CHINA: An Introduction to International Trade: Customs, Export Controls & Economic Sanctions (PRC Fi

Extraterritorial Jurisdiction Under the Export Control Regulation of China

The Regulation of the People’s Republic of China on Export Control of Dual-Use Items (the “Regulation”) came into force on 1 December 2024. Interestingly, the Regulation specifies two instances of “re-export control” mentioned in the Export Control Law of the PRC (ECL), which are (i) the control of Chinese-origin items and (ii) the control of foreign-manufactured items. These two instances of control appear, at least to some extent, to be instances of extra-territorial jurisdiction.

Article 48 of the Regulation follows the ECL in providing that the overseas transit, transshipment, through transport, re-export, or export of dual-use items from special customs supervision zones and bonded supervision premises shall be governed by the relevant provisions of the ECL and the Regulation. The re-export control regime thus exhibits a degree of extra-territorial jurisdiction.

The ECL does not define “re-export”, which reflects the caution in the mind of the legislature. Unlike the United States, the European Union does not treat re-export to third countries as an instance of extra-territorial jurisdiction, believing that this interpretation of the act lacks sufficient justification in international law. Accordingly, it is understandable China has adopted a cautious approach to the control of re-export.

Control of Chinese-origin items

By virtue of Article 49 of the Regulation, China has clarified the scope of its re-export control, which it has confined to export embargo targets and such specially blacklisted parties as may be specifically designated by China from time to time.

Under Article 49, the re-export control of specific dual-use items originating from China targets “designated destination countries, regions, organisations, and individuals”, referring to those targets subject to China’s export embargoes or specifically blacklisted parties. Such activity is controlled where it involves the transfer or provision of specific dual-use items outside China by any foreign entity or individual to these specially designated targets or parties. The existence of such re-export control would be signified by an official announcement containing explicit wording on control of Chinese-origin items.

On 2 December 2024, the day after the Regulation took effect, the Bureau of Industry and Security, part of the US Department of Commerce, designated 136 Chinese entities to its Entity List. In response, on 3 December 2024, the Chinese Ministry of Commerce issued Announcement No 46 of 2024, tightening the export controls on dual-use items to the United States. This is a countermeasure adopted by the Chinese government against the United States’ export control measures. According to the announcement, the Chinese government has taken the following export control measures with immediate effect:

• it is prohibited to export dual-use items to United States military end-users or for military uses;
• in principle, an export licence for gallium, germanium, antimony, and superhard materials related to dual-use items to the United States shall not be granted;
• export of graphite-related dual-use items to the United States shall be subject to more stringent end-user and end-use review; and
• any organisations or individuals in any country or region that transfer or provide relevant dual-use items originating in the PRC to US-based organisations or individuals in violation of the above provisions will be held legally responsible in accordance with the law.

The above export control measures, which control the re-export of Chinese-origin dual-use items, target the United States. This marks the first instance of ex-export control, which signals that:

• the Chinese government does not impose re-export control in every export control measure;
• re-export control only occurs under special conditions; and
• the current re-export measures are country-specific embargoes only against the re-export of certain sensitive items to the United States.

This country-specific control measure aligns with the scope of re-export provided for in the Regulation.

Control of foreign-manufactured items

Similar to the control of Chinese-origin items, the control of foreign-manufactured items also possesses a characteristic of extra-territorial jurisdiction. While the ECL does not address control of foreign-manufactured items, Article 49 of the Regulation introduces provisions to regulate such items, which may come as something of a surprise.

Nonetheless, the underlying logic of controlling foreign-manufactured items in Article 49 mirrors that of the control over Chinese-origin items. The controlled targets are “designated destination countries, regions, organisations, and individuals”, and the controlled activity refers to the transfer or provision of specific dual-use items outside China by any foreign parties to these targets. The control of foreign-manufactured items occurs only when the Chinese government officially announces such express control of foreign-manufactured items.

For these purposes, “foreign-manufactured items” means (i) dual-use items manufactured outside China that incorporate, are integrated with or commingled with specific dual-use items originating from China; or (ii) dual-use items manufactured outside China using specific dual-use technologies and so forth originating from China.

There seems to be only one possible explanation for the legislature wishing to use the Regulation to control foreign-manufactured items. As we perceive it, legislators may understand the term “re-export” to include the transfer or provision outside China of Chinese-origin items or the abovementioned foreign-manufactured items.

Thus far the Chinese government has not announced control measures on foreign-manufactured items. Furthermore, there are no ratio thresholds generally applicable to the Chinese-origin contents in dual-use items manufactured outside China. These issues are expected to be further clarified by the Chinese government when it begins to control foreign-manufactured items in the future.

Conclusion

Though taking the form of extra-territorial jurisdiction, the above provisions of the Chinese re-export control regime reflect the Chinese government’s priorities: safeguarding national security and interests, as well as its countermeasures against what it perceives as the abuse of export control on Chinese parties by foreign governments. Therefore, it regards such provisions of extra-territorial jurisdiction as justifiable because it feels them necessary for national security where they constitute countermeasures and have what it believes to be legitimacy under international law.

We expect that China will soon issue clear guidelines on the content ratio for foreign-manufactured items that incorporate, or integrate or are commingled with specific Chinese-origin dual-use items. This will assist the business community in assessing the risks of cross-border supply chains and implementing proactive compliance measures, thus ensuring transparency in the legal environment as well as the stability of cross-border supply chains.

中国出口管制的域外管辖问题

2024年12月1日实施的《两用物项出口管制条例》（“该条例”）落实了《出口管制法》“再出口”的规定，创设了中国原产物项管制和外国制造物项管制。这两项出口管制制度，至少在某种程度上，具有域外管辖色彩。

《两用物项出口管制条例》第48条延续《出口管制法》，规定两用物项的过境、转运、通运、再出口或者从海关特殊监管区域和保税监管场所向境外出口，依照出口管制法和该条例的有关规定执行。其中关于再出口管制，具有域外管辖的色彩。

《出口管制法》并没有规定“再出口”的含义，亦可能属于立法者的深思熟虑。与美国不同，欧盟并没有将向第三国的再出口行为视为域外管辖，认为这种解释并不具有足够的国际法上的依据。相应地，中国立法者对于再出口的管制也持非常审慎的态度，可以理解。

中国原产物项管制

而通过该条例第49条的规定，中国政府明确了再出口管制的范围仅针对不同时期特定的出口禁运对象和特别的制裁对象。

根据第49条，对于原产于中华人民共和国的特定两用物项的再出口管制，针对的是“特定目的国家和地区、特定组织和个人”，即中国所出口禁运对象或者特别的制裁对象，包括国家、地区、特定组织和个人；所管制的行为是外国主体在中国境外向前述禁运或者管制对象转移或者提供特定两用物项的行为；管制再出口的前提之一是中国政府另行书面公告明确对于中国原产特定物项施以管制。

在该条例正式实施第二天，即美国当地时间2024年12月2日，美国商务部工业与安全局宣布将136家中国实体列入实体清单。在这样的背景下，在该条例实施第三天，即2024年12月3日，商务部发布2024年第46号公告，加强相关两用物项对美出口管制。这是中国政府对美国在出口管制方面所采取的反制性措施。根据该公告，中国政府即日起采取如下出口管制措施：

• 禁止两用物项对美国军事用户或军事用途出口。
• 原则上不予许可镓、锗、锑、超硬材料相关两用物项对美国出口。
• 对石墨两用物项对美国出口，实施更严格的最终用户和最终用途审查。
• 任何国家和地区的组织和个人，违反上述规定，将原产于中华人民共和国的相关两用物项转移或提供给美国的组织和个人，将依法追究法律责任。

上述对原产于中国的两用物项的再出口管制针对美国。这是中国政府第一次明确采取再出口管制措施，表明：

• 中国政府并不一概实施再出口管制；
• 再出口管制在特定条件下实施；
• 目前的再出口措施是限于针对国别禁运，是仅对美再出口特定敏感物项的管制。

这一国别管制措施吻合了上述该条例所限定的再出口措施的范围。

外国制造物项管制

与中国原产物项管制类似，对于外国制造物项的管制也具有域外管辖的特征。《出口管制法》并没有管制外国制造物项。而该条例第49条则出现了管制外国制造物项的规定，让人有些措手不及。

无论如何，该条例第49条所管制外国制造物项的基本逻辑与对于中国原产物项的管制基本相同。管制对象针对的是“特定目的国家和地区、特定组织和个人”；所管制的行为是外国主体在中国境外向前述禁运或者管制对象转移或者提供特定两用物项的行为；管制外国制造物项的前提之一是中国政府另行书面公告对于外国制造物项施加管制。

外国制造物项，包括（1）含有、集成或者混有原产于中国的特定两用物项在境外制造的两用物项；（2）使用原产于中国的特定技术等两用物项在境外制造的两用物项。

从立法规则出发，该条例之所以能够规定在特定条件下管制外国制造物项，似乎只能存在一种可能的解释，即立法者将“再出口”理解为包括在境外转移或者提供中国原产物项或者上述外国制造物项。

迄今，中国政府尚未公布针对特定对象的外国制造物项管制。对于含有、集成或者混有原产于中国的特定两用物项在境外制造的两用物项，也没有规定一般适用的比例含量。这些有待中国政府在将来采取特定外国制造物项管制措施的同时加以明确。

结语

尽管采取了域外管辖权的形式，但上述中国出口管制条款反映了中国政府的优先事项：维护国家安全和利益，以及针对其认为的外国政府滥用对华出口管制的反制性措施。因此这类域外管辖权的规定被认为是合理的，是由于其认为这是国家安全必需，上述规定构成反制措施，具有所认为的国际法上的合法性。

我们预计，中国将很快发布明确的指导方针，说明含有、集成或者混有原产于中国的特定两用物项在境外制造的两用物项的含量比率。这将有助企业评估跨境供应链方面的风险预判和采取预先合规性措施，维护法律环境的透明和跨境供应链的稳定。