由 caicai8478 The following is a framework and core content of a compliance guide for dual-use items exports, which aims to help companies avoid legal risks and ensure compliance with international and domestic regulations:
Export Guide for Dual-Use Items: How to Avoid Legal Red Lines?
- Clarify the definition of dual-use items
What are dual-use items?
Refers to goods, technologies or services that can be used for both civilian purposes and military purposes (such as weapons research and development, military technology enhancement).
Common areas:
High-precision machine tools, advanced materials (such as carbon fiber)
Semiconductor equipment, encryption technology
UAVs, radars, navigation systems
Biotechnology, chemical agents
International and domestic regulatory basis:
International: Wassenaar Arrangement (WA), Missile Technology Control Regime (MTCR), etc.
China: Export Control Law of the People’s Republic of China, and Measures for the Administration of Import and Export Licenses for Dual-Use Items and Technologies.
- Key legal red lines and risk points
Exporting controlled items without permission:
Failure to apply for the “Dual-Use Item Export License” before export may result in administrative penalties or criminal liability (such as Article 34 of the “Export Control Law”).
Lack of end-user and use review:
Items are diverted to military use or spread to sanctioned countries (such as Iran and North Korea).
Risk of technology leakage:
Indirect export of controlled technology through non-trade forms such as technology transfer and academic cooperation.
“Long-arm jurisdiction” risk:
Violation of foreign regulations such as the US Export Administration Regulations (EAR) leads to inclusion in the “Entity List”.
- Compliance operation process
Step 1: Item classification
Compare China’s “Dual-Use Items and Technologies Export Control List” and international lists to confirm whether the goods/technology are within the scope of control.
Note: Some items may trigger control due to performance parameters (such as accuracy, speed).
Step 2: End-user screening
Verify the buyer’s background: Is it involved in military end uses? Is it located in a sanctioned country?
Tools used: China’s Ministry of Commerce’s “Export Control Compliance Guidelines”, global sanctions lists (such as UN, OFAC lists).
Step 3: Apply for an export license
Submit materials to China’s Ministry of Commerce or local commerce authorities, including:
End-Use Certificate
Technical specifications
Copy of contract
Step 4: Full-process document retention
Retain transaction records, communication documents, and logistics documents for at least 5 years for verification.
IV. Response to high-risk scenarios
Transit trade:
Even if the items are transited through a third country, it is still necessary to ensure that the final destination is legal. It is necessary to review whether there is a re-export risk in the transit country.
Technical cooperation:
When cooperating with overseas companies/research institutions, it is necessary to evaluate whether the technology involves controlled areas, and sign a confidentiality and compliance agreement if necessary.
“Gray list” items:
For high-tech technologies (such as AI algorithms) that are not clearly listed but may be used in the military, it is recommended to actively consult the regulatory authorities.
V. Consequences of violations
Administrative penalties: fines, revocation of export qualifications.
Criminal liability: Those with serious circumstances may violate Article 151 of the Criminal Law (smuggling).
International sanctions: Companies and individuals may be included in international blacklists, affecting global business.
VI. Recommendations for building a corporate compliance system
Establish a full-time compliance officer and regularly train trade, R&D, and sales teams.
Establish an internal screening system to automatically identify high-risk transactions.
Refer to international standards: such as the EU Regulation on Export Controls on Dual-Use Items (EU 2021/821).
Tips: Regulations are highly dynamic, so it is recommended to pay attention regularly:
“Export Control Column” on the official website of the Ministry of Commerce of China
Updates from the United Nations Office for Disarmament Affairs (UNODA)
Through strict classification, user review, and license application, companies can effectively avoid risks and balance commercial interests with compliance responsibilities.