On 11 April 2019, the US Department of Commerce Bureau of Industry and Security (BIS) issued a Final Rule (84 FR 14608) adding fifty companies to the Unverified List (UVL). The UVL is a list of foreign persons or entities, who are parties to a transaction involving a US export, re-export or in-country transfer of US goods or technology, and whose “bona fides” or legitimacy the BIS has not been able to confirm through an end-user check. Thirty-seven of the fifty companies added are Chinese mainland, six are from Hong Kong SAR, and one Indonesian designation appears to be a subsidiary of a Chinese state-owned enterprise (SOE). The newly-designated Chinese entities are mostly universities, institutes, engineering and technology companies and logistics companies. Some of the UVL subjects are well-known in China and not lacking in bona fides. Trade actions are being used more and more under the current US Administration and the subjects of the actions are often Chinese entities.

2019年4月11日,美国商务部工业安全局(“工业安全局”)作出了一项最终裁定(裁定文书索引号为84 FR 14608),将五十家公司列入未经验证名单。被列入这类名单的外国个人或实体,是在美国出口、再出口、或在国内转让美国货物或技术的交易的参与方,工业安全局无法通过最终用户核查来证实这些个人或实体的“善意”或合法性。被列入名单的五十家公司中有三十七家中国内地公司、六家香港特别行政区公司、以及一家显示为中国国有企业在印度尼西亚的子公司。这些新被列入名单的中国实体大多是大学、机构、工程技术公司、以及物流公司。该名单中的部分实体在中国具有相当的知名度,而且并不缺乏“善意”。当前的美国政府正在更为频繁地采取贸易措施,这些贸易措施的对象常常是中国实体。

What is the UVL?

什么是未经验证名单?

The UVL can be found at Supplement No. 6 to Part 744 of the Export Administration Regulations (EAR). The UVL contains names of foreign persons and entities who have been involved in an export, re-export or in-country transfer of items subject to the EAR and for whatever reason could not be verified as a reliable actor. BIS performs end-use checks, which can be a pre-license check or a post-shipment check. The end-user may be contacted via mail or phone or other means to verify the end-user information, the export and the end-use. If BIS cannot confirm the end-user data, then the bona fides of the person or entity, specifically the person’s or entity’s legitimacy and reliability relating to the end-use and end-user of the item subject to the EAR, is called into question. According to BIS, “[t]he inability of foreign persons subject to end-use checks to demonstrate their bona fides raises concerns about the suitability of such persons as participants in future exports, re-exports, and transfers (in-country) of items subject to the EAR and indicates a risk that such items may be diverted to prohibited end-uses and/or end-users.” Accordingly BIS adds them to the UVL. The persons or entities are placed on the UVL and not placed on the Entity List, because there is only a suspicion and not harder evidence of a breach or potential breach of US export control laws. The suspicion can be the product of an incomplete check—for example, a receptionist refuses the call, an ill-informed sales person refuses to confirm certain information, or an address on the BIS-submitted documents omits a key detail and letters seeking confirmation for the end-use check are repeatedly returned or unanswered.

未经验证名单可见于《出口管理条例》(Export Administration Regulations,“EAR”)第744章第6号补充文件。如果外国个人与实体参与出口、再出口、或在国内转让受EAR出口管制的物品,且出于某种原因无法被验证为可靠的行为人,这些外国个人与实体的名称将被列入未经验证名单。工业安全局会采取最终用途审查,这类审查可能是许可前审查或装运后审查。工业安全局可能会通过邮寄信件、电话、或其他方式联系最终用户,以验证最终用户的信息、出口、以及最终用途。如果工业安全局无法证实最终用户的数据,则该个人或实体的善意,特别是该个人或实体关于受EAR出口管制物品的最终用途和最终用户的合法性与可靠性将会受到质疑。工业安全局曾表示,“若接受最终用途检查的外国个人无法证明他们的善意,这将会让我们担心这些个人是否适合参与受EAR所管制的出口、再出口以及转让(国内),同时也表明受EAR出口管制的物品有被转移给被禁止的最终用途和/或最终用户的风险。”因此,工业安全局会将这些个人与实体列入未经验证名单。因为这些个人或实体仅仅存在违反或可能违反美国出口管制法律的嫌疑,而没有更确凿的证据,所以这些个人或实体被列入的是未经验证名单,而非实体名单(the Entity List)。所谓的嫌疑可能是由核查的不完全导致的。例如,公司的客服未接听工业安全局的来电、不了解情况的销售人员拒绝确认某些信息、亦或是向工业安全局提交的文件上的地址遗漏了某一关键细节,导致最终用途核查的确认信函被反复退信或无人回复确认信函。

The problem with being placed on the UVL is that the subject entity is no longer able to avail itself of license exceptions for receiving US exports, re-exports, and transfers (in-country). Even shipments that do not involve items subject to license under the EAR require the exporter to obtain and maintain a record (UVL Statement) from the person or entity listed on the UVL whenever they engage in a transaction with the exporter. Exporters who see the entity on the UVL may be skeptical of the legitimacy of the person or entity as a trading partner and end-user. An exporter may also be concerned about its reputational risk if it engages in transactions with an entity on the UVL. Thus, the UVL listing has a chilling effect on trade for the person or entity placed on the List.

被列入未经验证名单后的负面影响在于,名单上的实体无法通过许可例外来接收美国出口、再出口、或者转让(国内)的物品。即使是运输不涉及EAR出口管制的物品,出口商在与未经验证名单上的个人或实体进行交易时,也需要从前述个人或实体处获取并保留记录(未经验证名单声明)。出口商可能会怀疑被列入未经验证名单的实体作为贸易伙伴和最终用户的合法性,他们也会担忧与未经验证名单中的实体进行交易会给其带来声誉上的风险。因此,被列入未经验证名单将会对名单上的个人或实体的贸易活动造成寒蝉效应。

Getting Off the List

如何从名单中移除

If you are on the UVL, you can apply to BIS for removal pursuant to 15 CFR 744.15(d). In requesting removal, the foreign person or entity shall convincingly demonstrate to BIS the bona fides of the person or entity as a participant in transactions involving US exports, re-exports and transfers. The Deputy Assistant Secretary for Export Enforcement will render a decision removing the person or entity if BIS is satisfied with the legitimacy and reliability of the person or entity as a party to future transactions involving items subject to the EAR. KWM can help you to apply and advocate for removal.

如果贵司目前被列入了未经验证名单,您可以根据美国联邦法规第15编第744.15(d)款(15 CFR 744.15(d))向工业安全局申请从名单中移除。在提出移除申请时,外国个人或实体应以令人信服的方式向工业安全局证明该个人或实体参与涉及美国出口、再出口、或者转让交易的善意。如果工业安全局对参与受EAR出口管制物品交易的个人或实体的合法性和可靠性感到满意,主管出口执法的副助理部长会作出决定,将该个人或实体从名单上移除。金杜律师事务所可以帮助您提起该类申请,争取将贵司从未经验证名单上移除。

Staying Off the List

如何防止被列入名单

Too often Chinese parties are caught by these types of US regulations simply because they have not prepared and trained staff internally to anticipate these inquiries. There is a natural tendency of staff to reject calls, ignore English letters, or refuse to confirm or deny information when asked. Companies with significant trade involving US-origin goods should have a designated team in the purchasing department that manages the company’s involvement in these transactions. Calls, letters, or other inquiries on any trade issue should be immediately directed to this designated person or team. That person or team should have sufficient training or understanding of the issues that can arise under US and other foreign laws. By managing the process, you can ensure a positive outcome and the continued success in your business.

很多时候,中国当事人仅仅因为没有针对可预测到的工业安全局的询问提前对员工进行内部准备和培训,进而被这类美国行政法规所困扰。企业员工会本能地倾向于拒绝接听来电、忽略英文信函、或在被询问时拒绝给出确认或否认信息。涉及大量美国原产货物贸易的公司应在采购部门中设立专门团队来管理这些交易。任何有关贸易的电话、信件、或其他询问应立即交由该专门人员或团队处理。该人员或团队应对美国法律和其他外国法律项下可能产生的问题接受充分的培训或有充分的理解。通过对这一流程的管理,您可以确保得到有效的效果并继续在经营中取得成功。