反思出口管制法域外适用:实践冲突与国际法约束

Reflections on the Extraterritorial Application of Export Control Law:Practice Conflicts and the Constraint of International Law

出口管制法域外适用,是指国家将本国出口管制法律适用于发生在其域外之行为的过程。它是国家保障出口管制措施有效性的必要做法,但也在历史上引发了诸多国际冲突。通过对相关实践冲突的类型化分析得知,出口管制法域外适用的学理争议主要集中在管辖再出口行为或实施最终用户清单制度的条件,以及依据“物项来源地”实施管辖的合法性等。国际法义务构成了出口管制法域外适用的合法性边界,但由于部分国际法规范存在模糊性、历史局限性,在面对个别国家滥用或任意扩张域外效力等实践乱象时,其未能充分发挥应有的约束力。因此,基于发展的视角对现行国际法规范全面、系统、合理地解释以明确国际法约束范围,是调和出口管制法域外适用冲突的重要前提。管辖权原则是国际法约束的重要依据。由于域外管辖涉及他国的主权与利益范围,不能简单利用“法无禁止即可为”原则为国家行为提供合法性,而要具体考察行使域外管辖的行为是否符合各类管辖权基础的适用范围与援引条件。此外,国际经贸条约义务与其他习惯国际法义务也是划定国际法约束范围的重要依据。厘清出口管制法域外适用的国际法约束范围,有助于判断各类有争议的域外管辖情形的国际法合法性,明确合理主张域外管辖的理想方式。

The extraterritorial application of export control law refers to the process in which a country applies its export control law to the acts occurring outside its territory.The extraterritorial application of export control law is a necessary way for the state to ensure the effectiveness of export control measures,but it has also caused many international conflicts in history.Based on the typological analysis of the relevant practice conflicts,academic disputes regarding the extraterritorial application of export control law mainly focus on the conditions for governing the re-export or for the implementation of the end-user list system,as well as the legitimacy of exercising jurisdiction based on the origin of the items.The obligations of international law constitute the legal boundary of the extraterritorial application of export control law.However,due to the vagueness and historical limitation of some rules,international law cannot give full play to its due binding force when some countries abuse or expand extraterritorial effect at will.Therefore,a comprehensive,systematic and reasonable interpretation of the existing rules of international law based on the perspective of development is an important prerequisite to reconcile the conflict of the extraterritorial application of export control law.The principle of jurisdiction is the core of the constraint of international law.Since extraterritorial jurisdiction involves the sovereignty and interest of other states,the state may not simply provide legitimacy for its acts by using the principle that“everything which is not forbidden is allowed”,but has to specifically consider whether such acts conform to the application scope and invocation conditions of each jurisdiction basis.In addition,the obligations of international economic and trade treaties and other customary international law obligations are also the important basis to delimit the scope of the constraint of international law.Clarifying the scope of the constraint of international law is helpful to judge the legality of extraterritorial jurisdiction which causes disputes,and outlines an ideal way to reasonably claim extraterritorial jurisdiction.