2022年10月7日
 
华盛顿—美国商务部工业与安全局(BIS)对其出口管制政策正在进行一系列有针对性的更新，此为BIS保护美国国家安全和外交政策利益而持续努力的一部分。这些更新将限制中华人民共和国（中国）购买并制造用于军事用途的特定高端芯片的能力，并建立在此前发布之政策、公司特定举措，以及BIS采取的轻公开监管、法律和执法行动的基础上。
 
今天宣布的两项出口管制条例限制了中国获得先进计算芯片、开发和维护超级计算机以及制造先进半导体的能力。中国运用此些项目和能力生产包括大规模杀伤性武器在内的先进军事系统，提高其军事决策、规划、后勤和自主军事系统的速度和准确性，以及实施人权侵犯。最后，这些条例还清楚表明，外国政府妨碍BIS做出合规性决定的行动将通过将公司加入实体清单的形式而影响该公司获取美国技术。
 
“我在7月份对国会表示，我在BIS的要务是尽我们全力保护我们的国家安全，防止具有军事用途的敏感技术落入中国军方、情报和安全机构手中。” 美国商务部负责工业和安全事务的副部长艾伦·埃斯特维兹（Alan Estevez）表示，“威胁环境一直在变化，我们今天更新我们的政策以确保我们应对中华人民共和国构成的挑战，同时继续与盟友和伙伴沟通协调。”
 
“中国投入大量资源发展超级计算能力，并寻求到2030年成为人工智能领域的世界领导者。中国使用这些能力来监控、跟踪和监视自己的公民，并助力其军事现代化”，美国商务部负责出口管理的助理部长西娅·D·罗兹曼·肯德勒（Thea D. Rozman Kendler）说， “我们的行动将保护美国的国家安全和外交政策利益，同时也在传达一个明确的讯息，即美国的技术领先关乎创新，亦关乎价值观。”
 
“BIS确定一方是否遵守我方出口管制条例的能力是我们执法项目的核心原则。” 美国商务部负责出口执法的助理部长马修•S•阿克塞尔罗德(Matthew S. Axelrod)说。 “如果东道国政府妨碍BIS及时进行我们的最终用途检查，我们会将其列入未经核实清单，如果延迟得足够严重，我们会将其列入实体清单，以防止可能损害我们国家安全利益的任何美国技术转移风险。”
 
美国商务部已向亲密盟友和伙伴就这些管制进行通报并协商。美国商务部在实施本届政府的半导体议程所有要素的过程中将与行业密切合作，以包含确保遵守这些措施。
 
以下为今天发布的条例摘要和文本的相关链接，以及BIS对与中国有关的出口管制措施的持续更新的相关背景。
 
实施对先进计算和半导体制造的相关管制:
 
BIS对先进计算和半导体制造业的条例在两个关键方面表述了美国国家安全和外交政策的关切。第一，条例对某些先进计算半导体芯片、超级计算机最终用途交易以及涉及实体清单上某些实体的交易实施了限制性出口管制；第二，条例对某些半导体制造物项以及某些集成电路 (IC)最终用途的交易实施了新的管制。
 
具体来说, 条例:
1）将某些先进和高性能计算芯片及含有此类芯片的计算机商品加入《商业管制清单》（CCL）;
2）对运至中国的最终用途为超级计算机或半导体开发或生产的物项增加新的许可证要求;
3）将《出口管理条例》(EAR)的适用范围扩大至某些外国生产的先进计算物项及外国生产的最终用途为超级计算机的物项;
4）将受制于许可证要求的外国生产物项范围扩大到实体清单上位于中国境内的28个现有实体;
5）将某些半导体制造设备和相关物项增加到《商业管制清单》;
6）对目的地为中国的半导体制造“设施”（semiconductor fabrication “facility”）且能制造符合特定标准的集成电路之物项，增加新的许可证要求。由中国实体所有的设施将面临“推定拒绝”政策，而跨国公司所有的设施将基于逐案审查政策决定。相关阈值如下:
7）限制美国人员在没有许可证的情况下支持位于中国的某些半导体制造“设施”（semiconductor fabrication “facilities”）集成电路开发或生产的能力;
8）对开发或生产半导体制造设备和相关项目的出口物项增加新的许可证要求;以及
9）建立临时通用许可证(TGL)，对目的地为中国以外地区使用的物项，允许特定及有限的的相关制造活动，以减少短期内对半导体供应链的影响。
该条例将在向《联邦公报》提交公众审阅后分阶段生效。对半导体制造物项的限制在申请公众审阅时生效(2022年10月7日) ，对美国人支持位于中国的某些半导体制造“设施”（semiconductor fabrication “facilities” ）集成电路的开发、生产或使用能力的限制于5天后生效(2022年10月12日) ，对先进计算和超级计算机的管制，以及条例中的其他更改于14天后生效(2022年10月21日) 。此外，对所有此些变化的公众意见应在《联邦公报》出版之日起60天内提交给BIS。条例文本可在《联邦公报》网站【这里】查看。
 
 
BIS未经核实清单的修订:
 
BIS亦在更新其与BIS实体清单相关的法规以阐明，与东道国政府持续的缺乏合作将极大阻碍BIS确定实体有否遵守《出口管理条例》(EAR)，进而可能致使该实体被列入实体清单中。
 
该条例提供了一个例子规定，外国政府持续的缺乏合作阻碍了BIS对未经核查清单（UVL）上公司的善意作出核实，而如果最终用途检查没有及时安排和完成，则可能导致这些公司被移至实体清单。所有对实体清单作出的增加、移除或修订仍需经最终用户审查委员会批准，依据现有规则，该委员会由美国商务部、国务院、国防部和能源部组成。
 
该条例增加了31个新实体至未经核查清单，并移除了9个已符合相关要求的实体。
 
与该规则变化一致的是，出口执法部门发布了一份名为Addressing Foreign Government Prevention of End-Use Checks的政策备忘录。该备忘录可在【这里】的网站上查看。该政策要求在提出检查但因东道国政府无行动而妨碍核查完成的60天之后将相关方加入未经核查清单，以及在东道国政府持续缺乏合作以协助完成检查的情况下，额外60天的程序以将未经核查清单相关方添加到实体清单中。
 
该条例的文本，包括增加和移除相关方的清单，可在《联邦公报》网站上查看:【这里】。该条例于2022年10月7日生效。
 
补充背景
 
今天宣布的条例是商务部副部长埃斯特维兹在2022年7月的国会听证会上宣布的对中国正在进行的出口管制政策审查的一部分，并是继过去几个月里采取了若干监管和执法行动后宣布的，包括：
BIS今天的行动是根据《2018年出口管制改革法案》及其实施条例《出口管制条例》采取的。
根据这些条例，出于国家安全和外交政策的原因，BIS拥有各种工具控制美国原产和某些外国生产的商品、软件和技术的出口，以及美国人员的具体活动。这些工具包括发布联邦法规，以及使用许可证和监管程序来采取针对特定相关方的行动。
欲了解更多信息，请访问BIS的网站：https://bis.doc.gov

Commerce Implements New Export Controls on Advanced Computing and Semiconductor Manufacturing Items to the People’s Republic of China (PRC) 

October 7, 2022
Washington, D.C.—The Department of Commerce’s Bureau of Industry and Security (BIS) is implementing a series of targeted updates to its export controls as part of BIS’s ongoing efforts to protect U.S. national security and foreign policy interests. These updates will restrict the People’s Republic of China’s (PRC’s) ability to both purchase and manufacture certain high-end chips used in military applications and build on prior policies, company-specific actions, and less public regulatory, legal, and enforcement actions taken by BIS.
The export controls announced in the two rules today restrict the PRC’s ability to obtain advanced computing chips, develop and maintain supercomputers, and manufacture advanced semiconductors. These items and capabilities are used by the PRC to produce advanced military systems including weapons of mass destruction; improve the speed and accuracy of its military decision making, planning, and logistics, as well as of its autonomous military systems; and commit human rights abuses. Finally, these rules make clear that foreign government actions that prevent BIS from making compliance determinations will impact a company’s access to U.S. technology through addition to the Entity List.
“As I told Congress in July, my north star at BIS is to ensure that we are appropriately doing everything in our power to protect our national security and prevent sensitive technologies with military applications from being acquired by the People’s Republic of China’s military, intelligence, and security services,” said Under Secretary of Commerce for Industry and Security Alan Estevez. “The threat environment is always changing, and we are updating our policies today to make sure we’re addressing the challenges posed by the PRC while we continue our outreach and coordination with allies and partners.”
“The PRC has poured resources into developing supercomputing capabilities and seeks to become a world leader in artificial intelligence by 2030. It is using these capabilities to monitor, track, and surveil their own citizens, and fuel its military modernization,” said Assistant Secretary of Commerce for Export Administration Thea D. Rozman Kendler. “Our actions will protect U.S. national security and foreign policy interests while also sending a clear message that U.S. technological leadership is about values as well as innovation.”
“BIS’s ability to determine whether a party is in compliance with our export control rules is a core tenet of our enforcement program,” said Assistant Secretary of Commerce for Export Enforcement Matthew S. Axelrod. “Where BIS is prevented by a host government from conducting our end-use checks in a timely manner, we will add parties to the Unverified List, and if the delay is extreme enough, the Entity List, to prevent the risk of diversion of any U.S. technology that could undermine our national security interests.”
The Department of Commerce briefed and consulted with close allies and partners on these controls. The Department will work closely with industry as we implement all elements of the Administration’s semiconductor agenda, to include ensuring compliance with these measures.
Summaries of the rules released today and relevant links to the rule text are provided below, along with additional background on BIS’s ongoing work to update its approach to export controls related to the PRC.
Implementing Controls Related to Advanced Computing and Semiconductor Manufacturing:
BIS’s rule on advanced computing and semiconductor manufacturing addresses U.S. national security and foreign policy concerns in two key areas. First, the rule imposes restrictive export controls on certain advanced computing semiconductor chips, transactions for supercomputer end-uses, and transactions involving certain entities on the Entity List. Second, the rule imposes new controls on certain semiconductor manufacturing items and on transactions for certain integrated circuit (IC) end uses.
Specifically, the rule:
1.) Adds certain advanced and high-performance computing chips and computer commodities that contain such chips to the Commerce Control List (CCL);
2.) Adds new license requirements for items destined for a supercomputer or semiconductor development or production end use in the PRC;
3.) Expands the scope of the Export Administration Regulations (EAR) over certain foreign-produced advanced computing items and foreign produced items for supercomputer end uses;
4.) Expands the scope of foreign-produced items subject to license requirements to twenty-eight existing entities on the Entity List that are located in the PRC;
5.) Adds certain semiconductor manufacturing equipment and related items to the CCL;
6.) Adds new license requirements for items destined to a semiconductor fabrication “facility” in the PRC that fabricates ICs meeting specified. Licenses for facilities owned by PRC entities will face a “presumption of denial,” and facilities owned by multinationals will be decided on a case-by-case basis. The relevant thresholds are as follows:
7.) Restricts the ability of U.S. persons to support the development, or production, of ICs at certain PRC-located semiconductor fabrication “facilities” without a license;
8.) Adds new license requirements to export items to develop or produce semiconductor manufacturing equipment and related items; and
9.) Establishes a Temporary General License (TGL) to minimize the short-term impact on the semiconductor supply chain by allowing specific, limited manufacturing activities related to items destined for use outside the PRC.
The rule is effective in phases after being filed for Public Inspection with the Federal Register. The semiconductor manufacturing items restrictions are effective upon filing for Public Inspection (October 7, 2022), the restrictions on U.S. persons’ ability to support the development, production, or use of ICs at certain PRC-located semiconductor fabrication “facilities” is effective five days later (October 12, 2022), and the advanced computing and supercomputer controls, as well as the other changes in the rule, are effective 14 days later (October 21, 2022). Additionally, public comments on all of these changes are due to BIS no later than 60 days from the date of Federal Register publication. The text of the rule is available on the Federal Register’s website here.
Revisions to BIS’s Unverified List:
BIS is also updating its regulations related to BIS’s Entity List to clarify that a sustained lack of cooperation by the host government that effectively prevents BIS from determining compliance with the EAR may lead to the addition of an entity to the Entity List.
The rule provides an example that stipulates that sustained lack of cooperation by a foreign government that prevents BIS from verifying the bona fides of companies on the Unverified List (UVL) can result in those parties being moved to the Entity List, if an end-use check is not timely scheduled and completed. All additions, removals, or revisions to the Entity List are still subject to the approval of the End-User Review Committee, which is made up of the Departments of Commerce, State, Defense, and Energy pursuant to existing rules.
The rule adds 31 new entities to the UVL and removes 9 entities that have met relevant requirements.
Consistent with this regulatory change, Export Enforcement has issued a policy memorandum Addressing Foreign Government Prevention of End-Use Checks. The memo is available online here.  The policy calls for adding parties to the Unverified List 60 days after checks are requested but host government inaction prevents their completion, and an additional 60-day process for adding UVL parties to the Entity List when there is a sustained lack of cooperation by a host government to facilitate completion of the checks.
Text of the rule, which includes the list of parties added and removed, is available on the Federal Register’s website here. The rule takes effect on October 7, 2022.
Additional Background:
The rules announced today are part of the ongoing review of BIS’s export control policies towards the PRC announced by Under Secretary Estevez during Congressional hearings in July 2022 and follow several regulatory and enforcement actions taken over the past few months including:
BIS’s actions today were taken under the authority of the Export Control Reform Act of 2018 and its implementing regulations, the EAR.
Under these authorities, BIS possesses a variety of tools to control the export of U.S.-origin and certain foreign-produced commodities, software, and technology as well as specific activities of U.S. persons, for national security and foreign policy reasons. These tools include issuing federal regulations, as well as using the licensing and regulatory process to take party-specific actions.
For more information, please visit BIS’s website at: https://bis.doc.gov