会议录音流出！美国BIS会议要点：加入瓦森纳、定期审查、人员控制......

北京时间2022年10月13日晚21点，美国商务部工业和安全局（BIS）就其上周五对中国半导体的管理规则进行公开简报，题为“实施额外的出口管制：某些先进计算和半导体制造项目；超级计算机和半导体最终用途；实体清单修改”。出口管理助理部长 Thea D. Rozman Kendler 参会。

目前会议录音已流出，会议录音.zip

以下是语音内容的摘取：

【开场】

Today of vis is new export controls on advanced computing, supercomputers and

semiconductor manufacturing equipment.今天的可见是对先进计算机、超级计算机和半导体制造设备的新的出口管制。

The purpose of this morning's briefing is to describe the controls. We put on public display?last friday.今天上午的简报的目的是描述控制。我们在上周五公开展示。

I'll also do my best to respond to the many questions over 1 hundred uh close to hundred fifty?that you submitted so far, although I won't get to all of them.我也会尽我最大的努力回答到目前为止你提交的一百多个接近一百五十个的问题，虽然我不会回答所有的问题。

As a reminder, the ruleour rule was formally published in the federal register today.作为提醒，我们的规则今天在联邦登记册上正式公布。

And that kicks off the 60 day comment period, which will run through december 12th,这开始了 60 天的评论期将持续到 12 月 12 日

【目的】

Before jumping into questions, uhi'd like to take a few minutes to clarify why we issued this?rule and what we hope to accomplish.在开始提问之前，我想花几分钟澄清一下我们为什么发布这条规则以及我们希望实现什么目标。

has long imposed controls on exports?长期以来一直对出口实行管制，解决国家安全和外交政策的威胁，限制可以用于军事和扩散的技术呢应用，比如发展大规模杀伤，性武器或者大规模杀伤性武器

china's military civil fusion strategy seeks to eliminate barriers between its military?and?civilian research and commercial sectors, which has resulted in additional controls on china.中国的军事民用融合战略旨在消除其军事和民用研究以及商业部门之间的障碍，这导致了对中国的额外控制。

As national security adviser jake sullivan noted last month, the strategic environment we are?in today necessitates a new approach?on export controls.正如国家安全顾问杰克 · 沙利文上个月指出的那样，我们今天所处的战略环境需要一种新的方法出口管制。

Particularly on technologies, such as advanced logic and memory chips.特别是在技术上，如先进的逻辑和存储芯片。

For those technologies, we must move away from our previous approach of maintaining?relative advantage over our competitors.对于这些技术，我们必须放弃以前保持相对于竞争对手的优势的方法。

And instead seek to maintain as large of a lead as possible.而是尽可能保持领先优势。

That is what the measures were implementing with this rule making seek to accomplish.这就是制定规则所要达到的目的。

One area that uh particularly illustrates that clearly illustrates the national security and?foreign policy concerns we are seeking to address with these new rules. is thatIs china's?efforts to develop and employ advanced artificial intelligence?有一个领域呢特别说明，这清楚地说明了国家安全和外交政策的关注，我们正在寻求解决这些新的规则。这就是中国发展和使用先进人工智能的努力吗？

Or ai或者人工智能

We recognize the importance of the semiconductor industry to the world economy.我们认识到半导体产业对世界经济的重要性。

For this reason, we scoped our measures narrowly?to focus only on the chips,出于这个原因，我们的措施范围很窄,只专注于芯片,

equipment, activities, and entities of greatest national security concern.设备，活动，以及与国家安全有关的实体。

【周五规则的两个方面】

Friday's rule addresses two broad topics.周五的规则涉及两大主题。

First,semiconductor, manufacturing,半导体，制造业,

and second advanced chips and supercomputing.以及第二先进的芯片和超级计算。

【关于许可政策】

让我来澄清一下我们周五展示的所有管制措施的适用许可证政策。

Case by case application, review applies to us facilities and facilities of allied country?companies.个案申请，审查适用于我们的设施和联盟国家公司的设施。

For all other applications, we are applying a presumption of denial standard in which we?consider the non commercial uses of the items at issue, and the risk of diversion to military?and uses and end users.对于所有其他应用，我们采用的是否认推定标准，其中我们考虑了有关物品的非商业用途，以及转用于军事和用途及最终用户的风险。

This is particularly important given the military civil fusion approach, and of courseforeignavailability will be considered in reviewing license application.考虑到军事民用融合方法，这一点尤为重要，当然，在审查许可证申请时，也会考虑外国的可用性。

With that, let me start with the measures related to items,那么，让我从与物品相关的度量开始,

going into chinese semiconductor manufacturing进入中国半导体制造业

and support for china's semiconductor manufacturing.以及对中国半导体制造业的支持。

The rule covers certain semiconductor manufacturing equipment.该规则涵盖了某些半导体制造设备。

Certain semiconductor end uses某些半导体最终用途

parts and components for producing semiconductor, manufacturing equipment in china,生产半导体的零部件，中国的制造设备,

and certain related activities of us persons.以及我们个人的某些相关活动。

Now, with respect to the semiconductor manufacturing equipment,现在，关于半导体制造设备,

of coursethat can be used to produce various integrated circuits, either packaged or unpackaged for wmd?当然，可以用来生产各种集成电路，无论是封装的还是非封装的大规模杀伤性武器

or other military applications,或其他军事用途,

as well as applications that enable human rights violations or abuses, including the advanced?systems and super super computers that that we discussed, thatthat our uh rationale is is laid?out in the rule on that.以及允许侵犯或者践踏人权的应用程序，包括我们讨论过的先进系统和超级计算机，我们的这个理论基础是在这个规则中阐述的。

For semiconductor, manufacturing equipment, new restrictions on the export to china of?certain tools essential for high end ship production that are only produced in the united?states went into effect on friday.对于半导体，制造设备，新的限制出口到中国的高端船舶生产必不可少的工具，只有在美国生产的星期五生效。

These restrictions,license requirements for china and the state sponsors of terrorism are contained in the?technical parameters in new eccn because these new ccl controls are in ecc ns.这些限制,中国和支持恐怖主义的国家的许可证要求包含在新的 eccn 的技术参数中，因为这些新的 ccl 控制,在 eccn 中。

This measure also triggers license requirements for russia这项措施也触发了俄罗斯的许可证要求

under section 746.8 of the export administration regulations.根据出口管理条例第 746.8 条。

We intend to propose these technical parameters to the multilateral?Wassenaar arrangement in?2023.我们打算在 2023 年向多边 瓦森纳?安排提出这些技术参数。

In addition, we restricted the export of any us tools or components to a chinese fab that is?capable of advanced logic or memory chip production above certain threshold.此外，我们限制任何美国工具或部件出口到一个中国工厂，能够先进的逻辑或存储芯片生产超过一定的门槛。

These measures also went into effect on friday.这些措施也于上周五生效。

We regularly review our controls and attempts by uh other countries to obtain advanced?technology and revise our control as needed to protect national security and foreign policy?interests.我们定期审查我们的控制措施，以及其他国家为了获得先进技术而做出的努力，并根据需要修改 我们的控制措施，以保护国家安全和外交政策利益。

【关于人员的管控】

We're also adding controls on us persons, providing support to prc fabs, operating at a more?advanced level than the thresholds we identify. thisThese us person controls went into effect?yesterday, october 12th.我们还增加了对我们人员的控制，为中国工厂提供支持，运营水平比我们确定的门槛更高。这些美国人控制措施于昨天 10 月 12 日生效。

We've received several questions on who we consider aus person, such as whether weconsider us passport holders working in semiconductor facilities to be us persons.我们收到了一些关于我们认为谁是真人的问题，比如我们是否认为在半导体工厂工作的护照持有者就是我们自己。

Here, let me point you to section 772, .1, the definition section of the ear在这里，让我指出第 772 条，第 1 款，耳朵的定义部分

which defines the term us person.这个词定义了我们这个人。

Ii hope you will review the definition, but broadly,我希望你能回顾一下这个定义，但大体上,

aus person is defined as first any individual首先被定义为任何个人

who is a citizen of the united states, a permanent resident, alien of the united states,是美国公民，永久居民，美国的外国人,

or protected individual as defined by law.或法律所界定的受保护个人。?

Second,any juridical person organized under the laws of the united states or any jurisdiction within?the united states, including foreign branches.根据美国法律人格或美国境内任何司法管辖区组织起来的法人，包括外国分支机构。

And third, any person in the united states.第三，美国境内的任何人。

You should also note the activities the us person's control covers in this rule.你也应该注意美国人控制的活动包括在这条规则中。

【关于特定先进芯片和超算】

Let me now turn to restrictions related to specific advanced chips and super computing all ofwhich go into effect on october 21st.现在让我来谈谈与特定先进芯片和超级计算有关的限制，所有这些都将于 10 月 21 日生效。

Our measures are crafted to only apply to the most advanced chips and supercomputers that?exist today.我们的措施只适用于当今最先进的芯片和超级计算机。

The rule covers technically defined advanced chips这一规则涵盖了技术上定义的先进芯片

and related software and technology.以及相关的软件和技术。

Super computer end uses and supercomputer and other end users.超级计算机终端用户和超级计算机及其他终端用户。

The rule applies a foreign direct product control to foreign design and production of the?advanced ships该规则对先进船舶的外国设计和生产适用外国直接产品控制

and the supercomputer control.以及超级计算机控制。

soWe're implementing targeted restrictions on specific chips所以我们正在对特定芯片实施有针对性的限制

and items containing such chips以及包含此类芯片的物品

that can be used in advanced computing and ai applications.可用于高级计算和人工智能应用。

The restrictions on specific chips apply only to chips that exceed very high performance thresholds.对特定芯片的限制只适用于超过非常高性能阈值的芯片。

300 tops at 16 bits,300 最多 16 位,

and are also capable of very rapidly sending information to other chips.并且能够非常迅速地将信息发送到其他芯片。

【动态实体名单】

prc entities that were already on the entity list.已经在实体列表上的中国实体。

These entities are involved in supercomputer related activities,这些实体参与了超级计算机相关的活动,

or advanced, integrated circuits,或者先进的集成电路,

and will be subject to a foreign direct product rule that will restrict their ability to obtain?foreign produced chips and other items. We've identified these companies with a footnote?for designation,并将受制于外国直接产品规则，该规则将限制他们获得外国生产的芯片和其他产品的能力。我们已经用脚注确定了这些公司的名称,

Other questions we received included whether all companies in china are subject to the new?export control.我们收到的其他问题包括是否所有在中国的公司都受到新的出口管制。

only the companies in china indicated on the entity list or the unverified list are只有实体名单或未经核实的名单上的中国公司

subject to the new export control.受到新的出口管制。

We also were asked whether bis intends to add local prc suppliers to the entity list.我们还被问及 bis 是否打算将中国本土供应商加入实体名单。

Let's be clear that not all companies in china that are subject to the new export controls are?affirmatively identified on the entity list and the uvl list.让我们明确一点，并不是所有在中国受到新出口管制的公司都在实体名单和 uvl 名单上得到确认。

The supercomputer and use control applies for transactions,超级计算机和使用控制适用于交易,

even if parties are not on either list,即使双方都不在名单上,

both the entity lists and the unverified lists are dynamic.实体列表和未经验证的列表都是动态的。

We are constantly assessing which companies should be added我们一直在评估应该增加哪些公司

or removed from the list,或者从名单中删除。?