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 manufacturingequipment, 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 People’s 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 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) Departmentof 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 generally focused on activities involving thePeople’s 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 the EAR’s 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 EAR’s 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 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 EAR’s Unverified List, a restrictedparty 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 restrictions 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 industries,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 listed 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 rate 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 designed 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,Technology 3E001 and 4E001, and 5A992.a/5D992items that exceed performance levels of 3A090 or4A090. Licensing requirements for the PRC are basedon the EAR’s Regional Stability (RS) licensing reasons,although limited to the PRC only (RS-PRC). Anti-Terrorism (AT) licensing reasons apply to Iran, Syria,and North 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 certainexports, 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, o