中国欧盟商会关于《中华人民共和国国家安全法（草案）（二次审议稿）》的意见

2015-06-09 | All chapters

总体评价General Comments

中国欧盟商会（以下简称欧盟商会）很荣幸有机会就《中华人民共和国国家安全法（草案）（二次审议稿）》提交建议。欧盟商会认为中国和其他国家一样，拥有维护国家安全的权力。但是，现有的《国家安全法》草案（以下简称草案）所涉及的范围已远远超出对国家安全的基本维护，并且有可能为中国带来与国际市场脱轨的风险，中国或将因此无法获益于来自国际市场的重要技术及其他有利条件。

The European Union Chamber of Commerce in China (European Chamber) appreciates the opportunity to comment on the second draft of the PRC National Security Law. The European Chamber recognises that China, like other countries, has a legitimate right to ensure its national security.  However, the present draft National Security Law (NSL) goes far beyond essential national security concerns and risks shutting China off from many of the fundamental technologies and other benefits afforded to it by the international marketplace. 

欧盟国家已将国家安全的定义限制于国防范畴内，而中国正用模糊及带多重意义的法律术语将此定义进行扩大化。欧盟商会特别担忧的是对经济安全的强调，以及这部法律将赋予政府大量的控制权力，从而忽略市场的角色。

While EU countries have limited their definition of national security to the area of defense, China is taking an overly broad approach by using vague and open terms. Of utmost concern to the European Chamber is the focus on economic security and how this law gives an overwhelming amount of control to the State while failing to recognise the role of the market.  

欧盟商会担心《草案》中的法律不确定性有可能对欧盟对华投资造成负面影响，也担心现有的投资能否得到保护。

The European Chamber is worried that the lack of legal certainty brought about by this draft law will have an adverse impact on the flow of EU investment into China, and also has great concerns about how current investment will be protected.

目前看来，《国家安全法》草案与中国创建具可预见性并开放的投资环境的承诺背道而驰，尤其不同于中国在国际协议谈判中，如正在进行中的与欧盟谈判的双边投资协定中所展现出的态度。而这样的担忧正由于中国对国家安全的广泛定义而加剧，它不仅限于本次建议所针对的《国家安全法（草案）（二次审议稿）》，更体现在一系列其他的法规条例中。这样明显的趋势将严重影响及限制欧盟企业在华的市场准入。除《国家安全法》之外，这些法规条例包括：

As it stands, the draft of the PRC National Security Law seems to be misaligned with China’s commitment to pursuing predictable and open investment conditions, in particular through international agreements such as the Comprehensive Agreement on Investment that it is currently negotiating with the EU. This concern is exacerbated by the fact that China’s application of its notion of national security is not just limited to the second draft of the National Security Law for which we are presenting comments, it also applies to an increasing number of other regulations. This apparent trend could serve to significantly undermine future market access for EU companies. These regulations, besides the NSL, include:

1.      《中国自由贸易试验区外商投资国家安全审查办法》（试行）（2015）

Trial Measures for the National Security Review of Foreign Investments in China’s Pilot Free Trade Zones (the Trial Measures) (2015)

2.      《外国投资法草案征求意见稿》（2015）

Draft Foreign Investment Law (FIL) (2015)

3.      中国银监会第39号文件《关于通过安全可控信息技术加强银行网络安全和信息技术基础设施指导原则》和第317号文件《关于推进安全可控信息技术应用指导》（2014）

CBRC Circular No. 39 Guiding Principles on Strengthening the Banking Network Security and Information Technology Infrastructure through Secure and Controllable IT and CBRC Circular No. 317 Guidelines on Promoting the Application of Secure and Controllable IT (2014)

4.      《商务部实施外国投资者并购境内企业安全审查制度的规定》（2011）

Provisions of the Ministry of Commerce on the Implementation of the Security Review System for Mergers and Acquisitions of Domestic Enterprises by Foreign Investors (2011)

5.      《国务院办公厅关于建立外国投资者并购境内企业安全审查制度的通知》（2011）

Notice of the General Office of the State Council on Launching the Security Review System for Mergers and Acquisitions of Domestic Enterprises by Foreign Investors (2011)

6.      国务院《关于实施银行卡清算机构准入管理的决定》（第四条第二款——外国投资者并购银行卡清算机构的，应当按照相关规定进行外资并购安全审查）

Decision of the State Council on Implementing the Administration of Market Entry Approval of Bank Card Clearing Institution (Article 4.2 – “Foreign investors that wish to acquire a domestic bank card clearing institution shall undergo foreign investment national security review in accordance with applicable regulations.”)

7.      《反恐怖主义法（草案）》（2014）

Draft Anti-Terrorism Law (2014)

8.      《国务院关于大力发展电子商务加快培育经济新动力的意见》（2015）

2015 Opinions of the State Council on Vigorous Development of E-commerce to Speed up the Cultivation of New Economic Drivers

9.      《境外非政府组织管理法（草案）》（2015）

Draft Foreign NGO Law (2015)

立法者在立法过程中应当参考国际准则和国际惯例。“经济合作与发展组织”（简称“经合组织”）发表的《投资接受国国家安全相关的投资政策指南》（简称《经合组织指南》）-可提供此类指导。参考此类指引将有助于在起草及执行国家安全政策时，在确保国家安全的同时，将对投资流动可能造成的影响降至最低。《经合组织指南》中提及，国家安全的审核过程应当对审查过程中的关键因素做出精准的、狭义的定义。他们应特指对于可能需经国家安全方面审核的交易。此类法律应当遵守非歧视、透明和可预见、监管比例和问责的原则。

Law-makers should refer to international guidelines and best practices for examples of how the law should be developed. The Organisation for Economic Cooperation and Development’s (OECD’s) Guidelines for Recipient Countries Investment Policies Relating to National Security (OECD Guidelines) offer such guidance. They are designed to offer support when designing and implementing national security policies in such a way that they achieve their national security goals with minimum impact on investment flows. The OECD Guidelines state that a national security review process should provide precise, narrowly tailored definitions for the key considerations governing the review process. They refer in particular to transactions that are subject to review and the national security-based criteria that will apply to the reviews. The law should abide by the principles of non-discrimination, transparency and predictability, regulatory proportionality and accountability.   

现有《国家安全法（草案）》对有关国家安全定义的措辞和涵盖范围过于广泛。尤其是“经济安全”概念的引入，可能被用来通过行业政策保护本地行业，损害外国投资。 此担忧在《草案》的第八条 “维护国家安全，应当与经济社会发展相协调”中，尤为突出。这将对中国市场内的竞争带来影响，也将违背习近平主席在十八届三中及四中全会中所提出的改革议程。

The present definitions of what constitutes national security in the draft NSL are too expansive in wording and scope. Of particular concern is the introduction of the concept of ‘economic security’, which could be used to protect local industry to the detriment of foreign investment through industrial policies. This concern is reinforced by the provision in Article 8 of the draft law that “Maintaining national security shall be coordinated with economic and social development.” This would have an impact on competition in the Chinese market and would contradict China’s reform agenda set out by President Xi Jinping during the Third and Fourth Plenum.

欧盟商会已经表达了对于近期中国政府以国家安全名义的其他立法，以及他们对于商业影响的顾虑，相关的法律包括《外国投资法草案征求意见稿》等。在提交此次《草案》征询意见的同时，我们也希望引起中国政府注意，2015出台的《中国自由贸易试验区外商投资国家安全审查试行办法》，未经公开征询意见即对外公布，以及《国家安全法》中的有关国家安全的定义也采用了相同的方法。因此，我们的许多建议也同时适用于此试行办法。

The European Chamber has voiced its concerns over the greater emphasis placed on national security in other recent legislation and its impact on business, including the draft Foreign Investment Law. As part of this submission we also bring to your attention that 2015’s Trial Measures for the National Security Review of Foreign Investments in China’s Pilot Free Trade Zones, which was promulgated without public consultation, also follows the same approach as the NSL with regards to the definition of national security. Therefore many of our comments made herein also apply to these measures.

频繁出现以国家安全为名义的政策文件会给企业界带来越来越多的不安：针对国家安全的具体定义将有效地缓解这种的焦虑。我们同时注意到对于部分行业，直接强调国家安全和相关措施事实上是毫无必要的。

The appearance of national security in a growing number of policy documents is causing more and more anxiety within the business community: a concrete definition of ‘national security’ would help to alleviate this unease. We also note that the direct reference to national security and measures for specific sectors also seems unnecessary. 

根据三中全会的《决定》，让市场发挥决定性作用，比如《草案》第28和69条所提及的将整个能源行业和宽泛定义的“战略资源”种类归在国家安全项下，是更能确保能源战略储备的途径，而不是将能源产业置于以国家安全为名义认定的“战略资源”。

Implementing the idea of allowing the market to play a decisive role, as set out in the Third Plenum’s Decision, is a far better approach for ensuring strategic reserves of energy—as mentioned in Article 28 and 69 of the draft—than putting the whole energy sector and the loosely defined category of ‘strategic resources’ under the blanket of national security.

此外，有关创新能力的发展及政策部分的条款与一部涉及安全的法律完全无关，这些部分应当被剔除，以避免对于其他政策的误解。无论中资或者外资私企，都为国家的可持续与技术发展起做出了重要贡献。事实上，在将现有最好的技术引进中国的做法上设限，将使中国丧失最先进的应对措施和方案，并将最终伤害目前《草案》旨在保护的国家安全。

Furthermore, the articles on innovation capacity development and policy seem completely out of place for a law on security and should be removed to avoid confusion with other policies. The private sector, both foreign and domestic, has a significant role to play in contributing to the sustainable and technological development of the country. In fact putting limitations on introducing the best available technology into China would deprive China of the most advanced solutions and ultimately harm the national security that the present draft aims to protect.

鉴于这些想法，我们希望全国人大能够考虑以下建议：

Consistent with these observations, we request that the NPC consider the following recommendations:

1.   删除经济安全（或者经济考量）以及其他模糊的标准，例如外国投资安全审查的法律和措施中有关社会和行业安全的内容。

Remove economic security (or economic references) and other vague criteria such as social or industrial security from measures or laws pertaining to the national security review of foreign investment;

2.   对审查过程中的关键因素做出准确的、狭义的定义，和《经合组织指南》保持一致。

Provide precise, narrowly tailored definitions for the key considerations governing the review process, consistent with the OECD Guidelines;

3.   明确审查机关的责任，防止可能的权力滥用，包括要求将禁止交易的决定公布于众。

Ensure accountability of government decision-makers to prevent potential abuse, including by requiring that decisions to block transactions are made public; and

4.   为投资者提供有意义的程序保护，其中包括向审查机关提供有关交易和交易方的信息，与审查机关会面，并被告知（在一个总体层面）政府做此决定的原因。

Provide meaningful procedural protection for investors, including the opportunity to present information regarding the transaction and the parties to the decision-maker, to meet with the decision-maker and to be informed (at a general level) of the reasons for the government’s decision.

出于对法律的确定性和可预测性的考虑，我们建议已经被现存其他的法律所规范的领域应该被排除在《国家安全法》之外，以避免重复、误读和滥用。

In the interests of legal certainty and predictability we also recommend that areas already regulated by existing, separate laws should be excluded from the National Security Law so as to avoid duplication, misinterpretation and abuse.

欧盟商会再次感谢全国人大给予对此重要文件提出建议的机会，同时希望这些建议是富有建设性和具有参考意义的。

The European Chamber once again thanks the NPC for the opportunity to comment on this important document and hopes that our comments are found to be constructive and helpful.

以下为欧盟商会会员公司针对《草案》中具体条目的评价及建议。如您需要我们就以下建议作进一步的澄清，请与商会北京办公室总经理谢静岚女士联系（电话：10 6462 2066 转68； 邮箱：mxie@europeanchamber.com.cn）。

The following section contains comments on specific articles of the revised law, collected from the European Chamber’s member companies. Should you require further clarification, please kindly contact Ms. Maggie Xie, General Manager of the Chamber’s Beijing Chapter (Tel: +86 (10) 6462 2066 ext. 68, Email: mxie@europeanchamber.com.cn).