政府报告白皮书中英文翻译：《中国的出口管制》

　　政府报告白皮书中英文翻译：《中国的出口管制》

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　　中国的出口管制

　　China’s Export Controls

　　中华人民共和国国务院新闻办公室

　　The State Council Information Office of the People’s Republic of China

　　2021年12月

　　December 2021

　　目录

　　Contents

　　前言

　　Preamble

　　一、中国出口管制的基本立场

　　I. China’s Basic Position on Export Controls

　　二、不断完善出口管制法律制度和管理体制

　　II. Ongoing Improvements to the Legal and Regulatory System for Export Controls

　　三、持续推进出口管制体系现代化

　　III. Modernizing the Export Control System

　　四、积极开展出口管制国际交流与合作

　　IV. Promoting International Exchanges and Cooperation

　　结束语

　　Conclusion

　　前言

　　Preamble

　　出口管制是指对两用物项、军品、核以及其他与维护国家安全和利益、履行防扩散等国际义务相关的货物、技术、服务等物项出口，采取禁止或者限制性措施，是国际上通行的做法。

　　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.

　　当今世界正经历百年未有之大变局，不稳定性不确定性显著上升，国际安全体系和秩序受到冲击，世界和平面临多元挑战和威胁。公正、合理、非歧视的出口管制，对于有效应对新形势下国际和地区安全风险与挑战、维护世界和平与发展，地位和作用日益凸显。各国普遍高度重视和积极推进出口管制工作，通过建立和执行法律制度，加强和规范出口管制。

　　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.

　　中国作为联合国安理会常任理事国、世界货物贸易和制造业第一大国，始终本着维护国家安全，维护世界和平与地区安全的原则，不断完善出口管制治理。进入新时代，中国在习近平新时代中国特色社会主义思想指引下，坚持总体国家安全观，更加积极地融入经济全球化进程。中国着眼于更好地建设更高水平开放型经济新体制和建设更高水平的平安中国，实现高质量发展和高水平安全的良性互动，推动出口管制体系现代化，出口管制治理取得新发展、新成就。中国从全球视角思考责任担当，认真履行国际义务，加强国际交流与合作，以实际行动积极参与出口管制国际协调，推动相关国际进程，与各国携手构建人类命运共同体，为世界和平与发展注入了正能量。

　　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.

　　为全面介绍中国出口管制的基本立场和政策主张，增进国际社会对中国出口管制的了解，特发布本白皮书。

　　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、中国出口管制的基本立场

　　I. China’s Basic Position on Export Controls

　　中国作为负责任大国，坚定维护以联合国为核心的国际体系和以国际法为基础的国际秩序，切实维护符合真正多边主义的国际条约和机制的权威，积极推进国际出口管制朝着公正、合理、非歧视的正确方向发展。

　　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)坚持总体国家安全观

　　1. Maintaining a Holistic Approach to National Security

　　经济全球化时代，各国安全相互关联，彼此影响。中国始终坚持总体国家安全观，统筹发展和安全，统筹开放和安全，统筹传统安全和非传统安全，统筹自身安全和共同安全，统筹维护和塑造国家安全，努力建设与中国国际地位相称，同国家安全和利益相适应的出口管制体系。中国主张，各国创新安全理念，树立共同、综合、合作、可持续的全球安全观，特别是大国应当履行大国义务，展现大国责任担当，在出口管制领域推进国际共同安全，共同构建普遍安全的人类命运共同体。

　　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)认真履行国际义务和承诺

　　2. Honoring International Obligations and Commitments

　　维护国际和平，履行防扩散等国际义务是中国的庄严承诺。中国积极履行国际义务，广泛借鉴国际通行做法，大力加强和完善出口管制体系建设。中国坚决反对一切形式的大规模杀伤性武器及其运载工具的扩散，并形成以《出口管制法》为统领，涵盖两用物项、军品、核以及其他与维护国家安全和利益、履行防扩散等国际义务相关的货物、技术、服务等物项的出口管制体系。

　　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)积极推进国际合作协调

　　3. Promoting International Cooperation and Coordination

　　当今世界，各国日益成为命运共同体。越是面临全球性挑战，越要合作应对。中国主张，通过国际协调合作和多边机制，妥善解决分歧和争端，使各国成为相互信任、平等合作的伙伴。当前，全球治理体制变革正处在历史转折点，中国主张，出口管制国际协调应切实增加新兴市场国家和发展中国家的代表性，更好实现各国在国际合作中权利平等、机会平等、规则平等，更加平衡地反映大多数国家意愿和利益，共同营造和平稳定、平等互信、合作共赢的国际环境。

　　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)坚决反对滥用出口管制措施

　　4. Opposing the Abuse of Export Control Measures

　　任何国家和地区都不应滥用出口管制措施，无理实施歧视性限制措施，在防扩散问题上推行双重标准，甚至推动出口管制有关多边机制趋向歧视性和排他性。《不扩散核武器条约》《禁止细菌(生物)及毒素武器的发展、生产及储存以及销毁这类武器的公约》(以下简称《禁止生物武器公约》)《关于禁止发展、生产、储存和使用化学武器及销毁此种武器的公约》(以下简称《禁止化学武器公约》)以及一系列联大、联合国安理会决议，都规定了确保各国不受歧视地充分享有和平利用的权利。中国主张，出口管制应当遵守公正、合理、非歧视原则，不应当损害其他国家和平利用出口管制物项的正当权益，不应当对和平利用科技进步成果促进发展、正常国际科技交流与经贸合作、全球产业链供应链安全顺畅运转设置障碍。中国呼吁，在全球化日益深入、新技术不断涌现的今天，各国既应对出口管制有关风险和威胁实施有效管控，营造有利于经济社会发展的安全环境，也要积极推动科技发展的普惠共享，不断增进全人类福祉。

　　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、不断完善出口管制法律制度和管理体制

　　II. Ongoing Improvements to the Legal and Regulatory System for Export Controls

　　中国坚持全面依法治国基本方略，既立足中国国情，又借鉴国外有益经验，不断健全出口管制法律制度，完善出口管制管理体制，为出口管制提供法治和体制保障。

　　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

　　改革开放以来，中国经济发展的内外环境发生了深刻变化，社会主义市场经济体制不断完善，出口管制工作的法治化水平不断提升。自20世纪90年代起，中国先后颁布《监控化学品管理条例》《核出口管制条例》《军品出口管理条例》《核两用品及相关技术出口管制条例》《导弹及相关物项和技术出口管制条例》和《生物两用品及相关设备和技术出口管制条例》等6部行政法规。商务部、工业和信息化部、海关总署、国家国防科技工业局、国家原子能机构、中央军委装备发展部等相关部门配套出台数十项部门规章及相关规范性文件，细化出口管制事项规定，包括对特定物项的具体规定、许可管理及执法监督的具体规定、实施联合国安理会有关决议的相关文件等。

　　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，中国颁布《出口管制法》，对出口管制体制、管制措施以及国际合作等作出明确规定，统一确立出口管制政策、管制清单、临时管制、管控名单以及监督管理等方面的基本制度框架和规则。《出口管制法》是在总结中国出口管制实践经验基础上，根据形势变化，借鉴国际通行做法，提升立法层级而制定的一部统领中国出口管制工作的法律，对中国出口管制的制度作出全面安排，确保管制物项、适用主体和管制环节全覆盖。《出口管制法》出台以来，为确保各项制度有效实施，国家出口管制管理部门积极开展相关配套法规、部门规章的“立改废”工作，确保出口管制法律制度各领域之间高效衔接。除《出口管制法》外，《对外贸易法》《国家安全法》《数据安全法》《核安全法》《海关法》《行政许可法》《行政处罚法》《刑法》等法律也为出口管制措施执行等相关工作提供了有力法律依据。目前，中国已基本形成法律、行政法规、部门规章相衔接，层次分明、结构协调的出口管制法律制度，为构建中国特色现代化出口管制体系奠定了坚实的法律基础。

　　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)构建协同高效的出口管制管理体制

　　2. Building a Coordinated and Efficient Export Control Regime

　　出口管制涉及国务院、中央军事委员会的多个部门。国家建立健全出口管制工作机制，明确各部门分工，为出口管制工作提供了坚实的体制保障。

　　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.

　　两用物项出口管制管理体制。核两用物项出口，由商务部会同国家原子能机构进行管理;生物类两用物项出口，由商务部根据需要会同农业农村部、国家卫生健康委员会等部门进行管理;有关化学品类两用物项出口，由商务部进行管理;导弹类两用物项出口，由商务部根据需要会同国家国防科技工业局、中央军委装备发展部等部门进行管理;商用密码出口，由商务部会同国家密码管理局进行管理，《密码法》规定商用密码出口管制清单由商务部会同国家密码管理局和海关总署制定并公布;监控化学品出口，由工业和信息化部会同商务部进行出口经营者资质管理，工业和信息化部负责具体出口审查。

　　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.

　　军品出口管制管理体制。军品出口，由国家国防科技工业局与中央军委装备发展部根据分工进行管理，主要管理内容包括审批军品出口专营资格、军品出口立项、军品出口项目、军品出口合同，核发军品出口许可证，制定相关业务管理办法，对军品出口活动进行监督管理，对军品出口管制违法行为进行处罚等。

　　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.

　　核出口管制管理体制。核出口，由国家原子能机构、商务部会同其他部门进行管理。核出口由国务院指定的单位专营，并坚决贯彻核出口保证只用于和平目的、接受国际原子能机构保障监督、未经中国政府许可不得向第三国转让等三项原则。管理部门对核出口实施严格的审查制度，并对违法行为采取严厉的处罚措施。

　　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.

　　海关总署与相关管理部门紧密合作，依法对管制物项的出口实施监管，参与相关违法出口案件的调查处理，开展风险防控、监督执法等相关工作。