解读美国“军事最终用户”清单制度及其救济措施

一、背景

美国东部时间2020年12月21日，美国商务部产业安全局发布公告，对出口管制条例（Export Administration Regulation，下称“EAR”）第744条、第756条进行修订，增加第744条附件7“军事最终用户”清单，将57家中国企业列为“军事最终用户”。该公告于当地时间2020年12月23日在美国联邦公报¹正式发布并生效，公报编号为2020-28052。

2020年12月22日中国商务部新闻发言人在答记者问时表示：中方对美方此举坚决反对，将采取必要措施，坚决维护中国企业的合法权益。对于目前美方不断打压中国企业的做法，从中国企业的角度，应该对美国涉及“军事最终用户”清单的制度和相关救济措施有所了解。

二、军事最终用户

1. 界定

根据EAR第744.21(g)条²，“军事最终用户”是指，国家武装部队（包括陆军、海军、海军陆战队、空军或海岸警卫队），以及国民警卫队和国家警察、政府情报或侦察组织，以及任何其行动或职能为支持“军事最终用途”的个人或实体。

根据EAR第744.21(f)条³，“军事最终用途”是指，用于美国武器清单所列武器的任何物项，用于ECCN以“A018”结尾或第三位为“6”的任何物项，或者为前述物项的运行、安装、维护、修理、检修、翻新、开发或生产提供支持或协助的物项。

2. 后果

如果某中国企业被列入“军事最终用户”清单，即意味着，美国商务部产业安全局已经向出口商告知，向该企业出口列入EAR第744条附件2的物项可能存在导致该物项被用于或被转用于军事用途的不可接受的风险⁴，因此，出口商必须就该出口行为申请出口许可证⁵。就该等许可证的申请，默认结果是拒绝给予许可⁶。

EAR第744条附件2所列物项

三、被误列企业的救济措施——申请移出

1. 申请移出的权利

根据第744.21(b)(2)条⁷和第744条附件5⁸，被列入“军事最终用户”清单可以向最终用户审查委员会提出申请将其从“军事最终用户”清单移出。

2. 申请文件

根据第744.21(b)(2)条⁹和第744条附件5¹⁰，关于从“军事最终用户”清单移出的申请必须为书面形式，内容必须讲明为什么申请人不属于第744.21(b)条所界定的“军事最终用户”，并提交相关支持材料。

3. 受理方式

根据第744.21(b)(2)条¹¹和第744条附件5¹²，关于从“军事最终用户”清单移出的申请应当寄往如下地址：

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

邮寄地址中文翻译：

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，产业安全局，最终用户审查委员会，3886房间

收件人：审查委员会主席

4. 审查程序

最终用户审查委员会主席收到关于从“军事最终用户”清单移出的申请后，应当将该申请分发给最终用户审查委员会成员单位¹³，包括商务部、国务院、国防部、能源部以及财务部（如涉及）¹⁴。

最终用户审查委员会应当在收到关于从“军事最终用户”清单移出的申请和支持材料后的30天之内完成审查和表决，除非成员单位一致同意延长表决期限¹⁵。最终用户审查委员会的工作由商务部主持，关于从“军事最终用户”移出的决定需要由委员会一致同意¹⁶。

最终用户审查委员会的决定为最终行政决定，不能根据EAR第756.2条申请行政复议¹⁷。

5. 审查结果

最终用户审查委员会主席将根据表决结果准备向申请人的反馈，反馈结果应由负责出口管理的副助理部长签署¹⁸。目前负责出口管理的副助理部长为Matthew Borman，1992年入职美国商务部，法律背景出身。

四、可行性判断

在中美尚未建立充分军事互信的背景下，美国基于其自身安全考虑对中国实施基于“军事最终用途”、“军事最终用户”的出口管控措施；对于被误列入“军事最终用户”清单的企业而言，并非只能束手就擒，其依然可以根据美国法律尝试采取救济措施。

根据过往多年涉外法律工作经验，以律师为代表的美国职业群体，包括以公职律师为代表的职业公务员群体，是非常愿意讲规则、讲道理的；而且美国联邦部委中从事规则制定的公务员多为法律背景出身。这种情况下，按照“军事最终用户”清单移出程序，提交一份说理充分、证据充分、表达规范的申请，被误列入“军事最终用户”清单的企业完全有机会“脱单”。美国商务部产业安全局在2020-28052联邦公报的政策说明部分提到，“每年预计收到13份关于移出或变更‘军事最终用户’清单的申请”¹⁹，“每份申请的处理时间约为15小时”。

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)条， 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条附件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)条，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条附件5第8段，The chairperson shall refer all such requests and supporting information to all member agencies.

14.第744条附件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条附件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条附件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条附件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条附件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)条，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条附件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联邦公报“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……