dòng)，推動(dòng)出口管制體系現(xiàn)代化，出口管制治理取得新發(fā)展、新成就。中國(guó)從全球視角思考責(zé)任擔(dān)當(dāng)，認(rèn)真履行國(guó)際義務(wù)，加強(qiáng)國(guó)際交流與合作，以實(shí)際行動(dòng)積極參與出口管制國(guó)際協(xié)調(diào)，推動(dòng)相關(guān)國(guó)際進(jìn)程，與各國(guó)攜手構(gòu)建人類(lèi)命運(yùn)共同體，為世界和平與發(fā)展注入了正能量。
As a permanent member of the UN Security Council, and the largest trader and manufacturer of goods, China has always been committed to the principle of safeguarding national security, world peace and regional security by steadily improving export control governance. Guided by Xi Jinping Thought on Socialism with Chinese Characteristics for a New Era, China is pursuing a holistic approach to national security and taking more active steps to integrate into the process of economic globalization. To build a more open economy and a more peaceful China, China strives to achieve sound interaction between high-quality development and guaranteed security, modernize its export control regime, and make new progress in export control governance. China will assume its responsibilities from a global perspective, conscientiously undertake its international obligations, and step up international exchanges and cooperation. It will take concrete actions to participate in the international coordination of export controls, make progress on related international processes, and work together with all other countries in building a global community of shared future and delivering a strong boost to world peace and development.
為全面介紹中國(guó)出口管制的基本立場(chǎng)和政策主張，增進(jìn)國(guó)際社會(huì)對(duì)中國(guó)出口管制的了解，特發(fā)布本白皮書(shū)。
The Chinese government is publishing this white paper to provide a full picture of China’s policies on export controls, and to help the international community better understand China’s position.
一、中國(guó)出口管制的基本立場(chǎng)
I. China’s Basic Position on Export Controls
中國(guó)作為負(fù)責(zé)任大國(guó)，堅(jiān)定維護(hù)以聯(lián)合國(guó)為核心的國(guó)際體系和以國(guó)際法為基礎(chǔ)的國(guó)際秩序，切實(shí)維護(hù)符合真正多邊主義的國(guó)際條約和機(jī)制的權(quán)威，積極推進(jìn)國(guó)際出口管制朝著公正、合理、非歧視的正確方向發(fā)展。
As a responsible country, China firmly stands by the international system centered on the UN and the international order underpinned by international law. China safeguards the authority of international treaties and mechanisms that uphold true multilateralism, and actively promotes the implementation of fair, reasonable and non-discriminatory international export controls.
（一）堅(jiān)持總體國(guó)家安全觀
1. Maintaining a Holistic Approach to National Security
經(jīng)濟(jì)全球化時(shí)代，各國(guó)安全相互關(guān)聯(lián)，彼此影響。中國(guó)始終堅(jiān)持總體國(guó)家安全觀，統(tǒng)籌發(fā)展和安全，統(tǒng)籌開(kāi)放和安全，統(tǒng)籌傳統(tǒng)安全和非傳統(tǒng)安全，統(tǒng)籌自身安全和共同安全，統(tǒng)籌維護(hù)和塑造國(guó)家安全，努力建設(shè)與中國(guó)國(guó)際地位相稱，同國(guó)家安全和利益相適應(yīng)的出口管制體系。中國(guó)主張，各國(guó)創(chuàng)新安全理念，樹(shù)立共同、綜合、合作、可持續(xù)的全球安全觀，特別是大國(guó)應(yīng)當(dāng)履行大國(guó)義務(wù)，展現(xiàn)大國(guó)責(zé)任擔(dān)當(dāng)，在出口管制領(lǐng)域推進(jìn)國(guó)際共同安全，共同構(gòu)建普遍安全的人類(lèi)命運(yùn)共同體。
In the age of economic globalization, no country’s security can be independent of and isolated from all others. China maintains a holistic approach to national security, which means coordinating development and security, opening up and security, traditional security and non-traditional security, and China’s own security and the security of others. It means safeguarding and shaping national security to build an export control system that is commensurate with its international standing and aligned with its national security and interests. China holds that all countries need to develop a fresh perspective and adopt a common, comprehensive, cooperative and sustainable outlook on global security. In particular, major countries should fulfill their obligations, show a sense of responsibility, and promote international security in the field of export controls to build a global community of universal security.
（二）認(rèn)真履行國(guó)際義務(wù)和承諾
2. Honoring International Obligations and Commitments
維護(hù)國(guó)際和平，履行防擴(kuò)散等國(guó)際義務(wù)是中國(guó)的莊嚴(yán)承諾。中國(guó)積極履行國(guó)際義務(wù)，廣泛借鑒國(guó)際通行做法，大力加強(qiáng)和完善出口管制體系建設(shè)。中國(guó)堅(jiān)決反對(duì)一切形式的大規(guī)模殺傷性武器及其運(yùn)載工具的擴(kuò)散，并形成以《出口管制法》為統(tǒng)領(lǐng)，涵蓋兩用物項(xiàng)、軍品、核以及其他與維護(hù)國(guó)家安全和利益、履行防擴(kuò)散等國(guó)際義務(wù)相關(guān)的貨物、技術(shù)、服務(wù)等物項(xiàng)的出口管制體系。
It is China’s solemn commitment to maintain international peace, and to respect non-proliferation and other international obligations. China actively draws useful experience from international standard practices, and employs that experience to strengthen and improve its export control system. China stands firmly against the proliferation of all forms of weapons of mass destruction and their delivery systems and has established an export control system governed by the Export Control Law that covers dual-use items, military products, nuclear materials, and other goods, technologies and services related to safeguarding national security and national interests, and other restrictions related to fulfilling non-proliferation and other international obligations.
（三）積極推進(jìn)國(guó)際合作協(xié)調(diào)
3. Promoting International Cooperation and Coordination
當(dāng)今世界，各國(guó)日益成為命運(yùn)共同體。越是面臨全球性挑戰(zhàn)，越要合作應(yīng)對(duì)。中國(guó)主張，通過(guò)國(guó)際協(xié)調(diào)合作和多邊機(jī)制，妥善解決分歧和爭(zhēng)端，使各國(guó)成為相互信任、平等合作的伙伴。當(dāng)前，全球治理體制變革正處在歷史轉(zhuǎn)折點(diǎn)，中國(guó)主張，出口管制國(guó)際協(xié)調(diào)應(yīng)切實(shí)增加新興市場(chǎng)國(guó)家和發(fā)展中國(guó)家的代表性，更好實(shí)現(xiàn)各國(guó)在國(guó)際合作中權(quán)利平等、機(jī)會(huì)平等、規(guī)則平等，更加平衡地反映大多數(shù)國(guó)家意愿和利益，共同營(yíng)造和平穩(wěn)定、平等互信、合作共贏的國(guó)際環(huán)境。
In today’s world, countries are increasingly part of a community of shared future. The more significant the global challenges we face, the greater the need for cooperative responses. China believes in addressing differences and disputes through international coordination and cooperation and multilateral mechanisms, so that all countries can become partners who trust and work with one another on an equal footing. As reform of the global governance system has reached a historic turning point, China advocates increased representation for emerging markets and developing countries in international coordination on export controls, to promote equal rights, opportunities and rules for all in international cooperation. This will reflect the wishes and interests of the majority in a more balanced manner, and help to build an international environment of peace and stability, equality and mutual trust, and win-win cooperation.
（四）堅(jiān)決反對(duì)濫用出口管制措施
4. Opposing the Abuse of Export Control Measures
任何國(guó)家和地區(qū)都不應(yīng)濫用出口管制措施，無(wú)理實(shí)施歧視性限制措施，在防擴(kuò)散問(wèn)題上推行雙重標(biāo)準(zhǔn)，甚至推動(dòng)出口管制有關(guān)多邊機(jī)制趨向歧視性和排他性?！恫粩U(kuò)散核武器條約》《禁止細(xì)菌（生物）及毒素武器的發(fā)展、生產(chǎn)及儲(chǔ)存以及銷(xiāo)毀這類(lèi)武器的公約》（以下簡(jiǎn)稱《禁止生物武器公約》）《關(guān)于禁止發(fā)展、生產(chǎn)、儲(chǔ)存和使用化學(xué)武器及銷(xiāo)毀此種武器的公約》（以下簡(jiǎn)稱《禁止化學(xué)武器公約》）以及一系列聯(lián)大、聯(lián)合國(guó)安理會(huì)決議，都規(guī)定了確保各國(guó)不受歧視地充分享有和平利用的權(quán)利。中國(guó)主張，出口管制應(yīng)當(dāng)遵守公正、合理、非歧視原則，不應(yīng)當(dāng)損害其他國(guó)家和平利用出口管制物項(xiàng)的正當(dāng)權(quán)益，不應(yīng)當(dāng)對(duì)和平利用科技進(jìn)步成果促進(jìn)發(fā)展、正常國(guó)際科技交流與經(jīng)貿(mào)合作、全球產(chǎn)業(yè)鏈供應(yīng)鏈安全順暢運(yùn)轉(zhuǎn)設(shè)置障礙。中國(guó)呼吁，在全球化日益深入、新技術(shù)不斷涌現(xiàn)的今天，各國(guó)既應(yīng)對(duì)出口管制有關(guān)風(fēng)險(xiǎn)和威脅實(shí)施有效管控，營(yíng)造有利于經(jīng)濟(jì)社會(huì)發(fā)展的安全環(huán)境，也要積極推動(dòng)科技發(fā)展的普惠共享，不斷增進(jìn)全人類(lèi)福祉。
No country or region should abuse export control measures, gratuitously impose discriminatory restrictions, apply double standards to matters related to non-proliferation, or abuse multilateral mechanisms related to export controls for the purposes of discrimination and exclusion. The Treaty on the Non-Proliferation of Nuclear Weapons (NPT), the Convention on the Prohibition of the Development, Production and Stockpiling of Bacteriological (Biological) and Toxin Weapons and on Their Destruction (BWC), the Convention on the Prohibition of the Development, Production, Stockpiling and Use of Chemical Weapons and on Their Destruction (CWC) and a host of resolutions of the UN General Assembly and Security Council all provide for the right of countries to fully enjoy peaceful use of controlled items and technological achievements free from discrimination. China believes that export controls should be fair, reasonable, and non-discriminatory. They should not undermine the legitimate right of other countries to the peaceful use of controlled items, obstruct the peaceful use of outcomes of scientific and technological advances designed to promote development, interfere with normal international science and technology exchanges and economic and trade cooperation, or obstruct the secure and smooth operation of global industrial and supply chains. With deeper globalization and more new technologies emerging, China calls upon all countries to promote inclusive sharing of the benefits of scientific and technological development, to increase human wellbeing, to effectively manage risks and threats related to export controls, and to create a secure environment for economic and social development.
二、不斷完善出口管制法律制度和管理體制
II. Ongoing Improvements to the Legal and Regulatory System for Export Controls
中國(guó)堅(jiān)持全面依法治國(guó)基本方略，既立足中國(guó)國(guó)情，又借鑒國(guó)外有益經(jīng)驗(yàn)，不斷健全出口管制法律制度，完善出口管制管理體制，為出口管制提供法治和體制保障。
Committed to the basic principle of pursuing law-based governance in all respects, China continues to improve its legal and regulatory system for export controls. To provide law-based and institutional export control guarantees, it bases its efforts on its national conditions and draws upon helpful experience from overseas.
（一）建立健全出口管制法律制度
1. Establishing and Improving a Legal System for Export Controls
改革開(kāi)放以來(lái)，中國(guó)經(jīng)濟(jì)發(fā)展的內(nèi)外環(huán)境發(fā)生了深刻變化，社會(huì)主義市場(chǎng)經(jīng)濟(jì)體制不斷完善，出口管制工作的法治化水平不斷提升。自20世紀(jì)90年代起，中國(guó)先后頒布《監(jiān)控化學(xué)品管理?xiàng)l例》《核出口管制條例》《軍品出口管理?xiàng)l例》《核兩用品及相關(guān)技術(shù)出口管制條例》《導(dǎo)彈及相關(guān)物項(xiàng)和技術(shù)出口管制條例》和《生物兩用品及相關(guān)設(shè)備和技術(shù)出口管制條例》等6部行政法規(guī)。商務(wù)部、工業(yè)和信息化部、海關(guān)總署、國(guó)家國(guó)防科技工業(yè)局、國(guó)家原子能機(jī)構(gòu)、中央軍委裝備發(fā)展部等相關(guān)部門(mén)配套出臺(tái)數(shù)十項(xiàng)部門(mén)規(guī)章及相關(guān)規(guī)范性文件，細(xì)化出口管制事項(xiàng)規(guī)定，包括對(duì)特定物項(xiàng)的具體規(guī)定、許可管理及執(zhí)法監(jiān)督的具體規(guī)定、實(shí)施聯(lián)合國(guó)安理會(huì)有關(guān)決議的相關(guān)文件等。
Since the beginning of reform and opening up in 1978, profound changes in the internal and external environment have impacted economic development in China. There have been continuous improvements in China’s socialist market economic system, and its law-based export control work has improved steadily. Since the 1990s, China has promulgated six administrative regulations: Regulations of the People’s Republic of China on the Administration of the Controlled Chemicals, Regulations of the People’s Republic of China on the Control of Nuclear Export, Regulations of the People’s Republic of China on Administration of Arms Export, Regulations of the People’s Republic of China on the Control of Nuclear Dual-use Items and Related Technologies Export, Regulations of the People’s Republic of China on Export Control of Missiles and Missile-related Items and Technologies, and Regulations of the People’s Republic of China on Export Control of Dual-use Biological Agents and Related Equipment and Technologies. The Ministry of Commerce, the Ministry of Industry and Information Technology, the General Administration of Customs, the State Administration of Science, Technology and Industry for National Defense, China Atomic Energy Authority, the Equipment Development Department of the Central Military Commission (CMC), and other related departments have introduced a number of departmental rules and normative documents setting detailed provisions on matters related to export controls, including specific stipulations on particular items, license regulation and enforcement supervision, and documents on implementing relevant UN Security Council resolutions.
2020年10月，中國(guó)頒布《出口管制法》，對(duì)出口管制體制、管制措施以及國(guó)際合作等作出明確規(guī)定，統(tǒng)一確立出口管制政策、管制清單、臨時(shí)管制、管控名單以及監(jiān)督管理等方面的基本制度框架和規(guī)則?！冻隹诠苤品ā肥窃诳偨Y(jié)中國(guó)出口管制實(shí)踐經(jīng)驗(yàn)基礎(chǔ)上，根據(jù)形勢(shì)變化，借鑒國(guó)際通行做法，提升立法層級(jí)而制定的一部統(tǒng)領(lǐng)中國(guó)出口管制工作的法律，對(duì)中國(guó)出口管制的制度作出全面安排，確保管制物項(xiàng)、適用主體和管制環(huán)節(jié)全覆蓋?！冻隹诠苤品ā烦雠_(tái)以來(lái)，為確保各項(xiàng)制度有效實(shí)施，國(guó)家出口管制管理部門(mén)積極開(kāi)展相關(guān)配套法規(guī)、部門(mén)規(guī)章的“立改廢”工作，確保出口管制法律制度各領(lǐng)域之間高效銜接。除《出口管制法》外，《對(duì)外貿(mào)易法》《國(guó)家安全法》《數(shù)據(jù)安全法》《核安全法》《海關(guān)法》《行政許可法》《行政處罰法》《刑法》等法律也為出口管制措施執(zhí)行等相關(guān)工作提供了有力法律依據(jù)。目前，中國(guó)已基本形成法律、行政法規(guī)、部門(mén)規(guī)章相銜接，層次分明、結(jié)構(gòu)協(xié)調(diào)的出口管制法律制度，為構(gòu)建中國(guó)特色現(xiàn)代化出口管制體系奠定了堅(jiān)實(shí)的法律基礎(chǔ)。
In October 2020, China promulgated the Export Control Law, which includes clear provisions on systems, measures, and international cooperation on export controls. It also sets a basic institutional framework, and unified rules for export control policies, a control list, temporary controls, a restricted name list, and supervision. The Law was formulated in the light of changing circumstances, drawing on China’s own experience in export controls and taking into account standard international practices. It raises China’s export control legislation to a higher level, makes comprehensive arrangements for China’s export control system, and provides a full coverage of controlled items, legal subjects and other aspects of export control. To make sure that the Export Control Law is effectively implemented, China’s authorities have introduced, revised, and rescinded supporting administrative regulations and departmental rules. In addition to the Export Control Law, China’s Foreign Trade Law, National Security Law, Data Security Law, Nuclear Safety Law, Customs Law, Administrative Licensing Law, Administrative Punishment Law and Criminal Law also provide a strong legal base for the enforcement of export control measures. China now has in place a well-organized basic legal system on export controls with well-coordinated laws, administrative regulations and departmental rules and a balanced structure, which provides a solid legal foundation for developing a modern export control system with Chinese characteristics.
（二）構(gòu)建協(xié)同高效的出口管制管理體制
2. Building a Coordinated and Efficient Export Control Regime
出口管制涉及國(guó)務(wù)院、中央軍事委員會(huì)的多個(gè)部門(mén)。國(guó)家建立健全出口管制工作機(jī)制，明確各部門(mén)分工，為出口管制工作提供了堅(jiān)實(shí)的體制保障。
Export controls involve multiple departments of the State Council and the CMC. China has established a sound working mechanism and clearly assigned roles and responsibilities among departments, which provides a solid institutional guarantee.
兩用物項(xiàng)出口管制管理體制。核兩用物項(xiàng)出口，由商務(wù)部會(huì)同國(guó)家原子能機(jī)構(gòu)進(jìn)行管理；生物類(lèi)兩用物項(xiàng)出口，由商務(wù)部根據(jù)需要會(huì)同農(nóng)業(yè)農(nóng)村部、國(guó)家衛(wèi)生健康委員會(huì)等部門(mén)進(jìn)行管理；有關(guān)化學(xué)品類(lèi)兩用物項(xiàng)出口，由商務(wù)部進(jìn)行管理；導(dǎo)彈類(lèi)兩用物項(xiàng)出口，由商務(wù)部根據(jù)需要會(huì)同國(guó)家國(guó)防科技工業(yè)局、中央軍委裝備發(fā)展部等部門(mén)進(jìn)行管理；商用密碼出口，由商務(wù)部會(huì)同國(guó)家密碼管理局進(jìn)行管理，《密碼法》規(guī)定商用密碼出口管制清單由商務(wù)部會(huì)同國(guó)家密碼管理局和海關(guān)總署制定并公布；監(jiān)控化學(xué)品出口，由工業(yè)和信息化部會(huì)同商務(wù)部進(jìn)行出口經(jīng)營(yíng)者資質(zhì)管理，工業(yè)和信息化部負(fù)責(zé)具體出口審查。
Regulatory system for export control of dual-use items.
· Export of nuclear dual-use items is regulated by the Ministry of Commerce jointly with the China Atomic Energy Authority;
· Export of dual-use biological items is regulated by the Ministry of Commerce jointly with the Ministry of Agriculture and Rural Affairs and the National Health Commission, among others as required;
· Export of dual-use items related to certain chemicals is regulated by the Ministry of Commerce;
· Export of dual-use missile-related items is regulated by the Ministry of Commerce jointly with the State Administration of Science, Technology and Industry for National Defense and the Equipment Development Department of the CMC, among others as required;
· Export of commercial cryptography is regulated by the Ministry of Commerce jointly with the State Cryptography Administration – the Cryptography Law stipulates that the export control list of commercial cryptography shall be formulated and published by the Ministry of Commerce in conjunction with the State Cryptography Administration and the General Administration of Customs;
· For the export of controlled chemicals, the Ministry of Industry and Information Technology regulates exporter accreditation jointly with the Ministry of Commerce, and is responsible for undertaking specific export review.
軍品出口管制管理體制。軍品出口，由國(guó)家國(guó)防科技工業(yè)局與中央軍委裝備發(fā)展部根據(jù)分工進(jìn)行管理，主要管理內(nèi)容包括審批軍品出口專營(yíng)資格、軍品出口立項(xiàng)、軍品出口項(xiàng)目、軍品出口合同，核發(fā)軍品出口許可證，制定相關(guān)業(yè)務(wù)管理辦法，對(duì)軍品出口活動(dòng)進(jìn)行監(jiān)督管理，對(duì)軍品出口管制違法行為進(jìn)行處罰等。
Regulatory system for export control of military products. The State Administration of Science, Technology and Industry for National Defense, and the Equipment Development Department of the CMC, regulate military exports in accordance with the division of their duties. This mainly includes reviewing the franchise qualification of military exports, export project proposals, projects and contracts for military exports, approving and issuing licenses for military exports, formulating rules regulating related business, supervising export activities, and punishing violations.
核出口管制管理體制。核出口，由國(guó)家原子能機(jī)構(gòu)、商務(wù)部會(huì)同其他部門(mén)進(jìn)行管理。核出口由國(guó)務(wù)院指定的單位專營(yíng)，并堅(jiān)決貫徹核出口保證只用于和平目的、接受?chē)?guó)際原子能機(jī)構(gòu)保障監(jiān)督、未經(jīng)中國(guó)政府許可不得向第三國(guó)轉(zhuǎn)讓等三項(xiàng)原則。管理部門(mén)對(duì)核出口實(shí)施嚴(yán)格的審查制度，并對(duì)違法行為采取嚴(yán)厲的處罰措施。
Regulatory system for export control of nuclear materials. The export of nuclear materials is regulated by the National Atomic Energy Authority and the Ministry of Commerce in cooperation with other departments. These exports are conducted by entities designated by the State Council. They are carried out in strict accordance with three principles – that nuclear materials should be exported for peaceful purposes only, that they should be under the supervision and safeguard of the International Atomic Energy Agency, and that they must not be transferred to third countries without the permission of the Chinese government. Competent authorities carry out rigorous reviews of nuclear exports and impose severe penalties on violators.
海關(guān)總署與相關(guān)管理部門(mén)緊密合作，依法對(duì)管制物項(xiàng)的出口實(shí)施監(jiān)管，參與相關(guān)違法出口案件的調(diào)查處理，開(kāi)展風(fēng)險(xiǎn)防控、監(jiān)督執(zhí)法等相關(guān)工作。
The General Administration of Customs cooperates closely with related authorities to regulate the export of controlled items. Among other duties, it also engages in investigating and handling violations, carries out risk prevention and control, and supervises law enforcement.
三、持續(xù)推進(jìn)出口管制體系現(xiàn)代化
III. Modernizing the Export Control System
中國(guó)嚴(yán)格執(zhí)行出口管制各項(xiàng)法律法規(guī)，將鄭重承諾轉(zhuǎn)化為實(shí)際行動(dòng)，以制度為基礎(chǔ)，以技術(shù)為支撐，逐步實(shí)現(xiàn)全覆蓋、全鏈條、全方位的有效監(jiān)管，構(gòu)建設(shè)計(jì)科學(xué)、運(yùn)轉(zhuǎn)有序、執(zhí)行有力的現(xiàn)代化出口管制體系。
China strictly enforces export control laws and regulations, and translates solemn commitments into concrete actions. With institutional foundations and technological support, China has gradually realized effective and comprehensive regulation and whole-process monitoring, and put in place a modern export control system providing scientific design, orderly operation and vigorous enforcement.
（一）優(yōu)化許可管理
1. Improving License Management
中國(guó)的出口管制廣泛采取國(guó)際通行的許可證管理、最終用戶和最終用途證明、通用許可等制度。中國(guó)建立跨部門(mén)許可會(huì)商制度和兩級(jí)管理模式，不斷完善許可流程，不斷豐富許可證管理種類(lèi)，不斷提升許可管理水平，有力促進(jìn)出口管制物項(xiàng)合規(guī)貿(mào)易，優(yōu)化高水平對(duì)外開(kāi)放下的營(yíng)商環(huán)境。
China widely adopts internationally-accepted practices in export controls such as license management, end-user and end-use certificates, and general licensing. China has established an inter-agency consultation mechanism and a two-tiered management model, optimized the licensing procedure and extending the types of license. License management has been steadily improved, to ensure that all trade in export-controlled items is consistent with compliance requirements, and to create a better business environment for high-level opening up.
建立許可會(huì)商制度，確保審查嚴(yán)謹(jǐn)準(zhǔn)確。在兩用物項(xiàng)出口許可審查環(huán)節(jié)，建立商務(wù)部、外交部、工業(yè)和信息化部、國(guó)家國(guó)防科技工業(yè)局、國(guó)家原子能機(jī)構(gòu)、中央軍委裝備發(fā)展部等部門(mén)參與的出口管制許可會(huì)商制度。各部門(mén)各司其職、分工協(xié)作、密切配合，從國(guó)家安全和利益、國(guó)際義務(wù)、最終用戶和最終用途等方面對(duì)出口申請(qǐng)進(jìn)行審查，確保相關(guān)出口符合法律及相關(guān)政策規(guī)定。
An inter-agency consultation mechanism for prudent and accurate review. For the review of dual-use items, China has set up an inter-agency consultation mechanism that brings together the Ministry of Commerce, the Ministry of Foreign Affairs, the Ministry of Industry and Information Technology, the State Administration of Science, Technology and Industry for National Defense, China Atomic Energy Authority, and the Equipment Development Department of the CMC. These departments work closely together to review export applications, each carrying out its respective duties, taking into account factors such as national security and national interests, international obligations, end users and end uses, to ensure compliance with applicable laws and policies.
推行兩級(jí)管理模式，便捷許可申請(qǐng)辦理。中國(guó)地域廣闊，申請(qǐng)出口許可的企業(yè)來(lái)自于全國(guó)各地。中國(guó)統(tǒng)籌兼顧管制和促進(jìn)的關(guān)系，保障和促進(jìn)合規(guī)貿(mào)易，在許可管理上推行兩級(jí)管理模式，委托省級(jí)人民政府有關(guān)部門(mén)向出口經(jīng)營(yíng)者提供出口管制公共服務(wù)，協(xié)助其轉(zhuǎn)報(bào)出口申請(qǐng)。許可審查的批準(zhǔn)結(jié)果，通過(guò)網(wǎng)絡(luò)數(shù)據(jù)化形式，傳送至出口經(jīng)營(yíng)者和中國(guó)海關(guān)。為提高貿(mào)易便利化水平，2021年7月起，商務(wù)部對(duì)兩用物項(xiàng)出口許可施行無(wú)紙化管理，實(shí)現(xiàn)業(yè)務(wù)申請(qǐng)、業(yè)務(wù)審核、許可證簽發(fā)、貨物通關(guān)全流程電子化，縮短辦證時(shí)間5至7天。
A two-tiered management model to facilitate license applications. License applicants may come from any part of China. To strike a balance between export promotion and export control, and to protect and promote trade in controlled items that is consistent with compliance requirements, China adopts a two-tiered license management model. Provincial government departments are mandated to provide exporters with public export control services and re-submit their export applications to the central government. The results of reviews are sent to the exporters and China Customs via the internet. To facilitate trade, the Ministry of Commerce realized paperless license management for dual-use items in July 2021, employing digital tools through the entire process of application, review, license issuance and customs clearance. As a result, the licensing time frame was shortened by five to seven days.
完善許可管理措施，提升精準(zhǔn)管理水平。以完善最終用戶和最終用途證明制度為重點(diǎn)，推進(jìn)多層次管理。一般情況下，要求出口經(jīng)營(yíng)者提供由最終用戶出具的最終用途證明文件；對(duì)具有潛在風(fēng)險(xiǎn)的出口申請(qǐng)，要求提供經(jīng)最終用戶所在國(guó)家和地區(qū)政府機(jī)構(gòu)和中國(guó)駐有關(guān)國(guó)家使領(lǐng)館認(rèn)證的最終用戶和最終用途證明文件，或者要求最終用戶所在國(guó)家和地區(qū)政府機(jī)構(gòu)出具最終用戶和最終用途證明文件。中國(guó)施行通用許可措施，豐富許可證管理種類(lèi)，對(duì)建立出口管制內(nèi)部合規(guī)制度且運(yùn)行情況良好的出口經(jīng)營(yíng)者，在符合規(guī)定條件的情況下，可授予通用許可，允許其在有效期內(nèi)多次向多個(gè)國(guó)家和地區(qū)或多個(gè)最終用戶出口使用。多措并舉的許可管理措施，提高了許可管理的針對(duì)性和有效性。
Improved measures for targeted license management. China promotes multi-tiered management with the emphasis on end-user and end-use certificates. Generally, an exporter is required to submit the end-use certificate provided by the end user; for export applications presenting a potential risk, the exporter is required to submit end-user and end-use certificates verified or issued by the government agencies of the country or region in which the end user is located, and by the Chinese embassy or consulate in that country or region. To extend the types of license, China grants general licenses to exporters with internal compliance programs and sound operating procedures, provided that they meet the necessary requirements. These general licenses allow them to export multiple times to multiple countries/regions or end users within the period of validity. The implementation of these measures has made license management more targeted and effective.
建立專家支持隊(duì)伍，支撐科學(xué)高效管理。中國(guó)高度重視專家力量建設(shè)，以法律規(guī)定形式明確建立健全出口管制專家咨詢機(jī)制。有關(guān)部門(mén)組織兩用物項(xiàng)、軍品、核等領(lǐng)域相關(guān)專家，建立出口管制專家支持隊(duì)伍，協(xié)助作出科學(xué)準(zhǔn)確判斷。多年來(lái)，專家隊(duì)伍對(duì)清單制定、許可管理、監(jiān)督執(zhí)法、業(yè)務(wù)咨詢等工作提供了有力支持。隨著出口管制工作專業(yè)化要求不斷提高，中國(guó)將繼續(xù)加大專家力量投入，打造一支領(lǐng)域全、業(yè)務(wù)精的專業(yè)隊(duì)伍，為新時(shí)期出口管制工作提供更加專業(yè)、高效的支撐。
An expert team for informed and efficient management. China values the contribution of experts, and has created statutory provisions to establish and improve the export control expert advisory mechanism. Relevant departments have set up a team consisting of experts in dual-use items, military products, nuclear materials, and other areas, to facilitate informed and accurate assessment. Over the years, the expert team has provided robust support in the creation of lists, license management, monitoring and enforcement, and business consultancy. As export control becomes a more specialized field, China will continue to mobilize more experts to develop a team providing wide coverage and strong expertise, so as to provide more professional and effective support in the new era.
（二）提升執(zhí)法能力
2. Strengthening Enforcement Capability
中國(guó)不斷完善出口管制執(zhí)法機(jī)制，拓展執(zhí)法方式，提升執(zhí)法能力，逐步健全權(quán)責(zé)統(tǒng)一、權(quán)威高效的出口管制執(zhí)法制度，有效打擊出口管制違法活動(dòng)，保障出口管制法律法規(guī)得到完整、準(zhǔn)確、嚴(yán)格實(shí)施。
China continues to reinforce its export control enforcement mechanism by expanding methods and sharpening capabilities. An authoritative and efficient system has gradually taken shape with consistent rights and responsibilities, which plays an important role in tackling violations and ensuring complete, accurate and strict implementation of relevant laws and regulations.
完善組織機(jī)構(gòu)，構(gòu)建協(xié)同有力執(zhí)法機(jī)制。強(qiáng)化商務(wù)部的出口管制專門(mén)機(jī)構(gòu)建設(shè)，2014年，商務(wù)部設(shè)立了專職出口管制執(zhí)法隊(duì)伍，負(fù)責(zé)出口管制執(zhí)法制度建設(shè)、案件調(diào)查等工作。商務(wù)部、公安部、工業(yè)和信息化部、海關(guān)總署等部門(mén)加強(qiáng)橫向協(xié)作執(zhí)法，并與各省級(jí)人民政府相關(guān)部門(mén)縱向聯(lián)動(dòng)執(zhí)法。各部門(mén)和地方橫縱相間的執(zhí)法協(xié)作制度，形成了嚴(yán)密的執(zhí)法網(wǎng)格，為中國(guó)出口管制執(zhí)法提供堅(jiān)強(qiáng)的組織機(jī)制保障，較好解決了中國(guó)出口管制執(zhí)法遇到的地域廣、領(lǐng)域?qū)?、查處難等問(wèn)題。
Improved organizational structure for a coordinated and effective enforcement mechanism. In 2014, to strengthen institutions responsible for export control, the Ministry of Commerce set up a dedicated enforcement team, which is responsible for developing enforcement institutions and conducting case investigations. The Ministry of Commerce, the Ministry of Public Security, the Ministry of Industry and Information Technology, the General Administration of Customs, and other departments have strengthened collaboration on enforcement, and work on joint enforcement with relevant departments of provincial governments. With this horizontal and vertical cooperation among central departments and provincial governments, a closely-knit enforcement network is in place. It provides a firm institutional guarantee for enforcement of export control laws in China and effectively addresses the problems posed by geographical distance, wide spectrum, and difficulties in imposing penalties.
拓寬手段措施，增強(qiáng)執(zhí)法監(jiān)管威懾力。不斷提升出口管制執(zhí)法能力，除授權(quán)執(zhí)法部門(mén)實(shí)地檢查、詢問(wèn)調(diào)查、查閱資料等基本執(zhí)法手段外，還賦予執(zhí)法部門(mén)查封、扣押涉案物項(xiàng)，查詢銀行賬戶等多種手段。對(duì)違法的出口經(jīng)營(yíng)者，執(zhí)法部門(mén)可以依法將其違法情況納入信用記錄，有效增強(qiáng)執(zhí)法威懾力。中國(guó)的出口管制執(zhí)法對(duì)出口各環(huán)節(jié)實(shí)施全覆蓋，不僅嚴(yán)格監(jiān)管出口環(huán)節(jié)，還對(duì)中介服務(wù)參與違法出口實(shí)施管控，禁止相關(guān)機(jī)構(gòu)和個(gè)人為出口管制違法行為提供代理、貨運(yùn)、寄遞、報(bào)關(guān)、第三方電子商務(wù)交易平臺(tái)和金融等中介服務(wù)。中國(guó)注重推行監(jiān)管談話、行政指導(dǎo)等非強(qiáng)制性執(zhí)法手段，實(shí)施預(yù)防、指導(dǎo)、監(jiān)督等措施，確保執(zhí)法效果。
Various enforcement measures to amplify the deterrent effect of enforcement and regulation. China continues to strengthen its enforcement capability. In addition to basic methods such as site visits, inquiries and investigations, and access to materials, the enforcement authorities are also authorized to employ other methods, including sealing off and detaining items and checking bank accounts. The enforcement authorities can also mark any illegal act into the credit record of an offender, which significantly reinforces the deterrent effect of law enforcement. Every aspect of the export process is covered by enforcement. In addition to the exporters, intermediary service providers are also subject to control to prevent illegal exports. Agencies and individuals are prohibited from providing offenders with intermediary services such as agency, shipping, consignment, financing, customs declaration, and third-party e-commerce platform transactions. China also values the role of non-compulsory enforcement methods such as regulatory interviews and administrative guidance, and implements preventive, guiding, and monitoring measures to ensure that enforcement is effective.
推進(jìn)執(zhí)法裝備和信息化運(yùn)用，切實(shí)強(qiáng)化保障能力。中國(guó)加大出口管制執(zhí)法裝備設(shè)施投入，中國(guó)海關(guān)配備專門(mén)用來(lái)測(cè)檢放射性、生物和化學(xué)等物項(xiàng)的專業(yè)設(shè)備，顯著提高識(shí)別、檢查和處置出口管制物項(xiàng)的效率，有效幫助執(zhí)法人員偵測(cè)違法出口。中國(guó)積極改進(jìn)執(zhí)法信息運(yùn)用，加強(qiáng)執(zhí)法、管理等機(jī)構(gòu)有關(guān)非法出口活動(dòng)信息的交流合作。中國(guó)重視出口管制違法案件信息數(shù)據(jù)統(tǒng)計(jì)分析，實(shí)現(xiàn)涉案企業(yè)、案情等基本信息綜合運(yùn)用功能，健全信息化支撐。出口管制執(zhí)法機(jī)構(gòu)定期對(duì)執(zhí)法官員進(jìn)行全面的政策法規(guī)、物項(xiàng)識(shí)別及執(zhí)法技能培訓(xùn)，提升執(zhí)法能力。
Improved enforcement equipment and IT application to strengthen guarantees. China has increased inputs into enforcement equipment. With professional equipment to detect radioactive, biological and chemical items, China Customs is able to inspect and detect illegal exports more efficiently, thus helping enforcers to dispose of controlled items more effectively. China has also improved the use of enforcement information by sharing information among enforcement and regulatory agencies. China attaches great importance to collecting information and analyzing statistics on violations. Basic information on companies involved is integrated with case descriptions through use of information technologies. To boost enforcement capacity, the enforcement authorities regularly provide enforcers with training on export control laws and regulations, and on identification and enforcement skills.
（三）推進(jìn)合規(guī)建設(shè)
3. Developing Export Control Compliance Systems
中國(guó)高度重視出口管制合規(guī)建設(shè)，堅(jiān)持“政府引導(dǎo)、企業(yè)為主、多方聯(lián)動(dòng)”的原則，夯實(shí)法律基礎(chǔ)，完善政策框架，開(kāi)展宣傳培訓(xùn)，推動(dòng)出口管制合規(guī)建設(shè)取得積極成效。
China is committed to developing export control compliance systems. Based on the principle of government-guided, business-led, and coordinated action, China has made notable progress in building export control compliance systems by consolidating the legal foundations, improving the policy framework, and investing in publicity and training.
加強(qiáng)法治保障。注重夯實(shí)合規(guī)建設(shè)的法治基礎(chǔ)?！冻隹诠苤品ā访鞔_，中國(guó)政府部門(mén)適時(shí)發(fā)布有關(guān)行業(yè)出口管制指南，引導(dǎo)出口經(jīng)營(yíng)者建立健全出口管制內(nèi)部合規(guī)制度以規(guī)范經(jīng)營(yíng)。明確激勵(lì)措施，對(duì)建立出口管制內(nèi)部合規(guī)制度且運(yùn)行情況良好的出口經(jīng)營(yíng)者，可依法給予通用許可等便利措施。中國(guó)以法律的形式，為政府有效引導(dǎo)出口管制合規(guī)建設(shè)提供法治保障，為企業(yè)建立健全內(nèi)部合規(guī)制度提供法律依據(jù)。
Intensified legal guarantee. China has been working to reinforce the legal foundations of export compliance. The Export Control Law requires the Chinese government to issue sector-specific guidelines for export controls at the appropriate time, guiding exporters to establish and improve their internal compliance programs and to operate in accordance with laws and regulations. As an incentive, an exporter with an internal compliance program and sound operating procedures can be granted a general license or other facilitating measures. These provisions provide a legal guarantee for the government to provide guidance on export control compliance, and a legal basis for businesses to establish and improve their internal compliance programs.
加強(qiáng)政策指引。2007年，商務(wù)部首次發(fā)布兩用物項(xiàng)和技術(shù)經(jīng)營(yíng)企業(yè)建立內(nèi)部出口控制機(jī)制的指導(dǎo)意見(jiàn)。2021年，商務(wù)部修訂并發(fā)布《商務(wù)部關(guān)于兩用物項(xiàng)出口經(jīng)營(yíng)者建立出口管制內(nèi)部合規(guī)機(jī)制的指導(dǎo)意見(jiàn)》，將合規(guī)要素拓展為9個(gè)，包括擬定政策聲明、建立組織機(jī)構(gòu)、全面風(fēng)險(xiǎn)評(píng)估、確立審查程序、制定應(yīng)急措施、開(kāi)展教育培訓(xùn)、完善合規(guī)審計(jì)、保留資料檔案和編制管理手冊(cè)。新增《兩用物項(xiàng)出口管制內(nèi)部合規(guī)指南》，提供更詳盡指引和場(chǎng)景化參考。在核領(lǐng)域中國(guó)發(fā)布了核進(jìn)出口合規(guī)管理機(jī)制建設(shè)指南等文件。
Improved policy guidance. In 2007, the Ministry of Commerce first issued guiding opinions on internal export control mechanisms for exporters of dual-use items and technologies. In 2021, the Ministry of Commerce revised and issued the Guiding Opinions on Establishing the Internal Compliance Program for Export Control by Exporters of Dual-use Items, which increased the number of compliance elements to nine – policy statement, organizational structure, comprehensive risk assessment, screening procedures, contingency measures, compliance training, compliance audits, record-keeping and management manual. The Guidelines for Internal Compliance for Export Control of Dual-use Items was added to provide more details and scenarios for reference. In the field of nuclear materials, China promulgated Guidelines for Import and Export Compliance Mechanism Building of Nuclear Items and other government documents.
加強(qiáng)公共服務(wù)。高度重視出口管制合規(guī)宣傳培訓(xùn)，不斷加大宣傳力度，提高全社會(huì)合規(guī)水平。各級(jí)政府深入企業(yè)調(diào)研座談，針對(duì)重點(diǎn)領(lǐng)域開(kāi)展培訓(xùn)，夯實(shí)出口管制合規(guī)意識(shí)，培育出口管制合規(guī)文化。近年來(lái)，年均舉辦多形式培訓(xùn)和研討交流20余次，約3萬(wàn)人次參加。2021年，商務(wù)部啟動(dòng)出口管制信息服務(wù)平臺(tái)建設(shè)，加大指導(dǎo)和服務(wù)力度。積極引導(dǎo)商協(xié)會(huì)、中介機(jī)構(gòu)、專家智庫(kù)等社會(huì)資源開(kāi)展出口管制合規(guī)研究，提供咨詢服務(wù)，共同參與出口管制合規(guī)建設(shè)。
Improved public services. The Chinese government attaches great importance to information and training on export controls, and has continued to disseminate information to increase compliance across broader society. Government authorities at all levels have paid study visits to enterprises and provided training in key areas to raise awareness and foster a compliance culture. In recent years, around 30,000 people have participated in over 20 training sessions and seminars every year. In 2021, the Ministry of Commerce launched an export control information service platform to provide better guidance and services. The Chinese government provides guidance to business associations, chambers of commerce, intermediary agencies, experts and think tanks, to help them study export controls, provide consultancy, and play an active part in export compliance.
（四）履行國(guó)際義務(wù)
4. Complying with International Obligations
中國(guó)一貫主張全面禁止和徹底銷(xiāo)毀核武器、生物武器和化學(xué)武器等大規(guī)模殺傷性武器，堅(jiān)決反對(duì)此類(lèi)武器及其運(yùn)載工具的擴(kuò)散，不支持、不鼓勵(lì)、不幫助任何國(guó)家發(fā)展大規(guī)模殺傷性武器及其運(yùn)載工具。中國(guó)致力于規(guī)范常規(guī)武器貿(mào)易，打擊武器非法販運(yùn)，緩解常規(guī)武器濫用引發(fā)的人道主義問(wèn)題。中國(guó)堅(jiān)定維護(hù)有關(guān)國(guó)際條約的權(quán)威性和有效性，嚴(yán)格履行國(guó)際義務(wù)，維護(hù)國(guó)際和地區(qū)和平穩(wěn)定。
China consistently advocates the complete prohibition and thorough destruction of weapons of mass destruction (WMD), including nuclear, biological and chemical weapons, and resolutely opposes the proliferation of such weapons and their means of delivery. China does not support, encourage or help any other country in the development of WMD and their means of delivery. China is committed to regulating the trade in conventional arms, combating illicit trafficking of weapons, and mitigating humanitarian issues triggered by the abuse of conventional arms. China firmly upholds the authority and efficacy of all relevant international treaties, strictly complies with its international obligations, and safeguards international and regional peace and stability.
在核領(lǐng)域，中國(guó)于1984年加入國(guó)際原子能機(jī)構(gòu)，1988年與國(guó)際原子能機(jī)構(gòu)簽署《中華人民共和國(guó)和國(guó)際原子能機(jī)構(gòu)關(guān)于在中國(guó)實(shí)施保障的協(xié)定》，自愿將本國(guó)民用核設(shè)施置于該機(jī)構(gòu)的保障監(jiān)督之下。1992年，中國(guó)加入《不擴(kuò)散核武器條約》。中國(guó)積極參與日內(nèi)瓦裁軍談判會(huì)議有關(guān)《全面禁止核試驗(yàn)條約》的談判，為該條約的達(dá)成作出重要貢獻(xiàn)，并于1996年首批簽約。1997年10月，中國(guó)加入“桑戈委員會(huì)”。1998年，中國(guó)簽署關(guān)于加強(qiáng)國(guó)際原子能機(jī)構(gòu)保障監(jiān)督的附加議定書(shū)，并于2002年初正式完成該附加議定書(shū)生效的國(guó)內(nèi)法律程序，成為第一個(gè)完成上述程序的核武器國(guó)家。2004年6月，中國(guó)加入“核供應(yīng)國(guó)集團(tuán)”，積極參與“集團(tuán)”相關(guān)事務(wù)，履行“集團(tuán)”權(quán)利義務(wù)。
Nuclear. China joined the International Atomic Energy Agency (IAEA) in 1984 and signed the Agreement Between the People’s Republic of China and the International Atomic Energy Agency for the Application of Safeguards in China in 1988, voluntarily placing China’s civilian nuclear facilities under Agency safeguards. In 1992, China acceded to the Treaty on the Non-Proliferation of Nuclear Weapons (NPT). China was actively engaged in the negotiations on the Comprehensive Nuclear Test Ban Treaty (CTBT) of the Conference on Disarmament in Geneva, making a major contribution to the conclusion of the Treaty to which it was one of the first State Party signatories in 1996. China became a member of the Zangger Committee in October 1997. In 1998, China signed the Additional Protocol aimed at strengthening the IAEA safeguard system, and formally completed the domestic legal procedures necessary for the entry into force of the Additional Protocol in early 2002, thus becoming the first nuclear-weapon state to complete the relevant procedures. In June 2004, China joined the Nuclear Suppliers Group (NSG) and has since taken an active part in the NSG while fulfilling the relevant rights and obligations.
在生物領(lǐng)域，中國(guó)1984年加入《禁止生物武器公約》，一貫嚴(yán)格履行公約義務(wù)。中國(guó)始終按時(shí)全面提交履約建立信任措施宣布材料，深入?yún)⑴c公約審議進(jìn)程，在規(guī)范生物科研活動(dòng)、生物技術(shù)和資源全球分配等領(lǐng)域積極提出多邊倡議，在加強(qiáng)生物實(shí)驗(yàn)室安全等領(lǐng)域積極向國(guó)際社會(huì)提供公共產(chǎn)品，不斷加強(qiáng)生物兩用品及相關(guān)設(shè)備和技術(shù)的出口管制，及時(shí)修訂管制清單。中國(guó)倡導(dǎo)推動(dòng)公約審議進(jìn)程取得積極成果，特別是談判制定具有法律約束力的核查議定書(shū)，以全面加強(qiáng)公約有效性。
Biological weapons. China strictly honors its obligations under the BWC, to which China became a State Party in 1984. Since then, China has submitted declarations of Confidence Building Measures in full and on time, been fully involved in the BWC reviews, and actively proposed multilateral initiatives on regulating biological scientific research exercises, biological technology, and global resource allocation. China has offered the international community public goods in reinforcing laboratory biosecurity and other areas, tightened export controls on dual-use biological items and related equipment and technologies, and revised its control list in a timely manner. China calls for positive outcomes in the BWC reviews, particularly regarding the negotiations for a legally binding verification protocol to maximize the effectiveness of the BWC.
在化學(xué)領(lǐng)域，中國(guó)為達(dá)成《禁止化學(xué)武器公約》作出積極貢獻(xiàn)。1993年1月，中國(guó)簽署公約。1997年4月，中國(guó)遞交批準(zhǔn)書(shū)，成為公約的原始締約國(guó)。中國(guó)堅(jiān)定支持公約宗旨和目標(biāo)，推動(dòng)各方嚴(yán)格履行義務(wù)，平衡、有效落實(shí)公約各項(xiàng)條款。自公約生效以來(lái)，中國(guó)按照公約要求頒布國(guó)內(nèi)履約立法，設(shè)立專門(mén)履約機(jī)構(gòu)，并按時(shí)、完整地提交各類(lèi)年度宣布，嚴(yán)格接受禁化武組織相關(guān)視察。2020年，中國(guó)按照公約規(guī)定時(shí)限，完成《禁止化學(xué)武器公約》第24屆締約國(guó)大會(huì)增列附表1化學(xué)品的國(guó)內(nèi)立法程序。
Chemical weapons. China made a positive contribution to the conclusion of the CWC, which it signed in January 1993. In April 1997, China deposited its instrument of ratification, becoming an original State Party of the CWC. In strong support of the Convention’s purposes and objectives, China encourages all States Parties to strictly fulfill their obligations, and implements the provisions in a balanced and effective manner. Since the Convention entered into force, China has adopted a series of laws for domestic compliance as required by the Convention, set up agencies dedicated to compliance, submitted annual declarations in full and on time, and firmly committed itself to the inspections by the Organization for the Prohibition of Chemical Weapons. As required by the Convention, in 2020, China completed the domestic legislative procedures for the amendment to Schedule 1 reached at the 24th CWC Conference of States Parties.
在導(dǎo)彈領(lǐng)域，中國(guó)支持國(guó)際社會(huì)為防止導(dǎo)彈及相關(guān)物項(xiàng)和技術(shù)擴(kuò)散所作出的努力，對(duì)國(guó)際上有關(guān)加強(qiáng)導(dǎo)彈防擴(kuò)散機(jī)制的建議持積極和開(kāi)放的態(tài)度。中國(guó)借鑒多國(guó)出口管制做法，頒布實(shí)施《導(dǎo)彈及相關(guān)物項(xiàng)和技術(shù)出口管制條例》，使中國(guó)導(dǎo)彈領(lǐng)域物項(xiàng)和技術(shù)出口有了法律依據(jù)。中國(guó)還積極參與相關(guān)國(guó)際交流和合作，共同致力于防止彈道導(dǎo)彈擴(kuò)散。
Missiles. China supports international efforts to prevent the proliferation of missiles, and missile-related items and technologies, and adopts a positive and open attitude to international proposals designed to strengthen the mechanisms for non-proliferation. Drawing from other countries’ export control practices, China has promulgated and implemented the Regulations of the People’s Republic of China on Export Control of Missiles and Missile-related Items and Technologies, which provide the legal basis for China’s export of missile-related items and technologies. In addition, China takes an active part in relevant international exchanges and cooperation to prevent the proliferation of ballistic missiles.
在軍品領(lǐng)域，中國(guó)積極參與《武器貿(mào)易條約》談判，對(duì)條約的達(dá)成作出重要貢獻(xiàn)。2019年9月，中國(guó)宣布啟動(dòng)加入《武器貿(mào)易條約》相關(guān)國(guó)內(nèi)法律程序。2020年7月，中國(guó)正式加入《武器貿(mào)易條約》。中國(guó)作為條約締約國(guó)，堅(jiān)定支持條約的宗旨和目標(biāo)，全面履行條約義務(wù)，并愿與其他締約國(guó)一道，共同致力于規(guī)范常規(guī)武器貿(mào)易，促進(jìn)條約普遍性和有效性，完善武器貿(mào)易全球治理。
Military products. China actively participated in the negotiations on the Arms Trade Treaty (ATT) and made a significant contribution to the conclusion of the Treaty. China announced that it would initiate the domestic legal procedures to join the ATT in September 2019, and formally acceded to the Treaty in July 2020. As a State Party, China firmly supports the Treaty’s purposes and objectives through full compliance with its obligations, and stands ready to work with other States Parties to regulate the trade in conventional arms, promote the universality and effectiveness of the Treaty, and improve global governance of the arms trade.
四、積極開(kāi)展出口管制國(guó)際交流與合作
IV. Promoting International Exchanges and Cooperation
中國(guó)一貫重視并積極開(kāi)展出口管制國(guó)際交流與合作，推動(dòng)增信釋疑、互學(xué)互鑒，促進(jìn)出口管制的國(guó)際協(xié)調(diào)，促進(jìn)出口管制物項(xiàng)合規(guī)貿(mào)易，為提升國(guó)際出口管制的公正性、開(kāi)放性作出中國(guó)貢獻(xiàn)。
As an active participant, China prioritizes international exchanges and cooperation on export controls. It endeavors to boost mutual trust, ease doubts, increase mutual learning, strengthen international coordination, and promote trading in export-controlled items that is consistent with compliance requirements, so as to contribute to a more open and just regime for international export controls.
（一）開(kāi)展雙邊交流與合作
1. Conducting Bilateral Exchanges and Cooperation
中國(guó)在相互尊重、平等互利的基礎(chǔ)上，積極開(kāi)展出口管制雙邊交流與合作，通過(guò)對(duì)話協(xié)商增進(jìn)互信，體現(xiàn)中國(guó)開(kāi)放合作的態(tài)度，促進(jìn)雙邊合作互利共贏。
Based on mutual respect, equality and mutual benefit, China engages in international exchanges and cooperation on export controls, in order to increase mutual trust through dialogue and consultation. These efforts reflect China’s open and cooperative attitude, and facilitate win-win cooperation.
積極促進(jìn)出口管制物項(xiàng)合規(guī)貿(mào)易。中國(guó)與多個(gè)國(guó)家和地區(qū)建立政府間機(jī)制，開(kāi)展政府間磋商、研討，與企業(yè)對(duì)話等活動(dòng)，交流經(jīng)驗(yàn)做法。與有關(guān)國(guó)家出口管制主管部門(mén)保持對(duì)話，加強(qiáng)出口管制領(lǐng)域交流合作。中國(guó)與俄羅斯等國(guó)簽署雙邊協(xié)議，相互出具《最終用戶和最終用途說(shuō)明》，推進(jìn)互信合作。
China promotes trading in export-controlled items that is consistent with compliance requirements. China has established inter-governmental mechanisms with various countries and regions to share experience and practices through government-to-government consultations and discussions and dialogues with business. China has also maintained communication with export control authorities in other countries to strengthen exchanges and cooperation. To build up mutual trust and cooperation, China has signed bilateral agreements with Russia and several other countries for mutual issuing of end-user and end-use certificates.
深入開(kāi)展雙邊出口管制、防擴(kuò)散交流與合作。中國(guó)與美國(guó)多次舉辦出口管制物項(xiàng)識(shí)別研討會(huì)，增進(jìn)執(zhí)法技術(shù)交流。在核領(lǐng)域，中國(guó)與美國(guó)、俄羅斯、英國(guó)、法國(guó)、德國(guó)以及歐盟機(jī)構(gòu)等保持磋商與交流，并依法通過(guò)信息交流和執(zhí)法合作，聯(lián)合打擊違法活動(dòng)。在監(jiān)控化學(xué)品領(lǐng)域，中國(guó)在《禁止化學(xué)武器公約》框架下與其他締約國(guó)開(kāi)展雙邊交流與合作，并赴德國(guó)、西班牙、韓國(guó)、日本等國(guó)開(kāi)展最終用戶和最終用途核查工作。中國(guó)已與10余個(gè)國(guó)家建立副部級(jí)、司局級(jí)戰(zhàn)略安全、軍控與防擴(kuò)散磋商機(jī)制，相互分享防擴(kuò)散領(lǐng)域經(jīng)驗(yàn)做法，對(duì)增進(jìn)相互理解與合作發(fā)揮了重要作用。
China is deeply involved in bilateral exchanges and cooperation on export controls and non-proliferation. China and the US have held multiple seminars on identifying export-controlled items to promote exchanges on enforcement skills. In nuclear non-proliferation, China has maintained consultations and exchanges with the US, Russia, the UK, France, Germany, and the EU to take resolute action against illegal activities through information exchanges and cooperation on enforcement. With respect to controlled chemicals, China has engaged in bilateral exchanges and cooperation with other States Parties under the framework of the CWC, and conducted end-user and end-use verifications in Germany, Spain, the Republic of Korea, Japan and other countries. China has established consultation mechanisms with more than ten countries at vice-ministerial and director-general levels on strategic security, arms control, and non-proliferation, which, as platforms for sharing non-proliferation experience and practices, have played a crucial role in increasing mutual understanding and cooperation.
除政府間合作外，中國(guó)積極支持出口管制非政府間交流與合作。商務(wù)部國(guó)際貿(mào)易經(jīng)濟(jì)合作研究院、中國(guó)軍控與裁軍協(xié)會(huì)、中國(guó)現(xiàn)代國(guó)際關(guān)系研究院、中國(guó)核能行業(yè)協(xié)會(huì)等機(jī)構(gòu)積極與相關(guān)國(guó)家的研究機(jī)構(gòu)等開(kāi)展非政府間交流、學(xué)術(shù)研究、民間國(guó)際交往活動(dòng)，通過(guò)聯(lián)合舉辦研討會(huì)、論壇和實(shí)地參觀等方式，加深了解，增進(jìn)友誼。
In addition to inter-governmental cooperation, China also supports non-governmental exchanges and cooperation on export control. Chinese institutions such as the Chinese Academy of International Trade and Economic Cooperation of the Ministry of Commerce, the China Arms Control and Disarmament Association, the China Institute of Contemporary International Relations, and the China Nuclear Energy Association, have held non-governmental exchanges, conducted academic research, and engaged in international people-to-people interactions with research institutions of other countries. Through symposiums, forums and on-site visits, these institutions have increased mutual understanding and friendship with their foreign counterparts.
（二）加強(qiáng)多邊對(duì)話和磋商
2. Strengthening Multilateral Dialogue and Consultation
中國(guó)重視通過(guò)聯(lián)合國(guó)及出口管制領(lǐng)域的多邊機(jī)制，對(duì)全球性問(wèn)題、突發(fā)性事件保持溝通與磋商，以促進(jìn)世界和平和地區(qū)安全。
As part of the effort to promote world peace and regional security, China prioritizes communication and consultation on global issues and emergencies via the UN and multilateral export control mechanisms.
中國(guó)主張，聯(lián)合國(guó)作為最具普遍性的國(guó)際組織，應(yīng)發(fā)揮核心作用，平衡處理防擴(kuò)散與和平利用的關(guān)系，保障發(fā)展中國(guó)家和平利用科技進(jìn)步成果的合法權(quán)利。2021年12月，在中國(guó)的倡議下，第76屆聯(lián)大通過(guò)“在國(guó)際安全領(lǐng)域促進(jìn)和平利用國(guó)際合作”決議，強(qiáng)調(diào)和平利用科技及相關(guān)國(guó)際合作對(duì)經(jīng)濟(jì)、社會(huì)發(fā)展的重要性，敦促各國(guó)在履行防擴(kuò)散國(guó)際義務(wù)的同時(shí)，取消對(duì)發(fā)展中國(guó)家和平利用科技的不合理限制。該決議的通過(guò)標(biāo)志著在聯(lián)大框架下開(kāi)啟了開(kāi)放、包容、公正的對(duì)話進(jìn)程，對(duì)維護(hù)各國(guó)和平利用科技的合法權(quán)益、推動(dòng)科技進(jìn)步成果普惠共享、應(yīng)對(duì)科技發(fā)展帶來(lái)的安全挑戰(zhàn)具有重要意義，有助于推動(dòng)《不擴(kuò)散核武器條約》《禁止化學(xué)武器公約》《禁止生物武器公約》等國(guó)際條約得到更加全面、平衡的執(zhí)行，有助于現(xiàn)有防擴(kuò)散、出口管制相關(guān)機(jī)制的成員國(guó)加強(qiáng)同其他國(guó)家的對(duì)話交流，更好地服務(wù)于普遍安全與共同發(fā)展，符合整個(gè)國(guó)際社會(huì)的共同利益。中國(guó)將繼續(xù)與各方一道，推進(jìn)聯(lián)大框架下的對(duì)話進(jìn)程。
China advocates that as the most representative international organization, the UN should play a central role in finding the right balance between non-proliferation and peaceful uses, and in safeguarding the legitimate rights of developing countries to peaceful uses of technological advances. In December 2021, the 76th Session of the UN General Assembly (UNGA) adopted the China-initiated resolution “Promoting International Cooperation on Peaceful Uses in the Context of International Security”, which emphasizes the significance of international cooperation in science and technology for peaceful purposes in facilitating economic and social development, and urges all Member States, without prejudice to their non-proliferation obligations, to lift unnecessary restrictions on peaceful use in developing countries. The adoption of this resolution marks the beginning of an open, inclusive and just dialogue process under the UNGA framework, which is in line with the common interests of the international community. It represents a critical contribution to safeguarding the legitimate rights and interests of all countries concerning peaceful uses of technology, ensuring that scientific and technological dividends are widely shared to the benefit of all, and addressing the security challenges arising from scientific and technological progress. It is also conducive to fuller and more balanced implementation of the NPT, the CWC, the BWC and other international treaties, and to greater dialogue and exchanges between other countries and State Members of the existing mechanisms on non-proliferation and export control, to better serve shared security and development. China will continue to work with all other parties to advance this dialogue process under the UNGA framework.
2004年4月，聯(lián)合國(guó)安理會(huì)一致通過(guò)第1540號(hào)決議，要求各國(guó)加強(qiáng)對(duì)大規(guī)模殺傷性武器及相關(guān)材料和技術(shù)的國(guó)內(nèi)管理和出口管制，防范和打擊非國(guó)家實(shí)體獲取上述物項(xiàng)。該決議是安理會(huì)第一個(gè)專門(mén)的防擴(kuò)散決議，有利于在國(guó)際法基礎(chǔ)上推動(dòng)和加強(qiáng)國(guó)際合作。中國(guó)積極支持并參加安理會(huì)1540委員會(huì)等聯(lián)合國(guó)框架下的防擴(kuò)散工作，積極推動(dòng)安理會(huì)第1540號(hào)決議全面審議進(jìn)程。為推進(jìn)決議在亞洲地區(qū)的執(zhí)行，中方與安理會(huì)1540委員會(huì)于2015年、2017年、2019年，分別在中國(guó)青島、西安、廈門(mén)舉辦了三屆“亞太地區(qū)防擴(kuò)散國(guó)家聯(lián)絡(luò)點(diǎn)培訓(xùn)班”。
In April 2004, the UN Security Council unanimously adopted Resolution 1540 (UNSCR 1540), which requires all countries to reinforce domestic management and export control of WMD and relevant materials and technologies, and to prevent and combat the proliferation of such items among non-state actors. As the first UN Security Council resolution dedicated to non-proliferation, this advances international cooperation under international law. China actively supports and participates in non-proliferation efforts under relevant UN frameworks, including the 1540 Committee, and works vigorously to promote the comprehensive review of UNSCR 1540. To strengthen its enforcement in Asia, China and the 1540 Committee hosted three training sessions – “Training Course for the 1540 Points of Contact in the Asia-Pacific Region” – in the Chinese cities of Qingdao, Xi’an and Xiamen in 2015, 2017 and 2019.
2004年，中國(guó)加入“核供應(yīng)國(guó)集團(tuán)”。中國(guó)嚴(yán)格履行成員義務(wù)，積極參與“集團(tuán)”政策磋商、清單制定、信息交流等事務(wù)，與其他成員加強(qiáng)出口管制合作。中國(guó)根據(jù)“集團(tuán)”準(zhǔn)則，對(duì)《核出口管制條例》《核兩用品及相關(guān)技術(shù)出口管制條例》作出相應(yīng)修訂，將進(jìn)口國(guó)接受全面保障監(jiān)督作為核出口條件，并與“集團(tuán)”管制清單保持同步，定期修訂出口管制清單。
Since its accession to the NSG in 2004, China has conscientiously assumed its membership obligations, actively taken part in policy consultations, drawing up lists, information sharing, and other NSG matters, and stepped up export control cooperation with other NSG members. Following the NSG Guidelines, China has amended Regulations of the People’s Republic of China on the Control of Nuclear Export and Regulations of the People’s Republic of China on the Control of Nuclear Dual-use Items and Related Technologies Export. In the amendments, acceptance of comprehensive safeguards and oversight by the importing country is a precondition for the export of nuclear materials, and the export control lists are routinely updated in sync with the NSG’s control list.
2004年，中國(guó)正式申請(qǐng)加入“導(dǎo)彈及其技術(shù)控制制度”并與其保持溝通交流，舉辦5輪對(duì)話會(huì)，就導(dǎo)彈領(lǐng)域的出口管制制度、管制清單、執(zhí)法情況及中國(guó)加入等問(wèn)題進(jìn)行交流和磋商。中國(guó)在制定導(dǎo)彈出口管制條例和清單時(shí)，借鑒了“制度”準(zhǔn)則和技術(shù)附件。
China officially applied to join the Missile Technology Control Regime (MTCR) in 2004, and has since maintained communication and exchanges, with five rounds of dialogue focusing on China’s accession and issues regarding control systems, lists and the enforcement of missile export controls. China referred to the MTCR Guidelines and Annex when formulating its missile export control regulations and control list.
中國(guó)同“瓦森納安排”保持溝通與交流，雙方舉行了5輪對(duì)話會(huì)，就常規(guī)武器及相關(guān)兩用物項(xiàng)和技術(shù)的出口管制原則、清單及“最佳操作規(guī)范”等問(wèn)題深入交換意見(jiàn)。
China has maintained communication and exchanges with the Wassenaar Arrangement. The two sides have held five rounds of in-depth dialogue on control principles, lists, and best practices pertaining to the export of conventional arms and relevant dual-use items and technologies.
中國(guó)與“澳大利亞集團(tuán)”保持接觸和交流，雙方舉行6輪磋商，就生物和化學(xué)領(lǐng)域防擴(kuò)散形勢(shì)、《禁止化學(xué)武器公約》和《禁止生物武器公約》履約情況、“澳大利亞集團(tuán)”運(yùn)作情況等交換意見(jiàn)。
China has been involved in six rounds of consultation with the Australia Group (AG) on biological and chemical non-proliferation, implementation of the CWC and the BWC, and operation of the AG.
中國(guó)愿同國(guó)際社會(huì)共同推動(dòng)出口管制相關(guān)多邊機(jī)制保持公正性和開(kāi)放性，增加成員的代表性和多樣性，堅(jiān)持走團(tuán)結(jié)合作之路，抵制歧視性做法，攜手應(yīng)對(duì)各種全球性問(wèn)題，共同創(chuàng)造人類(lèi)更加美好的未來(lái)。
China is willing to work with the international community to ensure that multilateral export control mechanisms are just and open, and to increase the diversity and breadth of representation in their membership. China upholds solidarity and cooperation, opposes discriminatory approaches, and advocates that all countries work together to address serious global issues and create a brighter future for humanity.
結(jié)束語(yǔ)
Conclusion
當(dāng)前，國(guó)際格局深刻演變，國(guó)際出口管制面臨諸多挑戰(zhàn)，建設(shè)一個(gè)持久和平、普遍安全、共同繁榮、開(kāi)放包容、清潔美麗的世界任重道遠(yuǎn)。加強(qiáng)國(guó)際合作，謀求共同安全與發(fā)展，需要各國(guó)長(zhǎng)期不懈的共同努力。
The international landscape is undergoing profound changes, and the world is rife with challenges in the field of export control. It is no easy task to build an open, inclusive, clean and beautiful world that enjoys lasting peace, universal security, and common prosperity. All countries need to work together, relentless in their determination to strengthen international cooperation and pursue shared security and development.
中國(guó)將堅(jiān)持總體國(guó)家安全觀，不斷推進(jìn)出口管制體系和能力建設(shè)，強(qiáng)化管理，嚴(yán)格執(zhí)法，推進(jìn)合規(guī)建設(shè)，有效應(yīng)對(duì)新形勢(shì)下面臨的風(fēng)險(xiǎn)和挑戰(zhàn)。中國(guó)將擔(dān)當(dāng)大國(guó)責(zé)任，履行國(guó)際義務(wù)和承諾，開(kāi)展出口管制交流與合作，同各國(guó)一道，推進(jìn)國(guó)際出口管制治理健康發(fā)展，為構(gòu)建人類(lèi)命運(yùn)共同體作出積極貢獻(xiàn)。
Employing a holistic approach to national security and export controls, China will continue to strengthen its systems, increase capacity, reinforce administration, step up enforcement, and promote compliance, so as to effectively address the risks and challenges under the new circumstances. China will shoulder its due responsibilities as a major country by fulfilling its international obligations and commitments, by participating in exchanges and cooperation on export controls, and by joining forces with all other countries to build sound international export control governance as part of a global community of shared future.
