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美国政府认定：新疆发生种族灭绝与危害人类罪The US Determination: Genocide and Crimes Against Humanity in Xinjiang (2021)

一、文件是什么1. What this document is

本页存档的文件，是美国国务卿于2021年1月19日发表的一份正式声明，标题为《国务卿关于新疆暴行的认定》（英文：Determination of the Secretary of State on Atrocities in Xinjiang）。发表声明的国务卿是迈克·蓬佩奥；发表日期是特朗普政府任期的最后一个完整工作日。声明的内容，是美国政府对新疆局势的一次正式法律定性：认定中国政府自至少2017年3月以来，对新疆以维吾尔族为主的穆斯林少数群体犯下了危害人类罪，并且正在实施种族灭绝。这是美国政府第一次对新疆局势作出这一级别的定性。在此之前，美国政府对新疆的公开表述停留在谴责与关切层面；这份声明把表述推进到了国际法上最严重的两个罪名。本页记录这份声明的内容、依据、沿用情况与各方回应，事实依据为美国国会研究服务处报告（编号R48288）等美国官方记录。The document archived on this page is a formal statement issued by the United States Secretary of State on 19 January 2021, titled Determination of the Secretary of State on Atrocities in Xinjiang. The Secretary of State who issued it was Mike Pompeo, and the date was the last full working day of the Trump administration. The statement is a formal legal characterization of the situation in Xinjiang by the United States government: it determined that, since at least March 2017, the Chinese government had committed crimes against humanity against the predominantly Muslim Uyghurs and other ethnic and religious minority groups in Xinjiang, and was committing genocide against them. It was the first time the US government had applied characterizations of this gravity to Xinjiang. Before it, Washington's public language on Xinjiang had remained at the level of condemnation and concern; this statement advanced that language to the two gravest categories in international law. This page records the statement's content, its basis, its continuation, and the responses to it, drawing on the Congressional Research Service report numbered R48288 and other United States official records.

为什么一份「声明」值得单独建档，需要先说清楚。在美国的制度里，国务卿就暴行问题发表「认定」（determination），不是一篇评论，而是一个正式的政府行为：它代表行政当局在审阅材料之后作出的官方判断，会成为此后美国对华政策、年度报告与相关立法的引用基础。声明发表的时机也说明了它的分量：任期最后一个完整工作日发布的认定，注定要由继任政府表态接受或推翻——而继任者选择了接受，详见下文。还需交代的是认定的时间下限：声明把暴行的起始点定在「至少2017年3月以来」，措辞中的「至少」表明，美国政府认定这一时间点之前的情况不在本次认定的覆盖断言之内，但自该时点起的罪行是持续性的——「犯下」危害人类罪与「正在实施」种族灭绝这两个时态，在声明中是经过区分的。It is worth explaining first why a statement merits an archive page of its own. Within the United States system, a determination on atrocities issued by the Secretary of State is not a commentary but a formal act of government: it represents the executive branch's official judgment, reached after reviewing the evidence, and it becomes a reference point for subsequent China policy, annual reporting and related legislation. The timing of this determination underlines its weight. Issued on the last full working day of an administration, it was bound to force its successors to take a position, to accept it or to overturn it — and the successors chose to accept it, as detailed below. The determination's time frame also needs to be stated exactly: it dates the atrocities from "at least March 2017." The words "at least" mark the limit of what the determination asserts about the period before that date, while the crimes from that date onward are presented as continuing — and the statement distinguishes its tenses accordingly, speaking of crimes against humanity committed, and of a genocide that is ongoing.

这份认定并非凭空作出，它有明确的国内法与国会背景。美国国会先后通过了《2018年Elie Wiesel种族灭绝与暴行预防法》与《2020年维吾尔人权政策法》等法律，要求行政当局就新疆的暴行问题作出认定与报告。换言之，国会以立法的形式给行政当局布置了作业：新疆发生的事情在法律上应当如何定性，不能长期停留在含糊表述。在作出认定之前，美国国务院审阅了公开记录与内部材料。这一形成过程决定了这份文件的证据性质：它不是情报机构的秘密评估，也不是议员个人的表态，而是行政当局在国会法定要求之下、基于可查记录作出的公开判断。美国国会研究服务处其后撰写的R48288号报告，专门记录并分析了这一认定，该报告是本页事实的主要依据之一。The determination did not appear from nowhere; it has a specific statutory and congressional background. The United States Congress had enacted, among other measures, the Elie Wiesel Genocide and Atrocities Prevention Act of 2018 and the Uyghur Human Rights Policy Act of 2020, which required the executive branch to make determinations and report on atrocities in Xinjiang. In effect, Congress had set the executive a task by law: the legal characterization of what was happening in Xinjiang could not remain indefinitely in the realm of vague formulations. Before issuing the determination, the Department of State reviewed the public record and internal materials. That process determines the document's evidentiary character: it is not a classified intelligence assessment, and it is not an individual legislator's opinion, but a public judgment by the executive branch, made under a statutory requirement from Congress and based on a reviewable record. The Congressional Research Service subsequently devoted its report R48288 to recording and analyzing this determination, and that report is one of the main factual bases of this page.

二、核心结论2. Core findings

认定的结论分两个罪名。第一个是危害人类罪：声明认定，中国政府自至少2017年3月以来，对新疆以维吾尔族为主的穆斯林少数群体犯下了危害人类罪。第二个是种族灭绝：声明认定，中国政府正在对同一群体实施种族灭绝。在对种族灭绝的表述中，声明写道，中国当局「正在对一个脆弱的民族与宗教少数群体进行强迫同化，并意图最终将其抹除」（英文原文：“are engaged in the forced assimilation and eventual erasure of a vulnerable ethnic and religious minority group.”）本页只呈现这一句原文引文，其余内容全部转述。种族灭绝是国际法上最严重的罪名，其法律含义指向针对一个群体本身的存续所实施的行为；声明以「强迫同化」与「最终抹除」来概括其所认定的行为逻辑——即所针对的不只是个人的权利，而是这个群体作为一个群体继续存在下去的条件。The determination's conclusions are organized under two crimes. The first is crimes against humanity: the statement determined that, since at least March 2017, the Chinese government had committed crimes against humanity against the predominantly Muslim Uyghurs and other minority groups in Xinjiang. The second is genocide: the statement determined that the Chinese government was committing genocide against the same population. In expressing the genocide finding, the statement wrote that the authorities "are engaged in the forced assimilation and eventual erasure of a vulnerable ethnic and religious minority group." This page reproduces that single sentence as its only direct quotation; everything else is paraphrase. Genocide is the gravest crime in international law, and its legal meaning points at conduct directed against the continued existence of a group as such. The statement's summary — forced assimilation and eventual erasure — captures the logic it found: what is targeted is not only the rights of individuals, but the conditions under which this group continues to exist as a group.

两个罪名的并置值得读者注意，因为它们在声明中承担不同的功能。危害人类罪的认定，依托的是一组已被列举的具体行为——监禁、绝育、酷刑、强迫劳动与对基本自由的严苛限制（下一节逐项转述）；这些行为指向的是针对平民群体的大规模或系统性攻击。种族灭绝的认定，则在此之上多走了一步：它判断这些行为背后的指向，是同化并最终抹除这个群体。美国政府在同一份声明中同时作出两个认定，意味着在华盛顿的官方判断里，新疆发生的事情既满足危害人类罪的行为构成，又具有种族灭绝所要求的群体指向。本站记录时严格区分两者的层次，不混为一谈；读者在引用时也应注明所引的是哪一项认定。The pairing of the two crimes deserves the reader's attention, because they do different work within the statement. The crimes against humanity finding rests on a set of enumerated acts — imprisonment, sterilization, torture, forced labour and severe restrictions on basic freedoms, each summarized in the next section — which together amount, in the determination's logic, to a widespread or systematic attack directed against a civilian population. The genocide finding takes one further step beyond that: it judges that the direction behind these acts is the assimilation and eventual erasure of the group itself. By making both determinations in a single statement, the United States government placed on record its official judgment that what is happening in Xinjiang satisfies both the act-based elements of crimes against humanity and the group-directed intent that genocide requires. This site keeps the two levels strictly distinct in its record, and readers citing the page should likewise specify which determination they are citing.

认定的连续性是这份文件区别于一般外交声明的另一关键。继任国务卿安东尼·布林肯在2021年1月19日——与认定发表同一天——的参议院确认听证上，被问及是否同意这一认定时，明确表示同意。拜登政府上任后沿用了这一认定。国务院此后在历年的年度人权报告中，持续表述新疆的种族灭绝与危害人类罪「仍在持续」；2022年7月，国务院发布的《Elie Wiesel法报告》再次写明：种族灭绝与危害人类罪正在新疆针对维吾尔人实施。也就是说，这份在政权交替前夜发表的认定，没有随着政府更迭而失效，而是被新政府确认、被后续年度文件反复重申，成为美国官方记录中一项跨届延续的判断。本页把这一沿用过程逐项记录，是因为档案的价值正在于此：它让任何后来的淡化或改口，都有据可查。The determination's continuity is the other feature that sets it apart from an ordinary diplomatic statement. The incoming Secretary of State, Antony Blinken, was asked at his Senate confirmation hearing — on 19 January 2021, the very day the determination was issued — whether he agreed with it, and he stated clearly that he did. The Biden administration then maintained the determination after taking office. In its successive annual human rights reports, the State Department continued to state that the genocide and crimes against humanity in Xinjiang remain ongoing; and in July 2022, the Department's Elie Wiesel Act report wrote again that genocide and crimes against humanity are being committed in Xinjiang against the Uyghurs. In other words, a determination issued on the eve of a transfer of power did not lapse with the change of government: it was endorsed by the new administration, restated in the annual documents that followed, and became a judgment carried across administrations in the official United States record. This page records that chain of continuation item by item, because that is where an archive earns its keep: any future softening or reversal will have a documented baseline against which it can be checked.

三、主要记录内容3. What it documents

声明为危害人类罪的认定列举了构成行为，本节逐项转述。第一项是任意监禁逾一百万平民。数字的口径是「逾一百万」：声明认定，在新疆被任意监禁的平民人数超过一百万。这一项是整个认定的数量基础——它说明所指控的不是零星个案，而是一个需要庞大设施与行政体系支撑的规模。与监禁相连的背景，是本站另页记录的新疆再教育营体系（见第四节链接）：大量人员未经正常司法程序即失去自由。声明把监禁列在构成行为之首，与其规模和基础性相符。The statement enumerates the acts underlying its crimes against humanity determination, and this section summarizes them in turn. The first is the arbitrary imprisonment of more than a million civilians. The figure is stated as a floor — more than one million: the determination found that the number of civilians arbitrarily imprisoned in Xinjiang exceeded one million. This item is the quantitative foundation of the whole determination: what it alleges is not a scattering of individual cases, but a scale that requires an extensive apparatus of facilities and administration to sustain. The background to the imprisonments is the Xinjiang re-education camp system recorded elsewhere on this site (see the links in Section 4): large numbers of people deprived of liberty without normal judicial process. That the statement places imprisonment first among its enumerated acts matches both its scale and its foundational role.

第二项是强迫绝育。声明把强迫绝育列入危害人类罪的构成行为，指向的是以非自愿方式剥夺个人生育能力的措施。在认定的整体逻辑中，这一行为同时与种族灭绝的判断相呼应：针对一个群体的生育能力下手，所损害的不只是当事人当下的权利，还有这个群体延续自身的能力。第三项是酷刑：声明认定，被关押者遭受酷刑。第四项是强迫劳动：声明认定，强迫劳动是这套体系的组成部分之一。这四项——监禁、绝育、酷刑、强迫劳动——共同的特点是直接作用于人的身体与人身自由，构成认定中最沉重的部分。The second act is forced sterilization. The statement lists forced sterilization among the acts constituting crimes against humanity, pointing to measures that deprive individuals of their reproductive capacity without their consent. Within the determination's overall logic, this act also resonates with the genocide finding: to act upon a group's capacity to reproduce is to damage not only the present rights of the persons concerned, but the group's ability to continue itself. The third act is torture: the statement determined that detainees were subjected to torture. The fourth is forced labour: the statement determined that forced labour forms part of the system. These four acts — imprisonment, sterilization, torture and forced labour — share a common feature: they act directly upon the human body and upon personal liberty, and they form the gravest part of the determination.

第五项与前四项性质不同：声明认定，中国政府对宗教信仰自由、言论自由和迁徙自由施加了严苛限制。这一项记录的是日常生活层面的权利状态：信什么教、说什么话、去什么地方，这些最基本的自由在新疆受到严苛限制。把这一项与前四项并列，声明呈现的图景才完整：这套体系的一端是营地里的监禁与酷刑，另一端是营地之外无处不在的限制；前者针对被关押的逾百万人，后者笼罩着整个群体。五项构成行为到此转述完毕。本站提醒读者：以上均为美国政府声明的认定内容，其作为「美国官方立场」的性质明确；本站的职责是准确存档这一立场的原文要点与出处，读者可经第六节的官方链接查阅记录与分析的全文。The fifth act differs in kind from the first four: the statement determined that the Chinese government imposed severe restrictions on freedom of religion, freedom of expression, and freedom of movement. This item records the state of rights at the level of everyday life — what one may believe, what one may say, where one may go: in Xinjiang, the statement found, these most basic freedoms are drastically restricted. Placed alongside the other four, this item completes the picture the statement draws: at one end of the system are imprisonment and torture inside the camps; at the other end are the pervasive restrictions outside them. The first bears on the more than a million imprisoned; the second hangs over the group as a whole. That completes the five enumerated acts. This site reminds the reader of the status of what precedes: these are the contents of a determination by the United States government, whose character as an official US position is unambiguous. This site's task is to archive that position's substance and provenance accurately; through the official links in Section 6, readers can consult the full record and analysis for themselves.

四、涉及的个案与站内档案4. Individual cases and related records on this site

与联合国的评估不同，这份美国声明通篇处理的是罪名与体系，没有逐个点名个案；它的「个案」层面，落在逾一百万被任意监禁的无名平民身上。本站的个案档案与这份声明构成互补：声明给出美国政府的法律定性，个案档案记录定性所指向的具体制度与人物。与本声明关系最直接的站内页面是新疆再教育营：声明所称的任意监禁，其制度载体正是这一页记录的营地体系。同一主题的另一份国际官方文件——联合国人权高专办2022年的新疆评估——存于本栏目相关页面；美国国务院自身对中国人权状况的年度记录，则见本栏目「美国国务院年度人权报告」页面。三组文件放在一起读，可以看到一个有用的对照：同一事实基础之上，不同机构得出的定性并不完全相同——美国政府走到了「种族灭绝」，联合国评估止步于「可能构成危害人类罪」；差异何在、为何有差异，原文俱在，读者可自行比对。这正是本站设立「国际官方记录」栏目的用意：把不同的官方判断并排存档，而不是只存一种声音。Unlike the United Nations assessment, this American statement deals throughout with crimes and systems, and names no individual cases; its "cases," at the human level, are the more than one million unnamed civilians it found arbitrarily imprisoned. This site's case archive complements the statement: the statement supplies the United States government's legal characterization, and the case archive records the institutions and persons to which that characterization points. The page on this site most directly related to the statement is the Xinjiang re-education camps record: the arbitrary imprisonment of which the statement speaks had, as its institutional vehicle, the camp system documented there. The other major official document on the same subject — the UN human rights office's 2022 Xinjiang assessment — is archived in this section, and the State Department's own annual record of human rights in China is archived at this section's page on the US annual human rights reports. Read together, the three bodies of documents offer a useful comparison: on the same factual foundation, different institutions reached characterizations that are not identical — the United States government went to genocide, while the UN assessment stopped at "may constitute crimes against humanity." Where the difference lies, and why, is all in the original texts, which readers can compare for themselves. That is the purpose of this site's International Official Records section: to archive differing official judgments side by side, not to preserve only one voice.

本声明发表之后，加拿大、荷兰、英国、立陶宛、法国等国的议会相继通过动议，称新疆发生种族灭绝。此处必须按事实单的要求注明性质：这些都是议会动议，不具有法律约束力，与美国政府以国务卿名义作出的正式认定在制度分量上不同。一国议会的动议表达的是立法机构的政治判断；一国政府的「认定」则代表行政当局的官方立场，并会进入该国后续的政策与报告体系。本站把两者分开记录、分开标注，读者引用时亦请注意这一区别：可以说「多国议会通过动议称新疆发生种族灭绝」，不宜把这些动议与美国政府的认定混称为同一性质的「认定」。After this statement was issued, the parliaments of Canada, the Netherlands, the United Kingdom, Lithuania and France, among others, successively adopted motions describing what is happening in Xinjiang as genocide. The character of those acts must be noted exactly: they are parliamentary motions, without binding legal force, and they differ in institutional weight from a formal determination issued in the name of a Secretary of State. A parliamentary motion expresses the political judgment of a legislature; a government determination represents the official position of the executive branch, and enters into that country's subsequent policy and reporting system. This site records the two kinds of acts separately and labels them separately, and readers citing them are asked to observe the same distinction: it is accurate to say that several national parliaments adopted motions describing Xinjiang as a genocide; the motions and the United States determination should not be conflated as acts of the same kind.

五、中方回应5. Beijing's response

中国政府对这份认定的回应是否定与斥责。中国外交部斥该认定为反华势力编造的「世纪谎言」，称蓬佩奥的所谓认定「是一张废纸」，并表示新疆各族群众的人权得到充分保障。以上表述按其出处性质记录于此：它们是中国外交部的官方回应，本页客观并列呈现。需要同时记录的一个对照是：被斥为「废纸」的这份认定，在发表次日即获继任国务卿公开认同，其后被写入美国国务院的年度人权报告与《Elie Wiesel法报告》，至今仍是美国官方记录的一部分；而中方的回应则保持了其一贯立场。两种表述并存于公开记录之中，本站的职责是把两边的话都存准、存全，并注明各自的出处与性质，判断留给读者。The Chinese government's response to the determination was denial and denunciation. The Ministry of Foreign Affairs dismissed the determination as a "lie of the century" fabricated by anti-China forces, said that Pompeo's so-called determination was "a piece of waste paper," and stated that the human rights of the people of all ethnic groups in Xinjiang are fully protected. These formulations are recorded here according to their nature: they are the Chinese Foreign Ministry's official response, presented alongside the determination without adjudication. One contrast, however, also belongs in the record. The determination dismissed as waste paper was publicly endorsed the following day by the incoming Secretary of State, was subsequently carried into the State Department's annual human rights reports and its Elie Wiesel Act report, and remains part of the official United States record today; Beijing's response, for its part, has held to its established position. Both sets of words stand in the public record, and this site's duty is to preserve each side accurately and completely, with its provenance and character noted, and to leave judgment to the reader.

六、官方原文与相关页面6. Official text and related pages

记录并分析这份认定的官方文件，可查阅美国国会研究服务处报告R48288：CRS报告R48288（congress.gov）。美国国务院对这一认定的现行表述，见《2024年各国人权报告》中国部分：美国国务院《2024年各国人权报告》·中国。声明全文存于美国国务院2017–2021年档案站，标题为“Determination of the Secretary of State on Atrocities in Xinjiang”，读者可按此标题在该档案站检索原文。本站相关页面：新疆再教育营、联合国人权高专办《关于新疆人权关切的评估》（2022）、美国国务院年度人权报告（中国部分）。引用本页时请注意两点：其一，「逾一百万」的数字口径与「至少2017年3月以来」的时间口径，均应与认定原文一并引用；其二，多国议会的相关表述为无法律约束力的动议，与本页的政府认定性质不同，见第四节说明。The official document that records and analyzes this determination is Congressional Research Service report R48288: CRS Report R48288 (congress.gov). The State Department's current formulation of the determination can be found in the China section of the 2024 Country Reports on Human Rights Practices: US Department of State, 2024 Country Reports — China. The full text of the statement itself is preserved on the State Department's 2017–2021 archive site under the title "Determination of the Secretary of State on Atrocities in Xinjiang," where readers can retrieve the original under that title. Related pages on this site: the Xinjiang re-education camps, the OHCHR Assessment of Human Rights Concerns in Xinjiang (2022), and the US State Department annual human rights reports (China). Two cautions for citation: first, the figure of "more than one million" and the time frame of "since at least March 2017" should be quoted together with the determination itself; second, the related statements by other countries' parliaments are non-binding motions, different in kind from the government determination archived here, as explained in Section 4.

来源Sources

来源：美国国务卿声明《国务卿关于新疆暴行的认定》（Determination of the Secretary of State on Atrocities in Xinjiang，2021年1月19日，全文存于美国国务院2017–2021年档案站）；美国国会研究服务处报告R48288对该认定的记录与分析；继任国务卿布林肯2021年1月19日参议院确认听证表态；美国国务院历年年度人权报告及2022年7月《Elie Wiesel法报告》的沿用表述；中国外交部对该认定的公开回应。本页除第二节标注的一句原文引文外，全部为转述。Sources: Determination of the Secretary of State on Atrocities in Xinjiang, issued 19 January 2021 (full text preserved on the US Department of State 2017–2021 archive site); Congressional Research Service Report R48288, recording and analyzing the determination; Secretary of State Antony Blinken's statement at his Senate confirmation hearing on 19 January 2021; the determination's continuation in the State Department's annual human rights reports and its July 2022 Elie Wiesel Act report; and the Chinese Foreign Ministry's public response to the determination. Apart from the single sentence quoted in Section 2, this page is written entirely in paraphrase.