希捷科技違反出口管制規範 美國商務部祭出3億美元罰款

The U.S. Department of Commerce Imposes US $300 Million Penalty Against Seagate Technology for Seagate’s Violation of U.S. Export Control Regulations

希捷科技公司(Seagate Technology)。 (AFP)

1. BIS史上最高之單獨行政罰款

2023年4月19日，硬碟大廠希捷科技（Seagate Technology）與美國商務部工業及安全局（BIS）達成協議，接受該局史上最高之單獨行政罰款3億美元及數年審計義務，以換取暫停BIS發布之5年拒絕交易命令；希捷科技當日股價應聲大跌。（BIS公告）

1. The largest standalone administrative penalty in BIS History

On April 19, 2023, Seagate Technology, the renowned HDD seller, reached an agreement with the Bureau of Industry and Security (“BIS”) from the U.S. Department of Commerce on a US $300 Million Penalty, the largest standalone administrative penalty in BIS History. Seagate also accepted a multi-year audit requirement to suspend a five-year Denial Order from BIS in the agreement. Seagate’s stock price was hammered accordingly on that day. （BIS’s Announcement）

2. BIS對希捷科技罰款的依據是什麼？

倘若一項非美國本地製造的產品，為特定的美國技術或軟體的直接產品，或者為一個工廠或一個工廠的「主要組件」製造的，且這個工廠或主要組件本身，已是特定美國技術或軟體的直接產品時，則應考慮此項產品是否適用美國出口管制條例( the Export Administration Regulation, the EAR)。於本新聞事件中，希捷科技產品的生產工廠，其主要組件為美國出口管制分類碼(Export Control Classification Number, “ECCN”) 3E991技術的直接產品；且希捷科技已認知列入實體清單（Entity List）的中國華為（Huawei）公司為此項產品之交易對象，因此，依照實體清單FDP規則，此交易應適用EAR。又因華為已被列入實體清單，因此，與華為交易之前，應向BIS申請並取得許可，但希捷科技沒有申請許可，即直接進行交易，便違反了EAR的規定。

2. What Doctrine did Seagate violate?

If a foreign-produced item is a “direct product” of specified “technology” or “software,” or is produced by a plant or 'major component' of a plant that itself is a “direct product” of specified “technology” or “software,” then the item may be subject to the Export Administration Regulation (“Subject to the EAR.”) In this case, Seagate’s product was produced by the plant whose major component was a direct product of the Export Control Classification Number (“ECCN”) 3E991 technology; Seagate also had “knowledge” that a Huawei entity in the Entity List was a party to the transactions involving its items. Therefore, these transactions were subject to the EAR according to the Entity List FDP rule. Furthermore, Seagate did not apply for licenses to sell products to Huawei entities in the Entity List before these transactions, so Seagate violated the EAR.

3. 產業界應該如何應對美國出口管制規範？

(1)諮詢專業人士

EAR係透過清單及眾多的法令與技術所形成之規範，甚為複雜亦不易理解；更重要的是，違反EAR的代價，恐是令人難以承受的：罰款、監禁，甚至是拒絕交易命令──BIS已透過希捷科技的案例，堅定地表達了他們執法的決心。因此，與其輕率涉險，在面對美國出口管制規範時，務必諮詢專業人士，以排除風險。

(2)建立專屬公司的客製化出口管制法遵計畫

我們會期待交易活動在規模上能夠成長並且持續，但法規日新月異、產品推陳出新，甚至交易對象也會隨著公司發展而增加，因此，要符合美國出口管制條例的規範，並不容易。應對這些規範最佳的方法，是建立專屬公司的客製化出口管制法遵計畫，並與時俱進隨著交易管制環境進行相應的訓練和調整。

3. How to cope with U.S. Export Control Regulations?

(1)Consult the Professionals

As a list-based regulation with tons of legal and technical content, the EAR is a very complicated system that cannot be easily understood. Moreover, nobody could bear the high price to violate the regulations──penalties, imprisonment, and even denial orders. Therefore, the wiser way to cope with U.S. Export Control Regulations is to consult professionals rather than take the risk.

(2) Build a Company-tailored Export Control Compliance Program

Transactions are expected to be expanded in scales and repeated for time; however, the regulations may be amended, the product lines may be increased, and more counterparties may be found──there is no easy way to cope with U.S. Export Control Regulations for once. The best way to abide by the regulations is to build a company-tailored export control compliance program and keep pace with the changing environment of the transaction regulations through training for the staff and amendments of the program.

4. 誠遠能為您提供甚麼服務？

為了協助客戶處理美國出口管制法令遵循議題、進行員工教育訓練，並建立專屬公司的客製化出口管制法遵計畫，所長林啟瑩律師已帶領三位律師組成法令遵循教育訓練小組，備齊包含美國出口法令基本概念、法令用語解說、問題辨識、規範操作流程、問題解決方案等內容。敬請針對EAR有任何問題之舊雨新知，不吝與本所連絡，本所將成為您應對EAR的最佳夥伴！

4. What can Eternity Law Firm help you?

To help the clients cope with the U.S. Export Control Regulations, train the staff, and build a company-tailored export control compliance program, the Director of Eternity Law Firm, Ethan C.Y. Lin, Esq., has formed a team with three professional lawyers as teammates.

Please do not hesitate to contact us if you have any queries regarding the U.S. Export Control Regulations; Eternity Law Firm will be your best partner to cope with the regulations!

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