商务部新规：所有中国涉外商务合同，都加上“中国出口管制合规”条款！New regulations of the Ministry of Commerce: all foreign business contracts in China will be added with the "China export control compliance" clause!

发布时间：

2021-05-07

商务部新规：所有中国涉外商务合同，都加上“中国出口管制合规”条款！近日，商务部正式发布《商务部关于两用物项出口经营者建立出口管制内部合规机制的指导意见》（“《指导意见》”），并附长达37页的《两用物项出口管制内部合规指南》（“《合规指南》”），作为国家出口管制主管部门为中国两用物项的出口经营者建立、运行出口管制内部合规机制提供了较为全面、详细、具有高度可操作性的参考性规范。　　2020年12月1日

商务部新规：所有中国涉外商务合同，都加上“中国出口管制合规”条款！

近日，商务部正式发布《商务部关于两用物项出口经营者建立出口管制内部合规机制的指导意见》（“《指导意见》”），并附长达37页的《两用物项出口管制内部合规指南》（“《合规指南》”），作为国家出口管制主管部门为中国两用物项的出口经营者建立、运行出口管制内部合规机制提供了较为全面、详细、具有高度可操作性的参考性规范。

　　2020年12月1日，《中华人民共和国出口管制法》（“《出口管制法》”）正式实施，明确国家出口管制管理部门将发布出口管制指南，引导出口经营者建立健全出口管制内部合规制度，规范经营。出口经营者建立出口管制内部合规制度，运行情况良好的，国家出口管制管理部门可以对其出口有关管制物项给予通用许可等便利措施。基于此，为配合国家对两用物项的管控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出口管制工作，出口经营者应高度重视、认真学习商务部本次发布的《指导意见》及《合规指南》，并依据指导积极建立规范、完备的内部合规机制，做好《出口管制法》项下的合规工作。

　　《指导意见》在商务部于2007年发布的《商务部关于两用物项和技术经营企业建立內部出口控制机制的指导意见》基础上，进一步提出了企业“出口管制內部合规机制”的概念及其详细内容，并明确指出内部合规机制应具备政策声明、组织机构、风险评估、审查程序、应急措施、教育培训、合规审计、保留档案、管理手册等九个基本要素。《指导意见》还强调，管理部门开展促进工作，引导出口经营者依据《指导意见》建立出口管制内部合规机制，根据内部合规机制建设和运行情况，可以对经营者给予相应的出口许可便利或对符合条件的主体依法从轻或减轻行政处罚。

　　《指导意见》所附《合规指南》则为出口经营者建立出口管制内部合规机制提供了具体参考。《合规指南》针对《指导意见》中明确的合规机制九要素，为企业提供了详细的指导，明确了每项要素的主要内容和实施要点，并提供了列表、表格、图表等多种形式的具体示例，供出口经营者参考。

《指导意见》全文如下：

商务部公告

2021年第10号

《商务部关于两用物项出口经营者建立出口管制内部合规机制的指导意见》

【发布单位】安全与管制局

【发布文号】商务部公告2021年第10号

【发文日期】2021年04月28日

有效的出口管制措施是维护国家主权、安全、发展利益和履行国际义务的重要手段。2020年12月1日，《中华人民共和国出口管制法》正式施行，为做好新时期出口管制工作提供了更加有力的法治保障。出口管制法明确规定国家出口管制管理部门引导出口经营者建立健全内部合规制度。两用物项出口经营者作为基本的经营实体，是国家出口管制制度建设的重要环节。严格执行国家出口管制法律法规，既是经营者的责任和义务，也有助于经营者树立负责任形象，有序开展国际经贸合作。

商务部作为两用物项出口管制主管部门，以习近平新时代中国特色社会主义思想为指引，增强“四个意识”、坚定“四个自信”、做到“两个维护”，贯彻落实总体国家安全观，统筹发展与安全，不断完善出口管制制度。依据出口管制法及相关法规规定，商务部结合新时期出口管制工作的新特点，对2007年第69号公告“关于两用物项和技术出口经营者建立内部出口控制机制的指导意见”进行修改完善，推动从事出口管制法规定的相关行为的两用物项出口经营者等主体（以下简称出口经营者）建立符合自身实际情况的出口管制内部合规机制。具体意见如下：

指导思想

出口经营者自觉严格遵守国家出口管制相关法律法规，维护国家安全和发展利益，按照“健全制度、全员参与、严格执行、规范经营”的方针，建立并完善出口管制内部合规机制，树立诚信经营和负责任形象，有效规避和减少经贸风险，不断提升竞争力，实现可持续发展。

基本原则

建立出口管制内部合规机制遵循以下原则：

合法性原则

出口经营者应将严格执行国家出口管制相关法律法规作为建立出口管制内部合规机制的根本原则，充分认识合法合规经营的重要意义。经营者的相关行为须符合出口管制法律法规的规定，如有违法违规行为，经营者将承担相应的法律责任。

独立性原则

内部合规机制是出口经营者管理制度的重要组成部分，在经营管理体系中独立存在。出口经营者通过内部合规机制的流程控制和制度保证，对自身经营行为进行规范并自我监督，对违反国家出口管制法律法规的行为，内部合规机制可行使一票否决权。

实效性原则

出口经营者结合经营实际情况，建立有效的出口管制内部合规机制，实现高层重视、全员参与、全程控制、定期评估、不断完善的运行系统，以切实发挥内部合规机制对出口经营活动的监督管控作用。

基本要素

出口管制内部合规机制具备以下基本要素：

拟定政策声明

出口经营者拟定并发布由最高管理者或主要负责人签署的承诺性书面声明，申明经营者将严格执行国家出口管制法律法规，高级管理层对内部合规机制的支持态度，以体现合法性原则。政策声明对内应做到全员知晓，对外起到宣传作用。此外，这份声明还可以体现企业为此构建的工作原则、规则体系、组织权限、覆盖范围等内容。

建立组织机构

设立出口管制内部合规机制的组织机构，明确主管部门和人员职责。建立组织机构应考虑：组织体系的设置、机构的职能、出口管制专（兼）职人员岗位职责、权限及联系方式等。建立组织机构应体现独立性原则，授权专责人员对任何有异议的出口相关行为发出禁令或征询政府主管部门的意见。同时应避免仅由单人负责审查和判断某些复杂交易是否合规，以确保经营者对所有出口相关行为的有效监控。

全面风险评估

出口经营者根据自身组织规模、所处行业、经营方式等情况，对可能面临的出口管制风险进行全面评估，识别易发生违规风险的业务环节，根据风险等级匹配合规资源和审查内容，力求严谨缜密。评估内容主要包括：经营物项情况、客户情况、技术与研发情况、出口国家和地区情况、内部运作情况、第三方合作伙伴情况、风险防范措施等各方面。经营者可根据风险评估的结果有针对性地建立和更新适合自身特点的出口管制内部合规机制和相关组织管理体系，梳理分析可采取的风险防范措施。在风险评估中若有疑问，应及时向国家出口管制管理部门或外部专业机构咨询。

确立审查程序

出口经营者确立出口审查程序，明确经营过程中哪些特定环节需要实行内部合规控制，通过程序化、制度性管理，杜绝管制物项未经内部审查随意出口。审查要点主要包括：经营的物项是否为国家出口管制清单控制物项；经营行为是否符合国家出口管制法律法规；最终用户所在国是否为受联合国制裁国家或其他敏感国家；最终用户和最终用途是否存在风险；最终用途是否具备合理性；客户的支付方式是否符合一般的商务习惯；出口运输路线是否合理等。

制定应急措施

出口经营者鼓励员工提高风险意识，设置内部举报途径和可疑事项调查流程，要求员工在发现可疑订单、可疑客户或可疑行为后及时向出口管制内部合规机制举报，由其开展调查并做出最后决定。出口经营者发现出口物项应申请出口许可但未申请等行为的，或最终用户和最终用途发生改变或与合同不符等情形的，应采取紧急补救措施，并及时向政府部门报告。

在处理可疑事项、违法行为或突发事件时，出口经营者知道或应当知道，或得到政府主管部门通知，其所出口的物项存在法律规定的有关风险时，无论该物项是否列入国家出口管制清单范围，都应当依照国家出口管制法律法规相关规定申请出口许可或进行合规控制。经营者可结合内部规章，要求从事相关业务的员工承担出口管制的责任，并对违反出口管制的行为进行处置，以确保内部合规机制有效执行。

开展教育培训

出口经营者结合实际制定定期或不定期培训计划，采取多种培训形式，实现全员培训，将出口管制培训列为员工绩效考核的指标。培训计划安排以员工及时了解国家出口管制法律法规、有效执行内部合规机制要求、相关人员能妥善处理出口管制问题为目的。

完善合规审计

出口经营者定期对出口管制内部合规机制的合理性、可行性、有效性等进行审计，评估具体业务流程合规操作的规范性。审计报告应反映内部合规机制运行状况以及整改方向。合规审计可以由企业内部专人进行，也可以聘请外部第三方机构进行。审计内容主要包括各项两用物项交易过程中是否遵循了审查流程、组织机构运行是否顺畅、可疑事项调查是否有效以及合规事务是否出现需要改进的地方等。

保留资料档案

出口经营者完整、准确保留与出口管制相关的文件，包括出口记录、与政府部门沟通情况、客户信息及往来文件、许可申请文件、许可审批文件以及出口项目执行情况等。对以电话、传真、电子邮件和其他方式的接洽也视情予以记录，并明确相关贸易文件存档程序及保管要求。

编制管理手册

出口经营者编制出口管制内部合规机制管理手册，涵盖前述基本要素规定的内容，普及国家出口管制法律法规和合规制度，使员工能够通过手册及时了解并有效执行。管理手册可采用纸质或电子版本，内容完整，易于获得，便于执行。

促进措施

为引导出口经营者依据本指导意见建立出口管制内部合规机制，商务部将会同有关方面加强以下促进工作：

（一）发布《两用物项出口管制内部合规指南》，为出口经营者提供具体参考。

（二）根据内部合规机制建设和运行情况，给予出口经营者相应许可便利。如其违反两用物项出口管制管理规定，但有主动消除或者减轻违法行为危害后果等情形的，依法从轻或减轻行政处罚。

（三）加强出口管制合规信息服务，及时公布出口管制相关法律法规、政策文件，更新国内外出口管制动向等。

（四）组织开展或支持省级商务主管部门和有关行业组织开展宣传培训，指导出口经营者建立内部合规机制。

（五）加强出口管制专家队伍建设，提供政策法规和内部合规机制建设等咨询服务。

（六）组织有关单位和机构对出口经营者内部合规机制建设情况进行评估。

其他事项

（一）在商务部申办《最终用户和最终用途说明》的经营者可参照本指导意见相关原则和要素，建立包含进口流程控制的内部合规机制，严格遵守相关承诺。

（二）从事商用密码产品、易制毒化学品进出口的经营者，以及为两用物项出口提供代理、货运、寄递、报关、第三方电子商务交易平台和金融等服务的经营者，可参照本指导意见相关原则和要素，建立相应的内部合规机制。

（三）从事两用物项研发、生产等业务的企业、科研院所，可结合实际情况参照本指导意见相关原则和要素，建立相应的内部合规机制。

（四）自本公告发布之日起，商务部2007年第69号公告失效。

中华人民共和国商务部

2021年4月28日

New regulations of the Ministry of Commerce: all foreign business contracts in China will be added with the "China export control compliance" clause!

Recently, the Ministry of Commerce officially issued the guidance of the Ministry of Commerce on the establishment of an internal compliance mechanism for export control of dual-use items (the "guidance") and attached a 37 page internal compliance guide for export control of dual-use items (the "compliance guide"), which serves as a reference for the national competent export control department to establish and implement the internal compliance mechanism for export control of China's dual-use items The operation of the internal compliance mechanism of export control provides a comprehensive, detailed and highly operational reference specification.

On December 1, 2020, the export control law of the people's Republic of China (the "export control law") will be formally implemented, making it clear that the State Administration of export control will issue export control guidelines to guide export operators to establish and improve the internal compliance system of export control and standardize their operation. If an exporter establishes an internal compliance system for export control and the system is in good operation, the state administrative department of export control may give general license and other convenient measures to the export of relevant controlled items. Based on this, in order to cooperate with the state's control of dual-use items and other export control work related to safeguarding national security and interests and fulfilling international obligations such as non-proliferation, export operators should attach great importance to and seriously study the guidance and compliance guide issued by the Ministry of Commerce, and actively establish a standardized and complete internal compliance mechanism according to the guidance, Do a good job in the compliance work under the export control law.

Based on the Ministry of Commerce's Guiding Opinions on the establishment of internal export control mechanism for dual-use items and technology business enterprises issued by the Ministry of Commerce in 2007, the guiding opinions further put forward the concept and detailed contents of "internal compliance mechanism for export control" of enterprises, and clearly pointed out that the internal compliance mechanism should have policy statement, organization, risk assessment, review procedures, and other functions Emergency measures, education and training, compliance audit, file retention, management manual and other nine basic elements《 The Guiding Opinions also emphasize that the administrative departments should carry out the promotion work, guide the export operators to establish the internal compliance mechanism of export control according to the guiding opinions, and according to the construction and operation of the internal compliance mechanism, the operators can be given the corresponding export licensing convenience or the subject meeting the conditions can be given lighter or mitigated administrative punishment according to law.

The compliance guide attached to the guidance provides specific reference for exporters to establish internal compliance mechanism of export control《 According to the nine elements of the compliance mechanism specified in the guidance, the compliance guide provides detailed guidance for enterprises, clarifies the main contents and implementation points of each element, and provides specific examples in various forms, such as lists, tables and charts, for the reference of export operators.

The full text of the guidance is as follows:

Announcement of the Ministry of Commerce

No. 10 of 2021

Guiding opinions of the Ministry of Commerce on the establishment of internal compliance mechanism for export control by exporters of dual use items

Safety and Control Bureau

Announcement No. 10, 2021 of the Ministry of Commerce

[date of issue] April 28, 2021

Effective export control measures are an important means to safeguard national sovereignty, security, development interests and fulfill international obligations. On December 1, 2020, the export control law of the people's Republic of China will be officially implemented, which provides a more powerful legal guarantee for the export control work in the new era. The export control law clearly stipulates that the State Administration of export control shall guide the export operators to establish and improve the internal compliance system. As a basic business entity, the exporter of dual-use items is an important link in the construction of national export control system. Strictly implementing the national export control laws and regulations is not only the responsibility and obligation of operators, but also helps operators to establish a responsible image and orderly carry out international economic and trade cooperation.

China's Ministry of Commerce, as the Department in charge of export control of dual-purpose items, guided by Xi Jinping's socialist ideology with Chinese characteristics in the new era, enhanced "Four Consciousnesses", "four confidence" and "two maintenances", implemented the overall national security concept, coordinated development and security, and continuously improved the export control system. According to the provisions of the export control law and relevant regulations, the Ministry of Commerce, in combination with the new characteristics of export control in the new era, revised and improved the Announcement No. 69 of 2007 "guiding opinions on the establishment of internal export control mechanism for exporters of dual-use items and technologies", Promote the establishment of the internal compliance mechanism of export control in line with their own actual situation by the dual-use items exporters and other entities (hereinafter referred to as the exporters) engaged in the relevant behaviors specified in the export control law. Specific suggestions are as follows:

guiding ideology

Export operators consciously and strictly abide by the relevant laws and regulations of the state on export control, safeguard national security and development interests, establish and improve the internal compliance mechanism of export control in accordance with the policy of "improving the system, full participation, strict implementation and standardized operation", establish a good faith operation and responsible image, effectively avoid and reduce economic and trade risks, and constantly enhance competitiveness, To achieve sustainable development.

basic principle

The establishment of an internal compliance mechanism for export control follows the following principles:

The principle of legality

Export operators should take strict enforcement of relevant laws and regulations of national export control as the fundamental principle of establishing internal compliance mechanism of export control, and fully understand the significance of legal compliance operation. The relevant behaviors of the operators must comply with the provisions of export control laws and regulations. In case of any illegal behavior, the operators will bear the corresponding legal responsibility.

Principle of independence

Internal compliance mechanism is an important part of the management system of export operators, which exists independently in the management system. Through the process control and system guarantee of the internal compliance mechanism, the export operators can regulate and supervise their own business behaviors. The internal compliance mechanism can exercise one vote veto power for the behaviors violating the national export control laws and regulations.

Principle of effectiveness

Export operators should establish an effective internal compliance mechanism of export control in combination with the actual business situation, and realize the operation system of high-level attention, full participation, full process control, regular evaluation and continuous improvement, so as to give full play to the role of internal compliance mechanism in the supervision and control of export business activities.

Basic elements

The internal compliance mechanism of export control has the following basic elements:

Formulation of policy statement

The export operator formulates and issues a commitment written statement signed by the top management or the main person in charge, stating that the operator will strictly implement the national export control laws and regulations, and that the senior management supports the internal compliance mechanism, so as to reflect the principle of legality. The policy statement should be known to all the staff and publicized to the outside world. In addition, the statement can also reflect the working principles, rule system, organizational authority, coverage and other contents of the enterprise.

Establishment of organization

Establish an organization for internal compliance mechanism of export control, and clarify the responsibilities of competent departments and personnel. The establishment of the organization should consider: the establishment of the organization system, the functions of the organization, the post responsibilities, authority and contact information of the full-time (Part-time) export control personnel, etc. The establishment of the organization should reflect the principle of independence, and authorize the responsible person to issue a ban on any export-related behavior or consult the government authorities. At the same time, it should be avoided that only one person is responsible for reviewing and judging whether some complex transactions are compliant, so as to ensure that the operators can effectively monitor all export related behaviors.

Comprehensive risk assessment

According to their own organizational scale, industry and mode of operation, export operators shall comprehensively assess the export control risks they may face, identify the business links prone to violation risks, match the compliance resources and review contents according to the risk level, and strive to be rigorous and meticulous. The evaluation contents mainly include: operating items, customers, technology and R & D, exporting countries and regions, internal operation, third-party partners, risk prevention measures, etc. According to the results of risk assessment, operators can establish and update the internal compliance mechanism of export control and relevant organization management system suitable for their own characteristics, and sort out and analyze the risk prevention measures that can be taken. In case of any doubt in the risk assessment, the State Administration of export control or external professional institutions shall be consulted in a timely manner.

Establish review procedures

Export business operators should establish export examination procedures, make clear which specific links in the business process need to implement internal compliance control, and prevent controlled items from being exported without internal examination through procedural and institutional management. The review points mainly include: whether the items operated are controlled by the national export control list; Whether the business activities conform to the national export control laws and regulations; Whether the country where the end user is located is a country subject to UN sanctions or other sensitive countries; Whether there are risks for end users and end uses; Whether the end use is reasonable; Whether the payment method of the customer conforms to the general business habits; Whether the export transportation route is reasonable.

Formulate emergency measures

Export operators encourage employees to improve their risk awareness, set up internal reporting channels and suspicious investigation procedures, and require employees to report to the internal compliance mechanism of export control in time after discovering suspicious orders, customers or behaviors, so that they can carry out investigation and make final decisions. If the export operator finds that the export license should be applied for but not applied for, or the end user and end use have changed or are inconsistent with the contract, it shall take emergency remedial measures and report to the government department in time.

When dealing with suspicious matters, illegal acts or emergencies, the export business operator knows or should know, or has been informed by the competent government department, that the items exported by the export business operator have the relevant risks stipulated by law, regardless of whether the items are included in the scope of the national export control list, They should apply for export license or carry out compliance control in accordance with the relevant provisions of national export control laws and regulations. Operators may, in combination with internal regulations, require employees engaged in relevant businesses to bear the responsibility of export control, and deal with violations of export control, so as to ensure the effective implementation of internal compliance mechanism.

Carry out education and training

Export operators should make regular or irregular training plans according to the actual situation, take various forms of training to achieve full staff training, and list export control training as an indicator of staff performance appraisal. The purpose of the training plan is that the staff can understand the national export control laws and regulations in time, effectively implement the requirements of the internal compliance mechanism, and the relevant personnel can properly handle the export control problems.

Improve compliance audit

Export operators regularly audit the rationality, feasibility and effectiveness of the internal compliance mechanism of export control, and evaluate the standardization of the compliance operation of specific business processes. The audit report should reflect the operation status of the internal compliance mechanism and the direction of rectification. The compliance audit can be carried out by a special person inside the enterprise or by an external third party. The audit content mainly includes whether the review process is followed, whether the organization is running smoothly, whether the investigation of suspicious matters is effective, and whether the compliance matters need to be improved.

Keep data files

Export operators shall keep complete and accurate documents related to export control, including export records, communication with government departments, customer information and communication documents, license application documents, license approval documents and export project implementation. The contact by telephone, fax, e-mail and other means shall also be recorded as appropriate, and the filing procedures and storage requirements of relevant trade documents shall be specified.

Preparation of management manual

The export operator shall prepare a management manual for the internal compliance mechanism of export control, which covers the contents of the above-mentioned basic elements, popularize the national export control laws and regulations and the compliance system, and enable the employees to timely understand and effectively implement the manual. The management manual can be in paper or electronic version, with complete content, easy to obtain and easy to implement.

Promotion measures

In order to guide export operators to establish an internal compliance mechanism for export control in accordance with these guidelines, the Ministry of Commerce will strengthen the following promotion work with relevant parties:

（1） The internal compliance guide for export control of dual-use items was issued to provide specific reference for exporters.

（2） According to the construction and operation of the internal compliance mechanism, the export operators shall be given corresponding license facilities. Those who violate the regulations on export control of dual-use items but voluntarily eliminate or mitigate the harmful consequences of the illegal act shall be given a lighter or mitigated administrative punishment according to law.

（3） Strengthen export control compliance information services, timely publish export control related laws and regulations, policy documents, update domestic and foreign export control trends, etc.

（4） Organize or support the provincial commercial authorities and relevant industry organizations to carry out publicity and training, and guide the export operators to establish internal compliance mechanism.

（5） We will strengthen the construction of export control experts, and provide consulting services on policies, regulations, and internal compliance mechanisms.

（6） Organize relevant units and institutions to evaluate the construction of internal compliance mechanism of export operators.

Other matters

（1） The operators applying for the "end user and end use instructions" in the Ministry of commerce can refer to the relevant principles and elements of these guidelines, establish an internal compliance mechanism including import process control, and strictly abide by the relevant commitments.

（2） Operators engaged in the import and export of commercial cipher products and precursor chemicals, as well as operators providing agency, freight, delivery, customs declaration, third-party e-commerce trading platform and financial services for the export of dual-use items, can refer to the relevant principles and elements of these guidelines to establish corresponding internal compliance mechanisms.

（3） Enterprises and scientific research institutes engaged in the R & D and production of dual-use items can establish corresponding internal compliance mechanisms according to the relevant principles and elements of the guidance.

（4） As of the date of promulgation of this announcement, Announcement No. 69 of the Ministry of Commerce in 2007 shall be invalid.

Ministry of Commerce of the people's Republic of China

April 28, 2021

Keyword:

of,the,and,出口,export,control,管制,to,compliance

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