歐盟軍商兩用貨品及技術出口管制清單暨

歐盟軍商兩用貨品及技術出口管制清單暨一般軍用貨品清單

新、舊版修訂對照與翻譯

法條內容翻譯與修訂對照表

編列說明

1. 歐盟COUNCIL REGULATION (EC) No 428/2009之主體內容，因屬重新修訂，增/刪幅度過大，為求完整呈現，採中英對照方式列於第一項；其附件之修正，則分別列入第二項、第三項之修訂表中

2. 對於附件之歐盟兩用貨品及技術出口管制清單與歐盟一般軍用貨品清單內容之修訂，本對照表僅列出下列情況：

a. 有增/刪語詞，且意義有所變更者；

b. 新增之內容；

c. 刪除之內容。

3. 歐盟一般軍用貨品清單內容之修訂，本對照表未列出之情況：

a. 標點符號改變，未改變原有內容意義者；

b. 有增/刪之語詞，未改變原有內容意義者；

c. 項目編號變更，未改變原有內容意義者。

說明：因修正處過多，為避免流於繁雜，僅就2.部份列出以方便對照校正；3.部份之內容，將於中譯版本之中修正標點符號、增/刪語詞及變更項目編號，以使中譯版本與歐盟一般軍用貨品清單內容原版本完全一致。

目錄

3第一項：COUNCIL REGULATION (EC) No 428/2009 of 5 May 2009主體內容之中英對照

33第二項：EC No 428/2009與EC No 1183/2007修訂對照表

131第三項：2008/C98/01與2010/C 69/03對照表

第一項：COUNCIL REGULATION (EC) No 428/2009 of 5 May 2009主體內容之中英對照

I

(Acts adopted under the EC Treaty/Euratom Treaty whose publication is obligatory)

REGULATIONS

（規定）

COUNCIL REGULATION (EC) No 428/2009 of 5 May 2009

理事會2009年5月5日（EC）第428/2009號規定

setting up a Community regime for the control of exports, transfer, brokering and transit of dual-use items

針對軍商兩用項目的輸出、移轉、代理及穿越歐盟境內的管控，建制一個以歐盟為主體管制方式。

(Recast)

（重新制定）

THE COUNCIL OF THE EUROPEAN UNION,

歐盟理事會

Having regard to the Treaty establishing the European Community, and in particular Article 133 thereof,

關於建構歐盟的協約中之第133條，其中

Having regard to the proposal from the Commission,

關於由歐盟委員會所交付之提案

Whereas:

其中

(1) Council Regulation (EC) No 1334/2000 of 22 June 2000 setting up a Community regime for the control of exports of dual-use items and technology has been significantly amended on several occasions. Since further amendments are to be made, it should be recast in the interests of clarity.

根據理事會於2000年6月22日（EC）第1334/2000號規定中針對軍商兩用項目的出口控制及技術業經數回顯著的修訂。有鑒於將來仍有修訂，有必要重申，以免混淆。

(2) Dual-use items (including software and technology) should be subject to effective control when they are exported from the European Community.

軍商兩用項目（包括其軟體及技術）需經有效管制其出口。

(3) An effective common system of export controls on dual-use items is necessary to ensure that the international commitments and responsibilities of the Member States, especially regarding non-proliferation, and of the European Union (EU), are complied with.

一個針對軍商兩用項目的出口控制常效系統有其需要，以確保歐盟及其會員國能夠履行對國際的承諾及責任，特別是關於武器擴散。

(4) The existence of a common control system and harmonised policies for enforcement and monitoring in all Member States is a prerequisite for establishing the free movement of dual-use items inside the Community.

針對軍商兩用項目是否能夠於歐盟地區內自由移動的先決條件為該常效機構的存在及針對執行/監測所需統一和諧的政策。

(5) The responsibility for deciding on individual, global or national general export authorisations, on authorisations for brokering services, on transits of non-Community dual-use items or on authorisations for the transfer within the Community of the dual-use items listed in Annex IV lies with national authorities. National provisions and decisions affecting exports of dual-use items must be taken in the framework of the common commercial policy, and in particular Council Regulation (EEC) No 2603/69 of 20 December 1969 establishing common rules for exports.

有關軍商兩用貨品在一般個人、全球或一般出口許可；或代理服務許可；或運輸至非會員國；或會員國間運輸的許可等已在附錄IV中依國家許可原則已有載入。相關會影響軍商兩用項目的該國條文及決策需列入該國一般商業條文架構中，而且特別是在理事會已於1969年12月20日架構一般出口規則。

(6) Decisions to update the common list of dual-use items subject to export controls must be in conformity with the obligations and commitments that Member States have accepted as members of the relevant international non-proliferation regimes and export control arrangements, or by ratification of relevant international treaties.

有關更新軍商兩用項目的出口管制的常用清單的決策，必需符合該會員國已為該義務及承諾之相關國際限武成員之一，或經相關國際條約所批准者。

(7) Common lists of dual-use items, destinations and guidelines are essential elements for an effective export control regime.

軍商兩用項目的清單、目的地及指導原則為有效管制主體的基本元素。

(8) Transmission of software and technology by means of electronic media, fax or telephone to destinations outside the Community should also be controlled.

藉由電子媒介、傳真或電話傳遞軟體及技術至歐盟以外地區亦應接受管制。

(9)Particular attention needs to be paid to issues of re-export and end-use.

特別需注意其再輸出及其最終用途。

(10) On 22 September 1998 representatives of the Member States and the European Commission signed Protocols additional to the respective safeguards agreements between the Member States, the European Atomic Energy Community and the International Atomic Energy Agency, which, among other measures, oblige the Member States to provide information on transfers of specified equipment and non-nuclear material.

在1988年10月22日，會員國代表及歐盟理事會簽署原型附加於會員國與歐洲原子能總署（含國際原子能總署）的條文中，其中，除其他措施外，強制性地需提供關於移轉特定設備及非核物質的資訊。

(11) The Community has adopted a body of customs rules, contained in Council Regulation (EEC) No 2913/92 of 12 October 1992 establishing the Community Customs Code(1) ( hereinafter the Community Customs Code) and Commission Regulation (EEC) No 2454/93(2) implementing Regulation (EEC) No 2913/92 which lay down, among other things, provisions relating to the export and re-export of goods. Nothing in this Regulation constrains any powers under and pursuant to the Community Customs Code and its implementing provisions.

歐盟針對理事會於1992年10月12日發布的EEC第2913/92號規定中，已建立關稅編碼原則，並已在歐盟委員會（EEC）第2454/93號及（EEC）第2913/92號規定中建立導入及採用的規範，其中闡明項目的輸出及再輸出。但該規定中並未在該條文或針對該條文有任何權力限制的規範。

(12) Pursuant to and within the limits of Article 30 of the Treaty and pending a greater degree of harmonisation, Member States retain the right to carry out controls on transfers of certain dual-use items within the Community in order to safeguard public policy or public security. Where these controls are linked to the effectiveness of controls on exports from the Community, they should be periodically reviewed by the Council.

針對條約第30條中之限制及擱置較高程度的和諧，為保障其公共政策或公共安全，各會員國保留其於歐盟境內管制某些軍商兩用項目的移轉。其相關控制是與輸出管制效率有關，並應定期由理事會審閱評估。

(13) In order to ensure that this Regulation is properly applied, each Member State should take measures giving the competent authorities appropriate powers.

為確保本規定能適當操作，每一會員國應賦予其主管機構恰當的權力。

(14) The Heads of State or Government of the EU adopted in June 2003 an Action Plan on Non-Proliferation of Weapons of Mass Destruction (Thessaloniki Action Plan). This Action Plan was complemented by the EU Strategy against proliferation of Weapons of Mass Destruction adopted by the European Council on 12 December 2003 (EU WMD Strategy). According to Chapter III of this Strategy, the European Union must make use of all its instruments to prevent, deter, halt, and if possible eliminate proliferation programmes that cause concern at global level. Subparagraph 30.A(4) of that Chapter specifically refers to strengthening export control policies and practices.

各會員國領袖或歐盟政府於2003年6月採行一防止毀滅性武器擴散的行動計畫。本行動計畫由歐盟之防止毀滅性武器擴散策略補強之。該策略由歐盟理事會於2003年12月12日採行之。

(15) United Nations Security Council Resolution 1540, adopted on 28 April 2004, decides that all States shall take and enforce effective measures to establish domestic controls to prevent the proliferation of nuclear, chemical or biological weapons and their means of delivery, including by establishing appropriate controls over related materials and to this end shall, among others, establish transit and brokering controls. Related materials are materials, equipment and technology covered by relevant multilateral treaties and arrangements, or included on national control lists, which could be used for the design, development, production or use of nuclear, chemical and biological weapons and their means of delivery.

2004年4月28日聯合國安理會第1540決議案決定所有會員國針對防止核武擴散、化生武器及其運送方式需於其國內制定並執行有效管制措施。這些措施亦包括建立相關物質的恰當管制，以及建立運輸及代理人的控制。所謂相關物質包括由多邊協約及協議中所載之物質、設備及技術，或者是載於該國清單中且可用於設計、發展、核武的生產或使用、化生武器及其運送方式。

(16) This Regulation includes items which only pass through the territory of the Community, that is, those items which are not assigned a customs-approved treatment or use other than the external transit procedure or which are merely placed in a free zone or free warehouse and where no record of them has to be kept in an approved stock record. Accordingly, a possibility for Member States’ authorities to prohibit on a case-by-case basis the transit of non-Community dual-use items should be established, where they have reasonable grounds for suspecting from intelligence or other sources that the items are or may be intended in their entirety or in part for proliferation of weapons of mass destruction or of their means of delivery.

本規定包括項目穿越歐盟境內的運送，亦即這些項目並非為關稅許可處理者，或除了外部穿越程序或僅僅在自由區中存放並且無正式記錄者以外之用途。因此，為禁止會員國主管機構以逐個狀況穿越非歐盟軍商兩用項目之可能性亦應架構。其中有合理的基礎或其他情報來源可以懷疑該穿越可能包括毀滅性武器及其運輸方式。

(17) Controls should also be introduced on the provision of brokering services when the broker has been informed by competent national authorities or is aware that such provision might lead to production or delivery of weapons of mass destruction in a third country.

管制應包括代理服務的相關條文的導入，主要是當代理人被主管機構通知或認知該條文可能導致毀滅性武器的生產或運送至第三國。

(18) It is desirable to achieve a uniform and consistent application of controls throughout the EU in order to promote EU and international security and to provide a level playing field for EU exporters. It is therefore appropriate, in accordance with the recommendations of the Thessaloniki Action Plan and the calls of the EU WMD Strategy, to broaden the scope of consultation between Member States prior to granting an export authorisation. Among the benefits of this approach would be, for example, an assurance that a Member State’s essential security interests would not be threatened by an export from another Member State. Greater convergence of conditions implementing national controls on dual-use items not listed in this Regulation, and harmonisation of the conditions of use of the different types of authorisations that may be granted under this Regulation would bring about more uniform and consistent application of controls. Improving the definition of intangible transfers of technology, to include making available controlled technology to persons located outside the EU, would assist the effort to promote security as would further alignment of the modalities for exchanging sensitive information among Member States with those of the international export control regimes, in particular by providing for the possibility of establishing a secure electronic system for sharing information among Member States.

為提昇歐盟及國際安全，且提供歐盟輸出者較高層次的作業環境，統一及一致的管制是需要的。因此根據Thessaloniki行動計畫及防止毀滅性武器擴散策略，在輸出許可出口前，擴大會員國間的咨商是恰當的。舉例來說，該方式其中一項優點為當自其他會員國運送時，可確保該會員國之基本安全利益。較大範圍之內容包括未列入清單時，導入國家管制軍商兩用貨品項目的條件，以及在和諧的狀況下，於本規定中可能規範輸出許可使用的不同主管機構時，可以達到統一及一貫的管制狀況。改進無形資產的技術移轉定義，包括對歐盟以外地區的技術輸出，可增進在安全方面的努力，甚有進者，可將會員國彼此間的敏感資料交換的形態一致化，特別是提供了建構一安全的電子資料交換分享系統的可能性。

(19) Each Member State should determine effective, proportionate and dissuasive penalties applicable in the event of breach of the provisions of this Regulation,

若有違反本規定，各會員國應決定一有效、相稱及勸阻式的罰則。

HAS ADOPTED THIS REGULATION:

本法規如下：

CHAPTER I

第一章

SUBJECT AND DEFINITIONS

主旨及定義

Article 1

第一條

This Regulation sets up a Community regime for the control of exports, transfer, brokering and transit of dual-use items.

本法規的訂定係為歐盟地區可軍商兩用項目之輸出、移轉、代理及運輸而訂定。

Article 2

第二條

For the purposes of this Regulation:

本法規目的在：

1. ‘dual-use items’ shall mean items, including software and technology, which can be used for both civil and military purposes, and shall include all goods which can be used for both non-explosive uses and assisting in any way in the manufacture of nuclear weapons or other nuclear explosive devices;

可兩用項目定義為可用於軍商之軟體及技術，且包括所有可用於非爆炸性使用及以任何方式可協助生產核武或其他核子爆炸裝置。

2. ‘export’ shall mean:

所謂輸出定義為：

(i) an export procedure within the meaning of Article 161 of Regulation (EEC) No 2913/92 (the Community Customs Code);

輸出程序依（EEC）第2913/92號法規第161條所定義；

(ii) a re-export within the meaning of Article 182 of that Code but not including items in transit; and

再輸出依前述法規第182條所定義，但不包括項目運輸；且

(iii) transmission of software or technology by electronic media, including by fax, telephone, electronic mail or any other electronic means to a destination outside the European Community; it includes making available in an electronic form such software and technology to legal and natural persons and partnerships outside the Community. Export also applies to oral transmission of technology when the technology is described over the telephone;

藉由電子媒介方式，包括傳真、電話、電子郵件或其他電子方式傳遞軟體及技術至歐盟以外地區，包括軟體及技術以電子型式予歐盟以外的法人、自然人或合夥人。經由電話方式口頭傳遞技術資料亦納入輸出定義中。

3. ‘exporter’ shall mean any natural or legal person or partnership:

輸出者定義為法人、自然人或合夥人：

(i) on whose behalf an export declaration is made, that is to say the person who, at the time when the declaration is accepted, holds the contract with the consignee in the third country and has the power for determining the sending of the item out of the customs territory of the Community. If no export contract has been concluded or if the holder of the contract does not act on its own behalf, the exporter shall mean the person who has the power for determining the sending of the item out of the

customs territory of the Community;

具有決定權可以決定項目運送至歐盟關稅管轄外者，包括於申報時之代表人，以及當申報許可時之代表人，並含持有與第三國簽約人之契約者。若無輸出契約，或如果契約所有人為依約遵循，則輸出者定義為具有決定權可以決定項目運送至歐盟關稅管轄外者；

(ii) which decides to transmit or make available software or technology by electronic media including by fax, telephone, electronic mail or by any other electronic means to a destination outside the Community. Where the benefit of a right to dispose of the ual-use item belongs to a person established outside the Community pursuant to the contract on which the export is based, the exporter shall be considered to be the contracting party established in the Community;

可決定藉由電子媒介方式，包括傳真、電話、電子郵件或其他電子方式傳遞軟體及技術至歐盟以外地區。依據契約，針對境外而且有決定權處置可軍商兩用項目者之狀況下，輸出者將被界定為在歐盟內之簽約方；

4. ‘export declaration’ shall mean the act whereby a person indicates in the prescribed form and manner the wish to place dual-use items under an export procedure;

出口申報定義為由某人依輸出程序中，在制式文件及做法中指示意欲置放軍商兩用項目者。

5. ‘brokering services’ shall mean:

—the negotiation or arrangement of transactions for the purchase, sale or supply of dual-use items from a third country to any other third country, or

代理服務定義為採購或提供軍商兩用項目自第三國至其他任意第三國之協商或安排者，或

—the selling or buying of dual-use items that are located in third countries for their transfer to another third country.

位於第三國之軍商兩用項目經由買賣而移轉至其他任意第三國；

For the purposes of this Regulation the sole provision of ancillary services is excluded from this definition. Ancillary services are transportation, financial services, insurance or re-insurance, or general advertising or promotion;

其中相關於一些後勤服務如交通、財務服務、保險或再保、或一般廣告或促銷等於本法規中排除；

6. ‘broker’ shall mean any natural or legal person or partnership resident or established in a Member State of the Community that carries out services defined under point 5 from the Community into the territory of a third country;

代理人定義為任何法人、或自然人、或其於歐盟會員國居住之合夥關係並執行在第5點之服務，該服務為自歐盟地區至其他第三國之疆域；

7. ‘transit’ shall mean a transport of non-Community dual-use items entering and passing through the customs territory of the Community with a destination outside the Community;

穿越經過定義為自非歐盟地區運送軍商兩用項目，進入歐盟境內並經過其關稅領域且其最終目的地為歐盟以外區域；

8. ‘individual export authorisation’ shall mean an authorization granted to one specific exporter for one end user or consignee in a third country and covering one or more dual-use items;

個別輸出許可定義為針對第三國之單一終端使用者或受託者，一許可被賦予給某一特定輸出者許可輸出一或一項以上之軍商兩用項目；

9. ‘Community General Export Authorisation’ shall mean an export authorisation for exports to certain countries of destination available to all exporters who respect its conditions of use as listed in Annex II;

歐盟一般輸出許可定義為一輸出許可能夠為輸出者遵循載於附錄II之使用條件而輸出至某些目的國；

10. ‘global export authorisation’ shall mean an authorization granted to one specific exporter in respect of a type or category of dual-use item which may be valid for exports to one or more specified end users and/or in one or more specified third countries;

全球輸出授權許可定義為輸出許可被賦予給某特定輸出者許可以輸出某一類型或類別之軍商兩用項目。該輸出可輸出至一或一個以上之特定終端使用者或第三國；

11. ‘national general export authorisation’ shall mean an export authorisation granted in accordance with Article 9(2) and defined by national legislation in conformity with Article 9 and Annex IIIc;

國家一般輸出許可定義為依據第9（2）條，而賦予輸出許可。而該條文需依第9條及附錄IIIc而立法；

12. ‘customs territory of the European Union’ shall mean the territory within the meaning of Article 3 of the Community Customs Code;

歐盟關稅領域被定義為符合歐盟關稅法第3條所陳述之意涵；

13. ‘non-Community dual-use items’ shall mean items that have the status of non-Community goods within the meaning of Article 4(8) of the Community Customs Code.

非歐盟軍商兩用項目被定義為項目符合歐盟關稅法第4（8）條有關非歐盟貨品之意涵陳述。

CHAPTER II

第二章

SCOPE

範圍

Article 3

第三條

1. An authorisation shall be required for the export of the dual-use items listed in Annex I.

於附錄I中所列軍商兩用項目的輸出需有輸出許可。

2. Pursuant to Article 4 or Article 8, an authorisation may also be required for the export to all or certain destinations of certain dual-use items not listed in Annex I.

針對第4或第8條，未列於清單者仍需輸出許可。

Article 4

第四條

1. An authorisation shall be required for the export of dual-use items not listed in Annex I if the exporter has been informed by the competent authorities of the Member State in which he is established that the items in question are or may be intended, in their entirety or in part, for use in connection with the development, production, handling, operation, maintenance, storage, detection, identification or dissemination of chemical, biological or nuclear weapons or other nuclear explosive devices or the development, production, maintenance or storage of missiles capable of delivering such weapons.

在輸出者欲輸出未列於附錄I者仍需輸出許可者。該情況為可能會員國的主管機構認為項目有疑慮，或認為有可能部分或全部用於核生化武器、或其他核爆裝置、或之發展、生產、處理、營運、維修、儲存、偵測、辨識或傳播等，或可承載此等武器之飛彈的發展、生產、處理、營運、維修或儲存等。

2. An authorisation shall also be required for the export of dual-use items not listed in Annex I if the purchasing country or country of destination is subject to an arms embargo decided by a common position or joint action adopted by the Council or a decision of the Organisation for Security and Cooperation in Europe (OSCE) or an arms embargo imposed by a binding resolution of the Security Council of the United Nations and if the exporter has been informed by the authorities referred to in paragraph 1 that the items in question are or may be intended, in their entirety or in part, for a military end-use. For the purposes of this paragraph, ‘military end-use’ shall mean:

若是採購國家或目的地屬武器禁運國，該禁運國為歐盟委員會、歐洲安全與合作組織或聯合國安理會決議所認定國家或地區，則未列入附錄I者仍需輸出許可。若輸出者為主管機構通知該項目有前述或軍事用途之疑慮，軍事用途於此被定義為：

(a) incorporation into military items listed in the military list of Member States;

與各會員國軍事清單符合；

(b) use of production, test or analytical equipment and components therefor, for the development, production or maintenance of military items listed in the abovementioned list;

使用生產、測試、或分析設備及零組件可用於發展、生產、或維修等列於上述之軍事項目；

(c) use of any unfinished products in a plant for the production of military items listed in the abovementioned list.

在工場中利用任何未完工之產品生產列於上述之軍事項目。

3. An authorisation shall also be required for the export of dual-use items not listed in Annex I if the exporter has been informed by the authorities referred to in paragraph 1 that the items in question are or may be intended, in their entirety or in part, for use as parts or components of military items listed in the national military list that have been exported from the territory of that Member State without authorisation or in violation of an authorisation prescribed by national legislation of that Member State.

與第1節相關，在輸出者欲輸出未列於附錄I者仍需輸出許可。該情況為，認為該項目有疑慮，或認為有可能部分或全部列於軍事項目清單之軍事項目零組件自會員國地區輸出，而沒有輸出許可或與該會員國法令違反者。

4. If an exporter is aware that dual-use items which he proposes to export, not listed in Annex I, are intended, in their entirety or in part, for any of the uses referred to in paragraphs 1, 2 and 3, he must notify the authorities referred to in paragraph 1, which will decide whether or not it is expedient to make the export concerned subject to authorisation.

若輸出者認知到其欲輸出項目並未列入附錄I中，但根據第1、2、3節所載使用者部分，不論其部分或全部，該輸出者需向載於第1節中之主管機構通報。該主管機構將決定其輸出與否。

5. A Member State may adopt or maintain national legislation imposing an authorisation requirement on the export of dual-use items not listed in Annex I if the exporter has grounds for suspecting that those items are or may be intended, in their entirety or in part, for any of the uses referred to in paragraph 1.

會員國可以採行或維繫國家立法方式，強制性地限制未列於附錄I中之軍商兩用項目許可需求。該前提為輸出者有理由懷疑這些項目有可能部分或全部使用與第1節相關之用途。

6. A Member State which imposes an authorisation requirement, in application of paragraphs 1 to 5, on the export of a dual-use item not listed in Annex I, shall, where appropriate, inform the other Member States and the Commission. The other Member States shall give all due consideration to this information and shall inform their customs administration and other relevant national authorities.

參酌第1至第5節，針對未列於附錄I中之軍商兩用項目，會員國可自行設立許可需求，但需通知其他會員國及歐盟委員會會。而其他會員國需全方位考量該訊息後，需通知其關稅總署及其他相關主管機構。

7. The provisions of Article 13(1), (2) and (5) to (7) shall apply to cases concerning dual-use items not listed in Annex I.

第13（1），（2）及（5）至（7）條文適用於軍商兩用項目未載於附錄I中者。

8. This Regulation is without prejudice to the right of Member States to take national measures under Article 11 of Regulation (EEC) No 2603/69.

在（EEC）第2603/69號第11條下，本法規無偏見地可讓各會員國採取國家措施。

Article 5

第五條

1. An authorisation shall be required for brokering services of dual-use items listed in Annex I if the broker has been informed by the competent authorities of the Member State in which he is resident or established that the items in question are or may be intended, in their entirety or in part, for any of the uses referred to in Article 4(1). If a broker is aware that the dual-use items listed in Annex I for which he proposes brokering services are intended, in their entirety or in part, for any of the uses referred to in Article 4(1), he must notify the competent authorities which will decide whether or not it is expedient to make such brokering services subject to authorisation.

若代理人被會員國主管機構針對第4（1）條款中所規範之有疑慮的項目而通知，則在附錄I中之軍商兩用項目代理服務需具備輸出許可。若代理人針對，不論是部分或全部，第4（1）條款中所規範的項目使用有所認知，則必須通報主管機構，並由其做出權宜的處理。

2. A Member State may extend the application of paragraph 1 to non-listed dual-use items for uses referred to in Article 4(1) and to dual-use items for military end use and destinations referred to in Article 4(2).

會員國可針對未納入第1節中的軍商兩用項目之使用，該使用未列入第4（1）條文中，且該使用項目為軍事用途，以及於第4（2）條文中所納入之目的地，予以延長其申請。

3. A Member State may adopt or maintain national legislation imposing an authorisation requirement on the brokering of dual-use items, if the broker has grounds for suspecting that these items are or may be intended for any of the uses referred to in Article 4(1).

會員國可以採行或維繫國家立法方式，強制性地限制軍商兩用項目的代理輸出許可的需求未列於附錄I中之軍商兩用項目許可需求。該前提為代理者有理由懷疑這些項目有可能與第4（1）條文中所納入的用途相關。

4. The provisions of Article 8(2), (3) and (4) shall apply to the national measures referred to in paragraphs 2 and 3 of this Article.

第8（2）、（3）及（4）條文亦適用本條文之第2及3中相關的會員國國內措施。

Article 6

第六條

1. The transit of non-Community dual-use items listed in Annex I may be prohibited by the competent authorities of the Member State where the transit occurs if the items are or may be intended, in their entirety or in part, for uses referred to in Article 4(1). When deciding on such a prohibition the Member States shall take into account their obligations and commitments they have agreed to as parties to international treaties or as members of international non-proliferation regimes.

若有部分或全部意圖欲自非歐盟地區經過會員國運送非載於附錄I之軍商兩用項目者，會員國主管機構得禁止其穿越。在發布禁止令前，會員國需考量其於國際條約或其在國際限武參與所應盡之義務及承諾。

2. Before deciding whether or not to prohibit a transit a Member State may provide that its competent authorities may impose in individual cases an authorisation requirement for the specific transit of dual-use items listed in Annex I if the items are or may be intended, in their entirety or in part, for uses referred to in Article 4(1).

在發布禁止令前，會員國需頒布其主管機構所需的限制，這是針對特定列於附錄I之軍商兩用項目者，且該項目使用，不論部分或全部，與第4（1）條文中所納入的用途相關。

3. A Member State may extend the application of paragraph 1 to non-listed dual-use items for uses referred to in Article 4(1) and to dual-use items for military end use and destinations referred to in Article 4(2).

會員國可針對未納入第1節中的軍商兩用項目之使用，而該使用未列入第4（1）條文中，且該使用項目為軍事用途，以及於第4（2）條文中所納入之目的地，予以延長其申請。

4. The provisions of Article 8(2), (3) and (4) shall apply to the national measures referred to in paragraphs 2 and 3 of this Article.

第8（2）、（3）及（4）條文亦適用本條文之第2及3中相關的會員國國內措施。

Article 7

第七條

This Regulation does not apply to the supply of services or the transmission of technology if that supply or transmission involves cross-border movement of persons.

跨越邊界的服務提供或傳遞技術行為等不適用本法規。

Article 8

第八條

1. A Member State may prohibit or impose an authorization requirement on the export of dual-use items not listed in Annex I for reasons of public security or human rights considerations.

基於其公眾安全與人權考量，會員國針對未列於附錄I之軍商兩用項目的輸出得禁止或強制增加其輸出限制。

2. Member States shall notify the Commission of any measures adopted pursuant to paragraph 1 immediately after their adoption and indicate the precise reasons for the measures.

針對第1節而採行的任何措施，各會員國需立即通報歐盟委員會並說明其理由。

3. Member States shall also immediately notify the Commission of any modifications to measures adopted pursuant to paragraph 1.

針對第1節而採行的任何措施有所修正，各會員國亦需立即通報歐盟委員會。

4. The Commission shall publish the measures notified to it pursuant to paragraphs 2 and 3 in the C series of the Official Journal of the European Union.

歐盟委員會需於歐盟正式公告書中（C series of the Official Journal of the European Union）公告第（2）及（3）節中的措施改變。

CHAPTER III

第三章

EXPORT AUTHORISATION AND AUTHORISATION FOR BROKERING SERVICES

輸出許可及代理服務許可

Article 9

第九條

1. A Community General Export Authorisation for certain exports as set out in Annex II is established by this Regulation.

針對某些輸出所需歐盟一般輸出許可，如由本法規所制定之附錄II發布者。

2. For all other exports for which an authorisation is required under this Regulation, such authorisation shall be granted by the competent authorities of the Member State where the exporter is established. Subject to the restrictions specified in paragraph 4, this authorisation may be an individual, global or general authorisation.

對其他於本法規所納入的輸出許可應由會員國主管機構制定。如第4節所規範者，該輸出許可可為個別、全球通用或一般者。

All the authorisations shall be valid throughout the Community.

所有輸出許可均於歐盟境內具有效力。

Exporters shall supply the competent authorities with all relevant information required for their applications for individual and global export authorisation so as to provide complete information to the national competent authorities in particular on the end user, the country of destination and the end use of the item exported.

The authorisation may be subject, if appropriate, to an end-use statement.

針對不論獨立或全球者申請許可，輸出者需提供所有相關資料予主管機構，特別是使用者、目的地及該輸出項目的最終用途。

3. Member States shall process requests for individual or global authorisations within a period of time to be determined by national law or practice.

各會員國應於期間內依法或慣例處理並決定輸出許可申請。

4. National general export authorisations shall:

國內一般輸出許可應：

(a) exclude from their scope items listed in part 2 of Annex II;

排除列於附錄II part 2的項目；

(b) be defined by national law or practice. They may be used by all exporters, established or resident in the Member State issuing these authorisations, if they meet the requirements set in this Regulation and in the complementary national legislation. They shall be issued in accordance with the indications set out in Annex IIIc. They shall be issued according to national law or practice;

應依法或慣例界定之。只要符合於本法規及國家法令所發布之必須事項，即可為全體輸出者使用。同時，亦應依附錄IIIc之指示發出許可，或依法或慣例發出；

Member States shall notify the Commission immediately of any national general export authorisations issued or modified. The Commission shall publish these notifications in the C series of the Official Journal of the European Union;

各會員國應立即通知歐盟委員會有關任何輸出許可的發出或更動。歐盟委員會則應將通知於歐盟正式公告書中（C series of the Official Journal of the European Union）公告；

(c) not be used if the exporter has been informed by his authorities that the items in question are or may be intended, in their entirety or in part, for any of the uses referred to in paragraphs 1 and 3 of Article 4 or in paragraph 2 of Article 4 in a country subject to an arms embargo decided by a common position or joint action adopted by the Council or a decision of the OSCE or an arms embargo imposed by a binding resolution of the Security Council of the United Nations, or if the exporter is aware that the items are intended for the abovementioned uses.

不可使用，因輸出者由主管機構通知，對輸出武器禁運地區輸出項目有疑慮，或有意圖，不論部分或全部，使用未列於第4條第（1）及（3）節，或如第4條第（2））節中所載。而該武器禁運係由有關歐盟理事會、或歐盟安全與合作組織決定、或與聯合國安理會決議案武器禁運國所採取的共同所處陣線或聯合行動，或者是輸出者認知到該項目有意圖於上述清單中使用。

5. Member States shall maintain or introduce in their respective national legislation the possibility of granting a global export authorisation.

各會員國需維繫或提出其各國立法有關准許全球性的輸出許可之可能性。

6. Member States shall supply the Commission with a list of the authorities empowered to:

各會員國需提供歐盟委員會其授權之主管機構清單，如：

(a) grant export authorisations for dual-use items;

軍商兩用之輸出許可之准許；

(b) decide to prohibit the transit of non-Community dual-use items under this Regulation.

在本法規中，決定非歐盟軍商兩用項目禁止穿越歐盟境內。

The Commission shall publish the list of these authorities in the C series of the Official Journal of the European Union.

歐盟委員會應於歐盟正式公告書中（C series of the Official Journal of the European Union）公布。

Article 10

第十條

1. Authorisations for brokering services under this Regulation shall be granted by the competent authorities of the Member State where the broker is resident or established. These authorizations shall be granted for a set quantity of specific items moving between two or more third countries. The location of the items in the originating third country, the end-user and its exact location must be clearly identified. The authorisations shall be valid throughout the Community.

於本法規中，有關代理服務之輸出許可應由其註冊會員國之主管機構准許。於兩或以上國家間移動某些特定項目之輸出許可應予以准許。其中需清楚載明其出產國、最終使用者及其確切之位置。該輸出許可於歐盟境內具有效力。

2. Brokers shall supply the competent authorities with all relevant information required for their application for authorization under this Regulation for brokering services, in particular details of the location of the dual-use items in the originating third country, a clear description of the items and the quantity involved, third parties involved in the transaction, the third country of destination, the end-user in that country and its exact location.

於本法規中，代理人為申請目的需提供所有相關資訊予主管機構，特別是軍商兩用項目出產國之位置詳細資料，清楚描述該項目及數量，在交易中參與的第三方，第三國目的地，第三國最終使用者及確切位置。

3. Member States shall process requests for authorisations for brokering services within a period of time to be determined by national law or practice.

各會員國應於期間內依法或慣例處理並決定輸出許可代理服務申請。

4. Member States shall supply the Commission with a list of the authorities empowered to grant authorisations under this Regulation for the provision of brokering services. The Commission shall publish the list of these authorities in the C series of the Official Journal of the European Union.

於本法規中之代理服務條款，各會員國需提供歐盟委員會其授權之主管機構清單，歐盟委員會應於歐盟正式公告書中（C series of the Official Journal of the European Union）公布。

Article 11

第十一條

1. If the dual-use items in respect of which an application has been made for an individual export authorisation to a destination not listed in Annex II or to any destination in the case of dual-use items listed in Annex IV are or will be located in one or more Member States other than the one where the application has been made, that fact shall be indicated in the application. The competent authorities of the Member State to which the application for authorisation has been made shall immediately consult the competent authorities of the Member State or States in question and provide the relevant information. The Member State or States consulted shall make known within 10 working days any objections it or they may have to the granting of such an authorisation, which shall bind the Member State in which the application has been made.

若個別輸出許可申請目的地未納入附錄II中，或就某些狀況而言，軍商兩用項目之目的地已納入附錄IV中，且除於申請當地國之外，或，需將位於其他會員國之資訊列入。而申請當地國之主管機構亦會立即咨詢其他會員國之主管機構，請其提供相關資訊。若有反對或該項目可被准許，被咨詢其他會員國之主管機構應於10個工作天內通報。

If no objections are received within 10 working days, the Member State or States consulted shall be regarded as having no objection.

若10天內未接到反對意見，視為被咨詢其他會員國之主管機構無反對意見。

In exceptional cases, any Member State consulted may request the extension of the 10-day period. However, the extension may not exceed 30 working days.

例外狀況，任何被咨詢的會員國可延長前述之10天審查期，唯最長不得超過30個工作天。

2. If an export might prejudice its essential security interests, a Member State may request another Member State not to grant an export authorisation or, if such authorisation has been granted, request its annulment, suspension, modification or revocation. The Member State receiving such a request shall immediately engage in consultations of a non-binding nature with the requesting Member State, to be terminated within 10 working days. In case the requested Member State decides to grant the authorisation, this should be notified to the Commission and other Member States using the electronic system mentioned in Article 13(6).

若輸出可能損及基本安全利益，該會員國可要求另一會員國不得准許該輸出許可，或若已核准，可要求取消、擱置、變更或撤回。而會員國接到此等要求時，應立即與要求之會員國進行磋商，且需在10個工作天內完成。若被要求之會員國決定准許輸出許可，此等情事需以第13（6）條所提及的電子系統方式通知歐盟委員會及其他會員國。

Article 12

第十二條

1. In deciding whether or not to grant an individual or global export authorisation or to grant an authorisation for brokering services under this Regulation, the Member States shall take into account all relevant considerations including:

在決定是否核准單一或全球輸出許可，或於本法規下決定之輸出許可的代理服務，會員國應作全面性的考量，包括：

(a) the obligations and commitments they have each accepted as members of the relevant international non-proliferation regimes and export control arrangements, or by ratification of relevant international treaties;

其於相關國際條約或其在國際限武及輸出管制安排所應盡之義務及承諾；

(b) their obligations under sanctions imposed by a common position or a joint action adopted by the Council or by a decision of the OSCE or by a binding resolution of the Security Council of the United Nations;

會員國在強制執行制裁下應盡的義務，而該制裁係依共同所處陣線或聯合行動，而該共同所處陣線或聯合行動係由歐盟理事會、或歐盟安全與合作組織決定、或依聯合國安理會決議案所採取；

(c) considerations of national foreign and security policy, including those covered by Council Common Position 2008/944/CFSP of 8 December 2008 defining common rules governing control of exports of military technology and equipment (1);

考量國家外交及安全政策，包括涵蓋由2008年12月8日Council Common Position 2008/944/CFSP界定之軍事技術及設備管控之通則；

(d) considerations about intended end use and the risk of diversion.

考量最終使用意圖及風險的分散。

2. In addition to the criteria set in paragraph 1, when assessing an application for a global export authorisation Member States shall take into consideration the application by the exporter of proportionate and adequate means and procedures to ensure compliance with the provisions and objectives of this Regulation and with the terms and conditions of the authorisation.

除了第1節設立的標準外，當評估全球輸出許可申請時，各會員國應考量輸出者申請均衡性及恰當方式及程序，以確保能遵守本法規的規定及目標，以及輸出許可的條款。

Article 13

第十三條

1. The competent authorities of the Member States, acting in accordance with this Regulation, may refuse to grant an export authorisation and may annul, suspend, modify or revoke an export authorisation which they have already granted. Where they refuse, annul, suspend, substantially limit or revoke an export authorisation or when they have determined that the intended export is not to be authorised, they shall notify the competent authorities of the other Member States and the Commission thereof and share the relevant information with them. In case the competent authorities of a Member State have suspended an export authorisation, the final assessment shall be communicated to the Member States and the Commission at the end of the period of suspension.

依本法規而執行的各會員國主管機構可拒絕發出輸出許可，或可取消、擱置、變更或撤回該輸出許可，當在本質上限制或撤回該輸出許可時，應通知並其他會員國及歐盟委員會分享相關資訊。若會員國主管機構擱置一輸出許可時，最終評估應於擱置期終了時通知會員國及歐盟委員會。

2. The competent authorities of Member States shall review denials of authorisations notified under paragraph 1 within three years of their notification and revoke them, amend them or renew them. The competent authorities of the Member States will notify the results of the review to the competent authorities of the other Member States and the Commission as soon as possible. Denials which are not revoked shall remain valid.

各會員國主管機構應於3年通知期內針對於第1節中所載輸出許可否決，進行審核並可撤銷。

3. The competent authorities of the Member States shall notify the Member States and the Commission of their decisions to prohibit a transit of dual-use items listed in Annex I taken under Article 6 without delay. These notifications will contain all relevant information including the classification of the item, its technical parameters, the country of destination and the end user.

於第6條下，各會員國主管機構應無延誤通知其會員國及歐盟委員會有關其禁止穿越境內之軍商兩用項目的決定，該軍商兩用項目係載於附錄I中。這些通知應包括所有資訊，如項目分類、技術參數、目的地地區及最終使用者等資訊。

4. Paragraphs 1 and 2 shall also apply to authorisations for brokering services.

第1及2節亦適用於申請輸出許可的代理服務。

5. Before the competent authorities of a Member State, acting under this Regulation, grant an authorisation for export or brokering services or decide on a transit they shall examine all valid denials or decisions to prohibit a transit of dual-use items listed in Annex I taken under this Regulation to ascertain whether an authorisation or a transit has been denied by the competent authorities of another Member State or States for an essentially identical transaction (meaning an item with essentially identical parameters or technical characteristics to the same end user or consignee). They shall first consult the competent authorities of the Member State or States which issued such denial(s) or decisions to prohibit the transit as provided for in paragraphs 1 and 3. If following such consultation the competent authorities of the Member State decide to grant an authorisation or allow the transit, they shall notify the competent authorities of the other Member States and the Commission, providing all relevant information to explain the decision.

於本法規下，在會員國主管機構批准輸出許可或代理服務，或針對運輸之決定前，應檢視所有的否決是否有效，或依本法規中之附錄I所載之禁止運送軍商兩用項目，以確保是否輸出許可或運送曾經為其他會員國拒絕過，或者是其他類似交易（意即基本上對同一最終使用者或受托者而言具相同參數，或技術特質等）。曾經發出拒絕或禁止境內運送，如第1及3節所載，且應先咨詢會員國主管機構或美國。若遵循咨詢結果，會員國主管機構批准輸出許可或准許運送，則需向會員國及歐盟委員會提供所有資訊並解釋其批准理由。

6. All notifications required under this Article will be made via secure electronic means including via a secure system that may be set up in accordance with Article 19(4).

所有通知需以安全的電子方式傳遞，而安全的電子方式傳遞於第19（4）條中有所規範。

7. All information shared in accordance with the provisions of this Article shall be in compliance with the provisions of Article 19(3), (4) and (6) concerning the confidentiality of such information.

所有於本條文中所規範的資訊的分享，均應遵守第19（3）、（4）及（6）條中有關資訊機密部分。

Article 14

第十四條

1. All individual and global export authorisations and authorisations for brokering services shall be issued in writing or by electronic means on forms containing at least all the elements and in the order set out in the models which appear in Annexes IIIa and IIIb.

所有個別或全球性輸出許可或代理許可均應以書面或電子方式，依附錄IIIa及IIIb中所載格式核發。

2. At the request of exporters, global export authorizations that contain quantitative limitations shall be split.

應輸出者要求，全球輸出許可其中列入數量的限制應可切割。

CHAPTER IV

第四章

UPDATING OF LIST OF DUAL-USE ITEMS

軍商兩用項目清單的更新

Article 15

第十五條

1. The list of dual-use items set out in Annex I shall be updated in conformity with the relevant obligations and commitments, and any modification thereof, that Member States have accepted as members of the international non-proliferation regimes and export control arrangements, or by ratification of relevant international treaties.

列於附錄I中之軍商兩用項目應依相關義務與承諾進行更新，而任何變更，作為各會員國以國際限武主體及輸出管制安排，或批准相關國際條約成員之一的地位接受之。

2. Annex IV, which is a subset of Annex I, shall be updated with regard to Article 30 of the Treaty establishing the European Community, namely the public policy and public security interests of the Member States.

附錄 IV，附錄 I的次附錄，應依相關建立歐洲共同體的法律第30條而更新之，換言之，即各會員國公共政策與公共安全利益。

CHAPTER V

第五章

CUSTOMS PROCEDURES

關稅程序

Article 16

第十六條

1. When completing the formalities for the export of dual-use items at the customs office responsible for handling the export declaration, the exporter shall furnish proof that any necessary export authorisation has been obtained.

於關稅辦公室完成軍商兩用輸出之正式手續，該關稅辦公室負責處理出口申報，出口者應提交證明文件以取得輸出許可。

2. A translation of any documents furnished as proof into an official language of the Member State where the export declaration is presented may be required of the exporter.

任何足資證明之文件需依會員國官方語言翻譯之。

3. Without prejudice to any powers conferred on it under, and pursuant to, the Community Customs Code, a Member State may also, for a period not exceeding the periods referred to in paragraph 4, suspend the process of export from its territory, or, if necessary, otherwise prevent the dual-use items listed in Annex I which are covered by a valid export authorisation from leaving the Community via its territory, where it has grounds for suspicion that:

對被賦予權力無偏見地，且針對歐盟關稅法而言，會員國在不可超過第4節所規定期限下，可擱置輸出所需程序。或必要時，可禁止列於附錄I之軍商兩用項目離境，儘管已具備有效輸出許可，合理懷疑係基於：

(a) relevant information was not taken into account when the authorisation was granted, or

相關資訊並未於核准時納入考量，或

(b) circumstances have materially changed since the grant of the authorisation.

環境自核准後已有所改變。

4. In the case referred to in paragraph 3, the competent authorities of the Member State which granted the export authorisation shall be consulted forthwith in order that they may take action pursuant to Article 13(1). If such competent authorities decide to maintain the authorisation, they shall reply within 10 working days, which, at their request, may be extended to 30 working days in exceptional circumstances. In such case, or if no reply is received within 10 or 30 days, as the case may be, the dual-use items shall be released immediately. The Member State which granted the authorisation shall inform the other Member States and the Commission.

有關於第3節狀況，當輸出許可被准許時，會員國主管機構應立即接受徵詢，以至於可針對第13（1）條採取行動。若該會員國主管機構仍主張維持原議，該機構應於10個工作天回覆，或在例外狀況下，於30個工作天內回覆。在此種狀況下，有可能發生於10或30個工作天均無回應，則該項目應立刻放行。該會員國並應通知其他會員國及歐盟委員會。

Article 17

第十七條

1. Member States may provide that customs formalities for the export of dual-use items may be completed only at customs offices empowered to that end.

針對軍商兩用項目，會員國應提供在關稅辦公室所需完成的關稅程序。

2. Member States availing themselves of the option set out in paragraph 1 shall inform the Commission of the duly empowered customs offices. The Commission shall publish the information in the C series of the Official Journal of the European Union.

在第1節中針對各會員國所開始之選項，應將該充分授權之關稅辦公室呈報歐盟委員會。而歐盟委員會應於歐盟正式公告書中（C series of the Official Journal of the European Union）公布。

Article 18

第十八條

The provisions of Articles 843 and 912a to 912g of Regulation (EEC) No 2454/93 shall apply to the restrictions relating to the export, re-export and exit from the customs territory of dual-use items for the export of which an authorisation is required under this Regulation.

針對法規（EEC）第2454/93中第843、912a至912g之條文適用於本法規中所需之輸出許可，相關於軍商兩用輸出項目輸出、再輸出及為輸出目的之關稅領域的離開等限制。

CHAPTER VI

第六章

ADMINISTRATIVE COOPERATION

行政處理合作

Article 19

第十九條

1. Member States, in cooperation with the Commission, shall take all appropriate measures to establish direct cooperation and exchange of information between competent authorities, in particular to eliminate the risk that possible disparities in the application of export controls to dual-use items may lead to a deflection of trade, which could create difficulties for one or more Member States.

與歐盟委員會合作下，各會員國應採行各種措施來建立直接合作與各主管機構間的資訊交換，特別是消除可能因軍商兩用項目輸出的不同導致貿易傾斜的風險。這種情形可能造成各會員國間的困難。

2. Member States shall take all appropriate measures to establish direct cooperation and exchange of information between competent authorities with a view to enhance the efficiency of the Community export control regime. Such information may include:

為加強歐盟對輸出管制的效率，各會員國應採行各種措施來建立直接合作與各主管機構間的資訊交換。該資訊交換可包括：

(a) details of exporters deprived, by national sanctions, of the right to use the national general export authorisations or Community General Export Authorisations;

在各國或歐盟一般輸出許可的核發權力下，由國家批准因輸出者許可的取消之詳細資料；

(b) data on sensitive end users, actors involved in suspicious procurement activities, and, where available, routes taken.

終端使用者之數據、參與具懷疑性的採購行為者，以及可能的話，其採取的渠道。

3. Council Regulation (EC) No 515/97 of 13 March 1997 on mutual assistance between the administrative authorities of the Member States and cooperation between the latter and the Commission to ensure the correct application of the law on customs and agricultural matters(1), and in particular the provisions on the confidentiality of information, shall apply mutatis mutandis, without prejudice to Article 23 of this Regulation.

為確保關稅及農產品之法律能適當使用，歐盟理事會於1997年3月13日頒布法規（EEC）第515/97號，其中有關各會員國行政機關間的互助以及各會員國間的合作，需與本法規之第23條，無歧見地，作出必要的修改。

4. A secure and encrypted system for the exchange of information among Member States and whenever appropriate the Commission may be set up by the Commission, in consultation with the Dual-Use Coordination Group set up under Article 23.

各會員國間，甚至與歐盟委員會間，交換訊息所需之安全及加密之系統由歐盟委員會所建制，而該建制與本法規中第23條中軍商兩用協調有關。

5. The provision of guidance to exporters and brokers will be the responsibility of the Member States where they are resident or established. The Commission and the Council may also make available guidance and/or recommendations for best practices for the subjects referred to in this Regulation.

有關輸出者及代理人指導原則條文制定為各會員國之責任。歐盟理事會及委員會針對該條款的最佳運作，亦可作出指導原則或建議。

6. The processing of personal data shall be in accordance with the rules laid down in Directive 95/46/EC of the European Parliament and of the Council of 4 October 1995 on the protection of individuals with regard to the processing of personal data and on the movement of such data (2) and Regulation (EC) No 45/2001 of the European Parliament and of the Council of 18 December 2000 on the protection of individuals with regard to the processing of personal data by the Community institutions and bodies and on the free movement of such data(3).

有關處理個人數據方面，須依歐盟議會第95/46EC指令及理事會於1995年10月4日頒布之法令辦理。同時，由歐盟理事會依甌盟議會於2001年12月18日所頒布之（EC）第45/2001號之法規辦理。這是特別針對因處理個人資料，以及該資料的移轉等。

CHAPTER VII

第七章

CONTROL MEASURES

管制措施

Article 20

第二十條

1. Exporters of dual-use items shall keep detailed registers or records of their exports, in accordance with the national law or practice in force in the respective Member States. Such registers or records shall include in particular commercial documents such as invoices, manifests and transport and other dispatch documents containing sufficient information to allow the following to be identified:

依各會員國法律及訴訟手續規定，軍商兩用項目的輸出者應對其輸出做詳細的紀錄。輸出紀錄中應包含特定的商業文件，如發貨單、船貨清單或其他包含可驗證下列條目的充分資訊的報告：

(a) the description of the dual-use items;

軍商兩用項目的敘述；

(b) the quantity of the dual-use items;

軍商兩用項目的數量；

(c) the name and address of the exporter and of the consignee;

輸出者及收件人的姓名和地址；

(d) where known, the end-use and end-user of the dual-use items.

軍商兩用項目的最終用途及使用者。

2. In accordance with national law or practice in force in the respective Member States, brokers shall keep registers or records for brokering services which fall under the scope of Article 5 so as to be able to prove, on request, the description of the dual-use items that were the subject of brokering services, the period during which the items were the subject of such services and their destination, and the countries concerned by those brokering services.

依各會員國之國家法律及訴訟手續規定，代理人需依第5條所規定的範圍內留存登記簿或記錄，如此一來，在要求下，可以足以證明軍商兩用項目的說明、期間、目的地及相關地區與其服務一致。

3. The registers or records and the documents referred to in paragraphs 1 and 2 shall be kept for at least three years from the end of the calendar year in which the export took place or the brokering services were provided. They shall be produced, on request, to the competent authoritie of the Member State in which the exporter is established or the broker is established or resident.

以上相關於第1及2節中之登記簿或記錄需保存第3年年底。應各會員國主管機構的要求下，需製作該文件。

Article 21

第二十一條

In order to ensure that this Regulation is properly applied, each Member State shall take whatever measures are needed to permit its competent authorities:

為確保此規章的合理運用，各會員國應對其法定權利的認可採取必要措施：

(a) to gather information on any order or transaction involving dual-use items;

對任何的訂購或包含軍商兩用項目的交易，收集資訊；

(b) to establish that the export control measures are being properly applied, which may include in particular the power to enter the premises of persons with an interest in an export transaction or brokers involved in the supply of brokering services under circumstances set out in Article 5.

為證實合理實施輸出品的管控，特別是，可能包括進入某人的房宅或其生產場所的權力。而某人意即其提供代理服務輸出交易或代理人，而與其利益相關者，其中該輸出交易或代理人需在第5條下開始。

CHAPTER VII

第七章

OTHER PROVISIONS

其他條款

Article 22

第二十二條

1. An authorisation shall be required for intra-Community transfers of dual-use items listed in Annex IV. Items listed in Part 2 of Annex IV shall not be covered by a general authorisation.

需於歐盟內部移轉，且列於附錄IV的軍商兩用項目者，將被要求具有輸出許可。而列於附錄IV part 2的項目不可被一般輸出許可所取代。

2. A Member State may impose an authorisation requirement for the transfer of other dual-use items from its territory to another Member State in cases where at the time of transfer:

在此狀況下會員國可在移轉時針對其他移轉至其他會員國領土的軍商兩用項目輸出許可徵稅：

—the operator knows that the final destination of the items concerned is outside the Community,

－操作者知道相關項目的最終運輸目的將在歐盟之外，

—export of those items to that final destination is subject to an authorisation requirement pursuant to Articles 3, 4 or 8 in the Member State from which the items are to be transferred, and such export directly from its territory is not authorized by a general authorisation or a global authorisation,

－針對項目的最終運輸目的所需遵從的各會員國的第3、4、或8條文，而直接從其管轄領域的輸出未核發一般或全球輸出許可者，

—no processing or working as defined in Article 24 of the Community Customs Code is to be performed on the items in the Member State to which they are to be transferred.

－歐盟關稅法第24條中未定義的程序處理或工作，將可於欲移轉的會員國進行移轉。

3. The transfer authorisation must be applied for in the Member State from which the dual-use items are to be transferred.

移轉許可軍商兩用項目移轉目的必須在會員國內申請。

4. In cases where the subsequent export of the dual-use items has already been accepted, in the consultation procedures set out in Article 11, by the Member State from which the items are to be transferred, the transfer authorisation shall be issued to the operator immediately, unless the circumstances have substantially changed.

若隨後的軍商兩用項目運輸已被接受，在第11條中開始的商議過程，移轉許可應立即由運輸目的地會員國發佈給經營者，除非情況有相當的轉變。

5. A Member State which adopts legislation imposing such a requirement shall inform the Commission and the other Member States of the measures it has taken. The Commission shall publish this information in the C series of the Official Journal of the European Union.

在立法下，如此要求的會員國應通知歐盟理事會及其他會員國其所採取的措施。而歐盟委員會應於歐盟正式公告書中（C series of the Official Journal of the European Union）公布。

6. The measures pursuant to paragraphs 1 and 2 shall not involve the application of internal frontier controls within the Community, but solely controls which are performed as part of the normal control procedures applied in a non-discriminatory fashion throughout the territory of the Community.

第1及2節中的措施不及於歐盟內部的國境管控申請，但在歐盟全境以無差別待遇實施的部份管控程序之單獨管控則不在此限。

7. Application of the measures pursuant to paragraphs 1 and 2 may in no case result in transfers from one Member State to another being subject to more restrictive conditions than those imposed for exports of the same items to third countries.

根據第1及2節中的對措施的申請，這些同樣輸出項目絕不可造成從一會員國至另一會員國時，比移轉至第三國時，強加更多限制條件。

8. Documents and records of intra-Community transfers of dual-use items listed in Annex I shall be kept for at least three years from the end of the calendar year in which a transfer took place and shall be produced to the competent authorities of the Member State from which these items were transferred on request.

歐盟內部移轉對列於附錄I中之軍商兩用項目的文件及記錄應從移轉發生的當年年末尾起，保持至少三年。而且因應要求移轉項目之發生，應向會員國主管機構提示該項目移轉的之文件及記錄。

9. A Member State may, by national legislation, require that, for any intra-Community transfers from that Member State of items listed in Category 5, Part 2 of Annex I which are not listed in Annex IV, additional information concerning those items shall be provided to the competent authorities of that Member State.

對未列在附錄IV中的項目，一會員國可針對列於目錄5附錄I之part 2的項目，經由國家立法對歐盟內部該會員國的移轉，應提供給該會員國主管機構這些項目的額外相關資訊。

10. The relevant commercial documents relating to intra-Community transfers of dual-use items listed in Annex I shall indicate clearly that those items are subject to controls if exported from the Community. Relevant commercial documents include, in particular, any sales contract, order confirmation, invoice or dispatch note.

於附錄I中列出的與歐盟內部之軍商兩用移轉相關的商業文件中，應明確指出這些項目若從歐盟內部輸出應受到的管制。相關的商業文件包含，尤其是任何的銷售合約、訂購確認單、發貨單或運輸通知等。

Article 23

條例二十三

1. A Dual-Use Coordination Group chaired by a representative of the Commission shall be set up. Each Member State shall appoint a representative to this Group. It shall examine any question concerning the application of this Regulation which may be raised either by the chair or by a representative of a Member State.

由歐盟委員會代表主持的軍商兩用的協調團體應被組織。各會員國應指派一代表出席該團體。該團體應審查任何可能被主席或會員國派出之代表所提出相關規章申請的相關疑問。

2. The Chair of the Dual-Use Coordination Group or the Coordination Group shall, whenever it considers it to be necessary, consult exporters, brokers and other relevant stakeholders concerned by this Regulation.

軍商兩用協調團體或該團體的主席，應在任何被認為有必要性的時候洽商與此規章相關之運輸者、代理人及其他相關股權持有人。

Article 24

第二十四條

Each Member State shall take appropriate measures to ensure proper enforcement of all the provisions of this Regulation. In particular, it shall lay down the penalties applicable to infringements of the provisions of this Regulation or of those adopted for its implementation. Those penalties must be effective, proportionate and dissuasive.

每一會員國應採取適當手段以確保所有條款及規章適當的實施。尤其，對違反此規章，或違反那些採納其導入措施，而提出懲罰之條款。而這些懲罰條款必須為有效、合理且是勸誡的。

Article 25

第二十五條

Each Member State shall inform the Commission of the laws, regulations and administrative provisions adopted in implementation of this Regulation, including the measures referred to in Article 24. The Commission shall forward the information to the other Member States.

每一會員國應通知歐盟委員會其在此規章中所採納履行的法律、規章，及行政條款，包括交付於第24條中的措施。而歐盟委員會應向其他會員國發送這些資訊。

Every three years the Commission shall review the implementation of this Regulation and present a report to the European Parliament and the Council on its application, which may include proposals for its amendment. Member States shall provide to the Commission all appropriate information for the preparation of the report.

歐盟委員會應每三年審閱此規章的履行，且向歐洲議會及歐盟理事會提交施行的報告，該報告內容可包括未來修正的計畫。各會員國應提供歐盟委員會為報告準備的所有適當資訊。

Article 26

第二十六條

This Regulation does not affect:

本法規將不影響：

—the application of Article 296 of the Treaty establishing the European Community,

建構歐盟條約之第296條文的適用，

—the application of the Treaty establishing the European Atomic Energy Community.

建構歐洲原子能條約的適用。

Article 27

第二十七條

Regulation (EC) No 1334/2000 is repealed with effect from 27 August 2009.

歐盟規章第1334/2000號於2009年8月27日撤銷。

However, for export authorisation applications made before 27 August 2009, the relevant provisions of Regulation (EC) No 1334/2000 shall continue to apply.

然而，於2009年8月27日前申請的運輸許可，則歐盟規章第1334/2000號相關之條款仍具效力。

References to the repealed Regulation shall be construed as references to this Regulation and shall be read in accordance with the correlation table in Annex VI.

與廢除規章相關之參考文件，應解釋為此規章之相關參考文件，且應與附錄VI對應表格相對照。

Article 28

第二十八條

This Regulation shall enter into force 90 days after the date of its publication in the Official Journal of the European Union.

此規章應於歐盟正式公告書中公布的九十天後執行。

This Regulation shall be binding in its entirety and directly applicable in all Member States.

此規章應在各會員國具直接且完全的約束力

Done at Brussels, 5 May 2009.

2009年5月於布魯塞爾完成

For the Council

致歐盟理事會

The President

主席

M. KALOUSEK

Conditions and requirements for use of this authorization

該許可的使用條件與要求

1. Exporters that use the Community General Export Authorisation (EU 001) shall notify the competent authorities of the Member State where they are established of their first use of the Community General Export Authorisation no later than 30 days after the date when the first export took place.

持歐盟全體輸出許可的運輸者應於初次運輸發生的三十天內告知會員國之主管機構其初次使用歐盟普通輸出許可的的發生地點。

Exporters shall also report in the Single Administrative Document the fact that they are using this authorisation EU 001 by indicating in box 44 the reference X002.

輸出者亦應在單次行政文件中，於備註欄X002，第44項陳述報告其正使用該輸出許可 EU001。

2. The Community General Export Authorisation may not be used if:

歐盟全體輸出授權書在此情況下不可使用，若：

—the exporter has been informed by the competent authorities of the Member State in which he is established that the items in question are or may be intended, in their ntirety or in part, for use in connection with the development, production, handling, operation, maintenance, storage, detection, identification or dissemination of chemical, biological or nuclear weapons or other nuclear explosive devices or the development, production, maintenance or storage of missiles capable of delivering such weapons, or if the exporter is aware that the items in question are intended for such use;

輸出者已被其認可的會員國主管機構被通知，所運輸的未知項目可能作為全部或部分連結發展、生產、管理、操作、維修、貯藏、偵查、識別或散播化學、生化或核能武器，或其他具爆炸性核能裝置，或發展、生產、維修或可運輸這樣武器的導彈之貯藏，或者輸出者查知未知項目可能具備這樣的功能使用。

—the exporter has been informed by the competent authorities of the Member State in which he is established that the items in question are or may be intended for a military end use as defined in Article 4(2) of this Regulation in a country subject to an arms embargo decided by a common position or joint action adopted by the Council or a decision of the OSCE or an arms embargo imposed by a binding resolution of the Security Council of the United Nations, or if the exporter is aware that the items in question are intended for the above mentioned uses;

輸出者已被認可的會員國主管機構通知所運輸的未之項目可能做為本法規第4條第2節中所定義之軍事用途，而該軍事用途國家又為武器禁運國家。該武器禁運係依共同所處陣線或聯合行動，而該共同所處陣線或聯合行動係由歐盟理事會、或歐盟安全與合作組織決定、或依聯合國安理會決議案所採取，或輸出者有類似考量者；

—the relevant items are exported to a customs free zone or free warehouse which is located in a destination covered by this authorisation.

相關項目被運輸至免稅地區，或在一被輸出許可核准的倉庫。

3. Reporting requirements attached to the use of this Community General Export Authorisation and the additional information that the Member State from which the export is made might require on items exported under this authorisation are defined by Member States.

報告應附加形式加於歐盟一般輸出許可，及會員國之項目輸出的額外資訊需求，該輸出許可需要為會員國所定義清楚。

A Member State may require the exporters established in that Member State to register prior to the first use of this Community General Export Authorisation. Registration shall be automatic and acknowledged by the competent authorities

to the exporter without delay and in any case within ten working days of receipt.

會員國可能要求被此會員國所認可的輸出者在其初次使用歐盟一般輸出許可時，先行註冊。註冊必由合格當局在收到申請的十個工作天內頒布對輸出者的認可且不得延誤。

Where applicable the requirements set out in the first two paragraphs of this point shall be based on those defined for the use of national general export authorisations granted by those Member States which provide for such authorisations.

在前兩個段落中所提及的實施之要求，係基於國家一般輸出許可的使用，而該輸出許可又需依各會員國所批准。

(回目錄)

第二項：EC No 428/2009與EC No 1183/2007修訂對照表

EC 1183

2007

頁數

EC 428

2009

頁數

EC No 1183/2007原文

EC No 428/2009修正/新增

修正/新增之中譯

3

12

No account has been taken of any items that Member States wish to place on an exclusion list. No account has been taken of any national controls (non-regime origin controls) that may be maintained by Member States.

刪除

無

3

12

無

CONTENTS

Notes

Definitions

Acronyms and abbreviations

Category 0 Nuclear materials, facilities and equipment

Category 1 Special materials and related equipment

Category 2 Materials Processing

Category 3 Electronics

Category 4 Computers

Category 5 Telecommunications and “information security”

Category 6 Sensors and lasers

Category 7 Navigation and avionics

Category 8 Marine

Category 9 Aerospace and Propulsion

目錄

註解

定義

第0類: 核能物質、設施與設備

第1類: 特殊原料與設備

第2類: 材料加工程序

第3類: 電子

第4類: 電腦

第5類: 電信與”資訊安全”

第6類: 感應器及雷射

第7類: 導航及航空電子

第8類: 海事

第9類: 航太與推進系統

5

14

EDITORIAL PRACTICES

EDITORIAL PRACTICES IN THE OFFICIAL JOURNAL OF THE EC

歐盟理事會公報之編輯慣例

7

16

“Bias” (accelerometer) (7) means an accelerometer output when no acceleration is applied.

“Bias”(accelerometer) (7) means the average over a specified time of accelerometer output, measured at specified operating conditions, that has no correlation with input acceleration or rotation “Bias”is expressed in g or in metres per second squared (g or m/s2). (IEEE Std 528-2001) (Micro g equals 1 × 10–6 g).

“偏差”(加速度計)(第7類)指在與加速率或轉速無相關的特定條件下，量測指定時間內加速度計平均輸出。“偏差”以g值或公尺每秒平方表示(IEEE STD 528-2001)(Micro g equals 1×10-6g)。

7

16

無

“Bias”(gyro) (7) means the average over a specified time of gyro output measured at specified operating conditions that has no correlation with input rotation or acceleration. “Bias” is typically expressed in degrees per hour (deg/hr). (IEEE Std 528-2001).

“偏差”(陀螺儀)(第7類)

指在與加速率或轉速無相關的特定條件下，量測指定時間內陀螺儀平均輸出。“偏差”以度每小時(deg/hr)表示(IEEE Std 528-2001)。

8

17

無

“III/V compounds” (3 6) means polycrystalline or binary or complex monocrystalline products consisting of elements of groups IIIA and VA of Mendeleyev’s periodic classification table (e.g., gallium arsenide, gallium-aluminium arsenide, indium phosphide).

“III/V族化合物”(第3、6類)指二元或多元的單晶或多晶物質，由Mendeleyev週期表中IIIA及VA族元素所構成 (例如：砷化鎵、砷鋁化鎵、磷化銦)。

9

18

“Digital transfer rate”

“Digital transfer rate”(5)

“數位傳輸率”(第5類)

9

19

無

“Explosives”(1) means solid, liquid or gaseous substances or mixtures of substances which, in their application as primary, booster, or main charges in warheads, demolition and other applications, are required to detonate.

“炸藥”(第1類)指應用於初級炸藥、加壓用途，或裝填於彈頭、破壞及其他應用等引起爆炸所需要之固態、液態或氣態物質或混合物。

10

20

“Fractional bandwidth”(3)

“Fractional bandwidth”(3  5)

“分頻寬”(第3、5類)

10

21

無

“Fusible”(1) means capable of being cross-linked or polymerized further (cured) by the use of heat, radiation, catalysts, etc., or that can be melted without pyrolysis (charring).

“熔融”(第1類)指利用熱、輻射或催化劑等能使交聯或聚合(固化)，或可融化而不熱解(碳化)。

14

24

“Multi-data-stream processing” (4)

N.B.:”microprogramme”

整段刪除

無

14

24

“Noise level”(6)

整段刪除

無

14

24

“Nuclear reactor”(0) means the items within or attached directly to the reactor vessel, the equipment which controls the level of power in the core, and the components which normally contain, come into direct contact with or control the primary coolant of the reactor core.

“Nuclear reactor”(0) means a complete reactor capable of operation so as to maintain a controlled self-sustaining fission chain reaction. A “nuclear reactor” includes all the items within or attached directly to the reactor vessel, the equipment which controls the level of power in the core, and the components which normally contain, come into direct contact with or control the primary coolant of the reactor core.

“核子反應器”（第0類）指能夠運轉以維持可控制的自行持續核分裂鏈反應之完整反應器。一個核子反應器包括反應器槽內部或直接附屬之所有項目、核心內控制功率程度之設備、通常用來容納直接接觸或控制核心主要冷卻劑之組件。

15

25

無

“Personal area network”(5) means a data communication system having all of the following characteristics:

a. Allows an arbitrary number of independent or interconnected ‘data devices’ to communicate directly with each other; and

b. Is confined to the communication between devices within the immediate vicinity of an individual person or device controller (e.g., single room, office, or automobile).

Technical Note:

‘Data device’ means equipment capable of transmitting or receiving sequences of digital information.

“個人區域網絡＂(第5類)指具下列特性之資料通訊系統：

a.允許任意數量的獨立或互連的’資料裝置’直接互相通訊；

b.侷限於個人或裝置控制器鄰近範圍內裝置之間的通訊(例如︰單一房間、辦公室或汽車)。

技術註解：

‘資料裝置’指能發射或接收數位資訊序列之裝備。

15

25

“Personalised smart card”(5) means a smart card containing a microcircuit which has been programmed for a specific application and cannot be reprogrammed for any other application by the user.

“Personalized smart card”(5) means a smart card or an electronically readable personal document (e.g., e-passport), containing a microcircuit which has been programmed for a specific application and cannot be reprogrammed for any other application by the user.

“個人化智慧卡”(第5類)係指包含微電路的智慧卡或電子可讀的個人文件(例如：電子護照)，該智慧卡之程式設定於特定應用，不可由使用者修改於其它應用。

16

26

“Real-time bandwidth”(2 3)

“Real-time bandwidth”(3)

“即時頻寬”(第3類)

16

26

無

“Riot control agent” (1) means substances which, under the expected conditions of use for riot control purposes, produce rapidly in humans s