在華商事仲裁機構及仲裁員美國出口管制與經濟制裁風險芻議

U. S. Export Control and Economic Sanctions Exposure of Commercial Arbitration Institutions and Arbitrators in China

在華商事仲裁機構及仲裁員存在美國出口管制或者經濟制裁風險，其癥結在於該出口管制與經濟制裁的域外管轄規定。就美國出口管制而言，出口管制“跟隨美國物項”，無論該美國物項是否在美國境內，也無論交易主體是否為美國主體，其出口、視同出口、再出口或者在美國之外的國家內再轉讓，均可能需要申領美國商務部的出口許可證，否則可能違反美國出口管制的規定，或構成協助違反美國出口管制的行為，或導致違反美國出口管制；就美國經濟制裁而論，任何非美國主體都可能因妨礙美國國家安全或者外交政策利益而直接被美國制裁。此外，非美國主體，例如在華實體或者個人，如果造成美國主體與美國所制裁對象直接或者間接進行交易或者提供服務，或者直接觸犯了美國次級制裁規定（即任何主體均必須遵守的美國制裁措施），則該在華實體或者個人也違反了美國制裁法律。儘管中國法律並不認可美國上述法律的域外效力，就上述觸犯美國法律的行為，有關行為主體將承擔美國刑事或者行政處罰的嚴重後果，或者可能受到美國出口管制與經濟制裁機制項下的相關黑名單制裁。而美國出口管制與經濟制裁規定並沒有豁免在華商事仲裁機構和仲裁員的遵從義務與違法責任，因此，在華商事仲裁機構及其仲裁員需要注意美國出口管制與制裁風險，學界和實務界都應更加關注在華商事仲裁程序中仲裁機構及其仲裁員從事仲裁活動所可能引發的美國出口管制與經濟制裁風險，共同探討避免該風險的應對之策。

The exposure of commercial arbitration institutions and arbitrators in China to U. S. export control and economic sanctions is primarily due to the extraterritorial jurisdiction provisions of such control and economic sanctions. The U. S. export control follows the items subject to the Export Administration Regulations (US Items) no matter whether such U. S. Items are within or outside the United States, irrespective of whether the parties to US Items-related transaction are U. S. persons or not. Such activities as export, re-export, or in-country transfer outside the U. S. as well as deemed export of U. S. Items may be subject to U. S. export license requirement from the U. S. Department of Commerce. Such activities if conducted without an export license as required will be in violation of EAR. The arbitration institution or arbitrators in China if either assisting or causing any such activities in violation of EAR, would be exposed to penalties or sanctions under US export control regime. As far as U. S. economic sanctions are concerned, the arbitration institution or arbitrator in China can be directly blacklisted by the United States if it is viewed as repugnant to U. S. national security or foreign policy interests or possibly posing such risks. Further, the arbitration institution or arbitrator in China if causing a US person to violate US economic sanctions or assisting such transactions as involving a party blacklisted by the United States with secondary consequences, will be also subject to US economic sanctions, despite that Chinese law does not recognize the extraterritorial effect of the U. S. laws. The arbitration institution or arbitrator in China if violating US export control or economic sanctions would incur severe penalty consequences and/or are subjected to sanctions as well. Therefore, commercial arbitration institutions and arbitrators in China need to be aware of such U. S. export control and economic sanctions risks. This paper accordingly analyzes the potential risks of U. S. export control and economic sanctions that may arise in the arbitration activities, to which the arbitration institutions and arbitrators in China are exposed, as well as strategies as to how to tackle such risks.