美国半导体技术最新限制法规!

美国商务部近日发布最新补充法规,防止对美国国家安全构成担忧的国家使用美国半导体制造补贴(CHIPS incentives funds, 简:CHIPS)。该法规是美国实行390 亿美元半导体生产补贴的最后保障。(CHIPS and Science Act “芯片与科学” 法规为美国半导体生产、研究和人才发展提供 527 亿美元财政补助)。该法规于今年三月份首次提出,设置政策“护栏”,限制美国补贴受益者10年内在中国和俄罗斯等国家投资扩大半导体制造,限制其受益者与非美研究机构开展联合研究及合作。但准许补贴用于国际标准制定、专利许可、代工生产、封测服务等。受益者在10年内禁止在非美国本土外的先进半导体芯片生产、晶圆生产能力上有大幅扩张,包括新增洁净室或其他物理空间不可超出现有面积 5%,禁止生产线产能扩大超过现有产能 10%。该规则还将一些半导体列技术及产品列为美国国家安全关键技术,从而引发更严格的限制,包括不限于辐射密集环境中的量子计算、当下及成熟半导体工艺节点、以及军用半导体技术。

法规原文 (仅供参考,中文翻译见下文):
The bipartisan CHIPS and Science Act included clear guardrails to strengthen national security. The statute:
Prohibits recipients of CHIPS incentives funds from using the funds to construct, modify, or improve a semiconductor facility outside of the United States;

Restricts recipients of CHIPS incentives funds from investing in most semiconductor manufacturing in foreign countries of concern for 10 years after the date of award; and,
Limits recipients of CHIPS incentives funds from engaging in certain joint research or technology licensing efforts with a foreign entity of concern that relates to a technology or product that raises national security concerns.
If these guardrails are violated, the Department can claw back the entire federal financial assistance award.
Today’s final rule provides details on and definitions for these national security guardrails. In particular, the rule:

Establishes Standards to Restrict Expansion of Advanced Facilities in Foreign Countries of Concern: The statute prohibits the material expansion of semiconductor manufacturing capacity for leading-edge and advanced facilities in foreign countries of concern for 10 years from the date of award. In addition to front-end and back-end processes, the rule clarifies that wafer production is included within the definition of semiconductor manufacturing. The final rule ties expanded semiconductor manufacturing capacity to the addition of cleanroom or other physical space and defines material expansion as increasing a facility’s production capacity by more than five percent. This threshold is intended to capture even modest transactions to expand manufacturing capacity but allows funding recipients to maintain their existing facilities through normal course-of-business equipment upgrades and efficiency improvements.

Limits the Expansion of Legacy Facilities in Foreign Countries of Concern: The statute places limits on the expansion and new construction of legacy facilities in foreign countries of concern. The rule provides details regarding this restriction, prohibiting recipients from adding new cleanroom space or production lines that result in expanding a facility’s production capacity beyond 10 percent. The rule establishes a notification process for recipients that have plans to expand legacy chip facilities so the Department can confirm compliance with the national security guardrails.
Classifies Semiconductors as Critical to National Security: While the statute allows companies to expand production of legacy chips in foreign countries of concern in limited circumstances, today’s rule classifies a list of semiconductors as critical to national security, thereby subjecting them to tighter restrictions. This designation covers chips that have unique properties that are critical to U.S. national security needs, including current-generation and mature-node chips used for quantum computing, in radiation-intensive environments, and for other specialized military capabilities. This list of semiconductor chips was developed in consultation with the Department of Defense and U.S. Intelligence Community.
Details Restrictions on Joint Research and Technology Licensing Efforts with Foreign Entities of Concern: The statute restricts covered entities from engaging in joint research or technology licensing with a foreign entity of concern that relates to a technology or product that raises national security concerns. Foreign entities of concern include those owned or controlled by foreign countries of concern, those on the Bureau of Industry and Security (BIS) Entity List and Treasury Department’s Chinese Military-Industrial Complex Companies (NS-CMIC) list, and others as outlined in the statute. This restriction does not apply to several types of engagements which are necessary to existing operations and do not threaten national security, such as activities related to international standards, involving patent licensing, and to enable funding recipients to utilize foundry and packaging services.
中文翻译(网络翻译,仅供参考):

两党通过的《芯片和科学法案》包括加强国家安全的明确护栏。法规:
禁止 CHIPS 激励资金的接受者使用该资金在美国境外建造、修改或改进半导体设施;

限制 CHIPS 激励资金的接受者在奖励之日起 10 年内投资于所关注的外国国家的大多数半导体制造业;和,

限制 CHIPS 激励资金的接受者与涉及引起国家安全问题的技术或产品相关的外国实体参与某些联合研究或技术许可工作。
如果违反这些护栏,该部门可以收回全部联邦财政援助金。
最终规则提供了这些国家安全护栏的详细信息和定义。特别是,规则:

制定标准限制先进设施在国外的关注国家扩张:该法规禁止自授予之日起10年内在相关国家对尖端和先进设施的半导体制造能力进行实质性扩张。除了前端和后端工艺之外,该规则还明确晶圆生产也包含在半导体制造的定义中。最终规则将半导体制造能力的扩大与洁净室或其他物理空间的增加联系在一起,并将材料扩张定义为将设施的生产能力提高百分之五以上。该阈值旨在捕获扩大制造能力的适度交易,但允许资金接受者通过正常的业务过程设备升级和效率提高来维护其现有设施。
限制在受关注的外国扩建旧设施:该法规限制在受关注的外国扩建和新建旧设施。该规则提供了有关此限制的详细信息,禁止接收者添加新的洁净室空间或生产线,从而导致设施的生产能力扩大超过 10%。该规则为计划扩大旧芯片设施的接收者建立了一个通知流程,以便商务部可以确认是否遵守国家安全护栏。
将半导体列为对国家安全至关重要的半导体:虽然该法规允许公司在有限的情况下在外国关注的国家扩大传统芯片的生产,但今天的规则将一系列半导体列为对国家安全至关重要的半导体,从而使它们受到更严格的限制。该称号涵盖了具有对美国国家安全需求至关重要的独特特性的芯片,包括用于量子计算、辐射密集环境以及其他专业军事能力的当前一代和成熟节点芯片。该半导体芯片清单是与国防部和美国情报界协商制定的。
与外国相关实体进行联合研究和技术许可工作的详细限制:该法规限制所涵盖的实体与涉及引起国家安全问题的技术或产品相关的外国实体进行联合研究或技术许可。受关注的外国实体包括由受关注国家拥有或控制的实体、工业与安全局 (BIS) 实体清单和财政部中国军工综合体公司 (NS-CMIC) 清单上的实体,以及《外国实体清单》中概述的其他实体。法令。这一限制不适用于现有业务所必需且不会威胁国家安全的几种类型的活动,例如与国际标准相关的活动、涉及专利许可的活动以及使资金接受者能够利用铸造和包装服务的活动。来源:JRI微电子

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