華為禁令與台灣公司法規遵循

Huawei’s Entity List Designation and Compliance for Taiwanese Companies

自2019年5月16日起，美國商務部工業安全局（Bureau of Industry and Security, BIS）將華為技術有限公司及其68家從屬公司（“華為實體”）添加到BIS實體清單（Entity List）。此將使所有向華為實體所為出口、再出口及移轉貨品交易，需依出口管理規則（Export Administration Regulations, EAR）獲得出口許可後，始得進行。

Effective May 16, 2019 the United States Commerce Department’s Bureau of Industry and Security (BIS) added Huawei Technologies Co., Ltd. (Huawei) and 68 non-US Huawei affiliates to the BIS Entity List (the “Huawei Entities’). The designation imposes an export license requirement on all exports, reexports, and transfers of goods subject to the United States Export Administration Regulations (EAR) to the Huawei Entities.

許可要求   Licensing Requirements

依據EAR規定，將美國域內或美國原產產品出口、再出口及移轉予華為實體時，均需獲得許可。許可申請將依據個案情況審查，但基於「拒絕推定」原則，許可獲准之機率不高。

對於台灣公司而言，在美國域外生產含美國零組件或直接使用美國技術之產品，在多數情況下亦將受許可要求規制。

Licenses will be required to export, reexport, or transfer to the Huawei Entities all items “subject to the EAR” located in or originating from the United States. License applications will be reviewed on a case-by-case basis but under the principle of “presumption of denial” it is unlikely licenses will be approved.

Of importance to Taiwan companies, items outside of the United States with US-origin content or produced as the “direct product” of US-origin technology could, in many circumstances, fall within the scope of the licensing requirements.

90日臨時許可   Ninety Day Temporary License

BIS於2019年5月20日核發有效期限為90日之臨時通用許可（Temporary General License, TGL），以部分恢復過去對華為實體之產品出口、再出口及移轉貨品交易之許可及政策。TGL之範圍包含：（1）對現有網絡和設備之維持（2）對現有手機之支援（3）網絡安全研究和漏洞公佈，以及（4）參與必要之標準機構5G標準制定。

On 20 May 2019 the BIS issued a ninety (90) day Temporary General License (TGL) to partially restore previous licensing requirements and policies for export, reexport, and transfer of items to the Huawei Entities. The TGL scope includes: (1) continued operation of existing networks and equipment (2) support to existing handsets (3) cybersecurity research and vulnerability disclosure, and (4) engagement as necessary for development of 5G standards by a recognized standards body.

保留條款   Savings Clause

本次實體清單公佈包含保留條款（savings clause），即就由消費者訂購且於2019年5月16日已在出口或再出口途中之貨品，仍被允許運送。

The Entity List designation also includes a “savings clause”, which authorizes shipments if the goods were ordered by a customer and on 16 May 2019 were en route aboard a carrier to a port for export or reexport.

華為實體與台灣   Huawei Entities & Taiwan

台灣公司（及在台灣從事業務之跨國公司）應委任台灣律師審查其是否有遵循美國最新許可要求，以及相關台灣法規之能力。包含：

Taiwan companies (as well as multinational companies with business operations in Taiwan) should engage Taiwan counsel to review their ability to comply with both the latest US licensing requirements along with applicable Taiwan laws and regulations. This includes:

1. 認識客戶：美國政府將要求科技產業鏈業者對客戶為適當的盡職調查（due diligence），以遵循2019年5月16日添加華為實體之實體清單。

Know Your Customer. The United States government will expect technology industry supply chain participants to conduct appropriate know your customer due diligence to ensure compliance with the 16 May 2019 Entity List designations that add the Huawei Entities.

2. 現行許可要求：仍需遵守2019年5月16日實體清單添加前之許可要求。例如在2019年5月16日前，已需經許可始得出口中國之TGL範圍產品，現在仍需遵循該許可義務。

Ongoing License Requirements: Compliance with license requirements that pre-date the 16 May 2019 Entity List designations is still required. For example, goods within the scope of the TGL that required licenses for export to China prior to 16 May 2019 will still require such license.

3. 資料保存：以同時符合美國和台灣之資料保存義務。例如，如產品係依TGL出售，則出口人、再出口人及轉讓人需簽署保證聲明（certification statement），以載明出售屬TGL範圍之理由，並保存該資料5年。該資料保存義務雖為美國法規所規制，惟仍有必要評估是否已同時遵循台灣資料保存法規。

Record Keeping: Compliance with US and Taiwan record keeping requirements. For example, if products are sold under the TGL, exporters, reexporters, and transferors are required to issue a “certification statement” that explains why the sale is within the scope of the TGL and maintain the record for five years. Such record keeping requirements imposed by the United States will need to be assessed for compliance with record keeping requirements under Taiwan laws and regulations.

4. 台灣法規之修正：在目前情況下，我們建議客戶重新了解台灣現行出口法規，以及政府對投資中國科技產業之規定。我們並建議客戶委任律師關注台灣法規在美國政府壓力下可能進行之修正。

Changes to Taiwan Laws and Regulations: In the current environment we also advise clients to refresh their understanding of both Taiwan’s existing export regulations, as well as regulations that government investment in China’s technology sector. We also advise clients to engage counsel to monitor potential changes that might be made to Taiwan’s laws and regulations under pressure from the US government.

5. 報告義務：我們建議上市公司應委任律師確定實體名單或類似事件是否對其產生揭露義務。

Reporting Requirements: For publicly listed companies, we advise engaging counsel to determine whether the Entity List designations or similar developments trigger public disclosure requirements.

結論   Conclusion

本所團隊成員包含台灣及美國執業律師，能協助科技公司因應快速變化之法律和監管要求。

Titan’s team of Taiwan and US-trained and licensed lawyers is able to assist clients on the rapidly changing legal and regulatory environment for technology industry companies.