| Administrative Measures for the General License for the Export of Dual-use Items and Technologies | |
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Decree of the Ministry of Commerce of the People’s Republic of China No. 8 [2009]
The Administrative Measures for the General License for the Export of Dual-use Items and Technologies, which was deliberated and adopted at the 22nd executive meeting of the Ministry of Commerce of the People’s Republic of China in 2009, is hereby promulgated and shall enter into force as July 1, 2009. Minister：Chen Deming May 13, 2009
Administrative Measures for the General License for the Export of Dual-use Items and Technologies
Chapter I General Provisions Article 1 The measures shall in accordance with the Foreign Trade Law of the People’s Republic of China and related administrative regulations for the purpose of maintaining national safety and social public interests and improving the export management of dual-purpose items and technologies. Article 2 Related administrative regulations herein refer to the Regulations of the PRC on the Control of Nuclear Dual-use Items and Related Technologies Export, the Regulations of the PRC on the Export Control of Dual-use Biological Agents and Related Equipment and Technologies, the Regulations of the PRC on Export Control of Missiles and Missile-related Items and Technologies and the Measures on the Export Control of Certain Chemicals and Related Equipment and Technologies. The dual-use items and technologies herein refer to the items and technologies controlled by the aforesaid related administrative regulations. Article 3 The general license for the export of dual-use items and technologies herein refers to the act where the Ministry of Commerce checks the application of a dual-use items and technologies operator in accordance with related administrative regulations and the measures and allows the operator to hold the reply of the Ministry to the general license for dual-use items and technologies to apply for the dual-use items and technologies export license to the issuing institution as prescribed in the Measures for Administration on import and Export Licensing of Dual-use Items and Technologies (No. 29 Decree of the Ministry of Commerce and the General Administration of Customs in 2005) within the valid period. An export operator should in accordance with related administrative regulations apply for export licensing step by step if failing to obtain the general license for the export of dual-use items and technologies. Article 4 The Ministry of Commerce shall be national competent authority in charge of the general license for the export of dual-use items and technologies. The provincial-level competent commerce authority entrusted by the Ministry of Commerce shall in accordance with the measures take responsibility for the routine supervision and administration over the general license for the export of dual-use items and technologies in the local area. Article 5 The general license for the export of dual-use items and technologies falls into Class-A general license and Class-B general license. Class-A general license permits an export operator within the valid period to export one or more particular dual-use items and technologies to one or more final customers of one or more particular countries (or regions). Class-B general license permits an export operator within the valid period to export the same kind of particular dual-use items and technologies to the fixed final customer of the same particular country (or region) many times. Article 6 The valid period of the general license for the export of dual-use items and technologies shall be no more than three years. Chapter II Implementation of General License Article 7 The state shall conduct stringent inspection on the implementation of the general license for the export of dual-use items and technologies. The general licensing operator of dual-use items and technologies export（hereinafter referred to as “general licensing operator”）should meet the following requirements： （1）being legal foreign trade dealer； （2）having establishing the internal-enterprise control system of dual-use items and technologies； （3） having engaged in the dual-use items and technologies export for more than two years（inclusive of two years）； （4） In case an export operator applies for Class-A general license, it should have the amount of applying for dual-use items and technologies export licensing of more than 40 pieces (including 40 pieces) consecutively for two years (including two years); in case applying for Class-B general license, it should have the amount of applying for the same kind of dual-use items and technologies export licensing of more than 30 pieces (including 30 pieces) consecutively for more than two years (including two years); （5） not having criminal punishments or administrative penalties by related sectors within the past 3 years； （6） having relatively fixed sales channel of dual-use items and technologies and final customers. Article 8 The general licensing operator should file an application to the Ministry of Commerce for general licensing and submit to the provincial-level competent commerce authority entrusted by the Ministry of Commerce the following application materials： （1） dual-use items and technologies export licensing application form； （2） specifications for the establishment and operation of the internal-enterprise system of dual-use items and technologies and related supporting documents； （3） the security instrument on not having criminal punishment or administrative penalty by related sectors within the past 3 years； （4） supporting documents for legal foreign trade operator； （5） specifications for engaging in dual-use items and technologies export business, including statements of application and utilization for and of dual-use items and technologies export license in recent two years; statements of dual-use items and technologies sales channels and customers, including the relation with dealers, dealing situation, importers and final customers； （6） category of the general license for the export of items and technologies to be applied for and related documents on technical specifications； （7） security instruments claimed from the final customers or those of final customers and final use supporting documents before the execution of each contract in accordance with related administrative regulations； （8） other documents submitted at the request of the competent authority. The application form of the general license for the export of dual-use items and technologies shall be uniformly formulated by the Ministry of Commerce. Article 9 The provincial-level competent commerce authority entrusted by the Ministry of Commerce shall submit the application materials to the Ministry of Commerce within 10 working days upon receiving the documents as prescribed in Article 8 of the measures, and the Ministry of Commerce shall in accordance with related administrative regulations conduct examination independently or together with related departments and make the decision on whether or not to grant permission. In case permission is granted, the Ministry of Commerce shall sign and issue the reply to the general license for the export of dual-use items and technologies; in case no permission is granted, reasons shall be stated. In the examination, the Ministry of Commerce or its entrusted provincial-level competent commerce authority shall have an interview with major management personnel of the enterprise according to requirements to understand the establishment and implementation of the internal-enterprise export control system, and even conduct on-site investigation into the enterprise if necessary. In the examination, the Ministry of Commerce may entrust experts and consultant agencies to assess the establishment and operation of the internal-enterprise export system. Experts and consultant agencies shall be confirmed by the Ministry of Commerce and promulgated by way of public announcement. Article 10 The general license shall not be the following circumstances： （1）the enterprise has established the complete internal control system but not confirmed its effective implementation； （2）related competent administrative authorities deem there exist export risk spreading and other situations not for the general license. Article 11 The general licensing operator should in accordance with relevant administrative regulations apply for export licensing step by step if having no way to judge whether the items and technologies to be exported are in compliance with related administrative regulations or whether the items and technologies to be exported belong to the general licensing scope. Article 12 The reply to the general license for the export of dual-use items and technologies shall be strictly prohibited from being forged, altered, traded or transferred; and the utilization of the reply to the general license for the export of dual-use items and technologies beyond the permission scope or illegal activities of harassing the market competition order by utilizing the reply to the general license for the export of dual-use items and technologies shall be strictly prohibited. Chapter III Application for Dual-purpose Items and Technologies Export License Article 13 The general licensing operator shall hold the reply documents affixed with the official seal of the enterprise to the institution issuing the dual-use items and technologies export license as prescribed in the Measures for Administration on import and Export Licensing of Dual-use Items and Technologies to apply for the dual-use items and technologies export license after gaining the reply issued by the Ministry of Commerce to the general license for the export of dual-use items and technologies. Other procedures for the application for the dual-use items and technologies export license shall be subject to the Measures for Administration on import and Export Licensing of Dual-use Items and Technologies. Chapter IV Obligations of General Licensing Operator Article 14 The general licensing operator should in accordance with the state policies, laws and regulations related to export control effectively carry out the internal-enterprise control system. Article 15 The general licensing operator should truthfully offer application materials and properly keep the security instruments as prescribed in related administrative regulations or specifications for final customers and final application as well as contracts, invoices, account books, receipts, records, documents, business correspondence and other materials for five years. Article 16 The general licensing operator should immediately suspend or quit related export activities, adopt necessary remedy measures and timely report to the Ministry of Commerce and its entrusted provincial-level competent commerce authority when knowing or being supposed to know, or being notified by the Ministry of Commerce or its entrusted provincial-level competent commerce authority, or finding the risk of impairing the state security and social public interests in the items and technologies to be exported while engaging in the export of dual-use items and technologies. Article 17 The general licensing operator should within the valid period of general licensing take initiative to know about the policies, laws and regulations for the management on the export of dual-use items and technologies and participate in related trainings by competent commerce authorities. Article 18 The general licensing operator should based on the requirements of the internal-enterprise control system inspect the implementation status, truthfully report to the Ministry of Commerce and its entrusted provincial-level competent commerce authority the illegal activities of the enterprise and proactively coordinate with the Ministry of Commerce and its entrusted provincial-level competent commerce authority to do well related work. Article 19 The general licensing operator should within six month of the valid period of general licensing and 30 days upon the expiration of the general licensing validity report to the Ministry of Commerce and its entrusted provincial-level competent commerce authority the general licensing utilization status, including time of dual-use items and technologies export, category of items, specifications, quantity, modes of trade, exporting country (region), importer, final customers, final application as well as transport pathway and port of clearance. Chapter V Supervision and Administration Article 20 The Ministry of Commerce should timely issue policies, laws and regulations related to export administration and control via “the administrative platform of export administration and control” or other media and conduct the training of related policies, laws and regulations for the general licensing operators. Article 21 The Ministry of Commerce, its entrusted provincial-level competent commerce authority and its entrusted exports consultant agency may in accordance with the requirements of the general licensing operator provide related trainings and technical guidance. Article 22 The Ministry of Commerce and its entrusted provincial-level competent commerce authority may conduct supervision and inspection on the general licensing operator and even on-site examination when necessary. The general licensing operator should offer coordination and assistance and truthfully provide related situations and materials. Article 23 The Ministry of Commerce or its entrusted provincial-level competent commerce authority may conduct inspection over the implementation of the internal-enterprise control system in the forms of inquiring related working staff, consulting and copying the stored data as prescribed in Article 14 of the measures and raise rectification opinions while conducting on-site inspection. Article 24 Inspectors shall be no fewer than 2 persons and show legitimate documents when conducting on-site inspection. In case inspectors are fewer than 2 persons or fail to show legitimate documents, the general licensing operator shall have the right to refuse to be inspected. Article 25 For the export activities impairing the state safety and social public interests, the Ministry of Commerce or its entrusted provincial-level competent commerce authority shall in accordance with related administrative regulations and the measures require the general licensing operator of dual-use items and technologies export to suspend or quit the export of related items and technologies, and even revoke the general license or adopt any necessary measures to maintain the state safety and social public interests when necessary. Chapter VI Legal Responsibility Article 26 In case the general licensing operator exports dual-use items and technologies without the general license, or forges, alters, trades or transfers the reply to the general license for the export of dual-use items and technologies, or gains the general license for the export of dual-use items and technologies by deception and any other legitimate means, or exports dual-use items and technologies beyond the general licensing scope, it shall be punished according to related administrative regulations; and if his act constitutes a crime, criminal liability shall be investigated according to law. Article 27 In case the general licensing operator violates Chapter IV of the measures, the Ministry of Commerce may order him to make corrections with the fixed time limit; and if the case is serious, the general export license shall be revoked and penalty granted according to related administrative regulations. Chapter VII Supplementary Provisions Article 28 The Ministry of Commerce shall be responsible for interpretation of the measures. Article 29 The measures shall enter into force as July 1, 2009. |
