在华商事仲裁机构及仲裁员美国出口管制与经济制裁风险刍议

U.S.Export Control and Economic Sanctions Exposure of Commercial Arbitration Institutions and Arbitrators in China

在华商事仲裁机构及仲裁员存在美国出口管制或者经济制裁风险,其症结在于该出口管制与经济制裁的域外管辖规定。就美国出口管制而言,出口管制“跟随美国物项”,无论该美国物项是否在美国境内,也无论交易主体是否为美国主体,其出口、视同出口、再出口或者在美国之外的国家内再转让,均可能需要申领美国商务部的出口许可证,否则可能违反美国出口管制的规定,或构成协助违反美国出口管制的行为,或导致违反美国出口管制;就美国经济制裁而论,任何非美国主体都可能因妨碍美国国家安全或者外交政策利益而直接被美国制裁。此外,非美国主体,例如在华实体或者个人,如果造成美国主体与美国所制裁对象直接或者间接进行交易或者提供服务,或者直接触犯了美国次级制裁规定(即任何主体均必须遵守的美国制裁措施),则该在华实体或者个人也违反了美国制裁法律。尽管中国法律并不认可美国上述法律的域外效力,就上述触犯美国法律的行为,有关行为主体将承担美国刑事或者行政处罚的严重后果,或者可能受到美国出口管制与经济制裁机制项下的相关黑名单制裁。而美国出口管制与经济制裁规定并没有豁免在华商事仲裁机构和仲裁员的遵从义务与违法责任,因此,在华商事仲裁机构及其仲裁员需要注意美国出口管制与制裁风险,学界和实务界都应更加关注在华商事仲裁程序中仲裁机构及其仲裁员从事仲裁活动所可能引发的美国出口管制与经济制裁风险,共同探讨避免该风险的应对之策。

The exposure of commercial arbitration institutions and arbitrators in China to U.S.export control and economic sanctions is primarily due to the extraterritorial jurisdiction provisions of such control and economic sanctions.The U.S.export control follows the items subject to the Export Administration Regulations(US Items)no matter whether such U.S.Items are within or outside the United States,irrespective of whether the parties to US Items-related transaction are U.S.persons or not.Such activities as export,re-export,or in-country transfer outside the U.S.as well as deemed export of U.S.Items may be subject to U.S.export license requirement from the U.S.Department of Commerce.Such activities if conducted without an export license as required will be in violation of EAR.The arbitration institution or arbitrators in China if either assisting or causing any such activities in violation of EAR,would be exposed to penalties or sanctions under US export control regime.As far as U.S.economic sanctions are concerned,the arbitration institution or arbitrator in China can be directly blacklisted by the United States if it is viewed as repugnant to U.S.national security or foreign policy interests or possibly posing such risks.Further,the arbitration institution or arbitrator in China if causing a US person to violate US economic sanctions or assisting such transactions as involving a party blacklisted by the United States with secondary consequences,will be also subject to US economic sanctions,despite that Chinese law does not recognize the extraterritorial effect of the U.S.laws.The arbitration institution or arbitrator in China if violating US export control or economic sanctions would incur severe penalty consequences and/or are subjected to sanctions as well.Therefore,commercial arbitration institutions and arbitrators in China need to be aware of such U.S.export control and economic sanctions risks.This paper accordingly analyzes the potential risks of U.S.export control and economic sanctions that may arise in the arbitration activities,to which the arbitration institutions and arbitrators in China are exposed,as well as strategies as to how to tackle such risks.