美国出口管制清单制度对中国的影响及应对  

The Impact of the US Export Control List System on China and Countermeasures

作　　者：王燕[1] 李菁 WANG Yan;LI Jing

机构地区：[1]广东外语外贸大学法学院

出　　处：《经贸法律评论》2022年第5期75-90,共16页Business and Economic Law Review

基　　金：国家社会科学基金重大项目“粤港澳大湾区数据要素跨境流动路径研究”(项目批准号:21&ZD123);广东省哲学社会科学规划“习近平法治思想研究”委托项目“统筹国内法治和涉外法治,完善我海外利益法治保障体系”(项目批准号:GD22TW04-02)。

摘　　要：美国出口管制清单制度现已成为其经济制裁中国企业、遏制中国崛起的法律武器。该制度适用范围广泛,针对不同对象分别适用实体清单、未经证实清单、最终军事用户清单、被拒绝人清单,以控制其受限交易及豁免情形。2016年以来,中资企业受美国出口管制清单制裁的数量逐年递增,其行业分布、制裁理由、处罚措施与美国对华战略一致。受制裁企业遭遇关键零部件采购受限、海外业务拓展困难、合规成本上升等负面影响。鉴于美国对华制裁趋势不变,中国政府应积极完善反外国制裁法律体系,中资企业亦应完善企业合规制度、提升自主创新能力,并积极运用美国行政及司法救济,降低出口管制清单制裁的影响。The US export control list system has become a legal weapon for its economic sanctions against Chinese companies and to contain the rise of China. The system applies the entity list, the unverified list, the military end-user list and the denied persons list to different targets to control their restricted transactions and exemptions in a wide range of situations. Since 2016, the number of Chinese companies sanctioned by the US export control list has increased year on year.Their industry distribution, reasons for sanctions and penalties are consistent with the US strategy towards China. These sanctioned enterprises have experienced negative impacts such as restricted procurement of key components, difficulties in expanding overseas business and rising compliance costs. Given the trend of US sanctions against China, the impact of export control list sanctions on China can be reduced in two ways. First, at the national level, China should improve its anti-foreign sanctions legal system actively. Second, at the enterprise level, Chinese companies shall refine their corporate compliance systems, enhance their independent innovation capabilities,and actively use US administrative and judicial remedies.

关 键 词：出口管制清单 实体清单 未经证实清单 最终军事用户清单 经济制裁 

分 类 号：D971.2[政治法律—法学] D912.29