美国商务部｜针对中兴公司激活出口权拒绝令的通告-中译本

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美国时间2018年4月16日， 美国商务部宣布对中兴公司处以出口权拒绝令。以下前哨翻译的美国商务部的官方通告，并附上中国商务部和中兴公司的回应以供参考。关注前哨公号，回复“中兴”可获取美国商务部2017年针对中兴公司作出的出口权拒绝令的全文。

针对中兴公司对美国政府的多次虚假陈述，美国商务部部长罗斯宣布激活拒绝令

　　美国商务部长威尔伯•罗斯今天宣布，美国商务部的工业和安全局（BIS) 已经对中兴电信设备公司(“中兴电信设备”)和中兴康讯电信公司(“中兴康讯”)(以下统称“中兴公司”)处以出口权拒绝令。

　　2017年3月，中兴公司在被认定非法向伊朗和朝鲜运送电信设备、作出虚假陈述、通过拒绝披露信息误导美国政府来妨碍司法的情况下，同意缴纳民事和刑事罚款和罚没共计11.9亿美元。除了罚款之外，中兴公司还同意了一项附有7年暂缓期的出口权拒绝令，如果协议的任何方面没有得到满足，或者如果该公司有其他违反了美国《出口管理条例》(EAR)的行为，该拒绝令就会被激活。

　　美国商务部认定，2016年在和解谈判期间以及2017年在考察期期间，中兴公司对工业和安全局作出了虚假陈述，它曾经对工业和安全局表示其正在或已经对高级雇员进行了纪律处分。在工业和安全局要求中兴公司提供对雇员纪律处分的信息和文档后，中兴公司只是向美国政府作出了这些虚假陈述。

　　“中兴公司在美国政府最初发现其行为并被列入实体名单时作了虚假陈述，在暂缓执行期间作了虚假陈述，在观察期间又作了虚假陈述。”商务部长罗斯说。

　　这些虚假陈述掩盖了这样一个事实，即对从事非法行为的雇员，中兴公司不但没有进行书面训诫，反而发放了全额奖金。　　

　　“中兴公司误导了美国商务部。中兴公司并没有对其员工和高管进行训诫，反而对他们进行了奖励。这种过分行为是不能忽视的。”商务部长罗斯说。

　　背景：

　　拒绝令由美国商务部工业和安全局负责出口执法的助理部长发出，拒绝公司或个人的出口权。根据美国《出口管理条例》(EAR)，出口权拒绝令禁止任何人以任何方式参与任何交易。此外，根据美国《出口管理条例》(EAR)，对其他企业和个人而言，以任何方式参与和被拒绝之人进行的出口贸易都是不合法的。

　　这是一项监管行为，与任何正在进行的贸易相关行动无关。

　　美国商务部工业和安全局是美国负责商业技术和许多军事项目出口管制执行和执法的主要机构。工业和安全局出口执法办公室在处罚这些项目非法出口行为中负责监测、防止、调查和协助。了解更多信息，请访问www.bis.doc.gov。

中国商务部的回应

　　有媒体问：美国商务部昨晚发布公告称，美国政府禁止中兴通讯向美国企业购买敏感产品，声称中兴通讯曾向美国官员作虚假陈述。请问中方对此有何评论？

　　商务部新闻发言人表示：中方注意到美国商务部宣布对中兴公司采取出口管制的措施。

　　中方一贯要求中国企业在海外经营过程中，遵守东道国的法律政策，合法合规开展经营。中兴公司与数百家美国企业开展了广泛的贸易投资合作，为美国贡献了数以万计的就业岗位。希望美方依法依规，妥善处理，并为企业创造公正、公平、稳定的法律和政策环境。

　　商务部将密切关注事态进展，随时准备采取必要措施，维护中国企业的合法权益。

中兴通讯关于美国商务部对公司激活拒绝令的声明

　　中兴通讯已获悉美国商务部对公司激活拒绝令。公司正在全面评估此事件对公司可能产生的影响，与各方面积极沟通及应对。

附：美国商务部激活拒绝令通告原文

Secretary Ross Announces Activation of ZTE Denial Order in Response to Repeated False Statements to the U.S. Government

　　Trade and InvestmentTrade Enforcement

　　Posted at 9:49 AM

　　FOR IMMEDIATE RELEASE

　　Monday, April 16, 2018

　　Office of Public Affairs

　　[phone]

　　[e-mail]

　　Secretary of Commerce Wilbur L. Ross, Jr. today announced that the U.S. Department of Commerce’s Bureau of Industry and Security (BIS) has imposed a denial of export privileges against Zhongxing Telecommunications Equipment Corporation, of Shenzhen, China (“ZTE Corporation”) and ZTE Kangxun Telecommunications Ltd. of Hi-New Shenzhen, China (“ZTE Kangxun”) (collectively, “ZTE”). 

　　In March 2017, ZTE agreed to a combined civil and criminal penalty and forfeiture of $1.19 billion after illegally shipping telecommunications equipment to Iran and North Korea, making false statements, and obstructing justice including through preventing disclosure to and affirmatively misleading the U.S. Government.  In addition to these monetary penalties, ZTE also agreed a seven-year suspended denial of export privileges, which could be activated if any aspect of the agreement was not met and/or if the company committed additional violations of the Export Administration Regulations (EAR). 

　　The Department of Commerce has now determined ZTE made false statements to BIS in 2016, during settlement negotiations, and 2017, during the probationary period, related to senior employee disciplinary actions the company said it was taking or had already taken.  ZTE’s false statements only were reported to the U.S. Government after BIS requested information and documentation showing that employee discipline had occurred. 

　　“ZTE made false statements to the U.S. Government when they were originally caught and put on the Entity List, made false statements during the reprieve it was given, and made false statements again during its probation.” said Secretary of Commerce Ross.

　　These false statements covered up the fact that ZTE paid full bonuses to employees that had engaged in illegal conduct, and failed to issue letters of reprimand.

　　“ZTE misled the Department of Commerce.  Instead of reprimanding ZTE staff and senior management, ZTE rewarded them.  This egregious behavior cannot be ignored,” Secretary Ross said.

　　Click HERE to view the denial order.

　　BACKGROUND:

　　Denial Orders are issued by the Assistant Secretary for Export Enforcement of the Bureau of Industry and Security, denying the export privileges of a company or individual. A denial of export privileges prohibits a person from participating in any way in any transaction subject to the EAR. Furthermore, it is unlawful for other businesses and individuals to participate in any way in an export transaction subject to the EAR with a denied person.

　　This is a regulatory action and is unrelated to any ongoing trade-related actions.

　　BIS is the principal agency involved in the implementation and enforcement of export controls for commercial technologies and many military items. The BIS Office of Export Enforcement detects, prevents, investigates and assists in the sanctioning of illegal exports of such items. For more information, please visit us at www.bis.doc.gov.

附：美国商务部2017年拒绝令全文

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