生物两用品及相关设备和技术出口管制条例 Regulations on Export

总理　朱镕基
2002年10月14日

中华人民共和国生物两用品及相关设备和技术出口管制条例

第一条 为了加强对生物两用品及相关设备和技术出口的管制，维护国家安全和社会公共利益，制定本条例。

第二条 本条例所称生物两用品及相关设备和技术出口，是指本条例附件《生物两用品及相关设备和技术出口管制清单》（以下简称《管制清单》）所列的生物两用品及相关设备和技术的贸易性出口以及对外交流、交换、赠送、展览、援助、服务和以其他方式进行的技术转移。

第三条 生物两用品及相关设备和技术出口应当遵守国家有关法律、行政法规和本条例规定，不得损害国家安全和社会公共利益。

第四条 国家对生物两用品及相关设备和技术出口实行严格管制，防止《管制清单》所列的生物两用品及相关设备和技术用于生物武器目的。

第五条 国家对《管制清单》所列的生物两用品及相关设备和技术出口实行许可制度。未经许可，任何单位或者个人不得出口《管制清单》所列的生物两用品及相关设备和技术。

第六条 从事生物两用品及相关设备和技术出口的经营者，须经国务院对外经济贸易主管部门（以下简称国务院外经贸主管部门）登记。未经登记，任何单位或者个人不得经营生物两用品及相关设备和技术出口。具体登记办法由国务院外经贸主管部门规定。

第七条 生物两用品及相关设备和技术出口的接受方应当保证：

（一）所进口的生物两用品及相关设备和技术不用于生物武器目的；

（二）未经中国政府允许，不将中国供应的生物两用品及相关设备和技术用于申明的最终用途以外的其他用途；

（三）未经中国政府允许，不将中国供应的生物两用品及相关设备和技术向申明的最终用户以外的第三方转让。

第八条 出口《管制清单》所列的生物两用品及相关设备和技术，应当向国务院外经贸主管部门提出申请，填写生物两用品及相关设备和技术出口申请表（以下简称出口申请表），并提交下列文件：

（一）申请人的法定代表人、主要经营管理人以及经办人的身份证明；

（二）合同、协议的副本或者其他证明文件；

（三）生物两用品及相关设备和技术的技术说明；

（四）最终用户证明和最终用途证明；

（五）本条例第七条规定的保证文书；

（六）国务院外经贸主管部门规定提交的其他文件。

第九条 申请人应当如实填写出口申请表。

出口申请表由国务院外经贸主管部门统一印制。

第十条 国务院外经贸主管部门应当自收到出口申请表和本条例第八条规定的文件之日起进行审查，或者会同有关部门进行审查。《管制清单》第一部分所列的生物两用品及相关设备和技术的出口申请，国务院外经贸主管部门应当在15个工作日内作出许可或者不予许可的决定；对《管制清单》第二部分所列的生物两用品及相关设备和技术的出口申请，国务院外经贸主管部门应当在45个工作日内作出许可或者不予许可的决定。

第十一条 对国家安全、社会公共利益有重大影响的生物两用品及相关设备和技术出口，国务院外经贸主管部门应当会同有关部门报国务院批准。

生物两用品及相关设备和技术出口报国务院批准的，不受本条例第十条规定时限的限制。

第十二条 生物两用品及相关设备和技术出口申请经审查许可的，由国务院外经贸主管部门向申请人颁发生物两用品及相关设备和技术出口许可证件（以下简称出口许可证件），并书面通知海关。

第十三条 出口许可证件持有人改变原申请的生物两用品及相关设备和技术出口的，应当交回原出口许可证件，并依照本条例的有关规定，重新申请出口许可。

第十四条 生物两用品及相关设备和技术出口时，出口单位或者个人应当向海关出具出口许可证件，依照海关法的规定办理海关手续，并接受海关监管。

第十五条 接受方违反其依照本条例第七条规定作出的保证，或者出现《管制清单》所列的可用于生物武器目的的生物两用品及相关设备和技术扩散的危险时，国务院外经贸主管部门应当对已经颁发的出口许可证件予以中止或者撤销，并书面通知海关。

第十六条 任何单位或者个人知道或者应当知道所出口的生物两用品及相关设备和技术将被接受方直接用于生物武器目的的，无论该生物两用品及相关设备和技术是否列入《管制清单》，都不应当出口。

第十七条 经国务院批准，国务院外经贸主管部门会同有关部门，可以临时决定对《管制清单》以外的特定生物两用品及相关设备和技术的出口依照本条例实施管制。

第十八条 未经许可擅自出口生物两用品及相关设备和技术的，或者擅自超出许可的范围出口生物两用品及相关设备和技术的，依照刑法关于走私罪、非法经营罪、泄露国家秘密罪或者其他罪的规定，依法追究刑事责任；尚不够刑事处罚的，区别不同情况，依照海关法的有关规定处罚，或者由国务院外经贸主管部门给予警告，没收违法所得，处5万元以上25万元以下的罚款；国务院外经贸主管部门并可以暂停直至撤销其对外贸易经营许可。

第十九条 伪造、变造或者买卖生物两用品及相关设备和技术出口许可证件的，依照刑法关于非法经营罪或者伪造、变造、买卖国家机关公文、证件、印章罪的规定，依法追究刑事责任；尚不够刑事处罚的，依照海关法的有关规定处罚；国务院外经贸主管部门并可以撤销其对外贸易经营许可。

第二十条 以欺骗或者其他不正当手段获取生物两用品及相关设备和技术出口许可证件的，由国务院外经贸主管部门收缴其出口许可证件，没收违法所得，处2万元以上10万元以下的罚款，暂停直至撤销其对外贸易经营许可。

第二十一条 违反本条例第六条规定，未经登记擅自经营生物两用品及相关设备和技术出口的，由国务院外经贸主管部门依法取缔其非法活动，并由国家有关主管部门依照有关法律和行政法规的规定给予处罚。

第二十二条 对生物两用品及相关设备和技术出口实施管制的国家工作人员滥用职权、玩忽职守或者利用职务上的便利索取、收受他人财物的，依照刑法关于滥用职权罪、玩忽职守罪、受贿罪或者其他罪的规定，依法追究刑事责任；尚不够刑事处罚的，依法给予行政处分。

第二十三条 国务院外经贸主管部门会同有关部门，可以根据实际情况对《管制清单》进行调整，报国务院批准后执行。

第二十四条 《管制清单》所列生物两用品及相关设备和技术进口后再出口的，适用本条例的规定。

第二十五条 本条例自2002年12月1日起施行。

Regulations on Export Control of Dual-use Biological Agents And Related Equipment And Technologies
（Promulgated by Decree No.365 of the State Council on October 14, 2002）

Article 1 These Regulations are formulated for the purposes of strengthening export control of dual-use biological agents and related equipment and technologies, and safeguarding the State security and social and public interests.

Article 2 The export of dual-use biological agents and related equipment and technologies referred to in these Regulations means the export for trade of dual-use biological agents and related equipment and technologies listed in the "Dual-Use Biological Agents and Related Equipment and Technologies Export Control List"（hereinafter referred to as the Control List） attached to these Regulations, and the exchange with, interchange with, gift to, exhibition in, assistance to, provision of service for as such and other forms of technological transfer thereof to foreign countries and regions.

Article 3 The export of dual-use biological agents and related equipment and technologies shall be in accordance with relevant laws, administrative regulations of the State and these Regulations, and shall not imperil the State security and social and public interests.

Article 4 The State shall exercise strict control on the export of dual-use biological agents and related equipment and technologies so as to prevent dual-use biological agents and related equipment and technologies from being used for the purpose of biological weapons.

Article 5 The State shall practice a licensing system for the export of dual-use biological agents and related equipment and technologies in the Control List. Without being licensed, no unit or individual shall export such dual-use biological agents and related equipment and technologies.

Article 6 Exporters of dual-use biological agents and related equipment and technologies shall register themselves with the competent department in charge of foreign economic relations and trade of the State Council （hereinafter referred to as the competent foreign economic and trade department of the State Council）. Without such registration, no unit or individual shall export dual-use biological agents and related equipment and technologies. The specific measures for such registration shall be formulated by the competent foreign economic and trade department of the State Council.

Article 7 The receiving party of dual-use biological agents and related equipment and technologies shall guarantee:

（1） Not to use the imported dual-use biological agents and related equipment and technologies for the purpose of biological weapons;

（2） Not to use dual-use biological agents and related equipment and technologies supplied by China for the purposes other than the declared end-use without the consent of the Chinese Government; and

（3） Not to transfer dual-use biological agents and related equipment and technologies to any third party other than the declared end-user without the consent of the Chinese Government.

Article 8 Anyone who intends to export dual-use biological agents and related equipment and technologies listed in the Control List shall apply to the competent foreign economic and trade department of the State Council, fill in the export application form for dual-use biological agents and related equipment and technologies （hereinafter referred to as the export application form）, and submit the following documents:

（1） Identifications of the applicant''s legal representative, chief manager（s） and the person（s） handling the deal;

（2） Duplicates of the contract or agreement, or other certification documents;

（3） Technical specifications of the dual-use biological agents and related equipment and technologies;

（4） Certificate of end-user and end-use;

（5） Documents of guarantee as defined in Article 7 of these Regulations; and

（6） Other documents as may be required by the competent foreign economic and trade department of the State Council.

Article 9 An applicant shall truthfully fill in the export application form.

Export application forms shall be uniformly produced by the competent foreign economic and trade department of the State Council.

Article 10 The competent foreign economic and trade department of the State Council shall, from the date of receiving the export application form and the documents set forth in Article 8 of these Regulations, examine the application, or examine the application jointly with other relevant departments.

The competent foreign economic and trade department of the State Council shall, within 15 working days, make a decision of approval or denial of the application for the export of dual-use biological agents and related equipment and technologies listed in Part I of the Control List; the competent foreign economic and trade department of the State Council shall, within 45 working days, make a decision of approval or denial of the application for the export of dual-use biological agents and related equipment and technologies listed in Part II of the Control List.

Article 11 Where the export of dual-use biological agents and related equipment and technologies entails significant impact on the State security and social and public interests, the competent foreign economic and trade department of the State Council shall, jointly with relevant departments, submit the case to the State Council for approval.

Where the export of dual-use biological agents and related equipment and technologies is submitted to the State Council for approval, the timing restrictions set forth in Article 10 of these Regulations shall not be applied.

Article 12 Where an application for the export of dual-use biological agents and related equipment and technologies is examined and approved, the competent foreign economic and trade department of the State Council shall issue a licence for the export of dual-use biological agents and related equipment and technologies （hereinafter referred to as an export licence）, and notify the Customs in writing.

Article 13 An export licence holder who intends to change the dual-use biological agents and related equipment and technologies originally applied for export shall return the original export licence and file a new application to obtain an export licence according to relevant provisions of these Regulations.

Article 14 While exporting dual-use biological agents and related equipment and technologies, the exporter shall present the export licence to the Customs, complete the customs procedures and accept supervision and control of the Customs in accordance with the provisions of the Customs Law.

Article 15 Where the receiving party contravenes the guarantees made according to the provisions of Article 7 of these Regulations, or there is a risk of proliferation of dual-use biological agents and related equipment and technologies listed in the Control List that can be used for the purpose of biological weapons, the competent foreign economic and trade department of the State Council shall suspend or revoke the export licence granted and notify the Customs in writing.

Article 16 Where any unit or individual knows or should know that the dual-use biological agents and related equipment and technologies to be exported will be used by the receiving party directly for the purpose of biological weapons, it shall not export such dual-use biological agents and related equipment and technologies, whether included in the Control List or not.

Article 17 Upon approval by the State Council, the competent foreign economic and trade department of the State Council may, jointly with relevant departments of the State Council, temporarily decide to exercise export control on specific dual-use biological agents and related equipment and technologies other than those listed in the Control List in accordance with the provisions of these Regulations.

Article 18 Those who export dual-use biological agents and related equipment and technologies without being licensed or export dual-use biological agents and related equipment and technologies beyond the scope of the export licence without authorization, shall be investigated for criminal liability in accordance with the provisions of the criminal law on the crime of smuggling, the crime of illegal business operations, the crime of divulging State secrets or other crimes; if such acts are not serious enough for criminal punishment, by distinguishing different circumstances, they shall be punished in accordance with relevant provisions of the Customs Law, or be given a warning, confiscated of their illegal income, and fined not less than 50,000 yuan but not more than 250,000 yuan by the competent foreign economic and trade department of the State Council; the competent foreign economic and trade department of the State Council may concurrently suspend or even revoke the licensing for their foreign trade operations.

Article 19 Those who forge, alter, buy or sell the licence for the export of dual-use biological agents and related equipment and technologies shall be investigated for criminal liability in accordance with the provisions of the criminal law on the crime of illegal business operations or the crime of forging, altering, buying or selling official documents, certificates or seals of a State organ; if such acts are not serious enough for criminal punishment, they shall be punished in accordance with relevant provisions of the Customs Law, and the competent foreign economic and trade department of the State Council may concurrently revoke the licensing for their foreign trade operations.

Article 20 Where a licence for the export of dual-use biological agents and related equipment and technologies is obtained by fraud or other illegal means, the competent foreign economic and trade department of the State Council shall revoke such an export licence, confiscate the illegal income, impose a fine of not less than 20,000 yuan but not more than 100,000 yuan, and suspend or even revoke the licensing for their foreign trade operations.

Article 21 Where, in violation of the provisions of Article 6 of these Regulations, the export of dual-use biological agents and related equipment and technologies is operated without registration, the competent foreign economic and trade department of the State Council shall ban such illegal activities according to law, and relevant competent departments of the State shall impose punishment thereon in accordance with relevant laws and administrative regulations.

Article 22 Where the State functionaries in charge of control on the export of dual-use biological agents and related equipment and technologies abuse their powers, neglect their duties or extort or accept money or properties from others by taking advantage of their positions, they shall be investigated for criminal liability in accordance with the provisions of the criminal law on the crime of abuse of power, the crime of neglect of duties, the crime of accepting bribes and other crimes; if such acts are not serious enough for criminal punishment, they shall be given administrative sanctions according to law.

Article 23 In light of actual situations, the competent foreign economic and trade department of the State Council may, jointly with relevant departments, amend the Control List and submit it to the State Council for approval before implementation.

Article 24 In the case of the re-export of dual-use biological agents and related equipment and technologies after import, these Regulations shall apply.

Article 25 These Regulations shall be effective as of December 1, 2002