美国发布全球建议性通告----为海事行业提供指导 & 防止非法运输以及逃避制裁

On May 14, 2020 the US government issued a Global Maritime Advisory (the Guidance) aimed at a range of industry sectors. They include marine insurers such as P&I clubs, as well as shipowners and charterers. A copy of the Guidance can be found at:

美国政府于2020年5月14日发布了一份针对多个行业的全球海事建议性通告（下文简称“指南”）。这些行业包括海上保险公司，比如保赔协会、船东以及租船人。点击下文链接查看指南全文：

https://www.treasury.gov/resource-center/sanctions/Programs/Documents/05142020_global_advisory_v1.pdf

The Guidance updates and expands earlier advisories concerning Syria and the DPRK (North Korea). It provides detail on the level of due diligence and other compliance-related activities expected by the US government of parties whose businesses run a risk of engaging in trades that may breach US sanctions. It applies specifically to the sanctions regimes surrounding Iran, Syria and the DPRK, and provides information relevant to both US and non-US companies.

该指南更新并扩充了先前关于叙利亚和北朝鲜的建议性通告内容。 该指南详细说明了美国政府建议相关方所采取的尽职调查及其它合规做法的具体等级，这些相关方从事有可能违反美国制裁的贸易。 指南尤其适用于针对伊朗、叙利亚和北朝鲜的制裁制度，并提供与美国和非美国公司相关的信息。

The Guidance covers the following sectors of the maritime industry:

指南涉及海事行业的下述领域：

The document is highly significant because it enunciates the US government’s standards by which the marine industries will be judged if they are linked to sanctions breaking.

这份文件意义重大，因为它阐明了美国政府对于海事行业被认定为违反制裁政策的标准。

In the past, the US has sometimes criticized the role played by the maritime industries in providing goods and services to countries which are the subject of sanctions. In several well-publicized actions, the US government has acted against companies where it considered that compliance practices had been inadequate, or where deliberate sanctions breaking had taken place. Such enforcement measures can have profound implications for a company, and in extreme circumstances can prevent it from continuing to do business.

过去，美国有时会批评海运业在向受制裁国家提供货物和服务方面所起的作用。在一些众所周知的事件中，美国政府对那些被认为履行合规不充分，或者存在蓄意违反制裁行为的公司采取了（惩罚）措施。 此类强制措施可能对一个公司产生深远影响，在极端情况下可能阻碍该公司继续经营。

To the extent that the Guidance explains US expectations of what it considers to be good compliance practice in the maritime industry, it provides a helpful degree of clarity for future reference. At the same time, the sectors of the maritime industry targeted by the Guidance are often subject to complex domestic and international regulations that may sometimes impose conflicting requirements on a particular party by reference to countervailing imperatives of compliance in other jurisdictions.

该指南在一定程度上阐释了美国对于航运业良好守则的期望，可供日后参考。 与此同时，指南意见所针对的海运业部门往往受到复杂的国内及国际规章的制约，而这些规章有时可能参照其他司法管辖区合规要求而对特定一方实施相互冲突的要求。

The resolution of such conflicts in areas such as competition law, data protection laws and international conventions such as the International Convention for Safety of Life at Sea (SOLAS) are not within the ambit of the Guidance. It may also give rise to difficulties associated with the termination of legally binding commitments based on a suspicion of unlawful activity. And as alluded to above, a potential exists for problems where there is a conflict between requirements of the Guidance and the obligations of local law in other jurisdictions in which shipowners might be based.

在竞争法、数据保护法和国际公约（例如国际海上人命安全公约）等领域解决此类冲突不属于指南的范围。如果因怀疑有非法活动而终止具有法律约束力承诺方面有关的难题，它还可能造成因怀疑有非法活动而终止具有法律约束力的承诺的困难。如上所述，如果指南的要求与船东所在的其他法域的当地法律义务之间存在冲突，就有可能出现问题。

Of particular note is the focus on the use – or misuse – of a vessel’s AIS equipment. All those engaged in the maritime industry can now be in no doubt as to the importance of monitoring such transmissions for abnormal or suspicious activity including switching off the equipment in circumstances not permitted by SOLAS. All clubs in the International Group now monitor the AIS transmissions of all entered vessels in high risk areas, and have recently issued a circular dedicated to AIS and vessel monitoring. In the American Club’s case, this is Circular No. 20/20 of May 15, 2020.

特别值得注意的是，重点是使用或错误使用船舶AIS设备。所有从事航运业的人现在都毫无疑问地认识到对于反常或者可疑行为进行监控的重要性，其中包括在SOLAS不允许情况下关闭设备。国际保赔集团所有协会目前对所有进入高风险地区船舶AIS信号进行监控，并于最近发出一份关于AIS和船舶监控的通函。美国保赔协会通函为，2020年5月15日20号通函。

The Guidance sets out the US government’s expectation that shipowners will be well placed to assess and make sense of the AIS history of ships operated or owned by counterparties. It suggests the continuous monitoring of ships, “including ships leased to third parties, and ensure that the AIS is continuously operated consistent with SOLAS and not manipulated. Parties could also consider using LRIT in addition to AIS and receiving LRIT signals every 3 hours”. Long Range Identification and Tracking (LRIT) is a closed system available to, and for use by, flag states. Data available from LRIT is generally not available to private parties but, where it is, the expectations contained in the Guidance should certainly be borne in mind, although in practice it might be problematical.

该指南阐明美国政府对于船东的期待，即船东需要了解并评估交易对手营运或者拥有船舶的AIS历史。指南提到，对于船舶进行持续监控，“包括租赁给第三方的船舶，并确保AIS按照SOLAS规定持续运行，而不是被操纵。相关方也可以考虑在使用AIS的同时使用LRIT，并每3个小时接受LRIT信号”。 远程识别和跟踪（LRIT）是一个封闭系统，可供船旗国使用。 从 LRIT 获得的数据一般不会提供给私人当事方，如果有提供数据给私人当事方的情况，应当铭记指南中所载的期待，尽管在实践中可能存在问题。

The Guidance further suggests that counterparties should assess the AIS history of all new clients and “refuse to conduct business with vessels that have a history of AIS manipulation not consistent with SOLAS”. Bearing in mind that AIS transmission is sometimes lost in high density areas, or where satellites fail to receive positioning data when a vessel is in transit or in port, Members are advised to obtain independent advice and/or consult a reputable AIS monitoring service provider before deciding to make new commitments, or disengaging from existing obligations, in light of the provisions of the Guidance on these points.

该指南进一步建议交易对手方应评估所有新客户的AIS历史，并“拒绝与有存在不符合SOLAS规定的AIS操纵记录的船舶进行业务往来”。 鉴于AIS传输有时会在高密度区域丢失，或当船舶在过境或在港口时，卫星无法接收定位数据，考虑到指南对于这个情况的规定，建议会员在作出新承诺或脱离现有义务之前，向信誉良好的AIS监控服务商咨询或者获得独立意见。

The Guidance also places heavy emphasis on the need to perform proper “know your customer” (KYC) and “know your customer’s customer” (KYCC) procedures. These should also be borne in mind, albeit that the practice of certain commodity trades may make compliance intrinsically difficult in some cases.

该指南还特别强调执行适当的“了解客户（KYC）”和“了解客户的客户（KYCC）”的重要性。尽管某些情况下特定贸易行为可能使得遵守合规尤为困难，但仍然应当铭记这些原则。

As mentioned above, the consequences of not complying with US primary and secondary sanctions legislation can be severe. The terms of the US government’s new Guidance in this area should be noted carefully and the importance of the standards for compliance it contains taken very seriously.

如上文所述，不遵守美国的主要及次要制裁，后果可能相当严重。 应当认真对待美国政府关于这一内容的新指南的条款，并且慎重对待其中包含的合规标准。

Your Managers remain at the disposal of Members to assist them with that compliance, and will be pleased to answer questions as might arise from this Circular, and generally, as required.

协会经理部将随时听候会员的需要，以便协助会员遵守有关规定，并且乐意解答本通函内容相关咨询。

汉语翻译仅供参考，具体请以英文原文为准。

来源：美国保赔协会 @ 2020.05.22

https://www.american-club.com/files/files/cir_22_20.pdf

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