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      首頁 / 文章發布 / 君合法評 / 君合法評詳情

      解讀美國“軍事最終用戶”清單制度及其救濟措施

      2020.12.25 閆振峰

      一、背景


      美國東部時間2020年12月21日,美國商務部產業安全局發布公告,對出口管制條例(Export Administration Regulation,下稱“EAR”)第744條、第756條進行修訂,增加第744條附件7“軍事最終用戶”清單,將57家中國企業列為“軍事最終用戶”。該公告于當地時間2020年12月23日在美國聯邦公報1正式發布并生效,公報編號為2020-28052。


      2020年12月22日中國商務部新聞發言人在答記者問時表示:中方對美方此舉堅決反對,將采取必要措施,堅決維護中國企業的合法權益。對于目前美方不斷打壓中國企業的做法,從中國企業的角度,應該對美國涉及“軍事最終用戶”清單的制度和相關救濟措施有所了解。


      二、軍事最終用戶


      1. 界定


      根據EAR第744.21(g)條2,“軍事最終用戶”是指,國家武裝部隊(包括陸軍、海軍、海軍陸戰隊、空軍或海岸警衛隊),以及國民警衛隊和國家警察、政府情報或偵察組織,以及任何其行動或職能為支持“軍事最終用途”的個人或實體。


      根據EAR第744.21(f)條3,“軍事最終用途”是指,用于美國武器清單所列武器的任何物項,用于ECCN以“A018”結尾或第三位為“6”的任何物項,或者為前述物項的運行、安裝、維護、修理、檢修、翻新、開發或生產提供支持或協助的物項。


      2. 后果


      如果某中國企業被列入“軍事最終用戶”清單,即意味著,美國商務部產業安全局已經向出口商告知,向該企業出口列入EAR第744條附件2的物項可能存在導致該物項被用于或被轉用于軍事用途的不可接受的風險4,因此,出口商必須就該出口行為申請出口許可證5。就該等許可證的申請,默認結果是拒絕給予許可6


      EAR第744條附件2所列物項


      分類

      物項

      ECCN

      分類一

      材料、化學品、微生物和毒素

      1A290、1C990、1C996、10993、

      10999、1E994

      分類二

      材料加工

      2A290、2A291、2A991、2B991、

      2B992、2B996、2B999、20290

      分類三

      電子器件設計、研制和生產

      3A991、3A992、3A999、3B991、

      3B992、3C992、30991、3E991

      分類四

      計算機

      4A994、40993、40994

      分類五

      (第一部分)通訊

      (第二部分)信息安全

      5A991、5B991、50991、5E991、

      5A992、50992

      分類六

      傳感器與激光

      6A991、6A993、6A995、6A996、

      6C992

      分類七

      導航與航空電子學

      7A994、7B994、70994、7E994

      分類八

      海事

      8A992、80992、8E992

      分類九

      推進系統、航天器及相關設備

      9A991、9B990、90991、9E991


      三、被誤列企業的救濟措施——申請移出


      1. 申請移出的權利


      根據第744.21(b)(2)條7和第744條附件58,被列入“軍事最終用戶”清單可以向最終用戶審查委員會提出申請將其從“軍事最終用戶”清單移出。


      2. 申請文件


      根據第744.21(b)(2)條9和第744條附件510,關于從“軍事最終用戶”清單移出的申請必須為書面形式,內容必須講明為什么申請人不屬于第744.21(b)條所界定的“軍事最終用戶”,并提交相關支持材料。


      3. 受理方式


      根據第744.21(b)(2)條11和第744條附件512,關于從“軍事最終用戶”清單移出的申請應當寄往如下地址:


      Bureau of Industry and Security, U.S. Department of Commerce, 

      Attention:Chair, End-User Review Committee, 

      14th Street and Pennsylvania Avenue, NW, Room 3886, 

      Washington, DC 20230.

      United States


      郵寄地址中文翻譯:

      美國華盛頓特區賓夕法尼亞西北大道和第14街交叉口

      商務部,產業安全局,最終用戶審查委員會,3886房間

      收件人:審查委員會主席


      4. 審查程序


      最終用戶審查委員會主席收到關于從“軍事最終用戶”清單移出的申請后,應當將該申請分發給最終用戶審查委員會成員單位13,包括商務部、國務院、國防部、能源部以及財務部(如涉及)14


      最終用戶審查委員會應當在收到關于從“軍事最終用戶”清單移出的申請和支持材料后的30天之內完成審查和表決,除非成員單位一致同意延長表決期限15。最終用戶審查委員會的工作由商務部主持,關于從“軍事最終用戶”移出的決定需要由委員會一致同意16


      最終用戶審查委員會的決定為最終行政決定,不能根據EAR第756.2條申請行政復議17


      5. 審查結果


      最終用戶審查委員會主席將根據表決結果準備向申請人的反饋,反饋結果應由負責出口管理的副助理部長簽署18。目前負責出口管理的副助理部長為Matthew Borman,1992年入職美國商務部,法律背景出身。


      四、可行性判斷


      在中美尚未建立充分軍事互信的背景下,美國基于其自身安全考慮對中國實施基于“軍事最終用途”、“軍事最終用戶”的出口管控措施;對于被誤列入“軍事最終用戶”清單的企業而言,并非只能束手就擒,其依然可以根據美國法律嘗試采取救濟措施。


      根據過往多年涉外法律工作經驗,以律師為代表的美國職業群體,包括以公職律師為代表的職業公務員群體,是非常愿意講規則、講道理的;而且美國聯邦部委中從事規則制定的公務員多為法律背景出身。這種情況下,按照“軍事最終用戶”清單移出程序,提交一份說理充分、證據充分、表達規范的申請,被誤列入“軍事最終用戶”清單的企業完全有機會“脫單”。美國商務部產業安全局在2020-28052聯邦公報的政策說明部分提到,“每年預計收到13份關于移出或變更‘軍事最終用戶’清單的申請”19,“每份申請的處理時間約為15小時”。



      1.https://public-inspection.federalregister.gov/2020-28052.pdf

      2.744.21(g) Military end user. In this section, the term 'military end user' means the national armed services (army, navy, marine, air force, or coast guard), as well as the national guard and national police, government intelligence or reconnaissance organizations, or any person or entity whose actions or functions are intended to support 'military end uses' as defined in paragraph (f) of this section.

      3.744.21 (f) Military end use. In this section, 'military end use' means: incorporation into a military item described on the U.S. Munitions List (USML) (22 CFR part 121, International Traffic in Arms Regulations); incorporation into items classified under ECCNs ending in “A018” or under “600 series” ECCNs; or any item that supports or contributes to the operation, installation, maintenance, repair, overhaul, refurbishing, “development,” or “production,” of military items described on the USML, or items classified under ECCNs ending in “A018” or under “600 series” ECCNs.

      4.744.21(b)(i) (1) ‘Military End-User’ (MEU) List BIS may inform and provide notice to the public that certain entities are subject to the additional prohibition described under this paragraph (b) following a determination by the End-User Review Committee (ERC) that a specific entity is a ‘military end user’ pursuant to this section and therefore any exports, reexports, or transfers (in country) to that entity represent an unacceptable risk of use in or diversion to a ‘military end use’ or ‘military end user’ in China, Russia, or Venezuela. ……

      5.744.21(b) Additional prohibition on those informed by BIS. BIS may inform you either individually by specific notice, through amendment to the EAR published in the Federal Register, or through a separate notice published in the Federal Register, that a license is required for specific exports, reexports, or transfers (in-country) of any item because there is an unacceptable risk of use in or diversion to a 'military end use' or 'military end user' in China, Russia, or Venezuela. ……

      6.744.21(e) License review standards. (1) Applications to export, reexport, or transfer (in-country) items described in paragraph (a) of this section will be reviewed with a presumption of denial.

      (3) Applications for items requiring a license for any reason that are destined to China, Russia, or Venezuela for a 'military end use' or 'military end user' also will be subject to the review policy stated in paragraph (e)(1) of this section.

      7.EAR第744.21(b)(2)條, Requests for removal from or modification of ‘Military End User’ (MEU) List. Any entity listed on the MEU List may request that its listing be removed or modified.

      8.EAR第744條附件5第8段,A listed entity may present a request to remove or modify its Entity List or the MEU List entry along with supporting information to the chairman at Room 3886, U.S. Department of Commerce, 14th Street and Pennsylvania Avenue, NW, Washington, DC 20230.

      9.EAR第744.21(b)(2)條,All such requests, including reasons therefor, must be in writing and sent to: Chair, End-User Review Committee, Bureau of Industry and Security, U.S. Department of Commerce, 14th Street and Pennsylvania Avenue, NW, Room 3886, Washington, DC 20230.  In order for an entity listed on the MEU List to petition BIS for their removal or modification, as applicable, the entity must address why the entity is not a ‘military end user’ for purposes of § 744.21.

      10.同注8。

      11.同注9。

      12.同注8。

      13.第744條附件5第8段,The chairperson shall refer all such requests and supporting information to all member agencies.

      14.第744條附件5第1段,The End-User Review Committee (ERC), composed of representatives of the Departments of Commerce, State, Defense, Energy and, where appropriate, the Treasury, will make all decisions to make additions to, removals from or changes to the Entity List and the ‘Military End User’ (MEU) List.

      15.第744條附件5第8段,The time frames, procedures and right of escalation by a member agency that is dissatisfied with the results that apply to proposals made by a member agency shall apply to these requests.

      第744條附件5第4段,The ERC will vote on each proposal no later than 30 days after the chairperson first circulates it to all member agencies unless the ERC unanimously agrees to postpone the vote.

      16.第744條附件5第1段,The ERC will be chaired by the Department of Commerce and will make all decisions to add an entry to the Entity List and MEU List by majority vote and all decisions to remove or modify an entry by unanimous vote.

      17.第744條附件5第8段,The decision of the ERC (or the ACEP or EARB or the President, as may be applicable in a particular case) shall be the final agency decision on the request and shall not be appealable under part 756 of the EAR.

      EAR第756.2 (a)條,Scope. ......The following types of administrative actions are not subject to the appeals procedures described in this part:

       (3) A decision on a request to remove or modify an Entity List entry made pursuant to § 744.16 of the EAR, a decision on a request to remove or modify an Unverified List entry made pursuant to § 744.15 of the EAR, or a request to remove or modify a Military End User entry made pursuant to § 744.21(b) of the EAR.

      18.第744條附件5第8段,The chairperson will prepare the response to the party who made the request. …… The response will be signed by the Deputy Assistant Secretary for Export Administration.

      19.2020-28052聯邦公報“Rulemaking Requirements”部分第2段,……are expected to slightly increase under OMB control number 0694-0134 because of the estimated thirteen removal or modification requests for the MEU List that BIS may receive each year……

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