与外资安审联动的美国技术出口管制制度及中国应对

On Technology Export Control from the Perspective of Linkage Relationship with National Security Review of Foreign Investment and China’s Countermeasures

为了强化本国技术出口管制,美国在出台《出口管制改革法》以外,还建立了《出口管制改革法》与《外国投资风险评估现代化法》之间的联动关系。基于国家经济主权原则及对美国现有国际法义务的考量,这种做法在形式上并不直接违反国际法,实质上却是美国实行保护主义的又一立法体现,并且会产生为其他国家进行技术封锁提供法律范式、拓展国家安全的范围乃至冲击多边贸易体制、阻碍全球技术流通等诸多负面影响。考虑到这些负面影响以及美国技术出口管制所表露的对华针对性,结合目前的中国实际,中国需要从制定和完善出口管制及外资安全审查法律规则、从企业和政府两个维度推动企业合规以及积极利用国际合作机制等,多方面应对和抵制美国严格的技术出口管制。

In order to strengthen the export control of domestic technologies,the United States not only introduced the Export Control Reform Act,but also established the linkage between the Export Control Reform Act and the Foreign Investment Risk Review Modernization Act.Based on the principle of state economic sovereignty and the consideration of the existing international law obligations of the United States,this practice does not directly violate international law surficially,but in essence,it is a legislative embodiment of American protectionism.In addition,it will have many negative effects,including providing legal templates to other countries on technical blockade,impacting the multilateral trading system by expanding the scope of national security,and impeding the global flow of technology.Taking into account these negative impacts,the attitude of the United States towards China in terms of technology export control rules,in combination with the reality of current China,this paper argues that China needs to take various measures to cope with and resist America’s strict rules on technology export control,including formulating and improving China’s legal system in the field of export control and national security review of foreign investment,promoting enterprise compliance at both enterprise and government levels,and using international cooperation mechanisms actively.