中美贸易战：美国主要限制领域及影响

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Lulu Cheng/Jining He 程璐璐/何冀宁

June 18, 2019

As the competition of trade between China and the U.S. grows more intense, the U.S. government has adopted more targeted policy measures in the fields of information and communications technology, infrastructure and scientific research in order to further protect its national security interests. Chinese companies and individuals will face a more challenging environment subject to highly uncertain political risks.

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I. Information and Communications Technology

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On May 10, 2019, the US Federal Communications Commission (FCC) rejected China Mobile’s application to provide services in the U.S. due to national security risks amid an escalation in tensions between the two countries. The committee may also review other Chinese telecommunications companies operating in the U.S., such as China Unicom and China Telecom. On May 15, 2019, President Donald Trump signed an executive order (“ Order”) entitled “Securing the Information and Communications Technology and Services Supply Chain”, which prohibits transactions and use of foreign information technology and services that may pose a particular threat to U.S. national security, foreign policy, and the economy. The Order prohibits U.S. companies from buying, using, and transacting communications equipment products and services that may involve theft of U.S. intelligence, espionage, or national security, because they fear that foreign competitors will use the supply chain to build critical infrastructure that poses a threat to national security. This has a particularly significant impact on China's information and communications technology (ICT) companies such as Huawei. The next day, the Department of Commerce, Bureau of Industry and Security (BIS) added Huawei and its 68 subsidiaries to its list of export-controlled entities, ordering that US companies not to sell products and technologies to Huawei and its subsidiaries without approval.

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On May 20, Google announced that it would suspend its Android cooperation with Huawei. Microsoft also quietly withdrew Huawei laptops from its online store. On May 22, ARM instructed employees to halt "all active contracts, support entitlements, and any pending engagements” with Huawei. The ripple effect of the Order has affected Huawei's entry into the U.S. and overseas markets, which has brought layers of obstacles to Huawei's development. In addition, Chinese computer vision companies such as Hikvision, Dahua, YITU, SenseTime and Beijing Megvii are at risk of being added to the Entity List. The list names foreign and U.S. companies that must be approved by the U.S. government before a deal can be made. Then measures against companies such as Hikvision will be similar to those for Huawei.

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Undoubtedly, this Order is a wake-up call for Chinese ICT entities, especially those invested, controlled and supported by the government. At present, the negotiations between China and the U.S. are deadlocked. The U.S. government can impose sanctions and restrictions on ICT enterprises based on the concerns of “national security”. Chinese ICT entities should prepare for the market environment and policy risks they will face. In the cold war of technology and trade, the U.S. regards the international market as bargaining for a higher value. Other countries will impose sanctions policies to varying degrees by under the pressure, which may strengthen restrictions and challenges on ICT enterprises.

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II. Infrastructure

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In addition to the information and communications technology enterprises, Chinese transportation infrastructure companies are also restricted by the U.S. On May 15, the U.S. House of Representatives introduced the Transportation Infrastructure Vehicle Security Act to prevent federal transit money from being granted to local transit agencies to procure rail rolling stock made by manufacturers owned, controlled, or subsidized by China. Though the bill did not name any specific company, such a description would clearly apply to CRRC Corporation Limited (CRRC).

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A day after the House bill was introduced, the House Committee on Transportation and Infrastructure held a hearing about the impact of “state-owned enterprises”—with particular close scrutiny on CRRC and BYD—on the U.S. public transit and freight rail sectors. At the hearing, the committee expressed concerns about the video surveillance, monitoring and diagnostic system, data interface and automatic train control system in the CRRC’s Washington bidding contract. They said that Chinese latest advances in Artificial Intelligence and facial recognition technology would enable China on intelligence gathering, and thus threaten the U.S. network infrastructure security. On May 19, Senator Chuck Schumer called on the U.S. Department of Commerce to investigate whether CRRC’s proposal to design new subway cars for the Metropolitan Transportation Authority's (MTA) could pose a threat to national security.

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On May 23, Virginia and Maryland Senators enacted the Metro Safety, Accountability, and Investment Act of 2019, Section 9 of which prohibited Washington Metropolitan Area Transit Authority (WMATA) from using federal funds “on a contract for rolling stock from any country that meets certain criteria related to illegal subsidies for state-owned enterprises.”

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Last year, U.S. Congress passed the Foreign Investment Risk Review Modernization Act (FIRRMA) to strengthen the review processes of the foreign investment in the U.S. for national security threats. If the investment in U.S. businesses involving sensitive personal data, critical infrastructure, or critical technology is not non-passive or non-controlling, it will be subject to the Committee on Foreign Investment in the United States (CFIUS) review. Chinese infrastructure companies will face a more challenging market environment in the U.S.

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Accordingly, the Chinese infrastructure enterprises represented by CRRC have also become the key targets restricted by the U.S. on the grounds of national security. The review processes and restriction measures are becoming more stringent. Once the relevant bills proposed by the Senate and the House of Representatives are passed, the federal funds will be banned from the railway projects related to Chinese state-owned enterprises. The potential contracts between CRRC and transportation authority of New York and Washington will be directly affected. At the same time, the blocked rail transit project will further influence its upstream and downstream supply chain. Related Chinese cooperative enterprises, such as the developers, contractors, material suppliers, and manufacturers, may be adversely affected.

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III. Scientific Research

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The dilemma of negotiations between China and the U.S. has impacts on academic research. The U.S. believes that the open cooperation environment of its academic institutions may be targets of Chinese spies trying to steal and exploit information of advanced technology and cutting-edge research from laboratories.

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On November 1, 2018, Attorney General Jeff Sessions announced “China Initiatives”, which reflects the Department’s strategic priority of countering Chinese national security threats and reinforces the President’s overall national security strategy. This new Initiative aims to combat Chinese economic espionage. The Department has set the goal for the Initiative to develop an enforcement strategy concerning non-traditional collectors (e.g., researchers in labs, universities, and the defense industrial base) that are being coopted into transferring technology contrary to U.S. interests. The U.S. government has strengthened the security review procedures for researchers and universities, not only restricted visa application from Chinese students who studied in the high-tech fields, but also issued guidelines on "academic espionage technology” to the college. Once the suspicious actions are discovered, such as transferring of technology, stealing scientific research or intellectual property, the FBI will investigate directly.

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Two years ago, the National Institute of Health (NIH) began investigating scholars in Thousand Talents Program at Emory University. Francis Collins, the NIH's director, reiterated that American research was suffering from "foreign influence" and intellectual property rights were being lost. Therefore, it is recommended that American universities “fire some people” and point to those who accept foreign Thousand Talent Program. On April 19th, it is reported that MD Anderson Cancer Center in Houston has ousted three of five scientists federal authorities identified as being involved in Chinese efforts to steal American research. On May 16, Emory University closed the laboratory of Chinese biologist Xiaojiang Li without any notice or statement. On May 23rd. Emory claims that Mr. Li and his wife, Shihua Li, were fired for not adequately disclosing funds from abroad and the scope of their work at Chinese institutions and universities.

Obviously, these initiatives are made by schools and institutions in response to the NIH policy, and there may be more such events in the future. It is reported that the NIH has identified at least 190 funded projects from NIH that are problematic and has initiated investigations in 55 research institutions. Recently, the U.S. Department of Homeland Security announced that it will significantly increase the Student and Exchange Scholar Information System (SEVIS) fees and visitor visa fees, and that some Chinese visas to the U.S. are restricted, such as extending the period of case review in visa application, shortening the validity period, and increasing the refusal rate. This adjustment may lead to a decline in the number of students studying and communicating in the U.S.

The impacts on Chinese companies and individuals are not limited to the ICT, infrastructure and scientific research fields. With the escalation of trade conflicts between the U.S. and China, the U.S. restrictions have become multifaceted. According to the “China Initiative”, the U.S. will put more efforts to conduct in-depth investigations and file lawsuits against Chinese companies suspected of violating The Foreign Corrupt Practice Act (FCPA), FIRRMA, and other related laws and regulations. Recently, the U.S. Department of Justice announced the release of an updated version of the “Evaluation of Corporate Compliance Programs” guidance to assist prosecutors in assessing the effectiveness of the company’s compliance program in the context of a criminal investigation.

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Obviously, for Chinese companies planning to enter the U.S. market, the market environment has become more complicated and challenging, so they should fully prepare themselves to deal with such risks in advance. For Chinese companies already doing business in the U.S., they should face the challenges and have the courage to file the lawsuits against the unreasonable restrictions imposed by the U.S. The enterprises should also strictly regulate their business behaviors in accordance with relevant U.S. laws and regulations and design a comprehensive and effective compliance system based on the company’s actual condition. Moreover, Chinese companies should adhere to independent research and development, improve the ability of scientific and technological innovation, prevent excessive dependence on foreign suppliers, ensure the operation of the supply chain, and prepare the backup in advance to improve their market competitiveness.

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随着中美贸易摩擦加剧，美国政府为进一步保护其国家安全利益，在通信技术、基础设施和科研等领域采取了更多具有针对性的政策措施。中国企业和个人在美国将面临更严峻的政策环境与不确定的政治风险。

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1.通信技术领域  

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2019年5月10日，美国联邦通信委员会（FCC）以安全为由全票否决中国移动向美国公民提供手机服务的申请。委员会还可能审查其他在美经营的中国电讯商，如中国联通与中国电信。15日， Donald Trump 签署《确保信息通信技术与服务供应链安全》行政令，禁止交易、使用可能对美国国家安全、外交政策和经济构成特殊威胁的外国信息技术和服务。因担心外国竞争对手利用供应链建设关键基础设施会对国家安全造成威胁，该行政令禁止美国企业购买、使用、交易有可能涉及窃取美国情报、间谍风险或者危害国家安全的通讯设备产品和服务，这对以华为为首的中国通信技术企业的影响尤为显著。次日，美国商务部（BIS）宣布将华为及其68家子公司列入出口管制实体名单之列，命令未经批准美国公司不得销售产品和技术给华为及其子公司。

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5月20日，谷歌宣布中止与华为在安卓系统方面的合作；微软商城也随即下线了华为的电脑产品；22日，英国芯片巨头ARM指示员工停止与华为的“所有有效合同，支持权利以及任何未决的约定”。行政令所产生的涟漪效应，影响了华为进入美国和海外市场，为华为的发展带来层层阻碍。除此之外，海康威视、大华、依图、商汤和旷世等中国计算机视觉公司也面临被列入实体名单的风险。该名单指定的外国公司和美国公司在交易之前必须得到美国政府的批准，那么针对海康威视等公司的措施将与对于华为的许可证要求类似。

这一行政令无疑为中国的通信技术企业，尤其是涉及政府投资、控制、扶持的企业敲响警钟。当前中美贸易谈判陷入僵局，美国政府随时能以“危害国家安全”为由对信息技术企业进行制裁与限制，中资企业应对其将面临的市场环境与政策风险做好准备。在这一背景下，美国把国际市场作为增值博弈的筹码，其他国家受其施压可能会不同程度地响应制裁政策，通信技术企业的海外发展可能面临更大挑战。

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2.基础设施领域

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除通信技术领域外，中国交通基础设施企业也进一步受到了美国的限制。5月15日，美国众议院提出《交通基础设施车辆安全法》草案，禁止使用联邦资金从中国拥有、控制或补贴的公司购买轨道交通车辆。草案虽未提及特定国家和企业，但明显指向中国中车股份有限公司（中车）。

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次日，众议院交通和基础设施委员会（T&I）就中国国有企业对美国公共运输和货运部门产生的影响召开听证会，重点关注中车与比亚迪。听证会上对中车华盛顿竞标合同中的视频监控、系统监控和诊断、数据接口和自动列车控制系统表达了担忧，认为中国先进的人工智能和面部识别技术使其有能力进行情报收集，并威胁到美国的网络和基础设施安全。19日，美国民主党参议院议员 Chuck Schumer 要求商务部对中车设计的纽约市新地铁是否可能威胁国家安全展开 “由上而下” 的审查。23日，弗吉尼亚州和马里兰州参议员提出《2019年地铁安全、问责和投资法案》的第9条明确禁止华盛顿地铁运输局(WMATA)使用联邦资金与任何接受非法补贴的国有企业签订合同。

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值得注意的是，去年，美国国会通过了《外国投资风险审查现代化法案》（FIRRMA），强化了对涉及美国国家安全的外国投资的审查。法案生效后，如果外国对涉及“关键技术”、“关键基础设施”、以及“美国公民的敏感个人数据”的美国企业进行的投资不是“非被动投资”与“少数股权投资”，将受到美国外国投资委员会（CFIUS）的管辖，审查程序也将更加复杂，这都意味着中国基础设施企业在美将面临更加严峻的市场环境。

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由此可见，以中车为代表的中资基础设施企业正与通信技术企业一道，成为美国以保护国家安全为由进行约束的重点对象，面临更严格的审查和限制措施。一旦参众两院所提出的有关法案被通过，美国联邦拨款将被禁止用于与中国国有企业有关的铁路项目，中车在华盛顿与纽约参与的地铁建设工程竞标和合同签订将受到直接影响。同时，受阻的轨道交通业务将进一步波及其上下游产业链，开发商、工程承包商、材料供应商、设备制造商等相关中资合作企业可能会受到不利影响。

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3.科研领域

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中美对峙同时还延伸到学术研究领域。美方认为其学术机构开放的合作环境为外国间谍活动提供了温床，先进技术和前沿研究已成为间谍渗透的主要对象。

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2018年11月1日，美国司法部长 Jeff Sessions 宣布启动实施“中国行动”计划（“中国行动”），旨在加强推行特朗普提出的国家安全总体战略，重点聚焦在打击中国针对美国的经济间谍活动。“中国行动”将在学术领域从事科研工作的中国人定义为“非典型的信息收集人员”，并且视其为威胁美国经济和国家安全的潜在嫌疑人，列为潜在的重点调查对象。美国政府加强对科研人员和大学的安全审查程序，不仅对高科技领域专业的中国留学生签证设卡，还下发了有关“学术间谍情报技术”的指南。一旦发现涉嫌技术转移，试图窃取科研成果、知识产权等行为，联邦调查局将直接立案调查采取行动。

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两年前，美国国家卫生研究院（NIH）就开始对埃默里大学的“千人计划”学者进行调查。今年四月，NIH主任 Francis Collins 重申，美国的科研正遭受“外国势力”影响，知识产权流失，因此建议美国高校“要开除一部分人”，并将矛头指向那些接受“外国”人才招募计划的学者。4月19日《科学》杂志披露MD安德森癌症中心以不当利用美国科学研究、接受国外教职或人才招募计划为由，驱逐了三名华人科学家。5月16日，埃默里大学在没有任何通知或声明的情况下关闭华人生物学家李晓江的实验室。23日，埃默里大学声称，李晓江和李世华教授夫妇因没有充分公开来自国外的研究经费以及他们在中国研究机构和大学的工作范围而被解雇。

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     显然，这些举措都是学校和机构为响应NIH政策而做出的，未来此类事件可能会更多。根据《科学》杂志报道，目前NIH已查明，至少有190项来自NIH的基金资助项目存在问题，并且已对55个研究机构启动调查。近日，美国国土安全部宣布将大幅增加学生与交换学者信息系统（SEVIS）费用以及访问学者签证费，并且中国部分赴美留学人员的签证受到限制，出现签证审查周期延长、有效期缩短以及拒签率上升的情况。在中美关系紧张之际，此举可能会导致赴美求学和交流人员的减少。

当前中国企业和个人在美国受到的影响并不仅限于上述通信技术、基础设施和科研领域，随贸易冲突的升级，美国采取的措施是多方位的。“中国行动”指出，美国将加大力度对于涉嫌违反《美国反海外腐败法》、《外国投资风险审查更新法案》以及其他美国法律的中国公司展开深入调查并提起诉讼。此外，美国司法部发布最新版《公司合规评估指南》，协助检察官在刑事调查时对公司的合规问题开展评估，严格审查企业合规程序。

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由此可见，对于计划进驻美国市场的中国企业而言，市场环境将更为复杂、更具挑战，企业应当提前做好应对不确定性风险的心理准备。已在美国开展经营的中资企业更应直面挑战，对美国当局无端采取的不当限制行为提起诉讼。企业本身也应当根据美国相关法律规定严格规范其海外经营行为，结合公司实际情况设计全面有效的合规体系。同时，坚持自主研发，提高科技创新的能力，防止过分依赖外国供应商，保证供应链的顺利运转，提前做好备选计划，真正提高市场竞争力。