【作者】 许晨；

【导师】 陈立虎；

【作者基本信息】 苏州大学 ， 国际法学， 2019， 硕士

【摘要】 随着经济和科技的快速发展,美国出口管制法的内涵也在不断变化。“出口”一词已不再局限于物品在国家间发生物理位置上的移动,还扩大到“视同出口”、“无形出口”、“再出口”、“转运”等概念,使得美国出口管制的范围越来越广泛。本文第一章对美国出口管制法体系做了详尽的介绍,包括出口管制相关法律法规、出口许可证制度、商品管制清单和国别清单等。美国出口管制法律制度反映了两大价值追求——国家安全和经济利益。这两者既对立又相辅相成。美国近年来不断在两者之间寻求价值平衡,以达到出口管制的最优效果。过去几十年来,美国一直将中国视为“战略竞争对手”,单独针对中国制定了一系列出口管制政策,具体体现在出口管制物项、出口管制主体、具体制度设计和违反出口管制的后果四个方面。由此可以看出美国出口管制法律之下的中国条款有以下特征:第一,管制机构多元;第二,管制物项广泛;第三,惩罚措施严厉;第四,管制具有歧视性。但是,美国对中国实施出口管制是否具有正当性呢?该问题在本文第三章作进一步探讨。在论及美国出口管制法的域外效力时,本文结合一般国际法规则和WTO/GATT规则进行整体讨论,然后将美国直接管制措施和间接管制措施分开,从管辖原则上具体分析美国出口管制法的合规性及正当性。美国对华实施出口政策产生的影响并不小,因此,本文第四章阐述了中国从法律层面上应对美国出口管制的对策,无论是公力救济还是私力救济,中国都应该为应对美国出口管制做好充分准备。例如,借助WTO平台,促使美国审慎施用出口管制法之下的中国条款:通过签订双边或多边条约,建立齐全且公平的中美贸易出口通道,减少美国出口管制的运用;合理认可美国出口管制法的域外效力;采取适当的反制措施等,同时,企业也要做到遵守国际规则和必要、合理的约束,避免遭受处罚。更多还原

【Abstract】 With the rapid development of economy and technology,the connotation of U.S.export control law is constantly changing.The term "export" is no longer confined to the movement of physical position between countries,but also extends to broader concepts such as "deemed export","invisible export","re-export" and "transfers(in-country)",making the scope of U.S.export control more extensive.The first chapter gives a detailed introduction to the U.S.export control system,including the relevant laws and regulations,export licensing system,commerce control list and commerce country chart.The U.S.export control system reflects two major pursuit of values:national security and economic interest.The relationship between them is antagonistic and complementary.The United States needs to seek a balance of interests,so as to achieve the maximum effectiveness of export control.In the past few decades,The United States regards China as a "strategic competitor"and formulates a series of export control policies for China,which are embodied in items,subjects,specific system and the consequences of violation.From the detailed elaboration of the Chinese clauses above,we can conclude that the Chinese clauses under U.S.export control law have the following characteristics:first,the multicultural administrative agencies;second,the broad controlled items;third,the strict penalty measures;fourth,the discriminatory policy.However,is there any basis in international law for U.S.export control to China?This problem is further discussed in the second chapter.When discussing the extraterritorial effect of U.S.export control law,this chapter discusses the general rules of international law and WTO/GATT rules,and then analyzes the compliance of U.S.export control law from jurisdictional principles.U.S.export policy to China has a great impact.Therefore,chapter four elaborates China’s legal measures to deal with U.S.export control,whether remedy by public force or private right,China should be ready to deal with U.S.export control.For example,China’s provisions under the U.S.export control law should be applied prudently under the WTO framework;a fair China-US trade export channel should be established by signing bilateral or multilateral treaties;the extraterritorial effect of US export control law should be recognized reasonably;and countermeasures should be taken.Meanwhile,enterprises should abide by international rules and observe necessary and reasonable constraints to avoid being punished.更多还原