Sweeping New US Semiconductor-Related Export Controls on China
On October 7, 2022, the Bureau of Industry and Security (BIS) published a sweeping set of new export control restrictions targeting China’s ability to engage in a range of activities critical to its procurement, production and maintenance of advanced computing and semiconductor manufacturing. The changes are sweeping in their breadth and reach, and reflect broader fundamental shifts in US export control policy as it relates to China in various areas, including of advanced logic and memory chips and advanced computing technology.
2022 年 10 月 7 日，BIS 发布了一套新出口管制措施，针对中国从事对其先进计算和半导体制造的采购、生产和维护至关重要的一系列活动的能力全面采取限制措施。这些规则所带来的变化兼具深度和广度，反映了美国出口管制政策在与中国相关的各个领域（包括先进逻辑和存储芯片以及先进计算技术）正在发生具广泛意义的根本性转变。
The new rules, which were published as part of a 140-page FR notice, are being implemented on a staggered effective date process (October 7, October 12, and October 21). While the new rules are extraordinarily expansive and complex in nature, and should be reviewed carefully based on the facts, the following provides a high-level overview of key areas of change.
新出口管制规则作为长达140 页的《联邦公报》通知的一部分发布，且不同的部分有交错的生效日期（10 月 7 日、10 月 12 日和 10 月 21 日）。虽然新规则在性质上非常广泛和复杂，应根据具体事实仔细研究，但以下内容就新规带来的重要变化提供概括性的简述。
Items Subject to US Export Jurisdiction / 受美国出口管制管辖的物项
Items (including goods, software and technology) subject to the Export Administration Regulations (“EAR”) include not only all items of US origin or physically located in the United States, but also items manufactured outside of the United States (i.e., foreign produced items) that nevertheless have certain US ties. In this regard, the new rules aggressively expand the foreign direct product rules for China and certain Chinese Entity List entities with respect to foreign produced items (comprising a highly complex set of new rules).
受《出口管理条例》（“EAR”）管辖的物项（包括货物、软件和技术）不仅包括原产于美国或位于美国境内的所有物项，还包括在美国境外制造但与美国有某些特定的联系的物项（即“外国生产的物项”）。在这方面，新规则就“外国生产的物项”针对中国和某些中国”实体清单” （Entity List）实体极大地扩展了“外国直接产品规则”（一整套高度复杂的新规则）。
New Country-Based and End-Use Controls on China / 针对中国的基于国家和最终用途的新管制措施
The new rules impose new controls on: 新规则
1. Export/re-export/transfer (in-country) of:
对以下产品的出口/再出口/转移（国内）实施新的管制：
a. Certain integrated circuit / semiconductor manufacturing deposition equipment, electronics manufacturing equipment and related parts, components, software and technology
某些集成电路/半导体制造沉积设备、电子制造设备及相关零部件、组件、软件和技术
b. Certain computers, electronic assemblies and components containing newly controlled ICs covered by the above, as well as certain advance computers, related software and technology (note this will also extend to certain items from China for certain end uses)
对某些计算机、电子组件和包含上述新受控 IC 的部件以及某些先进计算机相关的软件和技术实施新管制（需注意的是上述规则也将扩展到来自中国、用于某些最终用途的某些物项）
c. Certain mass market encryption software and commodities
对某些大众市场加密软件和商品的新管制
2. Expansive new end-use controls extending to any item subject to the EAR with knowledge (generally including reason to know) of use in the development or production of any ICs at a fab in China if the fab produces certain categories of ICs that meet certain technical criteria (whether or not the same ICs for which the item subject to the EAR will be used).
宽泛的新最终用途管制扩展到任何受 EAR 管辖的物项，如果知道（一般包括有原因知道）用于位于中国的晶圆厂开发或生产任何 IC，而该工厂生产符合某些特定技术标准的特定类别的 IC（无论受 EAR 管辖的物项是否被用于该类IC)。
3. Separate expansive end-use controls for a smaller subset of items subject to the EAR (various Category 3 items) where there is knowledge or reason to know the item will be used in the development or production of ICs at any fab in China where there is no knowledge of whether the fab produces ICs that meet the technical criteria referenced in item
对受 EAR管辖的某些物项（各种Category 3物项）单独施加宽泛的最终用途管制，如果知道或有理由知道该物项将用于在中国的任何晶圆厂开发或生产 IC，而不知道该工厂是否生产符合第 2 项中提到的技术标准的IC。
4. End-use controls on various items where there is knowledge the item will be used in various activities relating to supercomputers located in or destined to China, or incorporated or used to develop or produce components or equipment used in a supercomputer located in or destined to China.
对许多物项的新最终用途管制，如果已知该物项将用于与位于或目的地为中国的超级计算机相关的各种活动，或被包含或使用以开发或生产位于或目的地为中国的超级计算机的组件或设备。
New Rules on Exports from China / 针对从中国出口的新管制
Aggressive new rules are imposed on exports, from China to any destination, of technologies for certain newly controlled integrated circuits where the tech is developed by a Chinese headquartered entity, is the direct product of software subject to US export controls, and is for the production of certain controlled semiconductor, advanced computing, and related items.
对从中国向任何目的地出口与某些新受控集成电路相关的技术实施严格的新管制，如果这些技术由总部位于中国的实体开发，是受美国出口管制管辖的软件的直接产品，且用于生产某些受控半导体、先进计算和相关物项。
New Restrictions on US Person Activities / 对“美国人”行为的新限制
BIS imposes aggressive new US Person restrictions regarding various activities relating to the manufacturing of semiconductors in China, regardless of whether the items are subject to the EAR, including:
BIS 针对与在中国制造半导体相关的各种活动，对“美国人”的行为实施了广泛的新限制，无论相关物项是否受 EAR 管辖，包括:
a. broad categories of support for (or relating to) fabs in China with knowledge or reason to know the items will be used in developing ICs where the fab produces certain advanced items (even if not the same items for which the activity at issue is intended)
宽泛定义且多种类的对中国晶圆厂（或与之相关）的支持, 如果知道或有理由知道相关物项将用于开发 IC，且相关工厂生产某些先进物项（即使与相关活动所针对的物项不同）; and
b. certain restrictions on US Person shipment, transmission, transfer, or facilitation to or within China of certain kinds of Category 3 items not subject to US export controls regardless of end-use or end-user.
无论最终用途或最终用户的情况，就不受美国出口管制管辖的某些种类的Category 3物项向中国或在中国境内运输、传输、转移或提供便利对 “美国人“的行为施加某些限制。
