Decree of the Ministry of Commerce No. 8 of 2009 "Measures for the Administration of General Licensing for the Export of Dual-use Items and Technologies"

[Issued by] Ministry of Commerce of the People's Republic of China

[Release Document No.] Ministry of Commerce Order No. 8 of 2009

[Release Date] 2009-05-13

[Implementation Date] 2009-07-01

The Measures for the Administration of the General License for the Export of Dual-use Items and Technologies, which were the People's Republic of China at the 22nd executive meeting of the Ministry of Commerce in 2009 for deliberation and adoption, are hereby issued, and shall come into force on July 1, 2009.

Minister: Chen Deming

13 May 2009

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Measures for the Administration of General Licensing for the Export of Dual-Use Items and Technologies

Chapter I General Provisions

Article 1 In order to safeguard national security and social public interests, and improve the export administration of dual-use items and technologies, these Measures are formulated in accordance with the provisions of the the People's Republic of China Foreign Trade Law and relevant administrative regulations and rules.

Article 2 The relevant administrative regulations and rules referred to in these Measures refer to the Regulations on Export Control of the People's Republic of China Nuclear Dual-use Items and Related Technologies, the Regulations on Export Control of the People's Republic of China Biological Dual-use Items and Related Equipment and Technologies, the Regulations on Export Control of the People's Republic of China Missiles and Related Items and Technologies, and the Measures on Export Control of Related Chemicals and Related Equipment and Technologies, etc.

The term "dual-use items and technologies" as mentioned in these Measures refers to the items and technologies controlled by the relevant administrative regulations and rules mentioned in the preceding paragraph.

Article 3 The term "general license for the export of dual-use items and technologies" as mentioned in these Measures refers to the approval of the general license for the export of dual-use items and technologies issued by the Ministry of Commerce on the basis of the application of the exporter of dual-use items and technologies, in accordance with the relevant administrative regulations and rules and the provisions of these Measures, in the "Measures for the Administration of Import and Export Licenses for Dual-Use Items and Technologies" (Order No. 29 of 2005 of the Ministry of Commerce and the General Administration of Customs), the issuing agency has repeatedly applied for the export license for dual-use items and technologies.

Without obtaining a general export license for dual-use items and technologies, an exporter shall apply for an export license on a case-by-case basis in accordance with the provisions of the relevant administrative regulations and rules.

Article 4 The Ministry of Commerce shall be the competent authority for the general licensing of the export of dual-use items and technologies nationwide.

The competent department of commerce at the provincial level entrusted by the Ministry of Commerce shall, in accordance with the provisions of these Measures, be responsible for the daily supervision and administration of the general license for the export of dual-use items and technologies in the region.

Article 5 The general license for the export of dual-use items and technologies shall be divided into Category A general license and Category B general license.

A Type A general license allows an exporter to export one or more specific dual-use items and technologies to one or more end-users in one or more specific countries (or regions) during the validity period of the license.

Category B general licenses allow export operators to export the same type of specific dual-use items and technologies to fixed end-users in the same specific country (or region) multiple times during the validity period of the license.

Article 6 The validity period of the general license for the export of dual-use items and technologies shall not exceed three years.

Chapter II Implementation of General License

Article 7 The State shall strictly examine the implementation of the general license for the export of dual-use items and technologies.

A general license operator for the export of dual-use items and technologies (hereinafter referred to as a "general license operator") shall meet the following conditions:

(I) are legitimate foreign trade operators;

(II) the establishment of internal control mechanisms for dual-use items and technologies of enterprises;

(III) engaged in the export business of dual-use items and technologies for more than two years (including two years);

If a (IV) applies for a Class A general license, it shall apply for more than 40 copies (including 40 copies) of export licenses for dual-use items and technologies for more than two consecutive years (including two years); if it applies for a Class B general license, it shall apply for more than 30 copies (including 30 copies) of export licenses for dual-use items and technologies of the same type for more than two consecutive years (including two years);

The (V) has not been subjected to criminal punishment or administrative punishment by relevant departments in the past 3 years;

(VI) have relatively fixed dual-use items and technology sales channels and end users.

Article 8 A general license operator for dual-use items and technologies shall file an application for general license with the Ministry of Commerce and submit the following application materials to the provincial commerce department entrusted by the Ministry of Commerce:

Application Form for General License for Export of (I) Dual-Use Items and Technologies;

A description of the establishment and operation of the internal control mechanism for dual-use items and technologies of the (II) enterprise and relevant certification documents;

The guarantee document that the (III) has not been subject to criminal punishment or administrative punishment by relevant departments within the past 3 years;

Documents certifying the (IV) of a legal foreign trade operator;

A description of the export business of dual-use items and technologies engaged in by the (V), including: a description of the application and use of export licenses for dual-use items and technologies in the past two years; a description of the sales channels and users of dual-use items and technologies, including the relationship with the parties to the transaction, the transaction, and the description of importers and end-users;

(VI) the types of items and technologies to be applied for export general license and relevant technical description documents;

The (VII) shall, in accordance with the provisions of relevant administrative regulations and rules, ask the end-user for the relevant guarantee documents or the guarantee documents of the end-user and the end-use before the execution of each contract;

(VIII) other documents required by the competent authority.

The application form for the general license for the export of dual-use items and technologies shall be uniformly formulated by the Ministry of Commerce.

Article 9 The competent department of commerce at the provincial level entrusted by the Ministry of Commerce shall send the application materials to the Ministry of Commerce within 10 working days from the date of receipt of the documents specified in Article 8 of these Measures. The Ministry of Commerce shall, from the date of receipt of the application materials, conduct an examination in accordance with the provisions of the relevant administrative rules and regulations or in conjunction with the relevant departments, and make a decision on licensing or not licensing. If the license is granted, the Ministry of Commerce shall issue an official reply on the general license for the export of dual-use items and technologies; if the license is not granted, the reasons shall be explained.

During the review process, the Ministry of Commerce or the provincial commerce department entrusted by it may interview the main management personnel of the enterprise as needed to understand the establishment and implementation of the enterprise's internal export control mechanism. If necessary, the enterprise can be verified on the spot.

During the review process, the Ministry of Commerce may entrust an expert advisory body to evaluate the establishment and operation of the internal export control mechanism of the enterprise. The expert advisory body shall be determined by the Ministry of Commerce and released to the public in the form of announcement.

Article 10 The following circumstances do not apply to a general license:

The (I) enterprise has established a complete internal export control mechanism but cannot confirm its effective implementation;

(II) the relevant administrative department considers the export to be a proliferation risk and other unsuitable for general licensing.

Article 11 If a general license operator is unable to judge whether the items and technologies to be exported comply with the relevant administrative regulations and rules, or whether the items and technologies to be exported fall within the scope of the general license, it shall apply for an export license one by one in accordance with the relevant administrative regulations and rules.

Article 12 It is strictly forbidden to forge, alter, buy, sell or transfer the approval of the general license for the export of dual-use items and technologies; it is strictly forbidden to use the approval of the general license for the export of dual-use items and technologies beyond the scope of the license or to use the approval of the general license for dual-use items and technologies to engage in illegal acts that disrupt the order of market competition.

Chapter III Application for Export Licenses for Dual-Use Items and Technologies

Article 13 after obtaining the approval of the general license for the export of dual-use items and technologies issued by the Ministry of Commerce, the general license operator shall apply for the export license of dual-use items and technologies to the dual-use items and technologies export license issuing agency as stipulated in the measures for the Administration of Import and Export license of dual-use items and technologies with the approval document stamped with the official seal of the enterprise.

Other procedures for applying for export licenses for dual-use items and technologies shall be implemented in accordance with the Measures for the Administration of Import and Export Licenses for Dual-use Items and Technologies.

Chapter IV Obligations of General License Operators

Article 14 A general license operator shall, in accordance with the requirements of the relevant export control policies and regulations of the State, effectively implement the internal control mechanism of the enterprise.

Article 15 A general license operator shall truthfully provide application materials and properly keep the guarantee documents or end-user and end-use descriptions, as well as contracts, invoices, account books, documents, records, documents, business correspondence, audio and video recordings and other materials in accordance with relevant administrative regulations and rules for five years.

Article 16 When a general license operator knows or should know, or has been notified by the Ministry of Commerce or the provincial competent department of commerce entrusted by it, or discovers in the process of exporting related dual-use items and technologies that the items and technologies to be exported are at risk of endangering national security and social public interests, it shall immediately suspend or stop the relevant export activities and take necessary remedial measures, and report to the Ministry of Commerce and its entrusted provincial commercial authorities in a timely manner.

Article 17 A general license operator shall, within the validity period of the general license, take the initiative to understand the policies and regulations on export control of dual-use items and technologies, and participate in relevant training organized by the competent commercial department.

Article 18 A general license operator shall, in accordance with the requirements of the internal control mechanism of the enterprise, inspect the implementation of the mechanism, truthfully report the violations of laws and regulations of the enterprise to the Ministry of Commerce and the provincial competent department of commerce entrusted by it, and actively cooperate with the Ministry of Commerce and the provincial competent department of commerce entrusted by it to do a good job in the relevant work.

Article 19 The general license operator shall report the use of the general license to the Ministry of Commerce and its entrusted provincial competent department of the Ministry of Commerce every six months during the validity period of the general license and within 30 days from the expiration date of the validity period of the general license, including dual-use items And the export time, item type, specification model, quantity, trade method, exporting country (region), importer, end-user, end-use, transportation route and customs declaration port, etc.

Chapter V Supervision and Administration

Article 20 The Ministry of Commerce shall issue relevant export control policies and regulations through the "Export Control Government Affairs Platform" or other media in a timely manner, and conduct policy and regulation training for general license operators.

Article 21 The Ministry of Commerce, the provincial competent commercial departments entrusted by the Ministry of Commerce, and the expert advisory bodies entrusted by the Ministry of Commerce may provide relevant training and technical guidance in accordance with the requirements of general license operators.

Article 22 The Ministry of Commerce or the provincial commerce department entrusted by the Ministry of Commerce may supervise and inspect the general license operators. If necessary, on-site inspection can be carried out. General license operators shall cooperate and assist, and truthfully provide relevant information and materials and articles.

Article 23 During on-site inspections, the Ministry of Commerce or the provincial-level competent commerce department entrusted by it may conduct inspections on the implementation of the internal control mechanism of the enterprise by inquiring relevant staff, inquiring and copying the information stored in Article 14 of these Measures, etc., And put forward rectification opinions.

Article 24 During on-the-spot inspection, there shall be no less than two inspectors, who shall produce their legal certificates. Where the number of inspectors is less than two or the number of inspectors fails to produce legal documents, the operator of the general license shall have the right to refuse the inspection.

Article 25 For export acts that pose risks to national security and social public interests, the Ministry of Commerce or the provincial competent department of commerce entrusted by it may, in accordance with relevant administrative regulations and these Measures, require dual-use items and technologies to export general licenses. Operators may suspend or stop the export of related items and technologies, and may revoke the general license or take any necessary measures when necessary to safeguard national security and social public interests.

Chapter VI Legal Liability

Article 26 Those who export dual-use items and technologies without a general license, or forge, alter, trade or transfer the approval of the general license for the export of dual-use items and technologies, or obtain dual-use items and technologies by deception or other improper means Those who export general licenses for items and technologies, or export dual-use items and technologies beyond the scope of general licenses, shall be punished in accordance with relevant administrative regulations and rules; if a crime is constituted, criminal responsibility shall be investigated according to law.

Article 27 If a general license operator violates the provisions of Chapter IV of these Measures, the Ministry of Commerce may require it to make corrections within a time limit; if the circumstances are serious, it may cancel its general export license and impose penalties in accordance with relevant administrative regulations and rules.

Chapter VII Supplementary Provisions

Article 28 The Ministry of Commerce shall be responsible for the interpretation of these Measures.

Article 29 These Measures shall enter into force as of July 1, 2009.