报告
认定参与中国违背应对联合声明或基本法承担义务之行为的外籍人员
美国国务院
东亚和太平洋事务局（Bureau of East Asian and Pacific Affairs）
华盛顿哥伦比亚特区（Washington, D.C.）
2020年10月14 日
根据《香港自治法》（Hong Kong Autonomy Act）(自治法“HKAA” 或该法“Act”) (公法116-149) (P. L. 116-149)第5(a)款，从《自治法》颁布之日起不超过90天的期限内，国务卿在与财政部长（Secretary of the Treasury）协商后，如确定某外籍人员对中华人民共和国未履行按《中英联合声明》（Sino – British Joint Declaration） (联合声明“Joint Declaration”)或《香港基本法》（Hong Kong’s Basic Law）承担的义务提供实质性协助，或已提供实质性协助，或试图提供实质性协助，应向国会相关的委员会和领导层提交包含以下逐项的报告，(1)该外籍人员的身份；(1)有关认定该外籍人员之原因的明确解释及对导致该项认定的相关活动之描述。
《自治法》对被列入这份报告的外籍人员规定了具体需要承担的后果。根据该法第6款，从报告之日起不超过一年的时间内,总统应对被列入名单的人员施加某些阻断性制裁，对他们采取签证限制措施并不得进入美国。此外，根据该法第5(b)款，从提交报告之日起不早于30天但不迟于60天的时间内，财政部长应在与国务卿协商后向国会提交报告，认定任何有意与被列入报告的外籍人员从事重要交易的外国金融机构。根据该法第7(a)款，在有关方面被列入财政部长的报告后一年内，该法规定总统须按第7(b)款的规定，对适用于第5(b)款的任何外国金融机构实施10项制裁中的5项。[其中包括(1)限制获得美国金融机构的贷款；(2)不得被指定为初级市场经销商；(3)禁止作为政府资金存放处；(4)限制外汇交易；(5)禁止银行交易；(6)禁止财产交易；(7)限制出口、再出口和转移；(8)禁止股权或债权投资；(9)驱逐公司干员；(10)制裁公司主要行政主管。] 在外国金融机构被列入财政部长报告后不超过两年的时间内，总统须按该法7(b)款规定实施所有的制裁。
美国政府针对中华人民共和国破坏香港自治的行为采取的行动
在制定这份报告之际，国务院(本部“Department”)考虑到最近中华人民共和国采取一些破坏香港的自治行动，按该法第5(g)款的定义，实质性地推动了中华人民共和国未按联合声明和基本法履行义务的行为。具体而言，根据美国1992年《香港政策法》（Hong Kong Policy Act），并经2019年《香港人权和民主法》（Hong Kong Human Rights and Democracy Act）4(a)(2)补充，国务卿于5月27日确定，根据美国法律，香港不再按同样的方式适用于在1997年7月1日以前美国法律给予的待遇。国务卿针对中华人民共和国的多项行动采取这项措施。其中包括中华人民共和国全国人民代表大会决定单方面任意对香港施加国家安全法，以及中华人民共和国中央政府驻香港联络办公室于4月17日宣布中央政府联络办公室和北京的中央政府香港和澳门事务办公室不受基本法关于“中央人民政府所属各部门……不得干预”香港事务条款的约束。中华人民共和国于5月22日宣布全国人民代表大会的提案，单方面任意对香港实施国家安全法以及随后于6月30日颁布的条款与《中英联合声明》、《基本法》和“一国两制”框架的精神和实务相抵触。联合声明规定，“香港特别行政区的社会治安由香港特别行政区政府负责维持”，“香港特别行政区依法保障人身、言论、出版、集会、结社、旅行、迁徙、通信、罢工……等各项权利和自由”。同样，《基本法》规定，“香港特别行政区应自行立法禁止任何叛国、分裂国家、煽动叛乱、颠覆中央人民政府及窃取国家机密的行为，禁止外国的政治性组织或团体在香港特别行政区进行政治活动，禁止香港特别行政区的政治性组织或团体与外国的政治性组织或团体建立联系”。北京的国家安全法从程序上和实质上违反了上述条款。
7月14日，总统发布了有关香港正常化（Hong Kong Normalization）的第13936号行政命令（Executive Order (E.O.)。在第13936号行政令中，总统认定，根据《香港政策法》第202款，香港不再具备足够的自治以享受美国特定法律法规所规定的与中华人民共和国的差别待遇。总统进一步认定，关于香港局势，包括中华人民共和国最近采取的从根本上损害香港自治的行动，对美国的国家安全、外交政策和经济构成了一种不同寻常且极其严重的威胁，而其根源大部分来自美国以外。总统宣布，鉴于这一威胁全国进入紧急状态，并发布一系列决定和命令，均列入第13936号行政命令，包括授权针对参与制定、通过或实施国家安全法，或参与威胁香港的和平、安全、稳定或自治的行动或政策等活动的外籍人员实行经济制裁 。
国务院注意到香港最近令人关注的事态发展，包括逮捕反对派立法议员、修改教科书以删除公民不服从和香港的权力分立等表述，以及针对支持香港民主的声明而发出逮捕令。香港警察逮捕了数百名和平抗议人士，并于2020年9月6日在香港居民对推迟立法会选举表示反对时动用辣椒喷雾器。香港政府拒绝给那些可能被认为对当局持批评态度的人士发放签证。香港政府以莫须有的指控进行逮捕，以此限制国际旅行，而且中国国有媒体表示同外国外交官会面的香港居民可能会根据国家安全法受到“串通”指控。
上述种种行为说明中华人民共和国，通过由香港政府实施国家安全法，正在肆意企图破坏香港的自治，而且未履行其根据联合声明和基本法所应承担的义务，正如香港政策法第5（g）款所阐明的。国务院一贯公开地表达对这些事态的关切，特别是与中华人民共和国施加国家安全法有关的事件，该法从根本上损害了香港的自治和自由。国务院还公开表示，反对香港政府取消参选人士的资格以及推迟立法会选举。同样地，国务院还谴责了逮捕民主倡导人士的行为。
为中华人民共和国未履行联合声明或基本法所规定的义务提供实质性协助的外籍人员
根据《香港政策法》第5（g）款，一名外籍人员对中国政府未履行联合声明或基本法所规定的义务提供实质性协助，若此人：“（1）以行动导致香港人民（A）不能享有集会、言论、新闻自由或独立的法治，或（B）不能参与民主成果；或者（2）以其他行动削弱了香港的高度自治。”国务卿在与财政部长协商后，已依照这类行动对外籍人员进行审议。
根据香港政策法第5（a）款，国务卿在与财政部长协商后，按香港政策法第5（g）款，已认定下列10名外籍人员正为中华人民共和国未履行根据联合声明和基本法应承担的义务提供实质性协助、已提供实质性协助或试图提供实质性协助。并且根据第5（a）条款的规定，下列名单包括（1）该外国人的身份；以及（2）有关认定该外籍人员之原因的明确解释和对导致这项认定的活动之描述。财政部已于2020年8月7日在根据第13936号行政命令认定这些人员之时，对被列入本报告每一个外籍人员实施了冻结资产的制裁。
[编注：英文原文中有关下列人员的具体个人信息从略。]
夏宝龙
张晓明
骆惠宁
林郑月娥
郑若骅
曾国卫
郑雁雄
陈国基
李家超
邓炳强
阅读英文原文： https://china.usembassy-china.org.cn/identification-of-foreign-persons-involved-in-the-erosion-of-the-obligations-of-china-under-the-joint-declaration-or-the-basic-law/

Identification of Foreign Persons Involved in the Erosion of the Obligations of China  Under the Joint Declaration or the Basic Law 
 
REPORT
BUREAU OF EAST ASIAN AND PACIFIC AFFAIRS
OCTOBER 14, 2020
Pursuant to Section 5(a) of the Hong Kong Autonomy Act (“HKAA” or “Act”) (P. L. 116-149), not later than 90 days after the date of the enactment of the HKAA, if the Secretary of State, in consultation with the Secretary of the Treasury, determines that a foreign person is materially contributing to, has materially contributed to, or attempts to materially contribute to the failure of the People’s Republic of China (PRC) to meet its obligations under the Sino – British Joint Declaration (“Joint Declaration”) or Hong Kong’s Basic Law, the Secretary of State shall submit to the appropriate Congressional committees and leadership a report that includes (1) an identification of the foreign person; and (2) a clear explanation for why the foreign person was identified and a description of the activity that resulted in the identification.   
The Act sets out specific consequences for the foreign persons listed in this report.  Pursuant to Section 6 of the Act, not later than one year from the date of this report, the President shall impose certain blocking sanctions on the listed persons and subject them to visa restrictions and exclusion from the United States.  Furthermore, pursuant to Section 5(b) of the Act, not earlier than 30 days and not later than 60 days following the submission of this report, the Secretary of the Treasury, in consultation with the Secretary of State, shall submit a report to Congress that identifies any foreign financial institutions (FFI) that knowingly conduct a significant transaction with the foreign persons listed in this report.  Pursuant to Section 7(a) of the Act, within one year of their inclusion in the Secretary of the Treasury’s report, the Act mandates that the President impose five out of 10 of the sanctions set out in Section 7(b) on any FFI identified pursuant to Section 5(b).  [These include (1) restrictions on loans from U.S. financial institutions; (2) prohibitions on designation as a primary dealer; (3) prohibitions on service as a repository of government funds; (4) restrictions on foreign exchange; (5) prohibitions on banking transactions; (6) prohibitions on property transactions; (7) restrictions on exports, re–exports, and transfers; (8) bans on investments in equity or debt; (9) exclusions of corporate officers; and (10) sanctions of principal executive officers.]  Not later than two years after an FFI has been included in the Secretary of the Treasury’s report, the President is required to impose all of the sanctions set out in Section 7(b) of the Act.         
In developing this report, the Department of State (“Department”) has taken into consideration a number of recent actions by the PRC that have undermined the autonomy of Hong Kong and materially contributed to the PRC’s failure to meet its obligations under the Joint Declaration and Basic Law, as this is defined in section 5(g) of the Act.  Specifically, under section 205 of the United-States Hong Kong Policy Act of 1992 (“HKPA”), on May 27, as added by section 4(a)(2) of the Hong Kong Human Rights and Democracy Act of 2019, the Secretary of State determined that Hong Kong no longer warrants treatment under U.S. law in the same manner as U.S. laws were applied to Hong Kong before July 1, 1997.  The Department of State took this step in response to several actions by the PRC.  These include the PRC National People’s Congress’ decision to unilaterally and arbitrarily impose national security legislation on Hong Kong, as well as a statement made on April 17 by the Central Government Liaison Office (CGLO) of the People’s Republic of China in Hong Kong claiming that CGLO and the central government’s Hong Kong and Macau Affairs Office in Beijing are not bound by a provision of the Basic Law that states that “no department of the Central People’s Government . . . may interfere in the affairs” of Hong Kong.  The May 22 announcement by the PRC of a proposal at the National People’s Congress to unilaterally and arbitrarily impose national security legislation on Hong Kong and its subsequent promulgation on June 30 contradict the spirit and practice of the Sino-British Joint Declaration, the Basic Law, and the One Country, Two Systems framework.  The Joint Declaration stipulates that “the maintenance of public order in the Hong Kong Special Administrative Region will be the responsibility of the Hong Kong Special Administrative Region,” and that “rights and freedoms, including those of the person, of speech, of the press, of assembly, of association, of travel, of movement, of correspondence, of strike . . . will be ensured by law in the Hong Kong Special Administrative Region.”  Similarly, the Basic Law stipulates that “the Hong Kong Special Administrative Region shall enact laws on its own to prohibit any act of treason, secession, subversion against the Central People’s Government, or theft of state secrets, to prohibit foreign political organizations or bodies from conducting political activities in the Region, and to prohibit political organizations or bodies of the Region from establishing ties with foreign political organizations or bodies.”  Beijing’s National Security Law violates the aforementioned provisions on multiple procedural and substantive grounds.  
On July 14, the President issued Executive Order (E.O.) 13936 on Hong Kong Normalization.  In E.O. 13936, the President determined, pursuant to section 202 of the HKPA, that Hong Kong was no longer sufficiently autonomous to justify differential treatment in relation to the PRC under particular U.S. laws and provisions.  The President further determined that the situation with respect to Hong Kong, including recent actions taken by the PRC to fundamentally undermine Hong Kong’s autonomy, constitutes an unusual and extraordinary threat, which has its source in substantial part outside the United States, to the national security, foreign policy and economy of the United States.  The President declared a national emergency with respect to that threat and made a number of determinations and orders listed in E.O. 13936, including authorizing economic sanctions against foreign persons for activities including involvement in developing, adopting, or implementing the National Security Law or engaging in actions or policies that threaten the peace, security, stability, or autonomy of Hong Kong.    
The State Department notes recent concerning developments in Hong Kong, including the arrest of opposition lawmakers, the editing of textbooks to remove references to civil disobedience and separation of powers in Hong Kong, and arrest warrants issued for statements made supporting democracy in Hong Kong.  The Hong Kong Police Force arrested hundreds of peaceful protestors and deployed pepper-spray projectiles on September 6, 2020 as Hong Kong residents expressed opposition to the delay of Legislative Council elections.  The Hong Kong Government has denied visas to those who could be considered critical of the administration.  The Hong Kong Government uses arrests on spurious charges to limit international travel, and Chinese state-owned media have suggested that Hong Kong residents who meet with foreign diplomats could be subject to “collusion” charges under the National Security Law.   
The actions described above demonstrate that the PRC, through the implementation of the National Security Law by the Hong Kong Government, is actively seeking to undermine Hong Kong’s autonomy and failing to meet its obligations under the Joint Declaration and Basic Law, as defined in Section 5(g) of the Act.  The Department has consistently and publicly expressed its concern about these developments, especially those related to the PRC’s imposition of the National Security Law, which has fundamentally undermined Hong Kong’s autonomy and freedoms.  The Department has also spoken out against the Hong Kong Government’s disqualification of electoral candidates and postponement of Legislative Council elections.  Similarly, the Department has condemned the arrest of democracy advocates.  
Under Section 5(g) of the Act, a foreign person materially contributes to the failure of the Government of China to meet its obligations under the Joint Declaration or Basic Law if the person:  “(1) took action that resulted in the inability of the people of Hong Kong (A) to enjoy freedom of assembly, speech, press, or independent rule of law, or (B) to participate in democratic outcomes; or (2) otherwise took action that reduces the high degree of autonomy of Hong Kong.”  The Secretary of State, in consultation with the Secretary of the Treasury, has considered foreign persons from the perspective of such actions. 
 Pursuant to Section 5(a) of the Act, the Secretary of State, in consultation with the Secretary of the Treasury, has determined that the 10 foreign persons listed below are materially contributing to, have materially contributed to, or attempt to materially contribute to the failure of the PRC to meet its obligations under the Joint Declaration or the Basic Law, as described in section 5(g) of the Act.  As also required under section 5(a), the list below includes (1) an identification of the foreign person; and (2) a clear explanation for why the foreign person was identified and a description of the activity that resulted in the identification.  The Department of the Treasury has already imposed asset-blocking sanctions on each of the foreign persons listed in this report on August 7, 2020, when it designated those persons pursuant to E.O. 13936.1      
Xia Baolong:  Xia Baolong is the head of the Hong Kong and Macao Affairs Office, which is one of Beijing’s primary vehicles for implementing its Hong Kong strategy.  Xia Baolong oversees the Office’s promotion of the principles and policies of the central government concerning Hong Kong, including the National Security Law.  Under Xia’s leadership, the Office has taken a number of actions to interfere in Hong Kong’s autonomy, including issuing statements asserting its authority to supervise Hong Kong’s internal affairs in contradiction to the Basic Law and the Sino-British Joint Declaration.     
Zhang Xiaoming:  Zhang Xiaoming is the Deputy Director of the Hong Kong and Macao Affairs Office.  As Deputy Director, Zhang is in charge of the Office’s daily operations and helps oversee its promotion of the principles and policies of the central government concerning Hong Kong, including the National Security Law.  During Zhang’s tenure, the Office has taken a number of actions to interfere in Hong Kong’s autonomy, including issuing statements asserting its authority to supervise Hong Kong’s internal affairs in contradiction to the Basic Law and the Sino-British Joint Declaration. 
Luo Huining:  Luo Huining is the director of the Central Government Liaison Office, which is the Chinese government’s most important office in Hong Kong.  Under Luo’s leadership, the Office has taken a number of actions to undermine Hong Kong’s autonomy, including issuing statements asserting its authority to supervise Hong Kong’s internal affairs in contradiction to the Basic Law and the Sino-British Joint Declaration.  Luo is also the National Security Advisor to the Committee for Safeguarding National Security of the Hong Kong Special Administrative Region (HKSAR).  The Committee was established under the National Security Law with the primary responsibility for safeguarding national security in Hong Kong; it is under the supervision of and accountable to the Central Government.   
Carrie Lam:  Carrie Lam is the Chief Executive of Hong Kong.  Lam signed the National Security Law into effect in June 2020. As the Chief Executive, she is also the Chair of the Committee for Safeguarding National Security of the HKSAR and oversees the work of the Committee.  Lam has invoked emergency powers to restrict the rights and freedoms of Hong Kong residents, including postponing the September 2020 Legislative Council elections for one year.   
Teresa Cheng:  Teresa Cheng is the Secretary for Justice and a principal legal advisor to Chief Executive Carrie Lam.  She is leading the Department of Justice’s work to implement the National Security Law, including establishing a dedicated unit to handle prosecutions under the Law and filing charges again protestors and opposition politicians.   
Erick Tsang:  Erick Tsang is the Secretary for Constitutional and Mainland Affairs and head of the Constitutional and Mainland Affairs Bureau, which is responsible for overseeing the full and faithful implementation of the Basic Law.  The National Security Law has been included in an annex to the Basic Law of the HKSAR.  Through his supervision of the Bureau, Tsang has promoted implementation of the National Security Law 
Zheng Yanxiong:  Zheng Yanxiong, a member of the Standing Committee of the Communist Party of China Guangdong Provincial Committee, is the head of the Office for Safeguarding National Security of the Central Government in Hong Kong.  The Office was created under the National Security Law and is responsible for overseeing law-enforcement mechanisms and coordinating the central government’s ultimate responsibilities over security matters in the city.   
Eric Chan:  Eric Chan is the Secretary-General of the Committee for Safeguarding National Security of the HKSAR.  As Secretary-General, he heads the secretariat established under the Committee.  At the Committee’s first meeting, it created relevant implementation rules for law enforcement agencies to carry out the measures stipulated under Article 43 of the National Security Law, outlining measures law enforcement authorities may take.   
John Lee:  John Lee is Secretary for Security and the head of the Security Bureau, which includes the Hong Kong Police Force.  As Secretary for Security, John Lee is responsible for security-related policies in Hong Kong, including the maintenance of law and order.  Under his oversight, the Hong Kong Police have set up a dedicated unit to enforce the National Security Law, which has arrested protestors and activists.    
Chris Tang:  Chris Tang is the Commissioner of Police in Hong Kong.  Under his leadership, the Hong Kong Police Force has invoked the National Security Law to arrest pro-democracy activists, including 10 who were arrested within 24 hours of the Law taking effect.  Tang is also a member of the Committee for Safeguarding National Security of the HKSAR.
For a March 16, 2021 updated version of this report, please see: https://china.usembassy-china.org.cn/erosion-of-the-obligations-of-china-under-the-joint-declaration-or-the-basic-law/