China: CFIUS和技术出口管控改革:美商务部就"新兴与基础技术"清单征求意见

美国《2018年出口管制改革法》(ECRA)要求美国商务部工业安全局(BIS)拟定相应的"新兴及基础技术"清单。为此,BIS于2018年11月19日发布了 《拟议规则制定事先通知》(ANPRM或"通知")。"新兴及基础技术"这一概念对ECRA至关重要,因为根据ECRA,此类技术可能须满足新的或额外的出口许可要求;该概念对最近美国外国投资委员会(CFIUS)的改革也至关重要,因为此处改革后,外国对此类技术进行的投资可能须满足更高要求。

通知的关键要点如下:

  • 通知没有确定哪些具体技术将作为新的"新兴及基础技术"受到管制。相反,通知就以下问题征求公众意见: 如何定义并确定该清单的一部分(即新兴技术)、以及将来制定规则时是否应将基础技术作为一个单独部分。
  • BIS没有寻求扩大管辖权以管制当前不受美国《出口管理条例》(EAR)管制的技术,包括在"基础研究"过程中产生的技术或软件。"基础研究"即科学、工程或数学研究,此类研究的结果通常会发表并在研究界广泛分享,不因信息专有或国家安全而受到限制。
  • "新兴及基础技术"清单最终版一旦公布,将立即与最近制定的CFIUS试点计划相关联:这些技术将被补充到"关键技术"清单中,因而可能须满足试点计划规定的强制性CFIUS申报要求。
  • 公众对通知所列具体问题发表意见的截止日期为 20181219

通知确定了受 EAR管制"新兴技术"的广义类别[见下文表格]。目前EAR对这些技术的管制仅出于有限的目的:向被实施禁运的国家出口、向被认定为国际恐怖主义支持者的国家出口、以及向受到限制的最终用途或最终用户出口。BIS征求公众意见的主题是:是否有这些广义类别中的某些技术对美国国家安全比较重要,因而应实施额外管制措施(这些措施的执行不会对美国在这些领域的领先地位产生不利影响)。

通知专门就下列问题征求公众意见:

  1. 如何定义新兴技术,以协助将来确定此类技术;
  2. 采用什么标准来判定广义类别中是否有某些技术对美国国家安全重要;
  3. 确定此类技术的渠道(或资源);
  4. 为确定对美国国家安全重要的新兴技术,还应该审核哪些广义技术类别;
  5. 这些技术在美国及其他国家的发展状况;
  6. 新兴技术管制的具体措施会对美国技术领先地位产生什么影响;以及
  7. 有助认定对美国国家安全重要的新兴技术的任何其他着眼点,包括新兴技术的开发阶段或成熟度(如果为出口管制的目的需要考虑)。

在公开征求意见期内,企业和投资者们有机会影响将来对新兴及基础技术适用的出口管制措施。企业和投资者们在定义及描述此类技术发展状况方面所起的重要作用,由此得到认可。可能更重要的是,有关行业的主要参与者有机会向BIS和CFIUS建言:将来对这些技术的出口限制以及对美国技术公司外国投资的限制,可能会对美国继续保持技术领导地位产生什么影响。


有代表性的新 兴技术类别

类别

代表性示例

生物技术

  • 纳米生物技术
  • 合成生物技术
  • 基因组及基因工程
  • 神经技术

人工智能(AI)及机器学习技术

  • 神经网络与深度学习(如大脑建模、时间序列预测、分类)
  • 进化及遗传计算(如遗传算法、遗传编程)
  • 强化学习
  • 计算机视觉(如目标识别、图像理解)
  • 专家系统(如决策支持系统、教学系统)
  • 语音及音频处理(如语音识别及发音)
  • 自然语言处理(如机器翻译)
  • 规划(如调度、博弈)
  • 音频及视频操纵技术(如声音科隆、深度换脸)
  • AI云技术
  • AI芯片组

定位、导航和授时(PNT)技术

不适用

微处理器技术

  • 系统级芯片(SoC)
  • 片上堆栈存储器

先进计算技术

  • 内存中心逻辑

数据分析技术

  • 可视化
  • 自动分析算法
  • 情景感知计算

量子信息及传感技术

  • 量子计算
  • 量子加密
  • 量子传感

物流技术

  • 移动电力
  • 建模与仿真
  • 资产总体可见度
  • 基于配送的物流系统(DBLS)

增材制造

  • 3D打印

机器人技术

  • 微型无人机和微型机器人系统
  • 集群技术
  • 自组装机器人
  • 分子机器人技术
  • 机器人编译器
  • 智能微尘

脑机接口

  • 神经控制接口
  • 意识与机器接口
  • 直接神经接口
  • 大脑与机器接口

高超音速动力学

  • 飞行控制算法
  • 推进技术
  • 热保护系统
  • 专用材料(用于结构、传感器等)

先进材料

  • 自适应伪装
  • 功能性纺织品(如先进的纤维和织物技术)
  • 生物材料

先进监控技术

  • 面纹和声纹技术

Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

© Morrison & Foerster LLP. All rights reserved

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Amy S. Josselyn
 
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