中华人民共和国导弹及相关物项和技术出口管制条例

Regulations of the People's Republic of China on Export Control of Missiles and Missile-related Items and Technologies

    第一条 为了加强对导弹及相关物项和技术出口的管制，维护国家安全和社会公共利益，制定本条例。

Article 1 These Regulations are formulated for the purposes of strengthening export control of missiles and missile-related items and technologies, and safeguarding the State security and social and public interests.

    第二条 本条例所称导弹及相关物项和技术出口，是指本条例附件《导弹及相关物项和技术出口管制清单》（以下简称《管制清单》）所列的导弹及相关设备、材料、技术的贸易性出口以及对外赠送、展览、科技合作、援助、服务和以其他方式进行的技术转移。

Article 2 The export of missiles and missile-related items and technologies referred to in these Regulations means the export for trade of missiles and missile-related equipment, materials and technologies listed in "The Missiles and Missile-related Items and Technologies Export Control List" (hereinafter referred to as the Control List) attached to these Regulations, and the gift to, exhibition in, scientific and technological cooperation with, assistance to, provision of service for as such and other forms of technological transfer thereof to foreign countries and regions.

    第三条 国家对导弹及相关物项和技术出口实行严格管制，防止《管制清单》所列的可被用于运载大规模杀伤性武器的导弹及其他运载系统的扩散。

Article 3 The State shall exercise strict control on the export of missiles and missile-related items and technologies so as to prevent the proliferation of missiles and other delivering systems listed in the Control List that can be used to deliver weapons of mass destruction.

    第四条 国家对导弹及相关物项和技术出口实行许可证件管理制度。未经许可，任何单位或者个人不得出口导弹及相关物项和技术。

Article 4 The State shall practice a licensing system for the export of missiles and missile-related items and technologies. Without being licensed, no unit or individual shall export missiles and missile-related items and technologies.

    第五条 出口《管制清单》第一部分所列的物项和技术，依照《中华人民共和国军品出口管理条例》及其他有关规定办理。

Article 5 The export of items and technologies listed in Part I of the Control List shall be subject to the Regulations of the People's Republic of China on Administration of Arms Export and other relevant provisions.

    出口《管制清单》第二部分所列的物项和技术（以下简称导弹相关物项和技术），应当依照本条例第七条至第十三条的规定履行审批手续；但是，出口用于军事目的的导弹相关物项和技术，应当依照前款规定办理。

To export items and technologies listed in Part II of the Control List (hereinafter referred to as missile-related items and technologies), the exporter shall follow the examination and approval procedures provided for in Articles 7 to 13 of these Regulations; however, the export of missile-related items and technologies for military purpose shall be subject to the provisions of the preceding paragraph.

    第六条 导弹相关物项和技术出口的接受方应当保证，未经中国政府允许，不将中国供应的导弹相关物项和技术用于申明的最终用途以外的其他用途，不将中国供应的导弹相关物项和技术向申明的最终用户以外的第三方转让。

Article 6 The receiving party of missile-related items and technologies shall guarantee not to use missile-related items and technologies supplied by China for purposes other than the declared end-use, nor to transfer missile-related items and technologies supplied by China to any third party other than the declared end-user without the consent of the Chinese Government.

    第七条 从事导弹相关物项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导弹相关物项和技术出口。具体登记办法由国务院外经贸主管部门规定。

Article 7 Exporters of missile-related items 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 missile-related items and technologies. The specific measures for such registration shall be formulated by the competent foreign economic and trade department of the State Council.

    第八条 出口导弹相关物项和技术，应当向国务院外经贸主管部门提出申请，填写导弹相关物项和技术出口申请表（以下简称出口申请表），并提交下列文件：

Article 8 Anyone who intends to export missile-related items and technologies shall apply to the competent foreign economic and trade department of the State Council, fill in the export application form for missile-related items and technologies (hereinafter referred to as the export application form), and submit the following documents:

    （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；

(1) identification of the applicant's legal representative, chief managers and the persons handling the deal;

    （二）合同或者协议的副本；

(2) duplicates of the contract or agreement;

    （三）导弹相关物项和技术的技术说明；

(3) technical specifications of the missile-related items and technologies;

    （四）最终用户证明和最终用途证明；

(4) certificates of the end-user and end-use;

    （五）本条例第六条规定的保证文书；

(5) documents of guarantee as defined in Article 6;

    （六）国务院外经贸主管部门规定提交的其他文件。

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

    第九条 申请人应当如实填写出口申请表。

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

    出口申请表由国务院外经贸主管部门统一印制。

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

    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，或者会同国务院有关部门、中央军事委员会有关部门进行审查，并在４５个工作日内作出许可或者不许可的决定。

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 of the State Council and relevant departments of the Central Military Commission, and make a decision of approval or denial within 45 working days.

    第十一条 对国家安全、社会公共利益有重大影响的导弹相关物项和技术出口，国务院外经贸主管部门应当会同有关部门报国务院、中央军事委员会批准。

Article 11Where the export of missile-related items and technologies entails significant impact on the State security, social and public interests, the competent foreign economic and trade department of the State Council shall, jointly with relevant departments, submit the cases to the State Council and the Central Military Commission for approval.

    导弹相关物项和技术出口报国务院、中央军事委员会批准的，不受本条例第十条规定时限的限制。

Where the export of missile-related items and technologies is submitted to the State Council and the Central Military Commission for approval, the timing restriction set forth in Article 10 of these Regulations shall not be applied.

    第十二条 导弹相关物项和技术出口申请经审查许可的，由国务院外经贸主管部门颁发导弹相关物项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。

Article 12 Where an application for the export of missile-related items 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 missile-related items and technologies (hereinafter referred to as an export licence), and notify the Customs in writing.

    第十三条 出口许可证件持有人改变原申请的导弹相关物项和技术出口的，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、领取出口许可证件。

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

    第十四条 导弹相关物项和技术出口时，出口经营者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。

Article 14 While exporting missile-related items 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.

    第十五条 接受方违反其依照本条例第六条规定作出的保证，或者出现《管制清单》所列的可被用于运载大规模杀伤性武器的导弹及其他运载系统扩散的危险时，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。

Article 15 Where the receiving party contravenes the guarantees made according to the provisions of Article 6 of these Regulations or there is a risk of proliferation of missiles and other delivering systems listed in the Control List that can be used to deliver weapons of mass destruction, 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.

    第十六条 出口经营者知道或者应当知道所出口的导弹相关物项和技术将被接受方直接用于《管制清单》所列的可被用于运载大规模杀伤性武器的导弹及其他运载系统的发展计划的，即使该物项和技术未列入《管制清单》，也应当依照本条例的规定执行。

Article 16 Where the exporter knows or should know that the missile-related items and technologies to be exported will be used by the receiving party directly in its program for developing missiles and other delivering systems listed in the Control List that can be used to deliver weapons of mass destruction, the export shall be subject to the provisions of these Regulations even if the items or technologies are not listed in the Control List.

    第十七条 经国务院、中央军事委员会批准，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》以外的特定物项和技术的出口依照本条例实施管制。

Article 17 Upon approval by the State Council and the Central Military Commission, the competent foreign economic and trade department of the State Council may, jointly with relevant departments, temporarily decide to exercise export control on specific items and technologies other than those listed in the Control List in accordance with the provisions of these Regulations.

    第十八条 未经许可擅自出口导弹相关物项和技术的，或者擅自超出许可的范围出口导弹相关物项和技术的，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，处违法所得１倍以上５倍以下的罚款；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。

Article 18 Those who export missile-related items and technologies without being licensed, or export missile-related items 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 one time but not more than five times the illegal income 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.

    第十九条 伪造、变造或者买卖导弹相关物项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。

Article 19 Those who forge, alter, buy or sell the licence for the export of missile-related items 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.

    第二十条 以欺骗或者其他不正当手段获取导弹相关物项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，处违法所得等值以下的罚款，暂停直至撤销其对外贸易经营许可。

Article 20 Where a license for the export of missile-related items 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 license, confiscate the illegal income, impose a fine of not more than the illegal income, and suspend or even revoke the licensing for their foreign trade operations.

    第二十一条 违反本条例第七条规定，未经登记擅自经营导弹相关物项和技术出口的，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。

Article 21 Where, in violation of Article 7 of these Regulations, the export of missile-related items 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.

    第二十二条 对导弹相关物项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。

Article 22 Where the State functionaries in charge of control on the export of missile-related items 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.

    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、中央军事委员会批准后执行。

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 and the Central Military Commission for approval before implementation.

    第二十四条 本条例自公布之日起施行。

Article 24 These Regulations shall be effective as of the date of promulgation.

    导弹及相关物项和技术出口管制清单

THE MISSILES AND MISSILE-RELATED ITEMS AND TECHNOLOGIES EXPORT CONTROL LIST

    一、前言

1. INTRODUCTION

    （一）本清单第一部分是导弹和其他运载系统（包括弹道导弹、巡航导弹、火箭和无人驾驶飞行器）及其专用物项和技术，第二部分是与第一部分第一项相关的物项和技术。

(1) Part 1 of this List includes missiles and other delivery systems (including ballistic missiles, cruise missiles, rockets and unmanned air vehicles) as well as their specially designed items and technologies. Part 2 includes items and technologies related to Item 1 of Part 1.

    （二）含有第一部分中所列物项的系统应被视为第一部分的物项；但如所含物项与系统不可分或不可复制，且系统为民用用途设计，则该系统应被视为第二部分的物项。

(2) If a Part 1 item is included in a system, that system will also be considered as a Part 1 item, except when the incorporated item cannot be separated, removed or duplicated and the system is designed for civilian uses, where the item will be considered as a Part 2 item.

    （三）本清单所列任何项目均包括与之直接相关的技术。

(3) All items listed in this List include their directly related technologies.

    二、定义

2. DEFINITIONS

    本清单应用以下定义：

For the purpose of this List, the following definitions apply:

    （一）“技术”是指“研制”、“生产”或“使用”本清单所列物项所需要，并可以“技术资料”或“技术援助”的形式传授的专门知识。

(1) "Technology" means specific information which is required for the "development", "production" or "use" of a product. The information may take the form of "technical data" or "technical assistance".

但“技术”不包括“公开领域技术”或“基础科学研究”中的技术。

But "technology" does not include technology "in the public domain" nor "basic scientific research".

    1、“公开领域技术”是指没有传播限制而可以自由获得的技术（包括仅受版权限制的技术）。

(a) "In the public domain" as it applies to this List means technology which has been made available without restrictions upon its further dissemination. (Copyright restrictions do not remove technology from being "in the public domain".)

    2、“基础科学研究”是指主要为获得贯穿在现象和观察到的事实中的基本原理性知识，而不是为了达到特定的实用目的或目标所进行的实验或理论工作。

(b) "Basic scientific research" means experimental or theoretical work undertaken principally to acquire new knowledge of the fundamental principles of phenomena and observable facts, not primarily directed towards a specific practical aim or objective.

    （二）“研制”是指生产以前的所有阶段，如：

(2) "Development" is related to all phases prior to "production" such as:

    1、设计

(a) Design

    2、设计研究

(b) Design research

    3、设计分析

(c) Design analysis

    4、方案研究

(d) Design concepts

    5、样机的装配和试验

(e) Assembly and testing of prototypes

    6、试生产方案

(f) Pilot production schemes

    7、设计资料

(g) Design data

    8、把设计资料转化为产品的工艺过程

(h) Process of transforming design data into a product

    9、结构设计

(i) Configuration design

    10、总体设计

(j) Integration system design

    11、绘制设计图纸

(k) Layouts

    （三）“生产”是指所有的生产阶段，如：

(3) "Production" means all production phases such as:

    1、生产设计

(a) Production engineering

    2、制造

(b) Manufacture

    3、总成

(c) Integration

    4、装配

(d) Assembly

    5、检验

(e) Inspection

    6、试验

(f) Testing

    7、质量保证

(g) Quality assurance

    （四）“使用”是指：

(4) "Use" means:

    1、操作

(a) Operation

    2、安装（包括现场安装）

(b) Installation (including on-site installation)

    3、维护

(c) Maintenance

    4、修理

(d) Repair

    5、大修

(e) Overhaul

    6、翻修

(f) Refurbishing

    （五）“技术资料”是指下列形式：

(5) "Technical data" may take forms such as:

    1、规划

(a) Blueprints

    2、计划

(b) Plans

    3、图表

(c) Diagrams

    4、数学模型

(d) Models

    5、计算公式

(e) Formulae

    6、工程设计与技术规范

(f) Engineering designs and specifications

    7、书写或记录在磁盘、磁带、只读或可读写存储器等存储介质上的手册和说明书

(g) Manuals and instructions written or recorded on other media or devices such as disk, tape, read-only memories.

    （六）“技术援助”是指：

(6) "Technical assistance" may take forms such as:

    1、技术指导

(a) Instruction

    2、派遣熟练工人

(b) Skills

    3、培训

(c) Training

    4、传授知识

(d) Working knowledge

    5、咨询服务

(e) Consulting services

    （七）“生产设施”是指在研制生产的一个或几个阶段中组成整套装置的设备，以及为此专门设计的软件。

(7) "Production facilities" means equipment and specially designed software therefor integrated into installations for "development" or for one or more phases of "production".

    （八）“生产设备”是指工具、样板、夹具、芯模、塑模、冲模、定位装置、校准装置、试验设备以及其他机械和部件。这些设备只限于那些为"研制"或"生产"的一个或几个阶段而专门设计的设备。

(8) "Production equipment" means tooling, templates, jigs, mandrels, moulds, dies, fixtures, alignment mechanisms, test equipment, other machinery and components therefor, limited to those specially designed or modified for "development" or for one or more phases of "production".

    第一部分

PART I

    一、能把500千克以上有效载荷投掷到300千米以上的完整弹道导弹、运载火箭、探空火箭、巡航导弹和无人驾驶航空飞行器，以及为其专门设计的生产设施

1. Complete ballistic missiles, space launch vehicles, sounding rockets, cruise missile and unmanned air vehicles that can be used to deliver at least a 500 kg payload to a range of at least 300 km as well as the specially designed production facilities therefor.

    二、能用于第一项中各系统的如下各项：

2. The following items usable in the systems in Item 1:

    （一）弹道导弹的各级

(1) Individual stages of a ballistic missile;

    （二）火箭的各级

(2) Individual stages of a rocket;

    （三）导弹再入飞行器

(3) Reentry vehicles of missiles;

    （四）用于上述第（三）项的陶瓷材料防热套及其部件

(4) Heat shields and components fabricated of ceramic materials used in Subitem (3);

    （五）用于上述第（三）项的烧蚀材料防热套及其部件

(5) Heat shields and components fabricated of ablative materials used in Subitem (3);

    （六）用于上述第（三）项的、用热容高的轻质材料制造的热沉装置及其部件

(6) Heat sinks and components fabricated of light-weight, high heat capacity materials used in Subitem (3);

    （七）为上述第（三）项专门设计的电子设备

(7) Electronic equipment specially designed for Subitem (3);

    （八）推力大于或等于90千牛顿的可贮存推进剂液体火箭发动机

(8) Storable liquid propellant rocket engines, having a thrust force of 90 kN or greater;

    （九）总冲大于或等于1100千牛顿.秒的固体火箭发动机

(9) Solid propellant rocket engines, having a total impulse capacity of 1100 kN·s or greater;

    （十）能使射程为300千米的弹道导弹的精度达到10千米或以下圆公算偏差的制导装置

(10) Guidance sets capable of achieving system accuracy of 10 km or less (CEP) for ballistic missiles with a range of 300 km;

    （十一）推力矢量控制系统

(11) Thrust vector control sub-systems;

    （十二）弹头保险、解保、引信和起爆装置

(12) Warhead safing, arming, fuzing, and firing mechanisms;

    （十三）为上述第（一）至第（十二）项专门设计的生产设施与设备

(13) Production facilities and equipments designed for Subitems (1) to (12).

    三、运载火箭的级间机构及为其专门设计的生产设备

3. Interstage mechanisms for space launch vehicles and the specially designed production equipment therefor.

    四、火箭发动机的壳体及为其专门设计的生产设备

4. Rocket motor cases and the specially designed production equipment therefor.

    五、专门设计或改进用于第一部分第一项中各系统的液压、机械、光电或机电控制系统

5. Hydraulic, mechanical, electro-optical, or electro-mechanical flight control systems specially designed or modified for the systems in Item 1 of Part I.

    六、专门设计或改进用于第一部分第一项中各系统的姿态控制设备

6. Attitude control equipment specially designed or modified for the systems in Item 1 of Part I.

    七、为了优化无人驾驶航空飞行器在整个飞行过程中的空气动力特性而使机身、推进系统和升力控制面一体化的设计技术

7. Design technology for integration of air vehicle fuselage, propulsion system and lifting control surfaces to optimize aerodynamic performance throughout the flight regime of an unmanned air vehicle.

    八、为了优化导弹或火箭弹道而使制导、控制和推进数据一体化成为一个飞行管理系统的设计技术

8. Design technology for integration of the guidance, flight control, and propulsion data into a flight management system for optimization of trajectory of ballistic missiles or space launch vehicles.

    九、能用于第一项中各系统的无源电子干扰设备

9. Passive interferometer equipment usable in the systems in Item 1.

    十、为第一项的装卸、控制、待发射和发射而设计或改进的仪器和装置

10. Apparatus and devices designed or modified for the handling, control, activation and launching of the systems in Item 1.

    十一、为第一项的运输、装卸、控制、待发射和发射而设计或改进的车辆

11. Vehicles designed or modified for the transport, handling, control, activation and launching of the systems in Item 1.

    十二、静态或工作状态精度为1毫伽或更好、达到稳态记录时间至多为2分钟的机载或舰载重力仪、重力梯度仪及为其专门设计的部件

12. Gravity meters, gravity gradiometers, and specially designed components therefor, for airborne or marine use, and having a static or operational accuracy of one milligal or better, with a time to steady-state registration of two minutes or less;

    十三、精密跟踪系统

13. Precision tracking systems:

    （一）安装在火箭系统或无人驾驶航空飞行器上的采用转发器的跟踪系统，它连同地面或空中的参考基准或导航卫星系统可提供飞行中位置和速度的实时测量数据

(1) Tracking systems which use a translator installed on the rocket system or unmanned air vehicle in conjunction with either surface or airborne references or navigation satellite systems to provide real-time measurements of in-flight position and velocity;

    （二）用来事后处理记录数据，从而能够确定飞行器在整个飞行轨迹中的位置的软件

(2) Software which processes post-flight, recorded data, enabling determination of vehicle position throughout its flight path.

    十四、降低雷达波反射特性的结构件

14. Structure specially designed for reduced radar reflectivity.

    十五、用来降低雷达波反射特性的结构材料

15. Structural material specially designed for reduced radar reflectivity.

    十六、用来降低雷达波反射特性的涂料

16. Coatings specially designed for reduced radar reflectivity.

    十七、专门设计用来降低光学反射或辐射的涂料

17. Coatings specially designed for reduced optical reflectivity or emissivity.

    十八、用于上述第十四至第十七项的生产设备、技术及专门设计的软件

18. Production equipment, technology and specially designed software usable in Items 14 to 17 above.

    十九、降低雷达反射率、紫外/红外线信号与声学信号的技术及专门设计的软件

19. Technology and specially designed software for reduced radar reflectivity, ultraviolet/infrared signatures or acoustic signatures.