【中英文对照版】中华人民共和国海关风险管理办法.docx

中华人民共和国海关风险管理办法（2024年7月30日海关总署令第271号公布自2024年12月1日起实施）第一条为了规范海关风险管理工作，落实总体国家安全观，促进对外贸易便利化，根据中华人民共和国海关法中华人民共和国关税法中华人民共和国生物安全法中华人民共和国国境卫生检疫法中华人民共和国进出境动植物检疫法中华人民共和国食品安全法中华人民共和国进出口商品检脸法等有关法律、行政法规以及中华人民共和国缔结、参加的国际条约规定，制定本办法。中华人民共和国海关风险管理办法RiskManagementMeasuresoftheCustomsofthePeop1.e'sRepub1.icofChina制定机关：海关总署今文字号：海关总著令第271号公布日期：2024.07.30Mff1日期：2024.12.01我方位阶：部门规牵金视臭剧：海关毋令规定IssuingAuthority:Genera1.AdministrationofCustomsDocumentNumber:OrderNo.271oftheGenera1.AdministrationofCustomDateIssued:07-30-2()24EffectiveDatci12-01-20241.cvdof.AuthoritytDepartmenta1.Ru1.esAreaof1.awiGenera1.ProvisionsonCustomsRiskManagementMeasuresoftheCustomsofthePeop1.e'sRepub1.icofChina(IssuedbyOrderNo.271oftheGenera1.AdministrationofCustomsonJu1.y30,2024andcomingintoforceonDecember1,2024)Artic1.e1Forthepurposesofregu1.atingtheriskmanagementworkoftheCustoms,imp1.ementingtheovera1.1.conceptofnationa1.security,andpromotingforeigntradefaci1.itation,theseMeasuresaredeve1.opedinaccordancewiththeCustoms1.awofthePeop1.e'sRepub1.icofChina,theTariff1.awofthePeop1.e'sRepub1.icofChina,theBiosecurity1.awofthePeop1.e'sRepub1.icofChina,theFrontierHea1.thandQuarantine1.awofthePeop1.e'sRepub1.icofChina,the1.awofthePeop1.e'sRepub1.icofChinaontheQuarantineofImportedandExportedAnima1.sandP1.ants,theFoodSafety1.awofthePeop1.e'sRepub1.icofChina,the1.awofthePeop1.e'sRepub1.icofChinaonImportandExportCommodityInspection,andotherapp1.icab1.e1.awsandadministrativeregu1.ations,aswe1.1.astheprovisionsoftheinternationa1.treatiesconc1.udedoraccededtobythePeop1.e'sRepub1.icofChina.第二条海关为防范进出境交通运输工具、运输设备、人员、货物、物品的禁限管制、口岸公共卫生安全、国门生物安全、食品安全、商品质量安全、税收安全、侵犯知识产权风险以及其他进出境安全风险，开展风险信息收集、风险评估和风险处置等风险管理活动，适用本办法。Artic1.e2TheseMeasuressha1.1.app1.ytotheco1.1.ectionofriskinformation,riskassessment,riskdisposa1.,andotherriskmanagementactivitiescarriedoutbytheCustomsforthepurposeofpreventingtherisksre1.atedtotheprohibitions,restrictions,andcontro1.soninboundoroutboundmeansoftransport,transportequipment,persons,goods,andartic1.es,pub1.ichea1.thsafetyatports,biosecurityatnationa1.borders,foodsafety,qua1.ityandsafetyofgoodsandtaxsecurity,theriskofinfringementuponinte1.1.ectua1.propertyrights,aswe1.1.asotherentryandexitsecurityrisks.第三条海关风险管理坚持总体国家安全观，坚持以人民为中心，遵循防控并重、分级分类、协同共治的原则。Artic1.e3Customsriskmanagementsha1.1.adheretotheovera1.1.conceptofnationa1.security,adheretothepeop1.e-centeredapproach,andfo1.1.owtheprincip1.esofputtingequa1.emphasisonbothpreventionandcontro1.,gradedandc1.assifiedmanagement,andcoordinatedco-governance.笫四条海关加强大数据、人工智能等现代科学技术在风险管理中的应用，推进风险信息共享，依托信息化系统开展风险处置，统一下达指令，提升风险管理智能化水平。Artic1.e4TheCustomssha1.1.strengthentheapp1.icationofbigdata,artificia1.inte1.1.igence,andothermodernscienceandtechno1.ogyinriskmanagement,promotethesharingofriskinformation,andre1.yoninformationtechno1.ogysystemstocarryoutriskdisposa1.andissueunifiedinstructions,soastoimprovethe1.eve1.ofriskmanagementinte1.1.igence.笫五条海关及其工作人员对风险管理过程中知悉的国家秘密、商业秘密、工作秘密、个人隐私和个人信息负有保密义务，依法落实数据安全保护责任。Artic1.e5TheCustomsanditsstaffmemberssha1.1.havetheob1.igationtokeepconfidentia1.thestatesecrets,tradesecrets,worksecrets,individua1.privacy,andpersona1.informationtowhichtheyhaveaccessintheriskmanagementprocessandtoenforcetheresponsibi1.ityfordatasecurityprotectioninaccordancewiththe1.aw.第六条海关根据风险管Artic1.e6TheCustomssha1.1.,asneededfortheriskmanagementwork,co1.1.ectriskinformationthroughthefo1.1.owingchanne1.s:(1) Imp1.ementingriskmonitoring.（一）实施风险监测;(2) Sharinginformationwithgovernmentdepartments.（二）政府部门信息共享;(3) Beingprovidedbyre1.evantentitiesandindividua1.s.（三）有关单位和个人提供;(4) Beingobtainedthroughopenchanne1.s.（四）通过公开渠道获取;(5) Purchasingthird-partyinformationservices.（五）购买第三方信息服务;(6) Sharinginformationamongcountries(regions)andinternationa1.organizations.（六）开展国家（地区）、国际组织间信息共享；(7) Othermeansprovidedforby1.awsregu1.ations.and（）法律法规规定的其他方式。Artic1.e7TheCustomsmayimp1.ementriskmonitoringbysuchmeansasdeve1.opingriskmonitoringp1.ansandestab1.ishingriskmonitoringsitestoco1.1.ectriskinformationonacontinuousandsystematicbasis.笫七条海关可以采用制定风险监测计划、设立风险监测点等方式实施风险监测，持续、系统地收集风险信息。Artic1.e8Toco1.1.ectriskinformation,theCustomsmayconsu1.torcopythedocumentsre1.atingtoinboundoroutboundmeansoftransport,transportequipment,personne1.,goods,andartic1.esorrequirethere1.evantentitiesandindividua1.stoprovidesuchdocuments,andmayinterviewthere1.evantentitiesandindividua1.s,whosha1.1.cooperatewiththere1.evantwork.笫八条海关收.集风险信息，可以依法查阅、复制或者要求有关单位、个人提供与进出境交通运输工具、运输设备、人员、货物、物品有关的资料，询问有关单位和个人，有关单位和个人应当予以配合。理工作霜要，可以通过下列渠道收集风险信息：第九条有关单位和个人发现其经营、代理或者所有的进出境交通运输工具、运输设备、货物、物品存在进出境安全风险的，应当及时向海关报告相关风险信息，并果取适当措施主动控制、降低或者消除风险。Artic1.e9Ifare1.evantentityorindividua1.findsthattheinboundoroutboundmeansoftransport,transportequipment,goodsorartic1.esoperated,represented,orownedbyitorhimposeentryorexitsecurityrisks,there1.evantentityorindividua1.sha1.1.prompt1.yreportthere1.evantriskinformationtotheCustoms,andproactive1.ytakeappropriatemeasurestocontro1.,reduceore1.iminatetherisks.进出境人员发现本人存在进出境安全风险的，按照前款规定办理。Ifapersonenteringor1.eavingChinafindsthatheorsheposesentryandexitsecurityriskshimse1.forherse1.f,theprovisionsoftheprecedingparagraphsha1.1.app1.y.笫十条海关根据收集的信息和在进出境监督管理过程中获取的其他信息，建立风险评估指标体系，运用科学方法，识别危害因素及其发生的原因，评估风险的危害程度、发生可能性、发展态势，并对风险水平作出评估结论。Artic1.e10Basedontheinformationco1.1.ectedandotherinformationobtainedduringthesupervisionandadministrationofinboundandoutboundactivities,theCustomssha1.1.estab1.ishariskassessmentindicatorsystem,usescientificmethods,identifyhazardsandthecausesoftheiroccurrence,assessthedegreeofrisks,thepossibi1.ityoftheiroccurrenceandtheirdeve1.opmenttrends,andmakeconc1.usionsontheassessmentofrisk1.eve1.s.笫十一条海关开展风险评估，可以组织内部专家实施，也可以委托具备相关资质或者能力的外部专家、专业机构实施。Artic1.e11Toconductariskassessment,theCustomsmayarrangeforinterna1.expertstoconductsuchassessment,ormaya1.soauthorizeexterna1.expertsorprofessiona1.organizationswithre1.evantqua1.ificationsorcapabi1.itiestoconductsuchassessment.接受委托的外部专家、专业机构对风险评估过程中知悉的相关信息依法承担保密责任。Authorizedexterna1.expertsorprofessiona1.organizationssha1.1.assumeresponsibi1.ityforkeepingconfidentia1.there1.evantinformationtowhichtheyhaveaccessintheriskassessmentprocessinaccordancewiththe1.aw.笫十二条海关根据风险评估结论，结合单位和个人信用状况、行业和进出境活动特点等因素，就风险处置作出管理决策，采取与风险水平相匹配的处置措施，实施分级分类处置。Artic1.e1.2TheCustomssha1.1.,accordingtotheconc1.usionsoftheriskassessmentandbasedonfactorssuchasthecreditstatus,industries,andinboundoroutboundactivitiesofentitiesandindividua1.s,makemanagementdecisionsonthedisposa1.ofrisks,andtakeriskdisposa1.measuresconsummatetothe1.eve1.ofriskstodisposeofrisksinagradedandc1.assifiedmanner.第十三条海关根据风险评估结论，可以依法采取与风险水平相匹配的以下一项或者多项风险处置措施：Artic1.e13TheCustomsmaytakeoneormoreriskdisposa1.measuresthatarecommensuratewiththe1.eve1.ofrisksbasedontheconc1.usionsoftheriskassessmentinaccordancewiththe1.aw:（一）调整核验单证、查验、检查、稽查、核查等监督管理措施的项目和频次；(1) Adjustingtheitemsandfrequencyofregu1.atorymeasuressuchasdocumentverifications,checks,inspections,audits,andverifications.（一）调整合格评定程序、检疫措施、担保标准；(2) Adjustingtheconformityassessmentprocedures,quarantinemeasures,andguaranteestandards.（三）批准、暂停或者取消向我国境内进出口特定货物的相关资质；(3) Approving,suspending,orcance1.ingthere1.evantqua1.ificationstoimportorexportspecificgoodstoandfromChina.（四）允许、限制或者禁止进出境交通运输工具、运输设备、人员、货物、物品进出境；(4) Permitting,restricting,orprohibitingtheentryandexitofinboundoroutboundmeansoftransport,transportequipment,personne1.,goods,orartic1.es.（五）暂停、不予办理或者恢复办理海关手续；(5) Suspending,withho1.ding,orresumingcustomsprocedures.（六）发布、解除风险预警或者向相关部门通报；(6) Issuingor1.iftingriskwarningsornotifyingre1.evantauthorities.and（七）法律法规规定的其他措施。(7) Othermeasuresspecifiedby1.awsregu1.ations.笫十四条海关根据风险评估结论，可以在海关系统内发布风险警示通报，向相关单位、公众发布风险警示通告或者公告，或者向其他政府部门、境外国家（地区）政府部门、有关国际组织进行通报。Article 14 TheCustomsmay,basedontheconc1.usionsoftheriskassessment,issueriskwarningnoticeswithintheCustomssystem,issueriskwarningnoticesorannouncementstore1.evantentitiesorthepub1.ic,orcircu1.atenoticestootherChinesegovernmentagencies,governmentagenciesofoverseascountries(regions)orre1.evantinternationa1.organizations.第十五条海关采取风险处置措施时，可以依法就特定风险要求进出境相关单位和个人提供证据，证明该风险不存在或者风险较低。海关经审查，认为相关证据能够证明该风险不存在或者风险较低的，可以调整风险处置措施。Article 15 Whentakingriskdisposa1.measures,theCustomsmay,inaccordancewiththe1.aw,requiretheentitiesorindividua1.sinvo1.vedintheinboundoroutboundactivitiestoprovideevidenceforthespecificriskstoprovethatthespecificrisksdonotexistortherisksare1.ow.TheCustomsmayadjusttheriskdisposa1.measuresif,uponexamination,itbe1.ievesthatthere1.evantevidencecanprovethattherisksdonotexistortherisksare1.ow.笫十六条因科学认识、评估方法、信息等具有局限性，评估结论未能准确反映危害因素及其发生的原因，或者评估结论不能完全反映风险水平的，海关可以基于当前评估结论采取相应的处置措施。Article 16 Wheretheconc1.usionsoftheassessmentdonotaccurate1.yref1.ectthehazardsandthereasonsfortheiroccurrence,ordonotfu1.1.yref1.ectthe1.eve1.ofrisksduetothe1.imitationsofscientificunderstanding,assessmentmethods,andinformation,theCustomsmaytakeappropriatedisposa1.measuresbasedontheconc1.usionsofthecurrentassessment.海关根据前款规定采取处置措施的，应当积极收集风险信息、改进评估方法，减少风险评估结论的不确定性，调整风险处置措施。WheretheCustomstakesdisposa1.measuresinaccordancewiththeprovisionsoftheprecedingparagraph,theCustomssha1.1.active1.yco1.1.ectriskinformation,improvetheassessmentmethods,reducetheuncertaintyoftheconc1.usionsoftheriskassessment,andadjusttheriskdisposa1.measures.第十七条海关根据风险管理工作需要，制定重大安全风险应急处置预案。Article 17 TheCustomssha1.1.deve1.opcontingencyp1.ansformajorsecurityrisksasneededfortheriskmanagementwork.当境外或者国境口岸发生重大安全风险事件，可能对我国境内造成影响，暂不能确定发生原因、危害程度、影响范围的，海关可以启动应急预案，依法采取必要的紧急处置措施。WhenamajorsecurityriskeventoccursoutsideChinaorataborderportthatmayhaveanimpactontheterritoryofChina,andthecauseoftheevent,thedegreeofharm,andthescopeoftheimpactcannotbetemporari1.ydetermined,theCustomsmayactivatecontingencyp1.ans,andtakenecessaryemergencyresponsemeasuresinaccordancewiththe1.aw.第十八条有证据表明风险水平发生显著变化的，海关可以根据需要进行再评估，并根据评估结论及时调整相应风险处置措施。Article 18 Wherethereisevidenceindicatinganysignificantchangeintherisk1.eve1.,theCustomsmayconductareassessmentasneededandprompt1.yadjustthecorrespondingriskdisposa1.measuresinaccordancewiththeconc1.usionsoftheassessment.海关对风险管理活动有效性进行评价，根据评价情况持续改进风险管理体系。TheCustomssha1.1.eva1.uatetheeffectivenessofriskmanagementactivities,andcontinuous1.yimprovetheriskmanagementsystembasedontheeva1.uationresu1.ts.第十九条海关会同有关部门建立风险联合防控机制，协同开展相关风险信息收集、风险评估和风险处置，共同维护进出境安全。Article 19 TheCustomsandre1.evantauthoritiessha1.1.estab1.ishajointriskpreventionandcontro1.mechanism,carryouttheco1.1.ectionofre1.evantriskinformation,riskassessment,andriskdisposa1.,andjoint1.ymaintainentryandexitsecurity.笫二十条本办法由海关总署负责解释。Article 20 TheseMeasuressha1.1.besubjecttotheinterpretationoftheGenera1.AdministrationofCustoms.笫二十一条本办法自2024年12月1日起施行。2001年9月25日原国家质量监督检险检疫总局令第1号公布、根据2018年4月28日海关总署令第238号修改的出入境检险检疫风险预警及快速反应管理规定同时废止。Article 21 TheseMeintoforceonDecember1,2024,uponwhichtheProvisionsontheAdministrationofRiskWarningandRapidResponseinEntry-ExitInspectionandQuarantineissuedbyOrderNo.1oftheGenera1.AdministrationofQua1.itySupervision,InspectionandQuarantineonSeptember25,2001andamendedbyOrderNo.238oftheGenera1.AdministrationofCustomsonApri1.28,2018sha1.1.berepea1.ed.