1、US implements newtechnology export controlson China美国对中国实施技术出口管制新规The United States Department of Commerce,Bureau of Industry andSecurity has announced a series of major updates to the ExportAdministration Regulations focused on export controls aroundsemiconductors,integrated circuits,related manufa

2、cturingequipment,advanced computing,and supercomputers.美国商务部工业和安全局宣布了对出口管理条例的一系列重大更新，重点是围绕半导体、集成电路、相关制造设备、先进计算和超级计算机的出口管制。The new restrictions,outlined in this Alert,are generally focused onactivities involving the Peoples Republic of China(PRC).本简报中概述的新限制主要是针对涉及中国的活动。The impact of these changes on

3、the semiconductor industry isimmense,and the greatest impact will be felt by companies withbusiness in the PRC involving semiconductor manufacturing,advanced computing,and supercomputers.这些变化对半导体行业的影响是巨大的，在中国开展业务涉及半导体制造、先进计算和超级计算机的公司将受到最大的影响。2022年10月20日2On 7 October 2022,the United States(US)Departm

4、entof Commerce,Bureau of Industry and Security(BIS)announced a series of major updates to the ExportAdministration Regulations(EAR)focused on exportcontrols around semiconductors,integrated circuits(ICs),related manufacturing equipment,advancedcomputing,and supercomputers.1The new restrictionsare ge

5、nerally focused on activities involving thePeoples Republic of China(PRC).22022年10月7日，美国商务部工业和安全局（BIS）宣布了对出口管理条例（EAR）的一系列重大更新，重点是围绕半导体、集成电路（IC）、相关制造设备、先进计算和超级计算机的出口管制。1新的限制主要是针对涉及中国的活动。2Key aspects of the new restrictions include:新的限制主要包括：New and amended Export Control ClassificationNumbers(ECCN)on

6、the EARs Commerce ControlList(CCL)requiring a license for the PRC.EAR商业管制清单（CCL）上新增和修订的出口管制分类编号（ECCN），要求向中国出口需取得许可证。Expansion of the EARs jurisdiction over items madeoutside the US that are a direct product of specifiedUS goods,software,or technology.扩大 EAR 对在美国境外制造的、由特定美国商品、软件或技术直接生产的物项的管辖权。New EAR

7、 end-use rules for semiconductormanufacturing and supercomputers.针对半导体制造和超级计算机的新EAR最终用途规则。New and significant restrictions on activitiesperformed by US persons involving the PRC relatedto semiconductor manufacturing.对由美国人开展的涉及到中国的与半导体制造有关的活动设立了新的和重大的限制。Revisions to the EARs Unverified List,a restric

8、tedparty list.对EAR的“未经核实清单”（受限制方列表）进行了修订。These new export controls are among the broadest andmost substantial in recent years.这些出口管制新规在管控范围和管控力度上均为近年之最。US and non-US companies in the semiconductor sectorand adjacent sectors with business operations in thePRC may be significantly impacted.The restric

9、tions willalso create exceptional challenges for US persons toprovide technical engineering support for PRCcompanies in the semiconductor or advancedcomputing sectors.在中国开展业务的半导体行业及其上下游行业的美国及非美国公司可能会受到重大影响。这些限制还将给美国人在半导体或先进计算领域为中国公司提供技术支持带来异乎寻常的挑战。The impact may be felt by companies in all industrie

10、s,located in any country,which supply items or servicesto the PRC involving computers,servers or ICs.这种影响将可能波及到所有行业，无论您的企业在哪个国家/地区，当向中国提供涉及计算机、服务器或集成电路的物项或服务时，都可能受到新规的影响。Executive summary摘要3New and amended ECCNs新增和调整后的ECCN编码BIS is making the below updates to the CCL,effective atvarying dates as list

11、ed below.BIS对商业管制清单进行以下更新，具体更新及对应的有效期如下：BIS is making four new ECCNs on the CCL and relatedrevisions.(1)3B090 contains broad range ofsemiconductor manufacturing equipment and relateditems;(2)3A090 contains certain advanced ICs thathave or are programmable to have an aggregatebidirectional transfer r

12、ate over all inputs and outputs of600 Gbyte/s or more to or from ICs other than volatilememories(and other characteristics in the ECCN);(3)4A090 contains certain computers,electronicassemblies,and components containing ICs that exceedthe limit in 3A090.a;and(4)4D090 contains softwarespecially design

13、ed or modified for development orproduction of items controlled under 4A090.Restrictions for 3B090 are effective 7 October,othersare effective 21 October.Revisions to 3A991 and4A994 have also been made.BIS新增四项ECCN 编码到商业管制清单，并对相关内容进行修订。（1）3B090：包含广泛的半导体制造设备及相关物项;（2）3A090：包含特定先进制程集成电路，这些集成电路具有或可编程为除易失

14、性存储器以外所有输入和输出上超过 600 GB/s 或更高的聚合双向传输速率特性（以及 ECCN 中的其他特性）;（3）4A090：包含特定计算机、电子组件和含有超过3A090.a中限制的集成电路的组件;（4）4D090：包含专为开发或生产受4A090 控制的物项而设计或修改的软件。针对3B090的限制于10月7日生效，其他限制于10月21日生效。同时，对3A991和4A994也进行了修订。BIS has also revised several related ECCNs in theimplementation of this rule for related Software 3D001

15、,Technology 3E001 and 4E001,and 5A992.a/5D992items that exceed performance levels of 3A090 or4A090.Licensing requirements for the PRC are basedon the EARs Regional Stability(RS)licensing reasons,although limited to the PRC only(RS-PRC).Anti-Terrorism(AT)licensing reasons apply to Iran,Syria,and Nort

16、h Korea.BIS还在新规中修订了多个相关的ECCN，适用于性能水平超过3A090或4A090的相关软件3D001，技术3E001和4E001以及5A992.a/5D992物项。对于出口至中国的许可证要求是基于EAR的区域稳定性（RS）制定的，新规下该许可证要求仅限于针对中国（即区域稳定性-中国）。反恐（AT）许可适用于伊朗、叙利亚和朝鲜。Detailed discussion要点概述4Restrictions to license exceptions许可证例外的使用限制BIS is limiting the use of license exceptions for certainex

17、ports,reexports,or in-country transfers to or withinthe PRC.对于特定物项，BIS限制了涉及到中国的出口、再出口或中国国内转移的许可证例外的使用。Effective 7 October 2022,only License Exception GOVwill be available for exports,reexports,or in-countrytransfers to or within the PRC for items under ECCNs3B090,3D001(regarding software for items u

18、nder3B090),or 3E001(regarding technology for itemsunder 3B090).3自 2022 年 10 月 7 日起，对于 ECCN为 3B090、3D001（3B090 项下的软件）或3E001（3B090 项下的技术）的物项，若涉及到中国的出口、再出口或中国国内转移，仅可使用GOV许可证例外（即各国政府、国际组织、根据化学武器公约进行的国际视察和国际空间站）。3Effective 21 October 2022,only License ExceptionsGOV,RPL,and TSU will be available for expor

19、ts,reexports,or in-country transfers to or within the PRCfor items under ECCNs 3A090,4A090,3D001(regarding software for items under 3A090),3E001(regarding technology for items under 3A090),4D090,and 4E001(regarding technology for items under4A090).4自 2022 年 10 月 21 日起，对于 ECCN 3A090、4A090、3D001（3A090

20、 项下的软件）、3E001（3A090项下的技术）、4D090 和 4E001（4A090 项下的技术），若涉及到中国的出口、再出口或中国国内转移，仅可适用的许可证例外为GOV、RPL（针对于设备及零部件维修和更换）和 TSU（不受限制的技术和软件）。4Expanded scope of EAR jurisdiction扩大EAR的管辖范围Generally,the EARs Foreign Direct Product Rule(FDPR)expands the EARs jurisdiction to foreign-produceditems outside the US that ar

21、e a direct product ofspecified technology or software or are produced by aplant or major component of a plant that itself is a directproduct of specified technology or software.一般来说,EAR的外国直接产品规则（FDPR）将EAR的管辖权扩展到美国境外的外国生产的物项，这些物项是特定技术或软件的直接产品，或者是由工厂或工厂主要组件生产的，该工厂或工厂主要组件本身是特定技术或软件的直接产品。Effective 21 Oc

22、tober 2022,BIS is adding three newFDPRs specific to the PRC to further extend EARjurisdiction to items produced outside the US.As aresult,US and non-US companies will face challengeswith supplying semiconductor and supercomputer-related hardware and software to the PRC when thesupply chain contains

23、US software,technology orcommodities.自2022年10月21日起，BIS增加了三项专门针对中国的新外国直接产品规则，以进一步将EAR管辖权扩展到美国境外生产的物项。因此，当供应链包含美国的软件、技术或商品时，美国和非美国公司将在向中国供应半导体和超级计算机相关硬件和软件上面临挑战。5The EAR updates from October 2022 create three newFDPRs specific to the PRC,and each FDPR hasextensive detail and should be carefully read i

24、n full.EAR新增的三个特定于中国的新外国直接产品规则，每个外国直接产品规则都有延伸的细节，建议应仔细阅读全文。Generally,the FDPRs include:一般来说，外国直接产品规则包括：Entity List FDPR,covering items destined to 28PRC-based entities already listed on the BIS EntityList.5实体清单外国直接产品规则，涵盖目的地为已列入美国BIS实体清单的28个中国实体的物项。5Advanced Computing FDPR,covering advanced ICs,comm

25、odities containing such ICs,or relatedtechnology.6先进计算外国直接产品规则，涵盖先进制程集成电路、包含此类集成电路的商品或相关技术。6Supercomputer End-Use FDPR,covering itemsrelated to supercomputers located in or destined forthe PRC.7超算最终用途外国直接产品规则，涵盖位于中国或目的地是中国的与超级计算机相关的物项。7End-use controls for semiconductormanufacturing and computers半导体

26、制造和计算机的最终用途管制BIS is also implementing new licensing requirementsbased on end-use for semiconductor manufacturing andsupercomputers,where exports,reexports,and in-country transfers of items subject to the EAR willrequire a BIS license when the exporter knows that theitem will be used in the newly des

27、ignated restricted end-uses.BIS还实施了基于半导体制造和超级计算机最终用途的新许可要求，当出口商知道该物项将用于新指定的限制性最终用途时，受EAR约束的物项的出口，再出口和国内转移将需要向BIS申请许可证。Each of the end-use restrictions has detail aroundcovered products and circumstances.Generally,licenseexceptions are not available for these restricted end-uses,and BIS will review l

28、icense applications under apresumption of denial.每个最终用途限制都有关于所涵盖的产品和情况的详细信息。通常，这些受限制的最终用途不可以使用许可证例外，BIS将在推定拒绝下审查许可证申请。6Restrictions on US person activities对美国人活动的限制Effective 12 October 2022,a BIS license is requiredbefore US persons(US citizens,permanent residents,and limited other residency statuse

29、s)can providecertain support for the development or production ofcertain ICs produced at a semiconductor fabricationfacility located in the PRC.BIS will review these licenseapplications under a presumption of denial,except amore general review policy related to end-users in thePRC which are headquar

30、tered in the US or in EARCountry Groups A:5 or A:6.8自2022年10月12日起，美国人（美国公民、永久居民和有限的其他居留身份）必须获得BIS许可证，才能为位于中国的半导体制造设施生产的特定集成电路的开发或生产提供特定支持。BIS将基于推定拒绝审查这些许可证申请，除非这些最终用户的总部设在美国或在出口管理条例国家组别A：5或A：6中（这些最终用户适用一个更加通用的审查政策）。8Notably,these restrictions can apply to activitiesinvolving items not subject to the

31、 EAR,e.g.,itemswhich are completely manufactured in the PRC.值得注意的是，这些限制可能适用于涉及非EAR管控物项的活动，例如完全在中国制造的物项。The term“support”encompasses a number of activities.More specifically,the following types of support incurthe license requirement:“支持”一词包括若干活动。更具体地说，以下类型的“支持”会产生许可证要求：Shipping,transmitting,or trans

32、ferring,or facilitatingsuch movement,to or within the PRC,or servicing,any item not subject to the EAR(i.e.,outside of EARjurisdiction)with knowledge that the item will beused in the development or production of ICs at asemiconductor fabrication facility in the PRC thatproduces ICs meeting any of th

33、e following criteria:将不受EAR管辖(即在EAR管辖范围之外)的任何物项运输、传输或转运到中国（或在中国境内进行这些活动）或促进此类运输、传输或转运，或向中国或在中国境内提供针对任何不受EAR管辖的物项的服务，并知道该物项将用于在中国的半导体制造设施开发或生产符合以下任何标准的集成电路：Logic ICs using a non-planar transistorarchitecture or with a“production”technologynode of 16/14 nm or less.使用非平面晶体管结构或具有16nm或14nm或以下生产技术节点的逻辑集成电

34、路。NOT AND(NAND)memory ICs with 128 layers ormore.128层或更高层数的NAND闪存集成电路。Dynamic random-access memory(DRAM)ICsusing a“production”technology node of 18 nmhalf-pitch or less.采用半间距不超过18nm生产技术节点的DRAM存储集成电路。7Shipping,transmitting,or transferring,orfacilitating such movement,to or within the PRC,orservicing,

35、any item(if meeting the parameters ofany ECCN in CCL Category 3 Product Groups B,C,D,or E)not subject to the EAR with knowledge that theitem will be used in the development or productionof ICs at a semiconductor fabrication facility in thePRC where the US person does not have knowledgeof whether the

36、 facility produces ICs meeting theabove technical criteria.将不受EAR管辖的任何物项（前提是这些物项满足CCL第三类产品组B,C,D,或E中的任何ECCN指标）运输、传输或转运到中国（或在中国境内进行这些活动）或促进此类运输、传输或转运，或向中国或在中国境内提供针对上述不受EAR管辖的物项的服务，且知道该物项将用于在中国境内的半导体生产设施开发或生产集成电路，但该美国人并不知晓该设施生产的集成电路是否满足上述技术标准。Shipping,transmitting,or transferring,orfacilitating such m

37、ovement,to or within the PRC,orservicing,any item not subject to the EAR andmeeting the parameters of ECCN 3B090,3D001(for 3B090),or 3E001(for 3B090)regardless of theend-use or end-user.将不受EAR管辖且符合ECCN编码为3B090、3D001（用于3B090），或3E001（用于3B090）的指标的任何物项运输、传输或转运到中国（或在中国境内进行这些活动）或促进此类运输、传输或转运，或向中国或在中国境内提供针

38、对上述物项的服务，无论其最终用途或最终用户如何。License exceptions are not available for theserestrictions.BIS will review license applications under apresumption of denial,except for end-users in the PRCthat are headquartered in the US or in countries underCountry Groups A:5 or A:6.In limited cases,certainsupport may be p

39、rovided without a license bycontractors of the US Government.许可证例外不适用于这些限制。BIS将在推定拒绝下审查许可证申请，但总部设在美国或国家组别为A：5或A：6的国家/地区的中国最终用户除外。在有限的情况下，相关美国人为美国政府所雇用并根据美国政府的指示履行特定官方义务时，可享受相关豁免。Savings clause保留条款BIS provided a savings clause for these new restrictionsand licensing requirements.As a result,shipments

40、 ofitems otherwise removed from license exceptioneligibility or eligibility for export,reexport or in-countrytransfer that were on dock for loading,on lighter,ladenaboard an exporting carrier,or en route aboard acarrier to a port of export,on 7 October 2022,maycontinue to the destination under the p

41、revious licenseexception eligibility or without a license so long as theyhave been exported,reexported or transferred before 7November 2022.BIS为这些新的限制和许可要求提供了一个保留条款。美国时间2022年10月7日已在码头等待装载、驳船转载或由出口承运人装载或由承运人运输至出口港途中，但由于规则变动导致出口、再出口和国内转移不再有资格适用许可证例外的物项，只要在2022年11月7日之前已经被出口、再出口或国内转移，就可继续享有先前的许可证例外资格或无需

42、许可证。Certain limited authorization in this savings clause isalso available for deemed exports and reexports relatedto ECCNs 3A991.p and 4A994.l.根据保留条款规定，与ECCN3A991.p和4A994.I相关的技术和软件的视同出口和视同再出口，只有特定情况下才需要许可证。8Temporary General License临时通用许可证BIS issued a Temporary General License(TGL)in aneffort to mit

43、igate disruption to supply chains for the USand other countries with respect to items produced inthe PRC that are ultimately destined to recipientsoutside of the PRC,effective 21 October 2022 through7 April 2023.BIS发布了临时通用许可证（TGL）规则，以减轻美国和其他国家/地区在中国生产的最终运往中国境外接收商的物项的供应链中断的情况，有效期为2022年10月21日至2023年4月7

44、日。Updates to Entity List determination criteriaand unverified list实体清单确定标准和未经核实清单更新On 7 October 2022,BIS released a separate FederalRegister Notice with new criteria for adding a party tothe BIS Entity List,including a sustained lack ofcooperation by the host government(e.g.,thegovernment of the cou

45、ntry in which an end-use check isto be performed)that effectively prevents BIS fromdetermining compliance with the EAR.The expectedresult of this change is that more companies andinstitutions in the PRC will later be added to the EntityList.2022年10月7日，BIS发布了一份单独的联邦纪事通知，其中规定了将一方添加到BIS实体清单的新标准，包括东道国政府

46、（例如，将进行最终用途审查的国家的政府）持续缺乏合作的行为，因为该行为切实地阻止了BIS确定相关活动的EAR合规性。这一变化的预期结果是，中国将有更多公司和机构被添加到实体清单中。In addition,BIS designated 31 entities in the PRC to theBIS Unverified List(UVL),a restricted party listidentifying parties for which BIS has been unable toconfirm their bona fides.Generally,license exceptionsm

47、ay not be used for transactions with parties on theUVL,and certain written statements must be acquiredfrom the UVL party in advance,in addition to otherrequirements imposed by a UVL listing.9此外，BIS将中国境内的31家实体列入未经核实清单（UVL），这是一份限制方名单，用于识别BIS无法确认其真实性的各方。一般而言，与UVL中的各方的交易可能不适用EAR项下的许可证例外，除UVL清单表规定的其他要求外，

48、相关方还必须事先从UVL各方获得特定的书面声明。99The impact of these changes on the semiconductorindustry is immense,and the greatest impact will be feltby companies with business in the PRC involvingsemiconductor manufacturing,advanced computing,and supercomputers.However,companies in anyindustry that ship to or use comp

49、uters or ICs in the PRCwill need to review these new restrictions.这些变化对半导体行业的影响是巨大的，在中国开展业务涉及半导体制造、先进计算和超级计算机的公司将受到最大的影响。但是，任何行业的公司向中国境内运输电脑或集成电路类物项或在中国境内使用计算机或集成电路类物项，都需要重点审视这些新的限制。The restrictions on US persons will also createexceptional challenges for companies involved inengineering or technica

50、l work with PRC-basedsemiconductor or advanced computing companies.对美国人员的限制也将给与中国半导体或先进计算公司合作开展工程或技术工作的公司带来异乎寻常的挑战。Notably,the FDPR updates demonstrate the USGovernments broad assertion of jurisdiction overcompanies and activities outside the US,based on theuse of US technology in the global supply

51、chain.值得注意的是，更新的外国直接产品规则表明，美国政府在全球供应链中使用美国技术这一行为上对美国境外的公司和活动拥有广泛管辖权。Companies in the semiconductor and advancedcomputing spaces should consider the followingimmediate actions:半导体和先进计算领域的公司应考虑立即采取以下行动：Identify any products or service offerings involvingthe PRC,including technology and software,thatma

52、y be captured under the new ECCNs related tosemiconductor manufacturing equipment,ICs,anditems containing ICs.识别涉及中国的任何产品或服务，包括技术和软件，这些产品和服务可能落在新的与半导体制造设备，集成电路和包含集成电路的物项有关的ECCN管辖范围中。Regarding the FDPRs and the EARs jurisdiction overitems made outside the US,review operations andshipment activity ori

53、ginating outside the US andinvolving the PRC with respect to advancedcomputing and supercomputers.针对外国直接产品规则和EAR对美国境外制造的物项的管辖权，审查源自美国境外并涉及中国的先进计算和超级计算机的运营和运输活动。Review global shipments and operations related toPRC-based IC fabrication or supercomputers,withrespect to end-use restrictions.IC fabricati

54、on mayalso require certifications and assurances throughouta multi-step supply chain to ensure that end use isnot in the PRC.the semiconductor,advancedcomputing,or supercomputer fields.审查与中国集成电路制造或超级计算机相关的全球出货和运营情况，以及最终用途限制。集成电路制造可能还需要在全流程，多阶段供应链中进行验证和确认，确保其最终用途不在中国。Review the activities of US perso

55、nnel supportingengineering or technical work for PRC companies inthe semiconductor,advanced computing,orsupercomputer fields.审查美国人员在半导体、先进计算或超级计算机领域支持中国公司的工程或技术工作的活动。Review the applicability of the TGL to activities inPRC to reduce supply chain disruptions in the nearterm as supply chain adaptation

56、is made.审查临时通用许可证对在中国开展的活动的适用性，以减少近期供应链适应过程中中断的情况。Actions for businesses企业应采取的措施10安永（中国）企业咨询有限公司 国际贸易服务团队For additional information with respect to this alert,please contact the following:有关此简报的更多信息，请联系以下人员：唐兵 Bryan Tang大中华区国际贸易主管合伙人安永（中国）企业咨询有限公司+86 21 2228 Tina Robb总监安永税务及咨询有限公司+852 9667 张国瑜 Tina

57、GY Zhang合伙人安永（中国）企业咨询有限公司北京分公司+86 10 5815 2197tina-江楠Neo Jiang经理安永（中国）企业咨询有限公司广州分公司+86 20 2838 1094neo-Ernst&Young LLP(United States),Global TradeNathan Gollaher,CJames Lessard-Templin,PBryan Schillinger,HHelen Xiao,C11Endnotes尾注1.See 87 Fed.Reg.62,186(13 October 2022).见87联邦纪事62，186（2022年10月13日）。2.S

58、ee 15 C.F.R.740.11(License Exception GOV;“Governments,international organizations,international inspectionsunder the Chemical Weapons Convention,and the International Space Station”).见联邦法规第15编第740.11（许可证例外GOV;“各国政府、国际组织、根据化学武器公约进行的国际视察和国际空间站”）3.See 15 C.F.R.740.10(License Exception GOV),15 C.F.R.740

59、.11(License Exception RPL;“Servicing andreplacement of parts and equipment”),15 C.F.R.740.13(License Exception TSU;“Technology and softwareunrestricted”).见联邦法规第15编第740.10（许可证例外GOV），15 C.F.R.740.11（许可证例外RPL;“针对于设备及零部件维修和更换”），15 C.F.R.740.13（许可证例外TSU;“不受限制的技术和软件”）。4.See 15 C.F.R.734.9(e).见联邦法规第15编第734

60、.9（e）节。5.See 15 C.F.R.734.9(h).见联邦法规第15编第734.9（h）节。6.See 15 C.F.R.734.9(i).见联邦法规第15编第734.9（i）节。7.See 15 C.F.R.744.26.见联邦法规第15编第744.26节。8.See 87 Fed.Reg.61,971(13 October 2022).见87联邦纪事61，971（2022年10月13日）。安永|建设更美好的商业世界安永的宗旨是建设更美好的商业世界。我们致力帮助客户、员工及社会各界创造长期价值，同时在资本市场建立信任。在数据及科技赋能下，安永的多元化团队通过鉴证服务，于150多个国

61、家及地区构建信任，并协助企业成长、转型和运营。在审计、咨询、法律、战略、税务与交易的专业服务领域，安永团队对当前最复杂迫切的挑战，提出更好的问题，从而发掘创新的解决方案。安永是指 Ernst&Young Global Limited 的全球组织，加盟该全球组织的各成员机构均为独立的法律实体，各成员机构可单独简称为“安永”。Ernst&Young Global Limited 是注册于英国的一家保证（责任）有限公司，不对外提供任何服务，不拥有其成员机构的任何股权或控制权，亦不担任任何成员机构的总部。请登录 。2022 安永（中国）企业咨询有限公司。版权所有。APAC no.03015925ED None.本材料是为提供一般信息的用途编制，并非旨在成为可依赖的会计、税务、法律或其他专业意见。请向您的顾问获取具体意见。