Commerce Issues Notice on "Foundational Technologies" – What You Need to Know

By: Maria Alonso, Associate
Date: 09/22/2020

The long-awaited, Advanced Notice of Proposed Rulemaking ("ANPRM”) soliciting comments on the definition of, and criteria for, identifying "foundational technologies” ("the Notice) was finally issued on August 27, 2020, by the U.S. Department of Commerce, Bureau of Industry and Security ("BIS”). The deadline to submit comments is October 26, 2020.

Overall, the BIS rulemaking will have significant implications, 包括对向某些国家出口基础技术实行更严格的出口许可证要求, such as China. Consequently, 它可能会扩大美国外国投资委员会(CFIUS)的管辖权,以审查在美国的某些外国投资.S. businesses involved in critical technologies, which includes "foundational technologies.”


Pursuant to Section 1758 of the Export Control Reform Act of 2018 ("ECRA”), 国际清算银行及其机构间合作伙伴的任务是确定和建立对美国国家安全至关重要的新兴和基础技术的适当出口控制,这些技术尚未列入《亚虎娱乐注册平台》(EAR)商业控制清单(“CCL”)。, including items controlled for anti-terrorism ("AT”) and EAR99 items, among others.

The ECRA notes that emerging and foundational technologies essential to U.S. 国家安全是指“如果该技术目前或潜在的应用或能力对美国国家安全构成威胁,可能需要更严格的控制”.” After BIS identifies the emerging and foundational technologies, BIS will establish the export controls, 这至少将包括出口/转移到受美国贸易协定约束的国家的出口许可证限制.S. arms embargo, such as, China. Consequently, U.S. and non-U.S. companies that rely on U.S. parts, software, or technology will be significantly impacted.

BIS has published three proposed and final rules regarding emerging technologies. First, on November 19, 2018, BIS published the ANPRM seeking public comments on the criteria for identifying emerging technologies. Then on January 6, 2020, BIS issued an interim final rule, 是谁对出口和再出口专门设计用于自动分析地理空间图像的软件规定了许可证要求. Most recently, on June 17, 2020, BIS published a final rule, which added controls for items in the following categories: chemical weapons precursors, human and animal pathogens and toxins, and equipment capable of use in handling biological materials. BIS is expected to publish additional rules on other emerging technologies.

需要注意的是,“基础技术”包括已受EAR限制的具有某些出口管制分类编号(“ecns”)的技术。. 另一方面,“新兴技术”是指那些没有受到出口管制的技术. Therefore, 作为识别和建立基础技术控制过程的一部分, BIS may establish new and combine or modify existing ECCNs.

Foundational Technologies

该公告与2018年ANPRM关于新兴技术的不同之处是,它没有确定行业领域或具有代表性的技术类别供公众评论(读者可能还记得,2018年ANPRM包括14个代表性技术类别). 相反,BIS正在征求行业的意见,以确定潜在的“基础技术”.”

该通知明确指出,BIS并不寻求扩大目前不受EAR约束的技术的管辖权, including "foundational research” under EAR § 734.8. Specifically, BIS notes that for purposes of the Notice, the term "foundational technologies,” includes "technology,” "commodities,” and "software” as defined in the EAR. BIS will consider items not currently on the CCL (e.g., EAR99 items) or those controlled only for anti-terrorism, crime control, short supply, or United Nations embargoes.

In the Notice, BIS hints that three areas are under consideration for potential controls.

  1. Items subject to military end-use and end-user restrictions. First, BIS提供了一个例子,即基础技术可能包括目前因军事最终用途或军事最终用户原因而受中国管制的项目, Russia, and Venezuela (under Supplement No. 2 to EAR Part 774).1 These items include semiconductor manufacturing equipment and associated software tools, lasers, sensors, 水下系统可以与这些国家的本土军事创新联系在一起,可能会对国家安全构成威胁. 看起来BIS正在探索实现“基于最终用途和/或最终用户的控制而不是, or in addition to, technology based controls.”

  2. Items used or required to develop conventional weapons, enabling foreign intelligence collection activities, or weapons of mass destruction applications. Further, BIS还确定了可能的基础技术,包括仅受AT或EAR99控制的项目,这些项目目前不需要向美国出口许可证.S. arms embargo, but may be "utilized or required for innovation in developing conventional weapons, enabling foreign intelligence collection activities, or weapons of mass destruction applications.”

  3. Items subject to illicit procurement efforts. BIS还将考虑是否有必要对“已成为非法采购尝试主题的技术进行更严格的控制,这些尝试可能显示出某种程度上对美国的依赖.S. 在关注或发展大规模毁灭性武器的国家进一步发展外国军事或情报能力的技术.”

Public Comments

BIS seeks comments from industry on the following eight topics:

  • 如何进一步界定基础技术,以协助识别这类项目;

  • Sources to identify such items;

  • Criteria to determine whether controlled items identified in AT-level ECCNs, in whole or in part, 或覆盖在EAR99类别中,对于受美国法规约束的国家不需要许可证.S. arms embargo, are essential to U.S. national security;

  • 美国等国基础技术的发展状况;

  • 具体的基础技术控制可能对这类技术在美国的发展产生影响.S.;

  • Examples implementing controls based on end-use and/or end-user rather than, or in addition to, technology-based controls;

  • Any enabling technologies, including tooling, testing, and certification equipment, that should be included within the scope of a foundational technology; and

  • 任何其他方法来确定对美国重要的基础技术的问题.S. national security, 包括有理由考虑进行出口管制的一项基本技术的发展阶段或成熟程度.

CFIUS Filings

该通知将大大扩大要求向CFIUS提交强制申报的公司的范围. In brief, 美国外国投资委员会(CFIUS)的备案规定,在美国的某些控制和非控制的外国投资都是强制性的.S. businesses involved in certain critical technologies. 关键技术的定义包括国际清算银行根据ECRA确定的“新兴和基础技术”. Consequently, foreign investors looking to invest in U.S. 涉及此类技术的企业应该考虑提交评论,并评估CFIUS申请的类型.


BIS, through the rulemaking process, will continue to identify emerging and foundational technologies under the ECRA. 预计在国际清算银行实施对已确定的基础技术的新控制的最终规则之前,将公布更多征求公众意见的拟议规则. 潜在的外国投资者和涉及潜在“基础技术”的公司,以及供应链使用这些技术的公司, 是否应该评估更严格的许可要求和CFIUS强制性备案要求的潜在影响. 如果您对本通知或本文中讨论的任何其他问题有任何疑问,请联系托雷斯法律.

1 In April, BIS published a new final rule that among other changes, revises the EAR’s military end-use/user rule. See our previous article for more details.