美國出口管制法令遵循 以IC設計公司為例

Abstract

本論文研究主題為「美國出口管制法令遵循-以IC設計公司為例」。研究主軸將先概述出口管制為甚麼在近年來，從過去用來防堵恐怖主義及武器擴散的冷門法規，進展成用來防堵中國大陸勢力擴張以及國際貿易戰中炙手可熱的利器。接下來說明本文的主要研究對象即美國出口管制法令的一般原理原則、法源依據、主管機關的職掌與權限競合以及法令執行的方式與樣貌，並深入探討中興通訊與華為技術遭到美國商務部裁處的始末，以及台灣業者可以從中學到，趨吉避凶的一課。 美國出口管制對我國高科技業者的影響包含業務在相關區域與應用的限縮以及盡職調查義務的被賦與，因此如何點檢現有客戶、產品以及檢討內部制度是第一步，接下來便須建立制度以達到合規要求。本文將以新竹科學園區之IC設計公司為研究對象，探討一家台灣高科技廠商如何從理解美國出口管制法令的意義及要領，一步一步建立起內部的自評機制、面對敏感客戶的盡職調查以及客戶被置入實體名單的危機處理方式、並且探討如何藉由與美國律師事務所的合作來強化出口管制合規的標準與要求，並降低被美國商務部裁處的可能、以及最終能夠整合公司內部工程、業務與法務等資源，建立起產品管制判斷標準流程以及敏感客戶處理標準流程。 除了探討美國出口管制法令的相關議題外，自然不能不提我國政府部門在各自領域如何協助國內業者做好出口管制法令遵循的要求，以及如何管理國內業者出口貨物的作為。本文也建議相關單位正視出口管制的風險，提早部署與美國商務部建立政府層級之出口管制合格證書來減輕業者的疑慮。 本文也在結論與建議中，對於國內業者如何善用資訊科技來協助法務或出口管制人員做好客戶及出口管理的日常工作有深入的討論，並提供實務上的設置經驗供參考。其中也對公司員工在出口管制紅色警戒狀況的可能問題做了詳細的說明並強調紅色警戒在員工訓練的重要性。另外對於我國政府部門仍稍嫌不到位的協助做出一些建議，其中包括了基於台灣高科技產業對美國的關鍵地位，出口管制主管機關經濟部應積極與美國商務部磋商並影響其對台政策。而在出口管制早已不單純反恐、反武器擴散的手段下，外交部基於對兩國外交事務的瞭解與握有之外交資源，當在經濟部力有未逮的政治操作方面予以協助，透過積極的斡旋與相互瞭解，盼能在中美兩大強權的世紀之爭中幫助我國高科技業者免於池魚之殃，並能從中獲取豐厚利潤。

The research topic of this thesis is 'Compliance with U.S. Export Control Laws - A Case Study of Taiwan Integrated Circuits Design House '. The main focus of the research will be to first outline why export control regulations have evolved in recent years from a rarely used statute to prevent the spread of terrorism and weapons to a highly sought-after tool for international trade wars and to prevent the expansion of China power. The next part of this thesis will explain the general principles of the U.S. export control regulations, the sources of law, the competing responsibilities and authority of the competent authorities of the U.S government, and the manner and appearance of the enforcement of the laws, and will delve into the history of the U.S. Department of Commerce's sanctions against ZTE and Huawei Technologies, and the lessons that Taiwan high-tech companies can learn from them to avoid bad luck. The impact of U.S. export controls on Taiwan's high-tech industry includes the restriction of business in relevant regions and applications and the imposition of due diligence obligations. In this thesis, we will take an IC design company in Hsinchu Science Park as the research target, and explore how a Taiwan high-tech company can establish an internal self-assessment mechanism, conduct due diligence on sensitive customers, and handle the crisis of customers being placed on the entity list, and how to strengthen the criteria and requirements of export control compliance by cooperating with U.S. law firms and decrease the likelihood of sanctions by the U.S. Department of Commerce, and eventually integrate the corporate internal engineering, business, and legal resources to establish a standard operation process for product control judgment and sensitive customer handling. In addition to discussing issues related to the U.S. Export Control Regulations, it is definitely a must to mention how departments of Taiwan government in their respective fields can assist domestic industry to comply with the requirements of the Export Control Regulations and how to manage well the export of goods by domestic industry. This thesis also suggests that the relevant authorities should take the risks of export control seriously and deploy early to establish a government-level export control certificate of compliance with the U.S. Department of Commerce to alleviate the concerns of the industry. The thesis also concludes and recommends how domestic companies can make good use of information technology to assist legal or export control personnel in charge in their daily work of customer and export management, and provides practical experience in setting up the system for reference. It also provides a detailed explanation of the possible problems of employees in export control red alert situations and emphasizes the importance of red alert in employee training. In addition, some suggestions were made for the departments of Taiwan government that are still a bit inadequate to assist, including that the Ministry of Economic Affairs, which is the export control authority, should actively negotiate with the U.S. Department of Commerce and influence its policy toward Taiwan due to the critical position of Taiwan's high-tech industries to the United States. As export controls have long been a means of countering the proliferation of weapons, the Ministry of Foreign Affairs, based on its understanding of the foreign affairs of both countries and the diplomatic resources it possesses, should assist the Ministry of Economic Affairs in its political operations, which are beyond its capacity, through active mediation and mutual understanding, in the hope that it can help protect our high-tech industry from being hurt in the battle of the Ages between the two giant powers and reap rich profits from it.