国家技术安全清单:概念界定、法律性质与规范路径  

The National Technical Security List:Concept Definition,Legal Nature,and Improvement Path

作　　者：刘文龙 LIU Wenlong

机构地区：[1]中山大学法学院,广东广州510275

出　　处：《深圳社会科学》2025年第1期75-85,115,共12页Social Sciences in Shenzhen

基　　金：国家社会科学基金一般项目“国家安全视域下技术安全清单管理法律制度构建研究”(20BFX146);国家社会科学基金重大项目“全面推进依法治国与国家治理法治化研究”(17VZL008)。

摘　　要：“十四五”规划纲要指出应健全国家技术安全清单管理制度,对关系到国计民生和国家安全的重要技术实施清单化、系统化管理,加强技术对外转移的审查审批。作为国家技术安全规制的重要依据,国家技术安全清单是指政府为防范技术外流风险而以列举方式说明可能影响国家安全的关键敏感技术的制度,属于政府在法律授权下创设的旨在维护技术领域国家安全的权威型政策工具。在法律性质上,形式的规范性、内容的解释性和功能的双元性,决定了国家技术安全清单是一种兼具“规制”与“自制”功能的解释性行政规则。它在整个国家技术安全规制体系中发挥着承上启下的嵌合作用,既传递和体现顶层法律规范系统的要求,又支撑和规范底层监管执法系统的运转。然而,国家技术安全清单在实践过程中暴露出规范内容错漏、决策程序瑕疵、司法审查无力等问题,这些问题削弱了清单与依清单行政的合法性与最佳性,阻碍了制度功能的充分发挥。为在法治的轨道上统筹发展和安全,国家技术安全清单应对标法治政府建设要求整饬重塑,推进管制事项与管制规则的一体化说明、大众知识与专家知识的嵌入平衡以及清单可诉性和可证立性条件的补强优化。The outline of the 14th Five-Year Plan points out to establish a management system of National Technical Security List,to strengthen the systematic management of important technology and the censorship of technology export.As an important basis of regulation,the National Technical Security List refers to a rule that enumerates and explains sensitive technology to prevent technology outflow risk.The government have an authoritative policy tool created by the government under legal authorization to maintain national security.In legal character,the National Technical Security List is an interpretive administrative rule combines the functions of regulation and self-restraint,which has three characteristics involving the normativity of form,explanatory of content,and dualities of effect.It plays a bridging role in the regulatory system of national technical security,not only conveying and reflecting the requirements of the law system,but also supporting and regulating the operation of enforcement system.However,the National Technical Security List has some problems in practice,such as errors and omissions in institutional content,flaws in decision-making process,and powerlessness in judicial review.Those problems weaken the legality and optimality of the list and administration according to the list,whiles hinders the full play of institutional functions.To ensure administration in according with law,the National Technical Security List should be improved from three directions,involving explaining the regulatory matters and rules in content,embedding and balancing diverse knowledge in decision-making,and optimizing the criterion of prosecution and trial in administrative litigation.

关 键 词：国家安全 技术安全 国家技术安全清单 国家技术安全清单管理制度 行政规则 

分 类 号：D922.17[政治法律—宪法学与行政法学]