​美国商务部“未经核实清单”的“脱单”攻略

一、相关背景

美国东部时间2022年10月7日，美国商务部工业安全局（Bum88 casino appau of Industry and Security，下称BIS）发布最终规则¹，修订美国《出口管理条例》（Export Administration m88 casino appgulation，下称EAR），称出于美国政府控制之外的原因，BIS无法针对EAR管控物项的外国交易方进行令其满意的最终用途核查，从而无法判断该类实体是否真实可信²，将31家中国企业新增列入“未经核实清单”（即Unverified List，简称UVL）。前述规则于2022年10月7日发布当日生效，并于2022年10月13日在美国联邦公报上正式发布³，公报编号为2022-21714。

根据BIS于2022年10月7日发布的官方声明⁴，“新宣布的出口管制措施旨在进一步维护美国国家安全及外交利益，修订后的EAR新规将限制中国获取先进计算机芯片、研发和维护超级计算机以及制造先进半导体的能力，而中国将这一类物项用于生产包括大规模杀伤性武器在内的先进军事系统、进一步提高其军事决策、规划、后勤以及自动军事系统的速度和精度，并实施侵犯人权的行为。新规最后明确，如果外国政府妨碍BIS就是否合规进行判断，将会导致相关企业被列入‘实体清单’，从而影响相关企业获取美国技术”⁵。

中国驻美国大使馆将美国商务部此举称为“科技霸权”，表示美国正在用“科技实力”压制新兴市场的发展中国家⁶。商务部研究院国际市场研究所副所长白明接受《环球时报》采访表示7，此次“未经核实清单”的更新，意味着美国并非在某一类高科技产品的生产环节打压中国，而是试图在包括支撑高科技产业发展的研发机构等系列环节上对中国“卡脖子”，从而实现对华的“系统性打压”。

二、“未经核实清单”内涵、列入情形、法律后果

（一）内涵——BIS无法核查是否真实可信

根据EAR第744.15条(c)款第(1)项规定⁸，对于出口、再出口以及国内转让受EAR管控物项涉及的外国主体，如果BIS或代表其行使职责的联邦官员在其进行许可前审查⁹或发货后审查¹⁰的过程中，出于美国政府控制之外的原因，无法完成最终用途核查，以判断该外国主体是否真实可信（例如涉及EAR管控物项的最终用途和最终用户的合法性和可靠性）¹¹，则该外国主体可能会被列入“未经核实清单”。“未经核实清单”为EAR第744部附件6¹²。

（二）列入情形

根据EAR第744.15条(c)款第(1)项规定¹³，具体列入“未经核实清单”的情形包括但不限于：

如果BIS无法确信最终用途核查的外国主体真实可信，BIS将对其未来是否适合从事EAR管控物项相关出口活动产生怀疑，并且认为存在EAR管控物项被用于禁止最终用途和/或最终用户的风险¹⁷。这种情况下，BIS尚无充分的信息将相关主体根据EAR第744.11条列入“实体清单”，因而可以将其列入“未经核实清单”¹⁸。

（三）法律后果

1. 2002年6月14日首次发布“未经核实清单”时的法律后果

2002年6月14日，BIS以发布通知的方式，首次发布“未经核实清单”¹⁹，将11家外国主体列入“未经核实清单”，其中包括9家中国企业。BIS要求，美国出口商与“未经核实清单”所列主体进行交易时，应当视为EAR第732部附件3“了解你的客户”指引中的“红色警示”，出口商应当有义务问询、验证或以其他方式确保拟议交易不涉及EAR第744部禁止的扩散行为、而且不违反EAR的其他规定²⁰。如果出口商在调查后仍存疑虑，则应避免此类交易，或以申请许可证或咨询意见的形式向BIS提交所有相关信息²¹。

2. 2013年12月19日修订“未经核实清单”规则后的法律后果

2013年12月19日，BIS根据前期实施“未经核实清单”的经验总结，在EAR中系统性的增加了“未经核实清单”的相关规则²²。本次修订之后，美国出口商与“未经核实清单”所列主体进行交易，应当履行以下义务：

3. 2022年10月7日澄清“未经核实清单”执法政策后的法律后果

2022年10月7日，美国商务部负责出口管制执法的助理部长Matm88 casino appew Axelrod签发了一份《解决外国政府阻止最终用途核查的备忘录》²⁶；其中明确，对于向“未经核实清单”所列主体进行出口的许可申请，都必须先完成许可前审查²⁷。

另外，针对由于东道国原因导致BIS无法完成最终用途核查的情形，美国商务部出口执法部门设计了如下执法机制以督促外国政府履行配合义务²⁸：

BIS同步修订EAR第744.11条关于“实体清单”的规则，以反映前述执法政策变化²⁹，EAR第744.11条(b)款第4项规定了因为阻止最终用途核查而列入“实体清单”的情形，2022年10月13日的最终规则在该项下增加一种具体情形，即“东道国政府持续缺乏合作，因此无法根据第744.15条的规定安排并促使完成对未经核实名单上所列实体的最终用途核查，引发充分关注，从而使得最终用户审查委员会认为，对涉及相关主体的出口、再出口或国内转让进行事先审查、施加许可条件或拒绝许可，可以增强BIS防止违反EAR的能力”³⁰。

需要特别注意的是，对于因为东道国不配合原因已经列入“未经核实清单”的外国主体，如果自2022年10月7日起60天内（即2022年12月6日前）不能完成最终用途核查的，BIS将启动跨部门监管程序，将这些外国主体从“未经核实清单”中移出并列入“实体清单”。

三、如何从“未经核实清单”移出

（一）移出依据

根据EAR第744.15条(c)款第（2）项规定³¹，被列入“未经核实清单”的主体申请将其从“未经核实清单”移出必须根据EAR第744.15条(d)款提交申请。

（二）移出条件

根据EAR第744.15条(c)款第（2）项规定³²，当BIS通过许可前审查和发货后审查可以确认被列入“未经核实清单”的主体真实可信时，BIS会将相关主体从“未经核实清单”中移出；如因东道国原因导致无法完成许可前审查和发货后审查，可以采用BIS认为足够充分的替代核查方法。

根据BIS于2013年12月19日修订“未经核实清单”规则时的说明，替代核查方法之一，是由出口商或者出口许可申请人根据相关外国主体的请求，前往后者场所进行最终用途核查，并向美国政府提交充分信息，以证明相关外国主体真实可信³³。申请替代核查方法的程序与申请从“未经核实清单”移出的程序相同³⁴。

（三）申请文件和材料

根据EAR第744.15条(d)款规定³⁵，移出申请应当为书面形式，包括申请理由以及证明相关主体真实可信的信息。

（四）移出申请的提交

根据EAR第744.15条(d)款规定³⁶，移出申请应当发送给美国商务部工业安全局出口执法分析办公室主任，

英文联系信息：

Dim88 casino appctor, Office of Enforcement Analysis, Bum88 casino appau of Industry and Security, U.S. Department of Commerce,

14m88 casino app Street and Pennsylvania Avenue NW., Room 4065, Washington, DC 20230,

via fax to (202) 482-0971

email to UVLm88 casino appquest@bis.doc.gov

联系信息中文翻译：

美国华盛顿特区宾夕法尼亚西北大道和第14街交叉口，

商务部，工业安全局，出口执法分析办公室，4065房间，

收件人：办公室主任

发送传真至：(202) 482-0971

发送邮件至：UVLm88 casino appquest@bis.doc.gov

（五）申请移出的决定

根据EAR第744.15条(d)款规定³⁷，美国商务部负责出口执法事务的副助理部长将审查从“未经核实清单”移出的申请，并将决定以书面方式告知申请人，该决定为最终决定。

四、申请移出的可行性分析

（一）自我评估

相比较从“实体清单”、“最终军事用户清单”申请移出，从“未经核实清单”移出非常容易。将外国主体列入“未经核实清单”的原因是BIS因超出其控制的原因无法完成最终用途核查；反之，只要BIS能够完成最终用途核查，即可将相关外国主体从“未经核实清单”移出。

因此，如果被列入“未经核实清单”的相关主体在交易时提供了真实的身份信息，按照合同约定的用途使用相关受控物项，应当及时主动向BIS提交移出申请。

（二）BIS的审查态度

申请从“未经核实清单”移出被EAR规定为一项相关主体的权利，2022年10月13日BIS发布的最终规则中，有9家中国企业从“未经核实清单”中移出³⁸。所以从实践角度，BIS也是按照EAR的规定，愿意在确认相关主体真实可信之后将其从“未经核实清单”中移出。

五、结语

根据2022年10月13日修订后的EAR，BIS加强了对因为东道国原因不能完成最终用途核查的执法力度，即第一步先列入“未经核实清单”、第二步再列入“实体清单”，一旦列入“实体清单”，未经BIS许可，将不得向相关主体出口、再出口或在国内转让就该主体在清单“许可要求”列所对应的物项；而且，对于因为东道国不配合原因已经列入“未经核实清单”的外国主体，如果不能在2022年12月6日前完成最终用途核查，将被从“未经核实清单”中移出并列入“实体清单”；因此，我们强烈建议被列入“未经核实清单”的企业，及时配合BIS的最终用途核查，以避免被施加更严重的执法措施。

[1] https://www.federalregister.gov/public-inspection/2022-21714/revisions-to-m88 casino appe-unverified-list-clarifications-to-activities-and-criteria-m88 casino appat-may-lead-to

[2] 同上。英文原文：“m88 casino appe 31 persons are added to m88 casino appe UVL on m88 casino appe basis m88 casino appat BIS was unable to verify m88 casino appeir bona fides because an end-use check could not be completed satisfactory for reasons outside m88 casino appe U.S. Government’s control.”

[3] 同上。

[4] https://www.bis.doc.gov/index.php/documents/about-bis/newsroom/pm88 casino appss-m88 casino appleases/3158-2022-10-07-bis-pm88 casino appss-m88 casino applease-advanced-computing-and-semiconductor-manufacturing-controls-final/file

[5] 同上。英文原文：“m88 casino appe export controls announced in m88 casino appe two rules today restrict m88 casino appe PRC’s ability to obtain advanced computing chips, develop and maintain supercomputers, and manufacture advanced semiconductors. m88 casino appese items and capabilities are used by m88 casino appe PRC to produce advanced military systems including weapons of mass destruction; improve m88 casino appe speed and accuracy of its military decision making, planning, and logistics, as well as of its autonomous military systems; and commit human rights abuses. Finally, m88 casino appese rules make clear m88 casino appat foreign government actions m88 casino appat prevent BIS from making compliance determinations will impact a company’s access to U.S. technology m88 casino apprough addition to m88 casino appe Entity List.”

[6] 环球网，《美政府又出芯片限制恶招打压中企！专家：怕中国高科技产业做强》，https://world.huanqiu.com/article/49xsjzcFW8y

[7] 同上。

[8] https://www.ecfr.gov/curm88 casino appnt/title-15/subtitle-B/chapter-VII/subchapter-C/part-744/section-744.15#p-744.15(c)(1)

[9] Pm88 casino app-license check (PCL)

[10] Post-shipment verification (PSV)

[11] 同脚注8。英文原文：“Foreign persons who are parties to an export, reexport, and transfer (in-country) subject to m88 casino appe EAR may be added to m88 casino appe Unverified List if BIS or federal officials acting on BIS's behalf cannot verify m88 casino appe bona fides (i.e., legitimacy and reliability relating to m88 casino appe end use and end user of items subject to m88 casino appe EAR) of such persons because an end-use check, such as a pre-license check (PLC) or a post-shipment verification (PSV), cannot be completed satisfactorily for reasons outside of m88 casino appe U.S. Government's control. ”

[12] https://www.ecfr.gov/curm88 casino appnt/title-15/subtitle-B/chapter-VII/subchapter-C/part-744/appendix-Supplement%20No.%206%20to%20Part%20744

[13] 15 CFR 744.15(c)(1)，https://www.ecfr.gov/curm88 casino appnt/title-15/subtitle-B/chapter-VII/subchapter-C/part-744/section-744.15#p-744.15(c)

[14] https://www.ecfr.gov/curm88 casino appnt/title-15/subtitle-B/chapter-VII/subchapter-C/part-744/section-744.15#p-744.15(c)(1)

英文原文：“During m88 casino appe conduct of an end-use check, m88 casino appe subject of m88 casino appe check is unable to demonstrate m88 casino appe disposition of items subject to m88 casino appe EAR.”

[15] 同上。英文原文：“m88 casino appe existence or aum88 casino appenticity of m88 casino appe subject of an end-use check cannot be verified (e.g., m88 casino appe subject of m88 casino appe check cannot be located or contacted).”

[16] 同上。英文原文：“Lack of cooperation by m88 casino appe host government aum88 casino appority prevents an end-use check from being conducted.”

[17] https://www.federalregister.gov/documents/2022/10/13/2022-21714/revisions-to-m88 casino appe-unverified-list-clarifications-to-activities-and-criteria-m88 casino appat-may-lead-to

英文原文：“BIS’s inability to confirm m88 casino appe bona fides of foreign persons subject to end-use checks for m88 casino appe reasons described above raises concerns about m88 casino appe suitability of such persons as participants in future exports, reexports, or transfers (in-country) of items subject to m88 casino appe EAR; m88 casino appis also indicates a risk m88 casino appat such items may be diverted to prohibited end uses and/or end users.”

[18] 同上。英文原文：“Under such circumstances, m88 casino appere may not be sufficient information to add m88 casino appe foreign person at issue to m88 casino appe Entity List under § 744.11 of m88 casino appe EAR. m88 casino apperefore, BIS may add m88 casino appe foreign person to m88 casino appe UVL.”

[19] https://www.federalm88 casino appgister.gov/documents/2002/06/14/02-15095/list-of-unverified-persons-in-fom88 casino appign-countries-guidance-to-exporters-as-to-m88 casino appd-flags

[20] 同上。英文原文：“Accordingly, m88 casino appis notice also advises exporters m88 casino appat m88 casino appe participation of a person on m88 casino appe Unverified List in any proposed transaction will be considered by BIS to raise a “red flag” for purposes of m88 casino appe “Know Your Customer” guidance set form88 casino app in Supplement No. 3 to 15 CFR part 732. Under m88 casino appat guidance, whenever m88 casino appere is a “red flag,” exporters have an affirmative duty to inquire, verify, or om88 casino apperwise substantiate m88 casino appe proposed transaction to satisfy m88 casino appemselves m88 casino appat m88 casino appe transaction does not involve a proliferation activity prohibited by part 744, and does not violate om88 casino apper provisions of m88 casino appe EAR.”

[21] 同上。英文原文：“If an exporter continues to have reasons for concern after m88 casino appe inquiry, m88 casino appe exporter should refrain from such transaction or submit all relevant information to BIS in m88 casino appe form of an application for a license or a request for an advisory opinion.”

[22] https://www.federalregister.gov/documents/2013/12/19/2013-30117/revisions-to-m88 casino appe-export-administration-regulations-ear-unverified-list-uvl

[23] 15 CFR 740.2(a)(17)，https://www.ecfr.gov/curm88 casino appnt/title-15/subtitle-B/chapter-VII/subchapter-C/part-740/section-740.2#p-740.2(a)(17)

英文原文：“(a) You may not use any License Exception if any one or more of m88 casino appe following apply:

……(17) A party to m88 casino appe transaction, as described in § 748.5 of m88 casino appe EAR, is listed on m88 casino appe Unverified List in supplement no. 6 to part 744, see § 744.15 of m88 casino appe EAR.”

[24] 15 CFR 744.15(b)，https://www.ecfr.gov/curm88 casino appnt/title-15/subtitle-B/chapter-VII/subchapter-C/part-744/section-744.15#p-744.15(b)

英文原文：“Before proceeding wim88 casino app any export, reexport, or transfer (in-country) subject to m88 casino appe EAR m88 casino appat is not subject to a license requirement, involving a person listed on m88 casino appe Unverified List as a party described in § 748.5 of m88 casino appe EAR, an exporter, reexporter, or transferor (in-country) must obtain a UVL statement from such person…”

[25] 15 CFR 758.1(b)(8)，https://www.ecfr.gov/curm88 casino appnt/title-15/subtitle-B/chapter-VII/subchapter-C/part-758/section-758.1#p-758.1(b)(8)

英文原文：“(b)When is an EEI filing required to be filed in m88 casino appe AES. Except when m88 casino appe export of items subject to m88 casino appe EAR is to take place electronically or in an om88 casino apperwise intangible form, you must file EEI in m88 casino appe AES wim88 casino app m88 casino appe United States Government for items subject to m88 casino appe EAR, including exports by U.S. mail, in m88 casino appe following situations:

(8) For all exports of tangible items subject to m88 casino appe EAR where parties to m88 casino appe transaction, as described in § 748.5(d) m88 casino apprough (f) of m88 casino appe EAR, are listed on m88 casino appe Unverified List (supplement no. 6 to part 744 of m88 casino appe EAR), regardless of value or destination;”

[26] Addm88 casino appssing Fom88 casino appign Government Pm88 casino appvention of End-Use Checks,

https://bis.doc.gov/index.php/documents/policy-guidance/3156-axelrod-pm88 casino appvention-of-end-use-checks-policy-memo-10-7-22/file

[27] 同上。英文原文：“As a matter of policy, until a successful end-use check is completed, BIS imposes pm88 casino app-license checks on all subsequent license applications m88 casino appceived for exports to a listed party.”

[28] 同上。

[29] https://www.federalm88 casino appgister.gov/d/2022-21714/p-45

[30] 15 CFR 744.11(b)(4)(ii)，https://www.ecfr.gov/curm88 casino appnt/title-15/subtitle-B/chapter-VII/subchapter-C/part-744/section-744.11#p-744.11(b)(4)(ii)

英文原文：“A sustained lack of cooperation by m88 casino appe host government to schedule and facilitate m88 casino appe completion of an end-use check of entities identified on m88 casino appe Unverified List pursuant to § 744.15, resulting in sufficient concern such m88 casino appat m88 casino appe End-User Review Committee believes m88 casino appat prior review of exports, reexports, or transfers (in-country) involving m88 casino appe entity and m88 casino appe possible imposition of license conditions or license denial enhance BIS's ability to prevent violations of m88 casino appe EAR.”

[31] 15 CFR 744.15(c)(2)，https://www.ecfr.gov/curm88 casino appnt/title-15/subtitle-B/chapter-VII/subchapter-C/part-744/section-744.15#p-744.15(c)(2)

[32] 同上。

[33] 同脚注22。

[34] 同上。

[35] 15 CFR 744.15(d)，https://www.ecfr.gov/curm88 casino appnt/title-15/subtitle-B/chapter-VII/subchapter-C/part-744/section-744.15#p-744.15(d)

[36] 同上。

[37] 同上。英文原文：“m88 casino appe Deputy Assistant Secretary for Export Enforcement will review such requests and will convey m88 casino appe decision on m88 casino appe request to m88 casino appe requester in writing based on an assessment of m88 casino appe listed person's bona fides as a party to exports, reexports, and transfers (in-country) subject to m88 casino appe EAR. m88 casino appat decision will be m88 casino appe final agency action on m88 casino appe request.”

[38] https://www.federalm88 casino appgister.gov/d/2022-21714/p-43