美国商务部公布禁止使用中国 AI 自动驾驶软件和硬件措施
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- 2024年9月23日
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2024 年 9 月 23 日
美国商务部工业与安全局（BIS）发布了一份拟议规则制定通知（NPRM）《确保信息和通信技术与服务供应链的安全：联网汽车》(Securing the Information and Communications Technology and Services Supply Chain: Connected Vehicles)，禁止销售或进口与中华人民共和国（PRC）或俄罗斯有足够联系的集成特定硬件和软件的联网汽车，或单独出售的部件。 拟议规则将禁止进口和销售与中国或俄罗斯有关联的装有某些 VCS 或 ADS 硬件或软件的车辆。VCS 是一套允许车辆与外部通信的系统，包括远程信息处理控制单元、蓝牙、蜂窝、卫星和 Wi-Fi 模块。ADS 包括允许高度自动驾驶车辆在无人驾驶的情况下运行的组件。
拟议规则重点关注集成在车辆连接系统 (Vehicle Connectivity System，VCS) 中的硬件和软件以及集成在自动驾驶系统 (Automated Driving System，ADS) 中的软件。这些是关键系统，通过特定的硬件和软件，它们允许联网车辆实现外部连接和自动驾驶功能。恶意访问这些系统可能使对手能够访问和收集最敏感的数据并远程操纵美国道路上的汽车。拟议规则将适用于所有有轮道路车辆，例如轿车、卡车和公共汽车，但不包括不在公共道路上使用的车辆，例如农业或采矿车辆。
美国商务部工业和安全局及其信息和通信技术与服务办公室 (OICTS) 表示，源自中国或俄罗斯的某些技术对美国关键基础设施和联网汽车用户都构成了不应有的风险。今天的行动是一项主动措施，旨在保护国家安全和美国司机的安全。
商务部拟议规则将禁止进口或销售由与中国或俄罗斯有足够联系的实体设计、开发、制造或供应的某些联网汽车系统。具体而言，该规则涵盖“车辆连接系统”（VCS）——即将车辆与外界连接起来的系统和组件，包括通过蓝牙、蜂窝、卫星和 Wi-Fi 模块——以及“自动驾驶系统”（ADS），后者允许高度自动驾驶的车辆在无人驾驶的情况下行驶。该规则包括限制进口或销售使用 VCS 和 ADS 软件的联网汽车，以及进口 VCS 硬件设备。商务部还提议采取程序，允许某些当事方（例如小型汽车生产商）在特殊情况下获得禁令豁免，以尽量减少对行业造成的意外和不必要的干扰。
该规则还禁止与中国或俄罗斯有联系的制造商在美国销售搭载有 VCS 硬件或软件或 ADS 软件的联网汽车，即使该汽车是在美国制造的。
软件禁令将于 2027 年车型年生效，硬件禁令将于 2030 年车型年生效，对于没有车型年份的车辆，则将于 2029 年 1 月 1 日生效。
拟议规则根据美国商务部工业和安全局的第 13873 号行政命令“确保信息和通信技术及服务供应链安全”（Executive Order 13873, “Securing the Information and Communications Technology and Services Supply Chain.”）的规定，根据该行政命令 13873 的规定实施。第 13873 号行政命令允许商务部颁布法规，确定特定技术在涉及以下情况时可被纳入第 13873 号行政命令的禁令范围：(1) 对美国信息和通信技术构成不当或不可接受的破坏或颠覆风险；(2) 对美国关键基础设施的安全性或弹性或美国数字经济构成不当的灾难性影响风险；或 (3) 对美国国家安全或美国公民的安全构成不可接受的风险。
本 NPRM 采纳了公众对 BIS 于 2024 年 3 月 1 日发布的联网汽车拟议规则制定预先通知 (ANPRM) 的反馈意见。BIS 正在向所有相关方征求对今天的拟议规则的更多公众意见。
主要定义：
Automated Driving System means hardware and software that, collectively, are capable of performing the entire dynamic driving task for a completed connected vehicle on a sustained basis, regardless of whether it is limited to a specific operational design domain (ODD).
Completed connected vehicle means a connected vehicle that requires no further manufacturing operations to perform its intended function. For the purposes of this subpart, the integration of an Automated Driving System into a connected vehicle constitutes a manufacturing operation for a completed connected vehicle.
Connected vehicle means a vehicle driven or drawn by mechanical power and manufactured primarily for use on public streets, roads, and highways, that integrates onboard networked hardware with automotive software systems to communicate via dedicated short-range communication, cellular telecommunications connectivity, satellite communication, or other wireless spectrum connectivity with any other network or device. Vehicles operated only on a rail line are not included in this definition.
Connected vehicle manufacturer means a U.S. person (1) Manufacturing or assembling completed connected vehicles in the United States; and/or (2) Importing completed connected vehicles for sale in the United States.
Covered software means the software-based components, in which there is a foreign interest, executed by the primary processing unit of the respective systems that are part of an item that supports the function of Vehicle Connectivity Systems or Automated Driving Systems at the vehicle level. Covered software does not include firmware, which is characterized as software specifically programmed for a hardware device with a primary purpose of controlling, configuring, and communicating with that hardware device. Covered software also does not include open-source software that can be freely used, modified, and distributed by anyone, with both access to the source code and the ability to contribute to the software's development and improvement unless that open-source software has been modified for proprietary purposes and not redistributed or shared.
Knowingly means having knowledge of a circumstance (the term may be a variant, such as “know,” “reason to know,” or “reason to believe”), to include not only positive knowledge that the circumstance exists or is substantially certain to occur, but also an awareness of a high probability of its existence or future occurrence. Such awareness is inferred from evidence of the conscious disregard of facts known to a person and is also inferred from a person's willful avoidance of facts.
Prohibited transactions mean, collectively, the transactions described in 791.302 (Prohibited VCS Hardware Transactions), 791.303 (Prohibited Covered Software Transactions), or 791.304 (Related Prohibited Transactions) of this subpart.
Person owned by, controlled by, or subject to the jurisdiction or direction of a foreign adversary means:
(1) Any person, wherever located, who acts as an agent, representative, or employee, or any person who acts in any other capacity at the order, request, or under the direction or control, of a foreign adversary or of a person whose activities are directly or indirectly supervised, directed, controlled, financed, or subsidized in whole or in majority part by a foreign adversary; (2) Any person, wherever located, who is a citizen or resident of a foreign adversary or a country controlled by a foreign adversary, and is not a United States citizen or permanent resident of the United States; (3) Any corporation, partnership, association, or other organization with a principal place of business in, headquartered in, incorporated in, or otherwise organized under the laws of a foreign adversary or a country controlled by a foreign adversary; or (4) Any corporation, partnership, association, or other organization, wherever organized or doing business, that is owned or controlled by a foreign adversary, to include circumstances in which any person identified in paragraphs (a) through (c) possesses the power, direct or indirect, whether or not exercised, through the ownership of a majority or a dominant minority of the total outstanding voting interest in an entity, board representation, proxy voting, a special share, contractual arrangements, formal or informal arrangements to act in concert, or other means, to determine, direct, or decide important matters affecting an entity.
Vehicle Connectivity System (VCS) means a hardware or software item for a completed connected vehicle that has the function of enabling the transmission, receipt, conversion, or processing of radio frequency communications at a frequency over 450 megahertz.
VCS hardware means the following software-enabled or programmable components and subcomponents that support the function of Vehicle Connectivity Systems or are part of an item that supports the function of Vehicle Connectivity Systems: microcontroller, microcomputers or modules, systems on a chip, networking or telematics units, cellular modem/modules, Wi-Fi microcontrollers or modules, Bluetooth microcontrollers or modules, satellite navigation systems, satellite communication systems, other wireless communication microcontrollers or modules, and external antennas. VCS hardware does not include component parts that do not contribute to the communication function of VCS hardware (e.g., brackets, fasteners, plastics, and passive electronics).
禁止的交易：
§ 791.302 Prohibited VCS hardware transactions.
(a) VCS hardware importers are prohibited from knowingly importing VCS hardware that is designed, developed, manufactured, or supplied by persons owned by, controlled by, or subject to the jurisdiction or direction of the PRC or Russia.
(b) In the context of this subpart, VCS hardware will not be considered to be designed, developed, manufactured, or supplied by persons owned by, controlled by, or subject to the jurisdiction or direction of the PRC or Russia, solely based on the country of citizenship of natural persons who are employed, contracted, or otherwise similarly engaged to participate in the design, development, manufacture, or supply of the VCS hardware.
§ 791.303 Prohibited covered software transactions.
(a) Connected vehicle manufacturers are prohibited from knowingly importing into the United States completed connected vehicles that incorporate covered software, designed, developed, manufactured, or supplied by persons owned by, controlled by, or subject to the jurisdiction or direction of the PRC or Russia.
(b) Connected vehicle manufacturers are prohibited from knowingly selling in the United States completed connected vehicles that incorporate covered software, designed, developed, manufactured, or supplied by persons owned by, controlled by, or subject to the jurisdiction or direction of the PRC or Russia.
(c) In the context of this subpart, covered software will not be considered to be designed, developed, manufactured, or supplied by persons owned by, controlled by, or subject to the jurisdiction or direction of the PRC or Russia, solely based on the country of citizenship of natural persons who are employed, contracted, or otherwise similarly engaged to participate in the design, development, manufacture, or supply of the Covered Software.
§ 791.304 Related prohibited transactions.
Connected vehicle manufacturers who are persons owned by, controlled by, or subject to the jurisdiction or direction of the PRC or Russia, are prohibited from knowingly selling in the United States completed connected vehicles that incorporate VCS hardware or covered software.