美国调整出口管制和经济制裁执法政策

负责国家安全的助理司法部长Demers称：“我们需要民间部门主动与司法部合作。” 图片来源：JONATHAN ERNST/REUTERS

The U.S. Justice Department has revised its enforcement policy on export control and sanctions in an effort to incentivize companies to voluntarily disclose potential violations and cooperate with investigations.

美国司法部调整了出口管制和制裁方面的执法政策，以鼓励企业主动披露有可能违规的行为并配合调查。

The revised guidance comes as the Justice Department continues to standardize its voluntary disclosure policies across divisions.

此举正值司法部各个部门继续为主动披露政策制定标准之际。

“Protecting our nation’s sensitive technologies and preventing transactions with sanctioned entities are DOJ priorities, but we cannot succeed alone,” John Demers, assistant attorney general for national security, said in a statement. “We need the private sector to come forward and work with DOJ.”

负责国家安全的助理司法部长John Demers在一份声明中表示：“保护敏感技术、防止与受制裁实体的交易是司法部的优先要务，但只靠我们自己无法实现。” Demers称：“我们需要民间部门主动与司法部合作。”

The revised policy builds upon a guidance issued in October 2016. It provides definitions and clarifications of the benefits that a company can receive if it voluntarily discloses potential violations to the Justice Department, fully cooperates with the prosecutors and appropriately remediates the underlying conduct. Cooperating companies could receive more lenient resolutions and penalties, the Justice Department said.

此次政策调整基于2016年10月发布的指导方针。调整后的政策明确定义和阐述了，如果企业主动向司法部披露可能违规的行为，全力配合检察官调查，并适当纠正潜在行动，可能获得怎样的益处。司法部称，对进行配合的企业的处理和惩罚可能会更加宽容。

The guidance pertains to potential violations of the Arms Export Control Act, the Export Control Reform Act and the International Emergency Economic Powers Act.

该指导方针适用于可能违反《武器出口管制法》(Arms Export Control Act)、《出口管制改革法》(Export Control Reform Act)和《国际紧急经济权限法》(International Emergency Economic Powers Act)的行为。

图片来源：美国司法部网站

Starting December 13, 2019, if there are no aggravating factors, a cooperating company can presume that it will receive a nonprosecution agreement and won’t be assessed a fine, the Justice Department said.

美国司法部称，从2019年12月13日开始，如果没有加重惩罚因素，配合调查的公司可以推定将收到一份不起诉协议，并且不会被处以罚款。

In cases involving potential aggravating factors and which would be resolved through other types of enforcement actions, such as a deferred prosecution agreement or guilty plea, prosecutors will recommend at least 50% off the fine and won’t require the appointment of a monitor, if the company has an effective compliance program at the time of resolution, according to the policy.

根据新政策，在涉及潜在加重惩罚因素、且可以通过其他类型的执法行动（如暂缓起诉协议或认罪答辩）来解决的案件中，如果涉案公司在解决问题的同时拿出一套有效的合规计划，那么检察官将建议至少减免罚款的50%，并且将不要求指派监督员。

The potential aggravating factors include exports of items known to be used in the construction of mass destruction weapons or to end users that are foreign terrorist organizations, as well as violations that may involve senior management of the company.

潜在的加重惩罚因素包括：出口已知用于制造大规模毁灭性武器的物品；向外国恐怖主义组织这样的终端用户出口物品；可能涉及公司高级管理层的违规行为。

The Justice Department this year has issued guidance on various aspects of corporate compliance. In October, the department issued guidance for federal prosecutors to use in cases where companies claim they can’t pay a criminal fine, after releasing a new policy in July that offers discounted fines and deferred prosecution agreements to antitrust offenders that have a strong antitrust compliance program in place.

美国司法部今年就企业合规的多个方面发布了指导意见。司法部在7月份发布了一项新政策，建议如果违反反垄断规定的企业拿出强有力的反垄断合规计划，那么可以考虑对涉案企业减免一部分罚金，并达成暂缓起诉协议。随后司法部又在10月份发布指导意见，指导联邦检察官在涉案公司声称无力支付刑事罚款的情况下该如何处理。

Mengqi Sun

2019年12月16日13:55 CST 更新

（本文版权归道琼斯公司所有，未经许可不得翻译或转载。）

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