Implementation of Additional Export Controls: Certain Advanced Computing Items; Supercomputer and Semiconductor End Use; Updates and Corrections; and Export Controls on Semiconductor Manufacturing Items; Corrections and Clarifications
| Published date | 04 April 2024 |
| Record Number | 2024-07004 |
| Citation | 89 FR 23876 |
| Court | Industry And Security Bureau |
| Section | Rules and Regulations |
Federal Register, Volume 89 Issue 66 (Thursday, April 4, 2024)
[Federal Register Volume 89, Number 66 (Thursday, April 4, 2024)]
[Rules and Regulations]
[Pages 23876-23905]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2024-07004]
[[Page 23875]]
Vol. 89
Thursday,
No. 66
April 4, 2024
Part VDepartment of Commerce-----------------------------------------------------------------------Bureau of Industry and Security-----------------------------------------------------------------------15 CFR Parts 732, 734, 736, et al.Implementation of Additional Export Controls: Certain Advanced
Computing Items; Supercomputer and Semiconductor End Use; Updates and
Corrections; and Export Controls on Semiconductor Manufacturing Items;
Corrections and Clarifications; Interim Final Rule
Federal Register / Vol. 89, No. 66 / Thursday, April 4, 2024 / Rules
and Regulations
[[Page 23876]]
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DEPARTMENT OF COMMERCE
Bureau of Industry and Security
15 CFR Parts 732, 734, 736, 740, 742, 744, 746, 748, 758, 770, 772,
and 774
[Docket No. 240321-0084]
RIN 0694-AI94
Implementation of Additional Export Controls: Certain Advanced
Computing Items; Supercomputer and Semiconductor End Use; Updates and
Corrections; and Export Controls on Semiconductor Manufacturing Items;
Corrections and Clarifications
AGENCY: Bureau of Industry and Security, Department of Commerce.
ACTION: Interim final rule; request for comments; technical
corrections.
-----------------------------------------------------------------------
SUMMARY: On October 25, 2023, the Bureau of Industry and Security (BIS)
published in the Federal Register the interim final rules (IFR),
``Export Controls on Semiconductor Manufacturing Items'' (SME IFR) and
``Implementation of Additional Export Controls: Certain Advanced
Computing Items; Supercomputer and Semiconductor End Use; Updates and
Corrections'' (AC/S IFR). This rule corrects inadvertent errors in
those rules and makes additional clarifications for the two rules.
DATES:
Effective date: This rule is effective April 4, 2024.
Comment due date: Comments for revisions, corrections, and
clarifications in this rule must be received by BIS no later than April
29, 2024.
ADDRESSES: Comments on the corrections, revisions, and clarification in
this rule may be submitted to the Federal rulemaking portal
(www.regulations.gov). The regulations.gov ID for this rule is: BIS-
2023-0016. Please refer to RIN 0694-AJ23 in all comments.
All filers using the portal should use the name of the person or
entity submitting the comments as the name of their files, in
accordance with the instructions below. Anyone submitting business
confidential information should clearly identify the business
confidential portion at the time of submission, file a statement
justifying nondisclosure and referring to the specific legal authority
claimed, and provide a non-confidential version of the submission.
For comments submitted electronically containing business
confidential information, the file name of the business confidential
version should begin with the characters ``BC.'' Any page containing
business confidential information must be clearly marked ``BUSINESS
CONFIDENTIAL'' on the top of that page. The corresponding non-
confidential version of those comments must be clearly marked
``PUBLIC.'' The file name of the non-confidential version should begin
with the character ``P.'' Any submissions with file names that do not
begin with either a ``BC'' or a ``P'' will be assumed to be public and
will be made publicly available through https://www.regulations.gov.
Commenters submitting business confidential information are encouraged
to scan a hard copy of the non-confidential version to create an image
of the file, rather than submitting a digital copy with redactions
applied, to avoid inadvertent redaction errors which could enable the
public to read business confidential information.
See the respective rules for detailed instructions on how to submit
comments.
SME IFR: www.regulations.gov, docket number BIS-2023-0016-0001
(ref. 0694-AJ23)
AC/S IFR: www.regulations.gov, docket number BIS-2022-0025-
0052 (ref. 0694-AI94)
FOR FURTHER INFORMATION CONTACT:
For general questions, contact Regulatory Policy Division,
Office of Exporter Services, Bureau of Industry and Security, U.S.
Department of Commerce at 202-482-2440 or by email: [email protected].
For Category 3 technical questions, contact Carlos Monroy
at 202-482-3246 or [email protected].
For Category 4 or 5 technical questions, contact Aaron
Amundson at 202-482-0707 or [email protected].
SUPPLEMENTARY INFORMATION:
Background
On October 17, 2023, BIS released interim final rules (IFR)
``Export Controls on Semiconductor Manufacturing Items'' (SME IFR) (88
FR 73424, October 25, 2023) and ``Implementation of Additional Export
Controls: Certain Advanced Computing Items; Supercomputer and
Semiconductor End Use; Updates and Corrections'' (AC/S IFR) (88 FR
73458, October 25, 2023). This rule corrects inadvertent errors
contained in these rules as described below and makes additional
clarifications.
I. Corrections for ``Implementation of Additional Export Controls:
Certain Advanced Computing Items; Supercomputer and Semiconductor End
Use; Updates and Corrections'' (AC/S IFR) (88 FR 73458, October 25,
2023)
A. Non-CCL Corrections
A.1. Revisions to Sec. 740.2
In Sec. 740.2 paragraph (a)(9)(ii) introductory text, there is an
incorrect citation to Sec. 740.10(a)(3)(v), which should read Sec.
740.10(a)(2)(iv), which prohibits exports and reexports of replacement
parts to a destination specified in Country Group E:1. BIS is removing
the referenced citation, because whether the specific paragraph is
cited here or not, the regulatory text's reference to Sec. 740.10 is
sufficient to indicate a restriction on the use of License Exception
RPL. In addition, not citing to the specific paragraph will avoid the
need for future corrections if the paragraph is moved again in License
Exception RPL. The paragraph is also amended to reference License
Exception Advanced Computing Authorized (ACA). Lastly, this paragraph
is amended to add a reference to entities headquartered in, or with an
ultimate parent headquartered in, Macau or a destination specified in
Country Group D:5, wherever located, thereby clarifying that exports,
reexports, or transfers (in-country) of the items specified in Sec.
740.2(a)(9)(ii)(A) or (B) may only be made through the license
exceptions specified therein, including License Exception NAC/ACA.
A.2. Revisions to Sec. 740.8 Notified Advanced Computing (NAC) and
Advanced Computing Authorized (ACA)
This rule revises the header of Sec. 740.8 to reference License
Exception ACA in addition to License Exception NAC. BIS has separated
License Exception NAC into two separate license exceptions that will
reside in the same section of the EAR Sec. 740.8: Notified Advanced
Computing (NAC) will authorize exports and reexports of specified items
to Macau and destinations in Country Group D:5 and entities
headquartered in, or with an ultimate parent headquartered in, Macau or
a destination specified in Country Group D:5, wherever located, that
require a notification to BIS, while Advanced Computing Authorized
(ACA) will authorize exports, reexports, and transfers (in-country) of
specified items to destinations in Country Group D:1 or D:4 (except
Macau and destinations specified in Country Group D:5) that do
[[Page 23877]]
not require a notification to BIS. License Exception ACA will also
authorize transfers (in-country) to Macau and destinations in Country
Group D:5, and entities headquartered in, or with an ultimate parent
headquartered in, Macau or a destination specified in Country Group
D:5, that do not require a notification to BIS. Please note that all
license exceptions are also subject to the restrictions in Sec. 740.2
and part 746 of the EAR, which would remove eligibility for embargoed
and sanctioned countries, e.g., Belarus, Cuba, Russia, Iran, and Syria.
In paragraph (a) introductory text, this rule updates the scope of
License Exceptions NAC and ACA with regard to types of shipments,
country scope, and scope of coverage for the respective license
exceptions.
Paragraph (a)(1) is amended to clarify that all exports, reexports,
or transfers (in-country) made pursuant to License Exceptions NAC or
ACA require a written purchase order unless specifically exempted. The
last sentence of paragraph (a)(1) is amended to indicate that while
exports or reexports of commercial samples are not subject to the
purchase order requirement, such transactions may be obligated to
comply with paragraph (a)(2) and removes the phrase ``are obligated to
comply.'' This change is necessary because for example, commercial
sample shipments to a D:1 country under License Exception ACA would not
require a notification, but such a shipment to Macau or a destination
specified in Country Group D:5 under License Exception NAC would
require notification.
Unlike the written purchase order requirement in paragraph (a)(1),
which is required for all exports, reexports, and transfers (in-
country) made under License Exceptions NAC or ACA unless specifically
exempted, the notification requirement in paragraph (a)(2) only applies
in specific circumstances related to License Exception NAC.
Paragraph (a)(2) is newly divided into two sections. In paragraph
(a)(2)(i), this rule clarifies that the NAC notification requirement
applies not only to exports or reexports to Macau or a destination
specified in Country Group D:5, but also to entities headquartered in,
or with an ultimate parent headquartered in, Macau or a destination
specified in Country Group D:5, wherever located. The NAC notification
requirement does not apply to: exports or reexports to destinations in
Country Group D:1 or D:4 (except Macau or destinations specified in
Country Group D:5 or to an entity headquartered in or with an ultimate
parent headquartered in those destinations) or transfers (in-country)
within any destination, which are under the scope of License Exception
ACA.
In paragraph (a)(2)(ii), this rule clarifies the circumstances when
one NAC notification will cover multiple exports or reexports. You may
submit one NAC notification that will cover multiple exports or
reexports when: the export or reexport made under License Exception NAC
is to the same end user and for the same item(s) and as long as the
total dollar value and quantity of the shipments do not exceed the
amounts stated on the notification. This rule also clarifies that for
notifications that cover multiple shipments: the dollar value and
quantity on the notification do not need to match the dollar value and
quantity on the purchase order submitted to BIS; the notification's
quantity and dollar value amounts may be estimates of future sales; and
prior to export or reexport you must have a purchase order for every
shipment made against the NAC notification.
This rule also adds a new paragraph (a)(3) to clarify that for
ECCNs 5A002.z, 5A004.z, or 5D002.z, all License Exception Encryption
commodities, software, and technology (ENC) requirements under Sec.
740.17 of the EAR must also be met for eligibility under License
Exceptions NAC or ACA. This assures that certain processes and
procedures outlined under License Exception ENC are not circumvented
with the use of License Exceptions NAC or ACA.
Paragraph (b) is amended to add references to License Exception
ACA. Paragraph (b)(1) is also renumbered as paragraph (b) consistent
with the changes to paragraph (b)(2) described below.
Paragraph (b)(2) restriction to use NAC or ACA by or for military
end uses/users is removed because it is redundant to paragraph (b)(1)
(now paragraph (b)), because that paragraph already states that, except
for only Sec. 744.23(a)(3), NAC or ACA cannot be used if there is a
license requirement under part 744 or 746.
In paragraph (c) ``NAC Prior notification procedures,'' this rule
makes a clarification to paragraph (c)(1) to specify that the NAC
notification submitted in SNAP-R must include certain technical specs
for performance capacity, such as Total Processing Performance (TPP),
performance density, as well as a data sheet or other documentation
showing the intended design goal and how it is marketed, to allow for
BIS to determine if the item in question otherwise meets the criteria
for an item eligible for License Exception NAC.
In paragraph (c)(2) ``Action by BIS,'' this rule corrects and
clarifies the NAC notification process. The AC/S IFR stated that BIS
would notify you if you may use NAC. However, this rule clarifies that
after the notification has been registered in SNAP-R and within twenty-
five calendar days, BIS will inform you if a license is required. If
BIS has not contacted you, then System for Tracking Export License
Applications (STELA) (https://snapr.bis.doc.gov/stela) will, on the
twenty-fifth calendar day following the date of registration, provide
either confirmation that you can use License Exception NAC and a NAC
confirmation number to be submitted in AES or confirmation that you
cannot use License Exception NAC and you must apply for a license to
continue with the transaction.
Also in paragraph (c)(2) ``Action by BIS,'' this correction rule
removes the last sentence that stated, ``License Exception NAC
eligibility does not exempt you from other licensing requirements under
the EAR, such as those based on ``knowledge'' of a prohibited end use
or end user as referenced in general prohibition five (part 736 of the
EAR) and set forth in part 744 of the EAR,'' because it does not speak
to a BIS action.
In paragraph (c)(3) ``Status of pending NAC notification
requests,'' this rule moves the third sentence about steps BIS will
take to inform you about the use of NAC, to paragraph (c)(2), because
it concerns an action by BIS. In addition, this rule clarifies the last
sentence by adding ``of NAC status'' so that the sentence now reads,
``BIS may alternatively provide such confirmation of NAC status by
email, telephone, fax, courier service, or other means.''
This rule adds a new paragraph (c)(4) to inform the public of three
events that would delay the processing of a NAC notification and
temporarily stop the twenty-five day processing clock. If there is a
lapse in appropriations funding, then BIS would stop the processing of
these notifications until funding has been restored. If BIS experiences
a catastrophic event, such as an extreme weather even that impacts
government services, then the processing of notifications would be
delayed. If for some reason BIS experiences some multi-day processing
system failure, then it would not be able to continue processing the
NAC notification. In such an event, BIS would post a notification to
the public on the BIS website.
A.3. Revisions to Sec. 744.23
This rule amends paragraph (c) of Sec. 744.23 to state that
License Exceptions
[[Page 23878]]
in Sec. 740.2(a)(9)(i) and (ii) of the EAR may overcome the license
requirements imposed by Sec. 744.23(a)(4) and (a)(3)(i) of the EAR,
respectively. BIS is making this change to harmonize with other
provisions in the EAR authorizing the use of certain license
exceptions. Changes to Sec. 744.23(a)(4) are discussed in section II.B
of this rule.
BIS is also amending paragraph (d) to segregate the various license
review policies into new paragraphs for easier readability. Paragraph
(d) retains the factors that BIS will take into account as well as the
applicability of contract sanctity. New paragraph (d)(1) indicates a
presumption of denial for Macau and destinations in Country Group D:5
and any entity headquartered in, or with an ultimate parent
headquartered in, Macau or a destination specified in Country Group
D:5, unless either paragraph (d)(2) or (3) applies. New paragraph
(d)(2) indicates a presumption of approval for end users headquartered
in the United States or a destination specified in Country Group A:5 or
A:6, that are not majority-owned by an entity headquartered in either
Macau or a destination specified in Country Group D:5. New paragraph
(d)(3)(i) provides a case-by-case policy for items specified in ECCN
3A090, 4A090, 3A001.z, 4A003.z, 4A004.z, 4A005.z, 5A002.z, 5A004.z,
5A992.z, 5D002.z, or 5D992.z, except for items designed or marketed for
use in a datacenter and meeting the parameters of 3A090.a. These items
are less sensitive integrated circuits and computers that do not
warrant a presumption of denial license review policy. New paragraph
(d)(3)(ii) now indicates a case-by-case review policy for SME subject
to the license requirements of Sec. 744.23, when there is SME not
subject to the license requirements of Sec. 744.23 that performs the
same function as the SME that is subject to the license requirements of
Sec. 744.23. Case-by-case policy is appropriate for such items because
denying the license may not further national security when there is an
option for SME that is not subject to the license requirement and
performs the same function. Lastly, there is a case-by-case policy in
paragraph (d)(3)(iii) for items not specified in paragraph (d)(1) or
(2) or (d)(3)(i) or (ii).
A.4. Revisions to Sec. 744.6 Restrictions on Specific Activities of
``U.S. Persons''
BIS is adding EUV masks (ECCN 3B001.j) and associated software and
technology to the control in paragraph (c)(2)(iii) for SME, because it
was unintentionally excluded from controls. EUV masks are required for
lithography and lithography is a critical technology for advance-node
IC production.
This rule reformats the license review policy in paragraph (e)(3)
by cascading the paragraphs for easier readability. BIS is also adding
a new exception from the presumption of denial license review policy
that is added by this rule in paragraph (e)(3)(ii)(A), which is a case-
by-case policy for items specified in ECCN 3A090, 4A090, 3A001.z,
4A003.z, 4A004.z, 4A005.z, 5A002.z, 5A004.z, 5A992.z, 5D002.z, or
5D992.z, except for items designed or marketed for use in a datacenter
and meeting the parameters of 3A090.a. These items are less sensitive
integrated circuits and computers, i.e., not ``advanced-node integrated
circuits'' or computers containing ``advanced-node integrated
circuits'', that do not warrant a presumption of denial license review
policy. There is also another new exception from the presumption of
denial policy in paragraph (e)(3)(ii)(B) that sets forth a case-by-case
review policy for activities involving an item subject to the license
requirements of paragraph (c)(2) where there is an item that performs
the same function as an item meeting the license requirements of
paragraph (c)(2). Lastly, paragraph (e)(3)(ii)(C) clarifies that there
is a case-by-case policy for all other applications not specified in
paragraphs (e)(3)(i) or (e)(ii)(A) or (B).
B. Correction to Model Certification in Supplement No. 1 to Part 734
In supplement no. 1 to part 734--Model Certification for Purposes
of the FDP Rule, this rule revises the model criteria included under
paragraph (b)(2)(viii) for consistency with the country scope specified
in Sec. 734.9(i)(2), which specifies the country scope applies to the
People's Republic of China (PRC) and Macau. This rule removes the
reference to Macau or a destination specified in Country Group D:5 in
paragraph (b)(2)(viii) of supplement no. 1 to part 734 and replaces
that with the correct country scope of the PRC and Macau for
consistency with Sec. 734.9(i)(2).
C. Correction to Sec. 742.15(a)
Because there was an error in amendatory instruction 21 in the AC/S
IFR, this rule revises Sec. 742.15(a)(1), licensing requirements for
Encryption items, by adding back the third sentence, which had been
inadvertently removed in the AC/S IFR, and removing the last sentence
of that paragraph, which repeats the sentence before.
D. Removing References to Note 4 to 3A090
In ECCN 3A090, this rule makes a correction to Note 3 to 3A090 to
remove a reference to Note 4 to 3A090 because that note does not exist.
During the drafting process of the AC/S IFR, ECCN 3A090 included a Note
4 that was subsequently removed prior to the AC/S IFR being published.
The cross reference to Note 4 in Note 3 in the Related Controls
paragraph in 4A090 was not updated at the time Note 4 to 3A090 was
removed. For the same reason, this rule revises the Related Controls
paragraph in the following ten ECCNs to remove references to Note 4 to
3A090. Specifically, this rule corrects the Related Controls paragraphs
under 3A001, 4A003, 4A004, 4A005, 4A090, 5A002, 5A992, 5A004, 5D002 and
5D992 to remove the cross reference to Note 4 to 3A090. These cross
references to the non-existent Note 4 to 3A090 do not cause a
substantive issue, but may cause confusion for exporters, reexporters,
or transferors, so this rule corrects that in each of these ECCNs.
E. Restoring Controls for ECCNs That Contain .z Paragraphs
This rule restores controls in the license requirement table of
ECCNs 3A001, 3D001, 3E001, 4A003, 4A004, 4A005, 4D001, 4E001, 5A002,
5A004, 5D002, and 5E002, by removing the exceptions for .z paragraphs
from the national security (NS), missile technology, nuclear
proliferation, and/or crime control license requirement paragraphs.
Prior to the AC/S IFR, these items were controlled for NS, missile
technology, nuclear proliferation, and/or crime control reasons,
however, when the .z paragraphs were added, items that contained either
3A090 or 4A090 items were only controlled for RS reasons, which changed
the country scope of the license requirements for these items. For
example, in ECCN 4A003, there is a license requirement for NS reasons
for exports, reexports, or transfers (in-country) to destinations
specified in NS column 1 (NS:1), which is a worldwide control, except
for Canada. However, if the commodity specified in ECCN 4A003, such as
a computer, contained an integrated circuit specified in ECCN 3A090,
then it only required a license for RS reasons to destinations in
Country Groups D:1, D:4, and D:5 that are not also in Country Groups
A:5 or A:6, which would in essence implement a decontrol for these
computers to many destinations, including those specified in Country
Group A:5 and A:6. Therefore, this rule restores the other reasons for
control for
[[Page 23879]]
items that meet the specifications in .z paragraphs of these ECCNs.
F. Maintaining the Status Quo for License Exception Eligibility for
Certain Destinations
The addition of .z paragraphs to certain ECCNs was intended to make
it easier for exporters, reexporters, and transferors of items subject
to certain end-use controls to more easily distinguish those items from
other items controlled under the same ECCNs. It was not intended to
affect the control status or license exception availability of those
other items. As a conforming change to the restoration of controls for
.z paragraphs (explained in the section above), and in order to retain
the status quo for EAR license exception eligibility when not
restricted by Sec. 740.2(a)(9)(ii), this rule adds a new note to the
License Exception section of each of the ECCNs that have or impose
controls on .z items: 3A001, 3D001, 3E001, 4A003, 4A004, 4A005, 4D001,
4E001, 5A002, 5A992, 5A004, 5D002, 5D992, 5E002, and 5E992. The new
note refers the public to see Sec. 740.2(a)(9)(ii) of the EAR for
license exception restrictions for .z ECCNs, because only the license
exceptions in Sec. 740.2(a)(9)(ii) may be used for exports, reexports,
or transfers (in-country) of .z ECCNs to destinations specified in
Country Groups D:1, D:4, or D:5 (excluding any destination also
specified in Country Groups A:5 or A:6) or to an entity headquartered
in, or with an ultimate parent headquartered in, Macau or a destination
specified in Country Group D:5, wherever located. When destined
elsewhere, all other applicable license exceptions may be used unless
otherwise restricted.
BIS is making these changes to ensure the .z paragraphs will not be
used to circumvent regime controls under the respective .z ECCNs (for
instance, by inserting a chip to make the item a .z item and thereby
eligible for License Exceptions NAC or ACA, provided the export,
reexport, or transfer (in-country) also otherwise meet the applicable
terms and conditions of License Exceptions NAC or ACA). However, BIS
also does not want the addition of a .z paragraph under one of the
respective .z ECCNs to otherwise narrow the scope of license exception
eligibility that applied to these items prior to the addition of the .z
paragraphs to these respective ECCNs, unless the destination is
specified in Country Group D:1, D:4 or D:5 (excluding destinations in
Country Group A:5 or A:6), or to an entity headquartered in, or with an
ultimate parent headquartered in, Macau or a destination specified in
Country Group D:5, wherever located.
License Exception STA eligibility is preserved for .z ECCNs by
removing restrictions under STA restriction paragraphs for .z ECCNs.
However, like all license exception use for .z ECCNs, STA may not
overcome the license exception restrictions in Sec. 740.2(a)(9)(ii) of
the EAR.
G. Revisions to 3A001
This rule adds four new .z paragraphs to ECCN 3A001 to make a
distinction of those paragraphs controlled for NS:1, RS:1, MT:1, and
NP:1 reasons. Paragraph 3A001.z.1 is added to control ``Monolithic
Microwave Integrated Circuit'' (``MMIC'') amplifiers described in
3A001.b.2 and discrete microwave transistors in 3A001.b.3, except those
3A001.b.2 and b.3 items being exported or reexported for use in civil
telecommunications applications and that also meet or exceed the
performance parameters in ECCN 3A090, which are controlled under the
NS:1, RS:1, RS (Sec. 742.6(a)(6)(iii) of the EAR), MT:1, and AT:1
license requirements paragraphs. Paragraph 3A001.z.2 is added to
control commodities that are described in 3A001.a.1.a when usable in
``missiles'' that also meet or exceed the performance parameters in
ECCN 3A090; and to 3A001.a.5.a when ``designed or modified'' for
military use, hermetically sealed and rated for operation in the
temperature range from below -54 [deg]C to above +125 [deg]C and that
also meet or exceed the performance parameters in ECCN 3A090.
Corresponding changes are made to the NS:2, RS (Sec. 742.6(a)(6)(iii)
of the EAR), MT:1, and AT:1 license requirements paragraphs. Paragraph
3A001.z.3 is added to control pulse discharge capacitors described in
3A001.e.2 and superconducting solenoidal electromagnets in 3A001.e.3
that meet or exceed the technical parameters in 3A201.a and 3A201.b,
respectively and that also meet or exceed the performance parameters in
3A090, which are controlled under the NS:2, RS (Sec. 742.6(a)(6)(iii)
of the EAR), NP:1, and AT:1 license requirements. Paragraph 3A001.z.4
is added to control all other commodities specified in ECCN 3A001 that
meet or exceed the parameters of ECCN 3A090.
This rule also fixes typos to ECCN 3A001 paragraphs .b.11.b and
.c.1.b.2.
H. Revisions to ECCN 3D001
The NS license requirement paragraph in the License Requirements
section of ECCN 3D001 is corrected by restoring NS:1 license
requirements to software for commodities controlled by 3A001.z by
adding 3A001.z to the NS:1 licensing paragraph.
I. Revision to ECCN 3E001 License Requirements and Reasons for Control
In 3E001, this rule adds RS to the reason for control paragraph and
the exception clauses for 3A001.z are removed from the NS:1, MT:1, and
NP:1 license requirement paragraphs to restore those controls for
commodities controlled in ECCN 3A001 that also meet or exceed the
parameters in ECCN 3A090.
J. Addition of Missing Paragraph 4A090.b
In ECCN 4A090, BIS inadvertently reserved paragraph 4A090.b. This
correction rule adds 4A090.b to control computers, ``electronic
assemblies,'' and ``components'' containing integrated circuits, any of
which meets or exceeds the limits in 3A090.b. The rule also amends the
technical note in this ECCN to clarify the use of the term computers.
The NAC/ACA eligibility paragraph for ECCN 4A090 already includes text
that makes such commodities eligible for NAC/ACA.
K. Revisions to ECCN 4E001
In 4E001.a, this rule removes an incorrect phrase ``or ``software''
controlled under 4D001 (for 4A090)'' because software for 4A090 is
controlled in ECCN 4D090, not 4D001.
L. Revisions to ECCN 5D002 and 5D992
This rule corrects the Related Control paragraphs of ECCN 5D002 and
5D992 by replacing the references to non-existent paragraphs 3D001.z
and 4D001.z with correct references to ``ECCNs 3D001 as it applies to
``software'' for commodities controlled by 3A001.z and 3A090 and 4D001
as it applies to ``software'' for commodities controlled by 4A003.z,
4A004.z, and 4A005.z.''
M. Revisions to ECCN 5E992 and 5E002
This rule corrects the Reason for Control paragraph in the License
Requirement section of ECCN 5E992 and 5E002 by adding ``RS'' to
indicate the regional stability license requirements in the License
Requirements table.
N. Revision to Supplement No. 6 to Part 774--Sensitive List
In paragraphs 3(iv) and (v), this rule removes the phrase ``and
equipment described under 3A002.g.2 that are controlled under 3A002.z''
because BIS decided against adding a 3A002.z paragraph, so none was
created.
[[Page 23880]]
II. ``Export Controls on Semiconductor Manufacturing Items'' (SME IFR)
(88 FR 73424, October 25, 2023)
A. Corrections to ECCN 3B001 and 3B991
In ECCN 3B001, this rule corrects the scientific unit in paragraphs
d.4.d.2 by replacing 13.33 kPa with 13.33 Pa; and in paragraph d.5
replacing 450 Mpa with 450 MPa. In paragraph f.1.b.2.b, this rule
replaces 2.4 nm with 2.40 nm for consistency with how the other numbers
are listed in paragraph f.1.b.2. In paragraph o.2, this rule adds a
missing ``or'' after cobalt (Co) and before tungsten.
In ECCN 3B001, this rule corrects the scope of items subject to
Sec. 742.4(a)(4) national security controls and Sec. 742.6(a)(6)(i)
regional stability controls by adding ECCN 3B001.j ``Mask ``substrate
blanks'' with multilayer reflector structure consisting of molybdenum
and silicon . . .'' and being `` ``Specially designed'' for ``Extreme
Ultraviolet'' (``EUV'') lithography'' and compliant with SEMI Standard
P37. BIS inadvertently left this paragraph outside the scope of
Sec. Sec. 740.2(a)(9)(i), 742.4(a)(4), 742.6(a)(6)(i),
744.6(c)(2)(iii), and 744.23(a)(4) of the EAR and ECCN 3D002 heading
and license requirements table.
The heading of 3B991 is corrected to remove the reference to ECCN
3B090, which was removed from the CCL by the SME IFR.
B. Revision of Sec. 744.23(a)(4)
BIS is revising the scope of the exceptions for masks in Sec.
744.23(a)(4)(i), because it unintentionally excepted EUV masks in
3B001.j, as well as equipment in 3B991.b.2. Therefore, the exceptions
are narrowed to include 3B001.h, and 3B991.b.2.a through .b.
BIS received several comments asking for clarification on the
application of Sec. 744.23(a)(4) to the incorporation of CCL-listed
items into foreign-made items that are themselves destined for the
``development'' or ``production'' of specified SME in Macau or a
destination specified in Country Group D:5, because other paragraphs in
Sec. 744.23 included incorporation provisions, but this one did not.
The definition of ``production'' in Sec. 772.1 of the EAR includes the
term integration, which BIS believes already captures the physical
incorporation of one item into another or the joining of two items.
That being said, BIS is revising Sec. 744.23(a)(4) by adding a new
paragraph (a)(4)(ii) to distinguish between direct exports, reexports,
and transfers (in-country) in (a)(4)(i) and indirect exports,
reexports, transfers (in-country) in (a)(4)(ii) for the ``development''
or ``production,'' by an entity headquartered in, or with an ultimate
parent headquartered in, Macau or a destination specified in Country
Group D:5. This revision is being done to address concerns about
continued support for indigenous ``development'' and ``production'' of
front-end integrated circuit ``production'' equipment in Macau and
destinations in Country Group D:5 countries--and by companies
headquartered in those countries. Consistent with BIS's revised topic
responses addressing ``incorporation,'' paragraph (a)(4)(ii) requires a
license for the export, reexport, or transfer (in-country) of any item
subject to the EAR and specified on the CCL to any destination when
there is ``knowledge'' that (A) the item is for ``development'' or
``production'' of a foreign-made item, whether subject to the EAR or
not, that is specified in an ECCN listed in paragraph (a)(4)(i); (B)
when the foreign-made item is for ``development'' or ``production'' of
any initial or subsequent foreign-made item, whether subject to the EAR
or not, specified in an ECCN listed in paragraph (a)(4)(i); and (C) the
``development'' or ``production'' is by an entity headquartered in, or
with an ultimate parent headquartered in, Macau or a destination
specified in Country Group D:5. BIS is taking this step to address
certain scenarios where the initial exporter, reexporter, or transferor
has ``knowledge'' that its items subject to the EAR and specified on
the CCL will ultimately support the indigenous ``development'' or
``production'' of SME in Macau and destinations specified in Country
Group D:5. At the same time, BIS has limited the scope of this control
to circumstances involving the ``development'' or ``production'' of
front-end SME items by entities that are headquartered in, or whose
ultimate parent company is headquartered in, Macau or a destination
specified in Country Group D:5. BIS also adds a new Note 2 to explain
that, to the extent new paragraph (a)(4)(ii) controls the
``development'' or ``production'' of front-end SME produced at the
direction of entities headquartered outside of Macau or Country Group
D:5 destinations, the Temporary General License (TGL) in General Order
4, Supplement No. 1 to Part 736, is available, provided the other
requirements of that section are satisfied. Further, for clarity, BIS
notes that this clarification does not control the use of items subject
to the EAR for the ``development'' or ``production'' of foreign-made
items outside of Macau or Country Group D:5 destinations that are
ultimately destined for the ``development'' or ``production'' of CCL
Category 3A items, and not the 3B or related 3D and 3E items specified
in (a)(4)(i). Rather, this scenario is addressed under Sec.
744.23(a)(2), which is the subject of extensive discussion in the
revised topic responses, described below in Section C.
Even though new paragraph (a)(4)(ii) excludes the need to evaluate
whether the foreign-made item that the exported, reexported, or
transferred item is being integrated into is subject to the EAR, it
does not eliminate the need to assess separately whether any foreign-
made item is subject to the EAR under other provisions, including the
De Minimis Rule or Foreign Direct Product Rule, which may impose other
independent license requirements.
C. Clarification to BIS Responses to Certain Public Comment Topics
BIS received a number of comments asking for clarification to
responses to four topics in the SME IFR. For ease of reference, BIS
provides copies of the original topics below, numbered as they were in
the SME IFR.
Topic 45: A commenter asked BIS to clarify whether a license would
be required under Sec. 744.23(a)(4) (former Sec. 744.23(a)(2)(v)) to
export an item subject to the EAR to a third party Original Equipment
Manufacturer (OEM) in a third country, where there is ``knowledge'' at
the time of the export that the item would be incorporated into a
foreign-made 3B991 item (not subject to the EAR) by the OEM in the
third country, and that the OEM would then send the 3B991 item to a
manufacturer of Category 3 items in China. This commenter noted that
Sec. 744.23(a) does not expressly state that the ``End Use Scope''
includes the end use of the item into which the exported item is
incorporated, and this differs from other EAR provisions, such as the
foreign direct product (FDP) rules under Sec. Sec. 734.9 and
744.23(a)(1)(ii)(B), which expressly include ``incorporated into'' as
part of the end-use scope.
BIS response: Paragraph (a) of Sec. 744.23 requires a license for
items subject to the EAR when ``you have ``knowledge'' at the time of
export, reexport, or transfer (in-country) that the item is destined
for a destination, end use, or type of end user described in paragraphs
(a)(1) through (4) of this section.'' While paragraphs (a)(2) through
(4) apply to Category 3 items (among others), paragraph (a)(2) is
specific to the ``development'' and ``production'' of ``advanced-node
[[Page 23881]]
integrated circuits,'' paragraph (a)(3) is specific to advanced
computing items, and paragraph (a)(4) applies to the ``development''
and ``production'' of certain Category 3 ``production'' equipment. As
the license requirements for Sec. 744.23(a)(2) through (4) each cover
different circumstances, the license requirements for Sec.
744.23(a)(2) through (3) are distinct from the license requirements of
Sec. 744.23(a)(4).
The EAR defines ``production'' as including all production stages
such as integration. As noted in response to Topic 19 in the SME IFR,
``[a]uthorization would be required if there is ``knowledge'' at the
time of export, reexport, or transfer (in-country) that an item on the
CCL will ultimately be used (including by incorporation into another
item such as a ``part'' or ``component'') in the ``development'' or
``production'' of specified Group 3B ECCN equipment in Macau or a
destination specified in Country Group D:5.'' Thus, paragraph (a)(4) of
Sec. 744.23 does require a license to export, reexport, or transfer
(in-country) an item specified on the Commerce Control List (CCL) for
the ``production'' of certain equipment, components, assemblies, and
accessories specified in Category 3, even when the export, reexport, or
transfer (in-country) is to a third party OEM in a country other than
Macau or a destination specified in Country Group D:5 when there is
``knowledge'' that the export, reexport or transfer (in-country) is for
the ``production'' of semiconductor production equipment specified in
the ECCNs enumerated in Sec. 744.23(a)(4)(i), and is by an entity
headquartered in, or with an ultimate parent headquartered in, Macau or
a destination specified in Country Group D:5.
Paragraphs (a)(2) and (3) only apply when there is ``knowledge''
that the item is destined to the production of certain integrated
circuits--``advanced-node integrated circuits'' and advanced computing
items (including integrated circuits described in ECCNs 3A001.z and
3A090)--not the equipment to produce integrated circuits described in
paragraph (a)(4). The party incorporating the item must still determine
whether the foreign-made item is subject to the EAR under the de
minimis or foreign-direct product (FDP) rules. See Sec. Sec. 734.4 and
734.9 of the EAR; see also supplement no. 2 to part 734--Guidelines for
De Minimis Rules (``Part 744 of the EAR should not be used to identify
controlled U.S. content for purposes of determining the applicability
of the de minimis rules.''). Refer to BIS's responses to Topics 46, 47,
and 49 in this Section and Topic 19 of the SME IFR for additional
guidance on the topic of incorporation or integration under Sec.
744.23(a)(2) and (4). In addition, exporters may not self-blind or
disregard ``knowledge'' that the transaction is structured to avoid a
license requirement. For example, an exporter may not ignore readily
available information that the customer will integrate the exported
item into an item destined for Macau or a Country Group D:5 destination
for the production of equipment and items specified in Sec.
744.23(a)(4)(i).
Topic 46: A commenter asked BIS to confirm how far back up the
supply chain the licensing obligation extends for an export of an item
to a third party for use in developing or producing a whole new
foreign-made item that will only later be used in the development or
production of ICs at a covered facility (i.e., a facility where
``advanced-node integrated circuits'' are produced). This commenter
described a scenario in which someone exports an item to produce a
foreign-made item, which will be used to produce another foreign-made
item, which will later be used at a covered fabrication facility, and
asked whether the original export is caught by the new licensing
obligations if there is knowledge that this supply chain will
ultimately result in the creation of an item used to produce ICs at a
covered fabrication facility. The commenter further inquired about the
transfer outside the United States of items subject to the EAR to
produce foreign-made items when only a small percentage of the foreign-
made items will be for use at a covered fabrication facility.
Specifically, the commenter asked whether BIS takes the position that
100% of all such transfers require a license by the foreign parties
even when only an unknown small percentage will be used in the
production of items that will ultimately be destined to covered
fabrication facilities.
BIS response: BIS notes that Sec. 744.23(a)(2) does not prohibit
transactions involving the incorporation, as it pertains to de minimis
rules, or integration of items subject to the EAR into foreign-made
items, assuming such incorporation does not separately trigger a
license requirement (e.g., under Sec. 734.9 (Foreign Direct Product
(FDP) Rules) or Sec. 744.23. In any case, the reexporter or transferor
must separately assess whether a license would be required to reexport
or transfer (in-country) the foreign-made item under Sec. 734.4 (De
Minimis Rule), including for items ineligible for de minimis under
Sec. 734.4(a), or other provisions of the EAR. However, if an OEM
restructures its supply chain to avoid a license requirement, then a
license would still be required under Sec. 744.23(a)(2), without which
such restructuring indicates an attempt to evade or otherwise violate
the EAR.
With respect to the commenter's second question about in-country
transfers of items that are not intended for incorporation into
foreign-made items, but rather direct use in a prohibited end use, a
license would be required for the portion or percentage of items for
which there is ``knowledge'' that the items are destined for use in a
prohibited end use. This is true at any point in the supply chain at
which such ``knowledge'' exists. In the case of Category 3B, 3C, 3D,
and 3E items subject to the EAR, a license could also be required under
Sec. 744.23(a)(2)(ii), even if the production technology node of the
``facility'' at which they will be used is unknown.
Topic 47: A commenter noted that clarification of Sec.
744.23(a)(2)(iv), which has been redesignated as paragraph (a)(2)(ii)
in the SME and AC/S IFRs, is needed if this imposes an affirmative duty
to know or otherwise be subject to a license requirement. The commenter
asks whether this means that a license is required when a company is
exporting products to China and cannot confirm whether the
semiconductor fabrication facility is producing products that meet the
specified criteria in paragraphs (a)(2)(iii)(A) through (C), which has
been redesignated as a part 772 defined term ``advanced-node ICs'' in
the SME and AC/S IFRs.
BIS response: Yes, if the exporter, reexporter, or transferor has
``knowledge'' that an item identified in Sec. 744.23(a)(2)(iv) (i.e.,
Category 3B, 3C, 3D and 3E items), which was redesignated as paragraph
(a)(2)(ii) in the SME IFR, will be used in the ``development'' or
``production'' of integrated circuits (ICs) in Macau or a destination
specified in Country Group D:5, but does not have ``knowledge'' of
whether such ICs are or will be ``advanced-node integrated circuits,''
a license is required.
This BIS response would also apply to a similar scenario in which
an exporter, reexporter, or transferor has positive ``knowledge'' that
their 3B/C/D/E products are used by some number of entities engaged in
legacy development/production, but they do not know how 100% of their
product is used (e.g., because they are an upstream distributor and
cannot keep track of all of it). A license is required to ship 100% of
the items, unless the exporter, reexporter, or transferor can determine
which items of the 100% will not be used in the
[[Page 23882]]
``development'' or ``production'' of ICs in Macau or a destination
specified in Country Group D:5, which would be excluded from the
license requirement under Sec. 744.23(a)(2)(iv), redesignated as
paragraph (a)(2)(ii) in the SME IFR. Note that this response assumes
the upstream transactions involve items that will be used directly in a
prohibited end use, and not incorporated into foreign-made items. A
license would not necessarily be required to ship an item destined for
incorporation into a foreign-made item, assuming, e.g., that the
exporter has not self-blinded or possesses ``knowledge'' that the
transaction is structured to avoid a license requirement. As described
in response to Topics 45, 46, and 49, absent such ``knowledge,''
subsequent incorporation is addressed by other provisions of the EAR.
See Sec. 734.4 (De Minimis Rule) and Sec. 734.9 (Foreign Direct
Product (FDP) Rules); see also Sec. 770.2(a)(2) (``An anti-friction
bearing or bearing system physically incorporated in a segment of a
machine or in a complete machine prior to shipment loses its identity
as a bearing.'') and Sec. 770.2(b)(1) (describing components that do
not require a license ``provided that the [items] are normal and usual
components of the machine or equipment or that the physical
incorporation is not used as a device to evade the requirement for a
license.''); BIS, Advisory Opinion dated September 14, 2009 (addressing
the ``second incorporation principle''), available at https://www.bis.doc.gov/index.php/documents/advisory-opinions/531-second-incorporation-rule/file.
Topic 49: A commenter requested BIS clarify whether it would be
sufficient under Sec. 744.6 to have an end user certify that the
exported item will not be used in ``the ``development'' or
``production'' in China of any ``parts,'' ``components,'' or
``equipment'' specified under ECCN 3B001, 3B002, 3B090, 3B611, 3B991,
or 3B992.
BIS response: BIS interprets this comment to refer to the end-use
control under Sec. 744.23(a)(4) (former Sec. 744.23(a)(2)(v)), as
there is no U.S. person control under Sec. 744.6(c)(2) with the
characteristics described by the commenter. Sufficient due diligence
will vary depending on the specific facts of a transaction. Exporters,
reexporters, and transferors may not self-blind or structure
transactions to avoid a license requirement. However, BIS distinguishes
between self-blinding or structuring to avoid a license requirement and
the established legitimate incorporation of items subject to the EAR
into foreign-made items, consistent with the requirements and
prohibitions of the De Minimis Rule and FDP Rules. See BIS's responses
to Topics 45, 46, and 47 for additional guidance on this question.
D. Clarification of Sec. 744.23(d) To Improve Understanding
This rule revises Sec. 744.23(d) (License review standards) for
clarity to address a question BIS has received on the two exceptions
that are specified for the presumption of denial license review policy
included in the SME IFR by making the following changes. This rule
removes the last sentence of paragraph (d), which specified general
provisions that apply to all license reviews under paragraph (d) and
redesignates that as the first sentence of paragraph (d) introductory
text. Because this text applies to all of paragraph (d) it will be
clearer to include this as the introductory text to paragraph (d). The
license review policy is split into three new paragraphs: (d)(1)
presumption of denial policy; (d)(2) presumption of approval policy;
and (d)(3) case-by-case policy, which consists of three paragraphs.
Paragraph (d)(1) (Presumption of denial) is revised by adding
``entity headquartered in, or with an ultimate parent headquartered in,
Macau or a destination specified in Country Group D:5,'' which aligns
with the destination-based presumption of denial policy for Macau and
destinations in Country Group D:5.
This rule also adds new paragraph (d)(2) as the first exception,
which specifies that license applications for end users headquartered
in the United States or a destination in Country Group A:5 or A:6, that
are not majority-owned by an entity headquartered in either Macau or a
destination specified in Country Group D:5 are reviewed under a
presumption of approval. The SME IFR included this exception, but
redesignating this exception into its own paragraph will make it easier
to understand.
This rule also adds a new paragraph (d)(3) (Case-by-case), to move
the case-by-case license review policy that was included in the SME IFR
into its own paragraph for ease of reference. In addition, BIS is
adding in new paragraph (d)(3)(i) a case-by-case policy for certain
enumerated items, excluding items designed or marketed for use in a
datacenter and meeting the parameters of ECCN 3A090.a. This rule adds
under new paragraph (d)(3)(ii), a case-by-case policy for license
applications for when there is a foreign-made item available that is
not subject to the license requirements in Sec. 744.23 and performs
the same function as the item subject to the EAR. Lastly, for clarity
and as a conforming change, this rule adds the phrase ``not specified
in paragraphs (d)(1), (2), or (3)(i) or (ii)'' at the end of new
paragraph (d)(3)(iii) to clarify that the case-case-license review
policy applies to all other license applications that are not already
addressed in paragraph (d)(1) or (2) or (d)(3)(i) or (ii).
Savings Clause
Shipments of items removed from license exception eligibility or
eligibility for export, reexport or transfer (in-country) without a
license as a result of this regulatory action that were on dock for
loading, on lighter, laden aboard an exporting carrier, or en route
aboard a carrier to a port of export, on April 4, 2024, pursuant to
actual orders for exports, reexports and transfers (in-country) to a
foreign destination, may proceed to that destination under the previous
license exception eligibility or without a license so long as they have
been exported, reexported or transferred (in-country) before May 6,
2024. Any such items not actually exported, reexported or transferred
(in-country) before midnight, on May 6, 2024, require a license in
accordance with this interim final rule.
Export Control Reform Act of 2018
On August 13, 2018, the President signed into law the John S.
McCain National Defense Authorization Act for Fiscal Year 2019, which
included the Export Control Reform Act of 2018 (ECRA) (codified, as
amended, at 50 U.S.C. 4801-4852). ECRA provides the legal basis for
BIS's principal authorities and serves as the authority under which BIS
issues this rule.
Rulemaking Requirements
1. Executive Orders 12866, 13563, and 14094 direct agencies to
assess all costs and benefits of available regulatory alternatives and,
if regulation is necessary, to select regulatory approaches that
maximize net benefits (including potential economic, environmental,
public health and safety effects and distributive impacts and equity).
Executive Order 13563 emphasizes the importance of quantifying both
costs and benefits and of reducing costs, harmonizing rules, and
promoting flexibility. This interim final rule has been designated a
``significant regulatory action'' under Executive Order 12866.
2. Notwithstanding any other provision of law, no person is
required to respond to, nor shall any person be subject to a penalty
for failure to comply with, a collection of information subject to the
requirements of the Paperwork
[[Page 23883]]
Reduction Act of 1995 (44 U.S.C. 3501 et seq.) (PRA), unless that
collection of information displays a currently valid Office of
Management and Budget (OMB) Control Number.
This rule involves the following OMB-approved collections of
information subject to the PRA:
0694-0088, ``Multi-Purpose Application,'' which carries a
burden hour estimate of 29.4 minutes for a manual or electronic
submission;
0694-0096 ``Five Year Records Retention Period,'' which
carries a burden hour estimate of less than 1 minute;
0694-0122, ``Licensing Responsibilities and Enforcement;''
and
0607-0152 ``Automated Export System (AES) Program,'' which
carries a burden hour estimate of 3 minutes per electronic submission.
The AC/S IFR will affect the collection under control number 0694-
0088, for the multipurpose application because of the addition of the
notification requirement for exports and reexports to China in order to
use new License Exception Notified Advanced Computing (NAC) under Sec.
740.8 of the EAR. BIS estimates that License Exception NAC notification
will result in an increase of 3,000 multi-purpose applications
submitted annually to BIS and an increase of 950 burden hours under
this collection. BIS also anticipates the submission annually of 200
license applications as a result of the revision to license
requirements included in the AC/S IFR, but because the original
estimate that was included in the October 7 IFR (i.e., that BIS
estimates that these new controls under the EAR imposed by the October
7 IFR would result in an increase of 1,700 license applications
submitted annually to BIS) was higher than the actual number of license
applications BIS has received over the first year of the October IFR
changes being in place, BIS did not anticipate any changes in these
estimates as a result of the changes included in the AC/S IFR for
license applications submitted to BIS as a result of the AC/S IFR with
the one exception of the increase in burden hours for the License
Exception NAC notifications, which was not accounted for in the October
7 IFR because License Exception NAC was not part of the EAR at that
time.
The AC/S IFR will affect the information collection under control
number 0607-0152, for filing EEI in AES because this rule adds Sec.
758.1(g)(5) to impose a requirement for identifying .z items by
``items'' level classification in the EEI filing in AES. This change is
not anticipated to result in a change in the burden under this
collection because filers are already required to provide a description
in the Commodity description block in the EEI filing in AES. This
regulation also involves a collection previously approved by the OMB
under control number 0694-0122, ``Licensing Responsibilities and
Enforcement'' because this rule under the revision to Sec. 758.6(a)(2)
will require the ECCN(s) for any 3A001.z, 3A090, 4A003.z, 4A004.z,
4A005.z, 4A090, 5A002.z, 5A004.z, 5A992.z to be included on the
commercial invoice, similar to the previous requirement to include the
``600 series'' and 9x515 ECCNs on the commercial invoice. BIS does not
anticipate a change in the total burden hours associated with the PRA
and OMB control number 0694-0122 as a result of this rule.
Additional information regarding these collections of information--
including all background materials--can be found at https://www.reginfo.gov/public/do/PRAMain by using the search function to enter
either the title of the collection or the OMB Control Number.
3. This rule does not contain policies with federalism implications
as that term is defined in Executive Order 13132.
4. Pursuant to section 1762 of ECRA (50 U.S.C. 4821), this action
is exempt from the Administrative Procedure Act (APA) (5 U.S.C. 553)
requirements for notice of proposed rulemaking, opportunity for public
participation, and delay in effective date. While section 1762 of ECRA
provides sufficient authority for such an exemption, this action is
also independently exempt from these APA requirements because it
involves a military or foreign affairs function of the United States (5
U.S.C. 553(a)(1)). However, BIS is not only accepting comments on both
the SME and AC/S IFRs, but has in this rule extended the comment period
by 30 days for both rules.
5. Because a notice of proposed rulemaking and an opportunity for
public comment are not required to be given for this rule by 5 U.S.C.
553, or by any other law, the analytical requirements of the Regulatory
Flexibility Act, 5 U.S.C. 601, et seq., are not applicable.
Accordingly, no regulatory flexibility analysis is required, and none
has been prepared.
List of Subjects
15 CFR Parts 732 and 748
Administrative practice and procedure, Exports, Reporting and
recordkeeping requirements.
15 CFR Part 734
Administrative practice and procedure, Exports, Inventions and
patents, Research, Science and technology.
15 CFR Parts 740 and 758
Administrative practice and procedure, Exports, Reporting and
recordkeeping requirements.
15 CFR Part 742
Exports, Terrorism.
15 CFR Part 744
Exports, Reporting and recordkeeping requirements, Terrorism.
15 CFR Parts 746 and 774
Exports, Reporting and recordkeeping requirements.
15 CFR Parts 736, 770, and 772
Exports.
For the reasons stated in the preamble, parts 732, 734, 736, 740,
742, 744, 746, 748, 758, 770, 772, and 774 of the Export Administration
Regulations (15 CFR parts 730 through 774) are amended as follows:
PART 734--SCOPE OF THE EXPORT ADMINISTRATION REGULATIONS
0
1. The authority citation for part 734 continues to read as follows:
Authority: 50 U.S.C. 4801-4852; 50 U.S.C. 4601 et seq.; 50
U.S.C. 1701 et seq.; E.O. 12938, 59 FR 59099, 3 CFR, 1994 Comp., p.
950; E.O. 13020, 61 FR 54079, 3 CFR, 1996 Comp., p. 219; E.O. 13026,
61 FR 58767, 3 CFR, 1996 Comp., p. 228; E.O. 13222, 66 FR 44025, 3
CFR, 2001 Comp., p. 783; E.O. 13637, 78 FR 16129, 3 CFR, 2014 Comp.,
p. 223; Notice of November 1, 2023, 88 FR 75475.
0
2. Supplement no. 1 to part 734 is amended by revising paragraph
(b)(2)(viii) to read as follows:
Supplement No. 1 to Part 734--Model Certification for Purposes of the
FDP Rule
* * * * *
(b) * * *
(2) * * *
(viii) Country and end-use scope of Sec. 734.9(i)(2), i.e., used
in the design, ``development,'' ``production,'' operation, installation
(including on-site installation), maintenance (checking), repair,
overhaul, or refurbishing of, a ``supercomputer'' located in or
destined to the People's Republic of China (PRC) or Macau; or
incorporated into, or used in the ``development,'' or ``production,''
of any ``part,'' ``component,'' or ``equipment'' that will be used in a
[[Page 23884]]
``supercomputer'' located in or destined to the PRC or Macau;
* * * * *
PART 740--LICENSE EXCEPTIONS
0
3. The authority citation for part 740 continues to read as follows:
Authority: 50 U.S.C. 4801-4852; 50 U.S.C. 4601 et seq.; 50
U.S.C. 1701 et seq.; 22 U.S.C. 7201 et seq.; E.O. 13026, 61 FR
58767, 3 CFR, 1996 Comp., p. 228; E.O. 13222, 66 FR 44025, 3 CFR,
2001 Comp., p. 783.
0
4. Section 740.2 is amended by revising paragraphs (a)(9)(i) and
(a)(9)(ii) introductory text to read as follows:
Sec. 740.2 Restrictions on all License Exceptions.
* * * * *
(a) * * *
(9) (i) The item is controlled under ECCN 3B001.a.4, c, d, f.1.b, j
to p, 3B002.b or c, or associated software and technology in ECCN
3D001, 3D002, 3D003, or 3E001 and is being exported, reexported, or
transferred (in-country) to or within either Macau or a destination
specified in Country Group D:5 of supplement no. 1 to this part, and
the license exception is other than License Exception GOV, restricted
to eligibility under the provisions of Sec. 740.11(b).
(ii) The item is identified in paragraph (a)(9)(ii)(A) or (B) of
this section, is being exported, reexported, or transferred (in-
country) to or within a destination specified in Country Group D:1,
D:4, or D:5, excluding any destination also specified in Country Groups
A:5 or A:6, or to an entity headquartered in, or with an ultimate
parent headquartered in, Macau or a destination specified in Country
Group D:5, wherever located, and the license exception is other than:
TMP, restricted to eligibility under the provisions of Sec.
740.9(a)(6); NAC/ACA, under the provisions of Sec. 740.8; RPL, under
the provisions of Sec. 740.10; GOV, restricted to eligibility under
the provisions of Sec. 740.11(b); or TSU under the provisions of Sec.
740.13(a) and (c). Items restricted to eligibility only for the
foregoing license exceptions are:
* * * * *
0
5. Section 740.8 is revised to read as follows:
Sec. 740.8 Notified Advanced Computing (NAC) and Advanced Computing
Authorized (ACA).
(a) Eligibility requirements. License Exception NAC authorizes the
export and reexport of any item classified in ECCN 3A090, 4A090,
3A001.z, 4A003.z, 4A004.z, 4A005.z, 5A002.z, 5A004.z, 5A992.z, 5D002.z,
or 5D992.z, except for items designed or marketed for use in a
datacenter and meeting the parameters of 3A090.a, to Macau and Country
Group D:5 or an entity headquartered in, or with an ultimate parent
headquartered in, Macau or a destination specified in Country Group
D:5, wherever located. License Exception ACA authorizes the export,
reexport, and transfer (in-country) of any item classified in ECCN
3A090, 4A090, 3A001.z, 4A003.z, 4A004.z, 4A005.z, 5A002.z, 5A004.z,
5A992.z, 5D002.z, or 5D992.z, except for items designed or marketed for
use in a datacenter and meeting the parameters of 3A090.a, to or within
any destination specified in Country Groups D:1 and D:4 (except Macau,
a destination in Country Group D:5, or an entity headquartered in, or
with an ultimate parent headquartered in, Macau or a destination
specified in Country Group D:5, wherever located), as well as transfers
(in-country) within Macau and destinations in Country Group D:5. These
license exceptions may be used provided the export, reexport, or
transfer (in-country) meets all of the applicable criteria identified
under this paragraph (a) and none of the restrictions in paragraph (b)
of this section.
(1) Written purchase order. Prior to any exports, reexports, and
transfers (in-country) made pursuant to License Exceptions NAC or ACA
you must obtain a written purchase order unless specifically exempted
in this paragraph. Commercial samples are not subject to this purchase
order requirement, but such transactions may be obligated to comply
with paragraph (a)(2) of this section.
(2) NAC Notification to BIS--(i) Notification requirement. Prior to
any exports or reexports to Macau or a destination specified in Country
Group D:5 or to an entity headquartered in, or with an ultimate parent
headquartered in, Macau or a destination specified in Country Group
D:5, wherever located, the exporter or reexporter must notify BIS in
accordance with the procedures set forth in paragraph (c) of this
section.
(ii) Multiple exports and reexports. For multiple exports or
reexports under License Exception NAC to the same end user and for the
same item(s), the exporter or reexporter need only notify BIS prior to
the first export or reexport, as long as the total dollar value and
quantity of the shipments do not exceed the amounts stated on the
notification. The dollar value and quantity on the notification do not
need to match the dollar value and quantity on the purchase order; the
notification's quantity and dollar value amounts may be based on
estimates of future sales. However, prior to export or reexport you
must have a purchase order for every shipment made against the NAC
notification. BIS will provide further information on the notification
process in the policy guidance tab on the BIS website.
(3) In relation to License Exception ENC and ECCNs 5A002.z,
5A004.z, or 5D002.z. For exports, reexports, or transfer (in-country)
of ECCNs 5A002.z, 5A004.z, or 5D002.z, all License Exception Encryption
commodities, software, and technology (ENC) requirements under Sec.
740.17 of this part must also be met for eligibility under License
Exceptions NAC or ACA.
(b) Restrictions. No exports, reexports, or transfers (in-country)
may be made under License Exception NAC or ACA that are subject to a
license requirement under part 744 or 746 of the EAR, except for a
license required under Sec. 744.23(a)(3) for reexports or exports to
any destination other than those specified in Country Groups D:1, D:4,
or D:5 (excluding any destination also specified in Country Groups A:5
or A:6) for an entity that is headquartered in, or whose ultimate
parent company is headquartered in, either Macau or a destination
specified in Country Group D:5.
(c) NAC Prior notification procedures--(1) Procedures. At least
twenty-five calendar days prior to exports or reexports using License
Exception NAC, you must provide prior notification under License
Exception NAC by submitting a completed application in SNAP-R in
accordance with Sec. 748.1 of the EAR. The following blocks must be
completed, as appropriate: Blocks 1, 2, 3, 4, 5 (by marking box 5export
license or reexport license), 9, 14, 16, 17, 18, 19, 21, 22(a), (d),
(e), (f), (g), (h), (i), (j), 23, 24, and 25 according to the
instructions described in supplement no. 1 to part 748 of the EAR. Box
9 under special purpose must include NAC. The application must include
certain information to allow for BIS to determine if the item in
question otherwise meets the criteria for an item eligible for License
Exception NAC. Required information to include in the NAC submission is
as follows:
(i) Total Processing Performance of the item, as defined in ECCN
3A090;
(ii) Performance density of the item, as defined in ECCN 3A090; and
(iii) Data sheet or other documentation showing how the item is
designed and marketed (in particular, whether it is designed or
marketed for datacenter use).
(2) Action by BIS for NAC notifications. After the notification has
[[Page 23885]]
been registered in SNAP-R and within twenty-five calendar days after
registration, BIS will inform you if a license is required. If BIS has
not contacted you, then System for Tracking Export License Applications
(STELA) (https://snapr.bis.doc.gov/stela) will, on the twenty-fifth
calendar day following the date of registration, provide either
confirmation that you can use License Exception NAC and a NAC
confirmation number to be submitted in AES or confirmation that you
cannot use License Exception NAC and you must apply for a license to
continue with the transaction.
(3) Status of pending NAC notification requests. Log into BIS's
STELA for information about the status of your pending NAC notification
or to verify the status in BIS's Simplified Network Applications
Processing Redesign (SNAP-R) System. STELA will provide the date the
NAC notification is registered. BIS may alternatively provide such
confirmation of NAC status by email, telephone, fax, courier service,
or other means.
(4) Actions that delay processing of NAC notifications. Below are
circumstances that will delay the processing of your NAC notification,
i.e., temporarily stop the twenty-five day processing clock for NAC
notification:
(i) Lapse in appropriations.
(ii) Catastrophic event (e.g., an extreme weather event that
impacts government services).
(iii) Multi-day processing system failure.
* * * * *
PART 742--CONTROL POLICY--CCL BASED CONTROLS
0
6. The authority citation for part 742 is revised to read as follows:
Authority: 50 U.S.C. 4801-4852; 50 U.S.C. 4601 et seq.; 50
U.S.C. 1701 et seq.; 22 U.S.C. 3201 et seq.; 42 U.S.C. 2139a; 22
U.S.C. 7201 et seq.; 22 U.S.C. 7210; Sec. 1503, Pub. L. 108-11, 117
Stat. 559; E.O. 12058, 43 FR 20947, 3 CFR, 1978 Comp., p. 179; E.O.
12851, 58 FR 33181, 3 CFR, 1993 Comp., p. 608; E.O. 12938, 59 FR
59099, 3 CFR, 1994 Comp., p. 950; E.O. 13026, 61 FR 58767, 3 CFR,
1996 Comp., p. 228; E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp., p.
783; Presidential Determination 2003-23, 68 FR 26459, 3 CFR, 2004
Comp., p. 320; Notice of November 1, 2023, 88 FR 75475 (November 3,
2023).
0
7. Section 742.4 is amended by revising paragraph (a)(4) to read as
follows:
Sec. 742.4 National security.
(a) * * *
(4) Certain semiconductor manufacturing equipment and associated
software and technology. A license is required for exports, reexports,
and transfers (in-country) to or within either Macau or a destination
specified in Country Group D:5 in supplement no. 1 to part 740 of the
EAR of items specified in 3B001.a.4, c, d, f.1.b, j to p; 3B002.b and
c; 3D001 (for 3B001.a.4, c, d, f.1.b, j to p, 3B002.b and c); 3D002
(for 3B001 a.4, c, d, f.1.b, j to p, 3B002.b and c); or 3E001 (for
3B001.a.4, c, d, f.1.b, j to p, 3B002.b and c). The license
requirements in this paragraph (a)(4) do not apply to deemed exports or
deemed reexports.
* * * * *
0
8. Section 742.6 is amended by revising paragraph (a)(6)(i) to read as
follows:
Sec. 742.6 Regional stability.
(a) * * *
(6) * * *
(i) Exports, reexports, transfers (in-country) to or within Macau
or Country Group D:5. A license is required for items specified in
ECCNs 3B001.a.4, c, d, f.1.b, j to p, 3B002.b and c; and associated
software and technology in 3D001 (for 3B001.a.4, c, d, f.1.b, j to p,
3B002.b and c), 3D002 (for 3B001a.4, c, d, f.1.b, j to p, 3B002.b and
c), and 3E001 (for 3B001a.4, c, d, f.1.b, j to p, 3B002.b and c) being
exported, reexported, or transferred (in-country) to or within Macau or
a destination specified in Country Group D:5 in supplement no. 1 to
part 740 of the EAR.
* * * * *
0
9. Section 742.15 is amended by revising paragraph (a)(1) to read as
follows:
Sec. 742.15 Encryption items.
* * * * *
(a) * * *
(1) Licensing requirements. A license is required to export or
reexport encryption items (``EI'') classified under ECCN 5A002, 5A004,
5D002.a, .c.1 or .d (for equipment and ``software'' in ECCNs 5A002 or
5A004, 5D002.c.1); or 5E002 for ``technology'' for the ``development,''
``production,'' or ``use'' of commodities or ``software'' controlled
for EI reasons in ECCNs 5A002, 5A004 or 5D002, and ``technology''
classified under 5E002.b to all destinations, except Canada. Refer to
part 740 of the EAR, for license exceptions that apply to certain
encryption items, and to Sec. 772.1 of the EAR for definitions of
encryption items and terms. Most encryption items may be exported under
the provisions of License Exception ENC set forth in Sec. 740.17 of
the EAR. Following classification or self-classification, items that
meet the criteria of Note 3 to Category 5--Part 2 of the Commerce
Control List (the ``mass market'' note), are classified under ECCN
5A992 or 5D992 and are no longer subject to this Section (see Sec.
740.17 of the EAR). Before submitting a license application, please
review License Exception ENC to determine whether this license
exception is available for your item or transaction. For exports,
reexports, or transfers (in-country) of encryption items that are not
eligible for a license exception, you must submit an application to
obtain authorization under a license or an Encryption Licensing
Arrangement.
* * * * *
PART 744--CONTROL POLICY: END-USER AND END-USE BASED
0
10. The authority citation for part 744 is revised to read as follows:
Authority: 50 U.S.C. 4801-4852; 50 U.S.C. 4601 et seq.; 50
U.S.C. 1701 et seq.; 22 U.S.C. 3201 et seq.; 42 U.S.C. 2139a; 22
U.S.C. 7201 et seq.; 22 U.S.C. 7210; E.O. 12058, 43 FR 20947, 3 CFR,
1978 Comp., p. 179; E.O. 12851, 58 FR 33181, 3 CFR, 1993 Comp., p.
608; E.O. 12938, 59 FR 59099, 3 CFR, 1994 Comp., p. 950; E.O. 13026,
61 FR 58767, 3 CFR, 1996 Comp., p. 228; E.O. 13099, 63 FR 45167, 3
CFR, 1998 Comp., p. 208; E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp.,
p. 783; E.O. 13224, 66 FR 49079, 3 CFR, 2001 Comp., p. 786; ; Notice
of September 7, 2023, 88 FR 62439 (September 11, 2023), Notice of
November 1, 2023, 88 FR 75475.
0
11. Section 744.6 is amended by revising paragraphs (c)(2)(iii) and
(e)(3) to read as follows:
Sec. 744.6 Restrictions on specific activities of ``U.S. persons.''
* * * * *
(c) * * *
(2) * * *
(iii) Semiconductor manufacturing equipment. To or within either
Macau or a destination specified in Country Group D:5, any item not
subject to the EAR and meeting the parameters of ECCNs 3B001.a.4, c, d,
f.1.b, j to p; 3B002.b and c; 3D001 (for 3B001.a.4, c, d, f.1.b, j to
p, 3B002.b and c); 3D002 (for 3B001 a.4, c, d, f.1.b, j to p, 3B002.b
and c); or 3E001 (for 3B001.a.4, c, d, f.1.b, j to p, 3B002.b and c)
regardless of end use or end user.
* * * * *
(e) * * *
(3) Applications for licenses submitted pursuant to the notice of a
license requirement set forth in paragraph (c)(2) of this section will
be reviewed in accordance with the policies described in paragraphs
(e)(1)
[[Page 23886]]
through (3) of this section. License review will take into account
factors including technology level, customers, compliance plans, and
contract sanctity.
(i) Presumption of denial. Applications will be reviewed with a
presumption of denial for Macau and destinations specified in Country
Group D:5 and entities headquartered or whose ultimate parent is
headquartered in Macau or destinations specified in Country Group D:5,
unless paragraph (e)(3)(ii) of this section applies.
(ii) Case-by-case. Applications will be reviewed with a case-by-
case policy for license applications that meet either of the following
conditions:
(A) For items specified in ECCN 3A090, 4A090, 3A001.z, 4A003.z,
4A004.z, 4A005.z, 5A002.z, 5A004.z, 5A992.z, 5D002.z, or 5D992.z,
except for items designed or marketed for use in a datacenter and
meeting the parameters of 3A090.a;
(B) For activities involving an item subject to the license
requirements of paragraph (c)(2) of this section where there is an item
not subject to the license requirements of paragraph (c)(2) that
performs the same function as an item meeting the license requirements
of paragraph (c)(2); or
(C) For all other applications not specified in paragraph (e)(3)(i)
or (e)(3)(ii)(A) or (B) of this section.
0
12. Section 744.23 is amended by revising paragraphs (a)(4), (c), and
(d) to read as follows:
Sec. 744.23 ``Supercomputer,'' ``advanced-node integrated circuits,''
and semiconductor manufacturing equipment end use controls.
* * * * *
(a) * * *
(4) Semiconductor manufacturing equipment (SME) and ``components,''
``assemblies,'' and ``accessories''. A license is required for export,
reexport, or transfer (in-country) if either paragraph (a)(4)(i) or
(ii) of this section applies.
(i) Directly destined to Macau and Country Group D:5. Any item
subject to the EAR and specified on the CCL when destined to or within
either Macau or a destination specified in Country Group D:5 for the
``development'' or ``production'' of `front-end integrated circuit
``production'' equipment' and ``components,'' ``assemblies,'' and
``accessories'' therefor specified in ECCN 3B001 (except 3B001.g and
.h), 3B002, 3B611, 3B991 (except 3B991.b.2.a through .b), 3B992, or
associated ``software'' and ``technology'' in 3D or 3E of the CCL.
(ii) Indirect exports, reexports, or transfers (in-country). Any
item subject to the EAR and specified on the CCL for export, reexport,
or transfer (in-country), if all of the following apply:
(A) The item is for ``development'' or ``production'' of a foreign-
made item, whether subject to the EAR or not, that is specified in an
ECCN listed in paragraph (i);
(B) When the foreign-made item is for ``development'' or
``production'' of any initial or subsequent foreign-made item, whether
subject to the EAR or not, specified in an ECCN listed in paragraph
(a)(4)(i) of this section; and
(C) The ``development'' or ``production'' is by an entity
headquartered in, or with an ultimate parent headquartered in, Macau or
a destination specified in Country Group D:5.
Note 1 to paragraph (a)(4): Front-end integrated circuit
``production'' equipment includes equipment used in the production
stages from a blank wafer or substrate to a completed wafer or
substrate (i.e., the integrated circuits are processed but they are
still on the wafer or substrate). If there is a question at the time of
export, reexport, or transfer (in-country) about whether equipment is
used in front-end integrated circuit ``production,'' you may submit an
advisory opinion request to BIS pursuant to Sec. 748.3(c) of the EAR
for clarification.
Note 2 to paragraph (a)(4): For transactions involving
``development'' or ``production'' in Macau or a destination specified
in Country Group D:5 by an entity that is headquartered in Macau or a
destination specified in Country Group D:5, but the ``development'' or
``production'' is undertaken at the direction of an entity
headquartered in the United States or a destination specified in
Country Group A:5 or A:6, refer to General Order No. 4 in Supp. No. 1
to Part 736 (Temporary General License--Less restricted SME ``parts,''
``components,'' or ``equipment'').
* * * * *
(c) License exceptions. No license exceptions may overcome the
prohibition described in paragraph (a) of this section, except the
prohibitions in paragraphs (a)(4) and (a)(3)(i) of this section may be
overcome by license exceptions in Sec. 740.2(a)(9)(i) or (ii) of the
EAR, respectively.
(d) License review standards. License review will consider several
factors including technology level, customers, compliance plans, and
contract sanctity.
(1) Presumption of denial. Applications will be reviewed with a
presumption of denial for Macau and destinations specified in Country
Group D:5 and any entity headquartered in, or with an ultimate parent
headquartered in, Macau or a destination specified in Country Group
D:5, unless either paragraph (d)(2) or (3) applies.
(2) Presumption of approval. Applications will be reviewed with a
presumption of approval for end users headquartered in the United
States or a destination specified in Country Group A:5 or A:6, that are
not majority-owned by an entity headquartered in either Macau or a
destination specified in Country Group D:5.
(3) Case-by-case. There is a case-by-case license review policy for
license applications that meet one of the following conditions:
(i) For items specified in ECCN 3A090, 4A090, 3A001.z, 4A003.z,
4A004.z, 4A005.z, 5A002.z, 5A004.z, 5A992.z, 5D002.z, or 5D992.z,
except for items designed or marketed for use in a datacenter and
meeting the parameters of 3A090.a;
(ii) For items subject to the license requirements of this section
where there is a foreign-made item that is not subject to the license
requirements of this section and performs the same function as an item
subject to the EAR license requirements of this section; or
(iii) For all other applications not specified in paragraph (d)(1)
or (2) or (d)(3)(i) or (ii).
PART 774--THE COMMERCE CONTROL LIST
0
13. The authority citation for part 774 continues to read as follows:
Authority: 50 U.S.C. 4801-4852; 50 U.S.C. 4601 et seq.; 50
U.S.C. 1701 et seq.; 10 U.S.C. 8720; 10 U.S.C. 8730(e); 22 U.S.C.
287c, 22 U.S.C. 3201 et seq.; 22 U.S.C. 6004; 42 U.S.C. 2139a; 15
U.S.C. 1824; 50 U.S.C. 4305; 22 U.S.C. 7201 et seq.; 22 U.S.C. 7210;
E.O. 13026, 61 FR 58767, 3 CFR, 1996 Comp., p. 228; E.O. 13222, 66
FR 44025, 3 CFR, 2001 Comp., p. 783.
0
14. Supplement no. 1 to part 774 is amended by revising ECCNs 3A001,
3A090, 3B001, 3B991, 3D001, 3D002, 3E001, 4A003, 4A004, 4A005, 4A090,
4D001, 4E001, 5A002, 5A992, 5A004, 5D002, 5D992, 5E002, and 5E992 to
read as follows:
Supplement No. 1 to Part 774--The Commerce Control List
* * * * *
3A001 Electronic items as follows (see List of Items Controlled).
Reason for Control: NS, RS, MT, NP, AT
[[Page 23887]]
Country chart (see Supp. No.
Control(s) 1 to part 738)
NS applies to ``Monolithic Microwave NS Column 1.
Integrated Circuit'' (``MMIC'')
amplifiers in 3A001.b.2 and discrete
microwave transistors in 3A001.b.3,
except those 3A001.b.2 and b.3 items
being exported or reexported for use in
civil telecommunications applications;
and 3A001.z.1.
NS applies to entire entry................ NS Column 2.
RS applies ``Monolithic Microwave RS Column 1.
Integrated Circuit'' (``MMIC'')
amplifiers in 3A001.b.2 and discrete
microwave transistors in 3A001.b.3,
except those 3A001.b.2 and b.3 items
being exported or reexported for use in
civil telecommunications applications;
and 3A001.z.1.
RS applies to 3A001.z..................... To or within destinations
specified in Country Groups
D:1, D:4, and D:5 of
supplement no. 1 to part
740 of the EAR, excluding
any destination also
specified in Country Groups
A:5 or A:6. See Sec.
742.6(a)(6)(iii) of the
EAR.
MT applies to 3A001.a.1.a when usable in MT Column 1.
``missiles''; and to 3A001.a.5.a when
``designed or modified'' for military
use, hermetically sealed and rated for
operation in the temperature range from
below -54 [deg]C to above +125 [deg]C;
and 3A001.z.2.
NP applies to pulse discharge capacitors NP Column 1.
in 3A001.e.2 and superconducting
solenoidal electromagnets in 3A001.e.3
that meet or exceed the technical
parameters in 3A201.a and 3A201.b,
respectively; and 3A001.z.3.
AT applies to entire entry................ AT Column 1.
Reporting Requirements: See Sec. 743.1 of the EAR for reporting
requirements for exports under 3A001.b.2 or b.3 under License
Exceptions, and Validated End-User authorizations.
License Requirements: See Sec. 744.17 of the EAR for additional
license requirements for microprocessors having a processing speed
of 5 GFLOPS or more and an arithmetic logic unit with an access
width of 32 bit or more, including those incorporating ``information
security'' functionality, and associated ``software'' and
``technology'' for the ``production'' or ``development'' of such
microprocessors.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A for MT, NP; N/A for ``Monolithic Microwave Integrated
Circuit'' (``MMIC'') amplifiers in 3A001.b.2, discrete microwave
transistors in 3A001.b.3, and 3A001.z.1, except those that are being
exported or reexported for use in civil telecommunications
applications.
Yes for:
$1500: 3A001.c
$3000: 3A001.b.1, b.2 (exported or reexported for use in civil
telecommunications applications), b.3 (exported or reexported for
use in civil telecommunications applications), b.9, .d, .e, .f, .g,
and z.1 (exported or reexported for use in civil telecommunications
applications).
$5000: 3A001.a (except a.1.a and a.5.a when controlled for MT), b.4
to b.7, and b.12.
GBS: Yes for 3A001.a.1.b, a.2 to a.14 (except .a.5.a when controlled
for MT), b.2 (exported or reexported for use in civil
telecommunications applications), b.8 (except for ``vacuum
electronic devices'' exceeding 18 GHz), b.9., b.10, .g, .h, .i, and
z.1 (exported or reexported for use in civil telecommunications
applications).
NAC/ACA: Yes, for 3A001.z.
Note: See Sec. 740.2(a)(9)(ii) of the EAR for license exception
restrictions for ECCN 3A001.z.
Special Conditions for STA
STA: License Exception STA may not be used to ship any item in
3A001.b.2 or b.3, except those that are being exported or reexported
for use in civil telecommunications applications, to any of the
destinations listed in Country Group A:5 or A:6 (See Supplement No.1
to part 740 of the EAR).
List of Items Controlled
Related Controls: (1) See Category XV of the USML for certain
``space-qualified'' electronics and Category XI of the USML for
certain ASICs, `transmit/receive modules,' or `transmit modules'
``subject to the ITAR'' (see 22 CFR parts 120 through 130). (2) See
also 3A090, 3A101, 3A201, 3A611, 3A991, and 9A515.
Related Definitions: `Microcircuit' means a device in which a number
of passive or active elements are considered as indivisibly
associated on or within a continuous structure to perform the
function of a circuit. For the purposes of integrated circuits in
3A001.a.1, 5 x 10\3\ Gy(Si) = 5 x 10\5\ Rads (Si); 5 x 10\6\ Gy
(Si)/s = 5 x 10\8\ Rads (Si)/s.
Items:
a. General purpose integrated circuits, as follows:
Note 1: Integrated circuits include the following types:
--``Monolithic integrated circuits'';
--``Hybrid integrated circuits'';
--``Multichip integrated circuits'';
--Film type integrated circuits, including silicon-on-sapphire
integrated circuits'';
--``Optical integrated circuits'';
--``Three dimensional integrated circuits'';
--``Monolithic Microwave Integrated Circuits'' (``MMICs'').
a.1. Integrated circuits designed or rated as radiation hardened
to withstand any of the following:
a.1.a. A total dose of 5 x 10\3\ Gy (Si), or higher;
a.1.b. A dose rate upset of 5 x 10\6\ Gy (Si)/s, or higher; or
a.1.c. A fluence (integrated flux) of neutrons (1 MeV
equivalent) of 5 x 10\13\ n/cm\2\ or higher on silicon, or its
equivalent for other materials;
Note: 3A001.a.1.c does not apply to Metal Insulator
Semiconductors (MIS).
a.2. ``Microprocessor microcircuits,'' ``microcomputer
microcircuits,'' microcontroller microcircuits, storage integrated
circuits manufactured from a compound semiconductor, analog-to-
digital converters, integrated circuits that contain analog-to-
digital converters and store or process the digitized data, digital-
to-analog converters, electro-optical or ``optical integrated
circuits'' designed for ``signal processing'', field programmable
logic devices, custom integrated circuits for which either the
function is unknown or the control status of the equipment in which
the integrated circuit will be used in unknown, Fast Fourier
Transform (FFT) processors, Static Random-Access Memories (SRAMs),
or `non-volatile memories,' having any of the following:
Technical Note: For the purposes of 3A001.a.2, `non-volatile
memories' are memories with data retention over a period of time
after a power shutdown.
a.2.a. Rated for operation at an ambient temperature above 398 K
(+125 [deg]C);
a.2.b. Rated for operation at an ambient temperature below 218 K
(-55 [deg]C); or
[[Page 23888]]
a.2.c. Rated for operation over the entire ambient temperature
range from 218 K (-55 [deg]C) to 398 K (+125 [deg]C);
Note: 3A001.a.2 does not apply to integrated circuits designed
for civil automobile or railway train applications.
a.3. ``Microprocessor microcircuits'', ``microcomputer
microcircuits'' and microcontroller microcircuits, manufactured from
a compound semiconductor and operating at a clock frequency
exceeding 40 MHz;
Note: 3A001.a.3 includes digital signal processors, digital
array processors and digital coprocessors.
a.4. [Reserved]
a.5. Analog-to-Digital Converter (ADC) and Digital-to-Analog
Converter (DAC) integrated circuits, as follows:
a.5.a. ADCs having any of the following:
a.5.a.1. A resolution of 8 bit or more, but less than 10 bit,
with a ``sample rate'' greater than 1.3 Giga Samples Per Second
(GSPS);
a.5.a.2. A resolution of 10 bit or more, but less than 12 bit,
with a ``sample rate'' greater than 600 Mega Samples Per Second
(MSPS);
a.5.a.3. A resolution of 12 bit or more, but less than 14 bit,
with a ``sample rate'' greater than 400 MSPS;
a.5.a.4. A resolution of 14 bit or more, but less than 16 bit,
with a ``sample rate'' greater than 250 MSPS; or
a.5.a.5. A resolution of 16 bit or more with a ``sample rate''
greater than 65 MSPS;
N.B.: For integrated circuits that contain analog-to-digital
converters and store or process the digitized data see 3A001.a.14.
Technical Notes: For the purposes of 3A001.a.5.a:
1. A resolution of n bit corresponds to a quantization of 2\n\
levels.
2. The resolution of the ADC is the number of bits of the
digital output that represents the measured analog input. Effective
Number of Bits (ENOB) is not used to determine the resolution of the
ADC.
3. For ``multiple channel ADCs'', the ``sample rate'' is not
aggregated and the ``sample rate'' is the maximum rate of any single
channel.
4. For ``interleaved ADCs'' or for ``multiple channel ADCs''
that are specified to have an interleaved mode of operation, the
``sample rates'' are aggregated and the ``sample rate'' is the
maximum combined total rate of all of the interleaved channels.
a.5.b. Digital-to-Analog Converters (DAC) having any of the
following:
a.5.b.1. A resolution of 10-bit or more but less than 12-bit,
with an `adjusted update rate' of exceeding 3,500 MSPS; or
a.5.b.2. A resolution of 12-bit or more and having any of the
following:
a.5.b.2.a. An `adjusted update rate' exceeding 1,250 MSPS but
not exceeding 3,500 MSPS, and having any of the following:
a.5.b.2.a.1. A settling time less than 9 ns to arrive at or
within 0.024% of full scale from a full scale step; or
a.5.b.2.a.2. A `Spurious Free Dynamic Range' (SFDR) greater than
68 dBc (carrier) when synthesizing a full scale analog signal of 100
MHz or the highest full scale analog signal frequency specified
below 100 MHz; or
a.5.b.2.b. An `adjusted update rate' exceeding 3,500 MSPS;
Technical Notes: For the purposes of 3A001.a.5.b:
1. `Spurious Free Dynamic Range' (SFDR) is defined as the ratio
of the RMS value of the carrier frequency (maximum signal component)
at the input of the DAC to the RMS value of the next largest noise
or harmonic distortion component at its output.
2. SFDR is determined directly from the specification table or
from the characterization plots of SFDR versus frequency.
3. A signal is defined to be full scale when its amplitude is
greater than -3 dBfs (full scale).
4. `Adjusted update rate' for DACs is:
a. For conventional (non-interpolating) DACs, the `adjusted
update rate' is the rate at which the digital signal is converted to
an analog signal and the output analog values are changed by the
DAC. For DACs where the interpolation mode may be bypassed
(interpolation factor of one), the DAC should be considered as a
conventional (non-interpolating) DAC.
b. For interpolating DACs (oversampling DACs), the `adjusted
update rate' is defined as the DAC update rate divided by the
smallest interpolating factor. For interpolating DACs, the `adjusted
update rate' may be referred to by different terms including:
input data rate
input word rate
input sample rate
maximum total input bus rate
maximum DAC clock rate for DAC clock input.
a.6. Electro-optical and ``optical integrated circuits'',
designed for ``signal processing'' and having all of the following:
a.6.a. One or more than one internal ``laser'' diode;
a.6.b. One or more than one internal light detecting element;
and
a.6.c. Optical waveguides;
a.7. `Field programmable logic devices' having any of the
following:
a.7.a. A maximum number of single-ended digital input/outputs of
greater than 700; or
a.7.b. An `aggregate one-way peak serial transceiver data rate'
of 500 Gb/s or greater;
Note: 3A001.a.7 includes:
--Complex Programmable Logic Devices (CPLDs);
--Field Programmable Gate Arrays (FPGAs);
--Field Programmable Logic Arrays (FPLAs);
--Field Programmable Interconnects (FPICs).
N.B.: For integrated circuits having field programmable logic
devices that are combined with an analog-to-digital converter, see
3A001.a.14.
Technical Notes: For the purposes of 3A001.a.7:
1. Maximum number of digital input/outputs in 3A001.a.7.a is
also referred to as maximum user input/outputs or maximum available
input/outputs, whether the integrated circuit is packaged or bare
die.
2. `Aggregate one-way peak serial transceiver data rate' is the
product of the peak serial one-way transceiver data rate times the
number of transceivers on the FPGA.
a.8. [Reserved]
a.9. Neural network integrated circuits;
a.10. Custom integrated circuits for which the function is
unknown, or the control status of the equipment in which the
integrated circuits will be used is unknown to the manufacturer,
having any of the following:
a.10.a. More than 1,500 terminals;
a.10.b. A typical ``basic gate propagation delay time'' of less
than 0.02 ns; or
a.10.c. An operating frequency exceeding 3 GHz;
a.11. Digital integrated circuits, other than those described in
3A001.a.3 to 3A001.a.10 and 3A001.a.12, based upon any compound
semiconductor and having any of the following:
a.11.a. An equivalent gate count of more than 3,000 (2 input
gates); or
a.11.b. A toggle frequency exceeding 1.2 GHz;
a.12. Fast Fourier Transform (FFT) processors having a rated
execution time for an N-point complex FFT of less than (N
log2 N)/20,480 ms, where N is the number of points;
Technical Note: For the purposes of 3A001.a.12, when N is equal
to 1,024 points, the formula in 3A001.a.12 gives an execution time
of 500 [micro]s.
a.13. Direct Digital Synthesizer (DDS) integrated circuits
having any of the following:
a.13.a. A Digital-to-Analog Converter (DAC) clock frequency of
3.5 GHz or more and a DAC resolution of 10 bit or more, but less
than 12 bit; or
a.13.b. A DAC clock frequency of 1.25 GHz or more and a DAC
resolution of 12 bit or more;
Technical Note: For the purposes of 3A001.a.13, the DAC clock
frequency may be specified as the master clock frequency or the
input clock frequency.
a.14. Integrated circuits that perform or are programmable to
perform all of the following:
a.14.a. Analog-to-digital conversions meeting any of the
following:
a.14.a.1. A resolution of 8 bit or more, but less than 10 bit,
with a ``sample rate'' greater than 1.3 Giga Samples Per Second
(GSPS);
a.14.a.2. A resolution of 10 bit or more, but less than 12 bit,
with a ``sample rate'' greater than 1.0 GSPS;
a.14.a.3. A resolution of 12 bit or more, but less than 14 bit,
with a ``sample rate'' greater than 1.0 GSPS;
a.14.a.4. A resolution of 14 bit or more, but less than 16 bit,
with a ``sample rate'' greater than 400 Mega Samples Per Second
(MSPS); or
a.14.a.5. A resolution of 16 bit or more with a ``sample rate''
greater than 180 MSPS; and
a.14.b. Any of the following:
a.14.b.1. Storage of digitized data; or
a.14.b.2. Processing of digitized data;
N.B. 1: For analog-to-digital converter integrated circuits see
3A001.a.5.a.
N.B. 2: For field programmable logic devices see 3A001.a.7.
Technical Notes: For the purposes of 3A001.a.14:
1. A resolution of n bit corresponds to a quantization of 2\n\
levels.
2. The resolution of the ADC is the number of bits of the
digital output of the ADC that
[[Page 23889]]
represents the measured analog input. Effective Number of Bits
(ENOB) is not used to determine the resolution of the ADC.
3. For integrated circuits with non- interleaving ``multiple
channel ADCs'', the ``sample rate'' is not aggregated and the
``sample rate'' is the maximum rate of any single channel.
4. For integrated circuits with ``interleaved ADCs'' or with
``multiple channel ADCs'' that are specified to have an interleaved
mode of operation, the ``sample rates'' are aggregated and the
``sample rate'' is the maximum combined total rate of all of the
interleaved channels.
b. Microwave or millimeter wave items, as follows:
Technical Note: For the purposes of 3A001.b, the parameter peak
saturated power output may also be referred to on product data
sheets as output power, saturated power output, maximum power
output, peak power output, or peak envelope power output.
b.1. ``Vacuum electronic devices'' and cathodes, as follows:
Note 1: 3A001.b.1 does not control ``vacuum electronic devices''
designed or rated for operation in any frequency band and having all
of the following:
a. Does not exceed 31.8 GHz; and
b. Is ``allocated by the ITU'' for radio-communications
services, but not for radio-determination.
Note 2: 3A001.b.1 does not control non-``space-qualified''
``vacuum electronic devices'' having all the following:
a. An average output power equal to or less than 50 W; and
b. Designed or rated for operation in any frequency band and
having all of the following:
1. Exceeds 31.8 GHz but does not exceed 43.5 GHz; and
2. Is ``allocated by the ITU'' for radio-communications
services, but not for radio-determination.
b.1.a. Traveling-wave ``vacuum electronic devices,'' pulsed or
continuous wave, as follows:
b.1.a.1. Devices operating at frequencies exceeding 31.8 GHz;
b.1.a.2. Devices having a cathode heater with a turn on time to
rated RF power of less than 3 seconds;
b.1.a.3. Coupled cavity devices, or derivatives thereof, with a
``fractional bandwidth'' of more than 7% or a peak power exceeding
2.5 kW;
b.1.a.4. Devices based on helix, folded waveguide, or serpentine
waveguide circuits, or derivatives thereof, having any of the
following:
b.1.a.4.a. An ``instantaneous bandwidth'' of more than one
octave, and average power (expressed in kW) times frequency
(expressed in GHz) of more than 0.5;
b.1.a.4.b. An ``instantaneous bandwidth'' of one octave or less,
and average power (expressed in kW) times frequency (expressed in
GHz) of more than 1;
b.1.a.4.c. Being ``space-qualified''; or
b.1.a.4.d. Having a gridded electron gun;
b.1.a.5. Devices with a ``fractional bandwidth'' greater than or
equal to 10%, with any of the following:
b.1.a.5.a. An annular electron beam;
b.1.a.5.b. A non-axisymmetric electron beam; or
b.1.a.5.c. Multiple electron beams;
b.1.b. Crossed-field amplifier ``vacuum electronic devices''
with a gain of more than 17 dB;
b.1.c. Thermionic cathodes, designed for ``vacuum electronic
devices,'' producing an emission current density at rated operating
conditions exceeding 5 A/cm\2\ or a pulsed (non-continuous) current
density at rated operating conditions exceeding 10 A/cm\2\;
b.1.d. ``Vacuum electronic devices'' with the capability to
operate in a `dual mode.'
Technical Note: For the purposes of 3A001.b.1.d, `dual mode'
means the ``vacuum electronic device'' beam current can be
intentionally changed between continuous-wave and pulsed mode
operation by use of a grid and produces a peak pulse output power
greater than the continuous-wave output power.
b.2. ``Monolithic Microwave Integrated Circuit'' (``MMIC'')
amplifiers that are any of the following:
N.B.: For ``MMIC'' amplifiers that have an integrated phase
shifter see 3A001.b.12.
b.2.a. Rated for operation at frequencies exceeding 2.7 GHz up
to and including 6.8 GHz with a ``fractional bandwidth'' greater
than 15%, and having any of the following:
b.2.a.1. A peak saturated power output greater than 75 W (48.75
dBm) at any frequency exceeding 2.7 GHz up to and including 2.9 GHz;
b.2.a.2. A peak saturated power output greater than 55 W (47.4
dBm) at any frequency exceeding 2.9 GHz up to and including 3.2 GHz;
b.2.a.3. A peak saturated power output greater than 40 W (46
dBm) at any frequency exceeding 3.2 GHz up to and including 3.7 GHz;
or
b.2.a.4. A peak saturated power output greater than 20 W (43
dBm) at any frequency exceeding 3.7 GHz up to and including 6.8 GHz;
b.2.b. Rated for operation at frequencies exceeding 6.8 GHz up
to and including 16 GHz with a ``fractional bandwidth'' greater than
10%, and having any of the following:
b.2.b.1. A peak saturated power output greater than 10 W (40
dBm) at any frequency exceeding 6.8 GHz up to and including 8.5 GHz;
or
b.2.b.2. A peak saturated power output greater than 5 W (37 dBm)
at any frequency exceeding 8.5 GHz up to and including 16 GHz;
b.2.c. Rated for operation with a peak saturated power output
greater than 3 W (34.77 dBm) at any frequency exceeding 16 GHz up to
and including 31.8 GHz, and with a ``fractional bandwidth'' of
greater than 10%;
b.2.d. Rated for operation with a peak saturated power output
greater than 0.1 nW (-70 dBm) at any frequency exceeding 31.8 GHz up
to and including 37 GHz;
b.2.e. Rated for operation with a peak saturated power output
greater than 1 W (30 dBm) at any frequency exceeding 37 GHz up to
and including 43.5 GHz, and with a ``fractional bandwidth'' of
greater than 10%;
b.2.f. Rated for operation with a peak saturated power output
greater than 31.62 mW (15 dBm) at any frequency exceeding 43.5 GHz
up to and including 75 GHz, and with a ``fractional bandwidth'' of
greater than 10%;
b.2.g. Rated for operation with a peak saturated power output
greater than 10 mW (10 dBm) at any frequency exceeding 75 GHz up to
and including 90 GHz, and with a ``fractional bandwidth'' of greater
than 5%; or
b.2.h. Rated for operation with a peak saturated power output
greater than 0.1 nW (-70 dBm) at any frequency exceeding 90 GHz;
Note 1: [Reserved]
Note 2: The control status of the ``MMIC'' whose rated operating
frequency includes frequencies listed in more than one frequency
range, as defined by 3A001.b.2.a through 3A001.b.2.h, is determined
by the lowest peak saturated power output control threshold.
Note 3: Notes 1 and 2 following the Category 3 heading for
product group A. Systems, Equipment, and Components mean that
3A001.b.2 does not control ``MMICs'' if they are ``specially
designed'' for other applications, e.g., telecommunications, radar,
automobiles.
b.3. Discrete microwave transistors that are any of the
following:
b.3.a. Rated for operation at frequencies exceeding 2.7 GHz up
to and including 6.8 GHz and having any of the following:
b.3.a.1. A peak saturated power output greater than 400 W (56
dBm) at any frequency exceeding 2.7 GHz up to and including 2.9 GHz;
b.3.a.2. A peak saturated power output greater than 205 W (53.12
dBm) at any frequency exceeding 2.9 GHz up to and including 3.2 GHz;
b.3.a.3. A peak saturated power output greater than 115 W (50.61
dBm) at any frequency exceeding 3.2 GHz up to and including 3.7 GHz;
or
b.3.a.4. A peak saturated power output greater than 60 W (47.78
dBm) at any frequency exceeding 3.7 GHz up to and including 6.8 GHz;
b.3.b. Rated for operation at frequencies exceeding 6.8 GHz up
to and including 31.8 GHz and having any of the following:
b.3.b.1. A peak saturated power output greater than 50 W (47
dBm) at any frequency exceeding 6.8 GHz up to and including 8.5 GHz;
b.3.b.2. A peak saturated power output greater than 15 W (41.76
dBm) at any frequency exceeding 8.5 GHz up to and including 12 GHz;
b.3.b.3. A peak saturated power output greater than 40 W (46
dBm) at any frequency exceeding 12 GHz up to and including 16 GHz;
or
b.3.b.4. A peak saturated power output greater than 7 W (38.45
dBm) at any frequency exceeding 16 GHz up to and including 31.8 GHz;
b.3.c. Rated for operation with a peak saturated power output
greater than 0.5 W (27 dBm) at any frequency exceeding 31.8 GHz up
to and including 37 GHz;
b.3.d. Rated for operation with a peak saturated power output
greater than 1 W (30 dBm) at any frequency exceeding 37 GHz up to
and including 43.5 GHz;
[[Page 23890]]
b.3.e. Rated for operation with a peak saturated power output
greater than 0.1 nW (-70 dBm) at any frequency exceeding 43.5 GHz;
or
b.3.f. Other than those specified by 3A001.b.3.a to 3A001.b.3.e
and rated for operation with a peak saturated power output greater
than 5 W (37.0 dBm) at all frequencies exceeding 8.5 GHz up to and
including 31.8 GHz;
Note 1: The control status of a transistor in 3A001.b.3.a
through 3A001.b.3.e, whose rated operating frequency includes
frequencies listed in more than one frequency range, as defined by
3A001.b.3.a through 3A001.b.3.e, is determined by the lowest peak
saturated power output control threshold.
Note 2: 3A001.b.3 includes bare dice, dice mounted on carriers,
or dice mounted in packages. Some discrete transistors may also be
referred to as power amplifiers, but the status of these discrete
transistors is determined by 3A001.b.3.
b.4. Microwave solid state amplifiers and microwave assemblies/
modules containing microwave solid state amplifiers, that are any of
the following:
b.4.a. Rated for operation at frequencies exceeding 2.7 GHz up
to and including 6.8 GHz with a ``fractional bandwidth'' greater
than 15%, and having any of the following:
b.4.a.1. A peak saturated power output greater than 500 W (57
dBm) at any frequency exceeding 2.7 GHz up to and including 2.9 GHz;
b.4.a.2. A peak saturated power output greater than 270 W (54.3
dBm) at any frequency exceeding 2.9 GHz up to and including 3.2 GHz;
b.4.a.3. A peak saturated power output greater than 200 W (53
dBm) at any frequency exceeding 3.2 GHz up to and including 3.7 GHz;
or
b.4.a.4. A peak saturated power output greater than 90 W (49.54
dBm) at any frequency exceeding 3.7 GHz up to and including 6.8 GHz;
b.4.b. Rated for operation at frequencies exceeding 6.8 GHz up
to and including 31.8 GHz with a ``fractional bandwidth'' greater
than 10%, and having any of the following:
b.4.b.1. A peak saturated power output greater than 70 W (48.45
dBm) at any frequency exceeding 6.8 GHz up to and including 8.5 GHz;
b.4.b.2. A peak saturated power output greater than 50 W (47
dBm) at any frequency exceeding 8.5 GHz up to and including 12 GHz;
b.4.b.3. A peak saturated power output greater than 30 W (44.77
dBm) at any frequency exceeding 12 GHz up to and including 16 GHz;
or
b.4.b.4. A peak saturated power output greater than 20 W (43
dBm) at any frequency exceeding 16 GHz up to and including 31.8 GHz;
b.4.c. Rated for operation with a peak saturated power output
greater than 0.5 W (27 dBm) at any frequency exceeding 31.8 GHz up
to and including 37 GHz;
b.4.d. Rated for operation with a peak saturated power output
greater than 2 W (33 dBm) at any frequency exceeding 37 GHz up to
and including 43.5 GHz, and with a ``fractional bandwidth'' of
greater than 10%;
b.4.e. Rated for operation at frequencies exceeding 43.5 GHz and
having any of the following:
b.4.e.1. A peak saturated power output greater than 0.2 W (23
dBm) at any frequency exceeding 43.5 GHz up to and including 75 GHz,
and with a ``fractional bandwidth'' of greater than 10%;
b.4.e.2. A peak saturated power output greater than 20 mW (13
dBm) at any frequency exceeding 75 GHz up to and including 90 GHz,
and with a ``fractional bandwidth'' of greater than 5%; or
b.4.e.3. A peak saturated power output greater than 0.1 nW (-70
dBm) at any frequency exceeding 90 GHz; or
b.4.f. [Reserved]
N.B.:
1. For ``MMIC'' amplifiers see 3A001.b.2.
2. For `transmit/receive modules' and `transmit modules' see
3A001.b.12.
3. For converters and harmonic mixers, designed to extend the
operating or frequency range of signal analyzers, signal generators,
network analyzers or microwave test receivers, see 3A001.b.7.
Note 1: [Reserved]
Note 2: The control status of an item whose rated operating
frequency includes frequencies listed in more than one frequency
range, as defined by 3A001.b.4.a through 3A001.b.4.e, is determined
by the lowest peak saturated power output control threshold.
b.5. Electronically or magnetically tunable band-pass or band-
stop filters, having more than 5 tunable resonators capable of
tuning across a 1.5:1 frequency band (fmax/
fmin) in less than 10 ms and having any of the following:
b.5.a. A band-pass bandwidth of more than 0.5% of center
frequency; or
b.5.b. A band-stop bandwidth of less than 0.5% of center
frequency;
b.6. [Reserved]
b.7. Converters and harmonic mixers, that are any of the
following:
b.7.a. Designed to extend the frequency range of ``signal
analyzers'' beyond 90 GHz;
b.7.b. Designed to extend the operating range of signal
generators as follows:
b.7.b.1. Beyond 90 GHz;
b.7.b.2. To an output power greater than 100 mW (20 dBm)
anywhere within the frequency range exceeding 43.5 GHz but not
exceeding 90 GHz;
b.7.c. Designed to extend the operating range of network
analyzers as follows:
b.7.c.1. Beyond 110 GHz;
b.7.c.2. To an output power greater than 31.62 mW (15 dBm)
anywhere within the frequency range exceeding 43.5 GHz but not
exceeding 90 GHz;
b.7.c.3. To an output power greater than 1 mW (0 dBm) anywhere
within the frequency range exceeding 90 GHz but not exceeding 110
GHz; or
b.7.d. Designed to extend the frequency range of microwave test
receivers beyond 110 GHz;
b.8. Microwave power amplifiers containing ``vacuum electronic
devices'' controlled by 3A001.b.1 and having all of the following:
b.8.a. Operating frequencies above 3 GHz;
b.8.b. An average output power to mass ratio exceeding 80 W/kg;
and
b.8.c. A volume of less than 400 cm\3\;
Note: 3A001.b.8 does not control equipment designed or rated for
operation in any frequency band which is ``allocated by the ITU''
for radio-communications services, but not for radio-determination.
b.9. Microwave Power Modules (MPM) consisting of, at least, a
traveling-wave ``vacuum electronic device,'' a ``Monolithic
Microwave Integrated Circuit'' (``MMIC'') and an integrated
electronic power conditioner and having all of the following:
b.9.a. A `turn-on time' from off to fully operational in less
than 10 seconds;
b.9.b. A volume less than the maximum rated power in Watts
multiplied by 10 cm\3\/W; and
b.9.c. An ``instantaneous bandwidth'' greater than 1 octave
(fmax >2fmin) and having any of the following:
b.9.c.1. For frequencies equal to or less than 18 GHz, an RF
output power greater than 100 W; or
b.9.c.2. A frequency greater than 18 GHz;
Technical Notes: For the purposes of 3A001.b.9:
1. To calculate the volume in 3A001.b.9.b, the following example
is provided: for a maximum rated power of 20 W, the volume would be:
20 W x 10 cm\3\/W = 200 cm\3\.
2. The `turn-on time' in 3A001.b.9.a refers to the time from
fully-off to fully operational, i.e., it includes the warm-up time
of the MPM.
b.10. Oscillators or oscillator assemblies, specified to operate
with a single sideband (SSB) phase noise, in dBc/Hz, less (better)
than -(126 + 20log10F-20log10f) anywhere
within the range of 10 Hz 505.62 W *
GHz\2\/fGHz\2\] for any channel;
b.12.b. A ``fractional bandwidth'' of 5% or greater for any
channel;
b.12.c. Any planar side with length d (in cm) equal to or less
than 15 divided by the lowest operating frequency in GHz [d -14 J; or
d.2. Frequency selection at all frequencies using resonant
circuits with Q-values exceeding 10,000;
e. High energy devices as follows:
e.1. `Cells' as follows:
e.1.a `Primary cells' having any of the following at 20 [deg]C:
e.1.a.1. `Energy density' exceeding 550 Wh/kg and a `continuous
power density' exceeding 50 W/kg; or
e.1.a.2. `Energy density' exceeding 50 Wh/kg and a `continuous
power density' exceeding 350 W/kg;
e.1.b. `Secondary cells' having an `energy density' exceeding
350 Wh/kg at 20 [deg]C;
Technical Notes:
1. For the purposes of 3A001.e.1, `energy density' (Wh/kg) is
calculated from the nominal voltage multiplied by the nominal
capacity in ampere-hours (Ah) divided by the mass in kilograms. If
the nominal capacity is not stated, energy density is calculated
from the nominal voltage squared then multiplied by the discharge
duration in hours divided by the discharge load in Ohms and the mass
in kilograms.
2. For the purposes of 3A001.e.1, a `cell' is defined as an
electrochemical device, which has positive and negative electrodes,
an electrolyte, and is a source of electrical energy. It is the
basic building block of a battery.
3. For the purposes of 3A001.e.1.a, a `primary cell' is a `cell'
that is not designed to be charged by any other source.
4. For the purposes of 3A001.e.1.b, a `secondary cell' is a
`cell' that is designed to be charged by an external electrical
source.
5. For the purposes of 3A001.e.1.a, `continuous power density'
(W/kg) is calculated from the nominal voltage multiplied by the
specified maximum continuous discharge current in ampere (A) divided
by the mass in kilograms. `Continuous power density' is also
referred to as specific power.
Note: 3A001.e does not control batteries, including single-cell
batteries.
e.2. High energy storage capacitors as follows:
e.2.a. Capacitors with a repetition rate of less than 10 Hz
(single shot capacitors) and having all of the following:
e.2.a.1. A voltage rating equal to or more than 5 kV;
e.2.a.2. An energy density equal to or more than 250 J/kg; and
e.2.a.3. A total energy equal to or more than 25 kJ;
e.2.b. Capacitors with a repetition rate of 10 Hz or more
(repetition rated capacitors) and having all of the following:
e.2.b.1. A voltage rating equal to or more than 5 kV;
e.2.b.2. An energy density equal to or more than 50 J/kg;
e.2.b.3. A total energy equal to or more than 100 J; and
e.2.b.4. A charge/discharge cycle life equal to or more than
10,000;
e.3. ``Superconductive'' electromagnets and solenoids,
``specially designed'' to be fully charged or discharged in less
than one second and having all of the following:
Note: 3A001.e.3 does not control ``superconductive''
electromagnets or solenoids ``specially designed'' for Magnetic
Resonance Imaging (MRI) medical equipment.
e.3.a. Energy delivered during the discharge exceeding 10 kJ in
the first second;
e.3.b. Inner diameter of the current carrying windings of more
than 250 mm; and
e.3.c. Rated for a magnetic induction of more than 8 T or
``overall current density'' in the winding of more than 300 A/mm\2\;
e.4. Solar cells, cell-interconnect-coverglass (CIC) assemblies,
solar panels, and solar arrays, which are ``space-qualified,''
having a minimum average efficiency exceeding 20% at an operating
temperature of 301 K (28 [deg]C) under simulated `AM0' illumination
with an irradiance of 1,367 Watts per square meter (W/m\2\);
Technical Note: For the purposes of 3A001.e.4, `AM0', or `Air
Mass Zero', refers to the spectral irradiance of sun light in the
earth's outer atmosphere when the distance between the earth and sun
is one astronomical unit (AU).
f. Rotary input type absolute position encoders having an
``accuracy'' equal to or less (better) than 1.0 second of arc and
``specially designed'' encoder rings, discs or scales therefor;
g. Solid-state pulsed power switching thyristor devices and
`thyristor modules', using either electrically, optically, or
electron radiation controlled switch methods and having any of the
following:
g.1. A maximum turn-on current rate of rise (di/dt) greater than
30,000 A/[micro]s and off-state voltage greater than 1,100 V; or
[[Page 23892]]
g.2. A maximum turn-on current rate of rise (di/dt) greater than
2,000 A/[micro]s and having all of the following:
g.2.a. An off-state peak voltage equal to or greater than 3,000
V; and
g.2.b. A peak (surge) current equal to or greater than 3,000 A;
Note 1: 3A001.g. includes:
--Silicon Controlled Rectifiers (SCRs)
--Electrical Triggering Thyristors (ETTs)
--Light Triggering Thyristors (LTTs)
--Integrated Gate Commutated Thyristors (IGCTs)
--Gate Turn-off Thyristors (GTOs)
--MOS Controlled Thyristors (MCTs)
--Solidtrons
Note 2: 3A001.g does not control thyristor devices and
`thyristor modules' incorporated into equipment designed for civil
railway or ``civil aircraft'' applications.
Technical Note: For the purposes of 3A001.g, a `thyristor
module' contains one or more thyristor devices.
h. Solid-state power semiconductor switches, diodes, or
`modules', having all of the following:
h.1. Rated for a maximum operating junction temperature greater
than 488 K (215 [deg]C);
h.2. Repetitive peak off-state voltage (blocking voltage)
exceeding 300 V; and
h.3. Continuous current greater than 1 A.
Technical Note: For the purposes of 3A001.h, `modules' contain
one or more solid-state power semiconductor switches or diodes.
Note 1: Repetitive peak off-state voltage in 3A001.h includes
drain to source voltage, collector to emitter voltage, repetitive
peak reverse voltage and peak repetitive off-state blocking voltage.
Note 2: 3A001.h includes:
--Junction Field Effect Transistors (JFETs)
--Vertical Junction Field Effect Transistors (VJFETs)
--Metal Oxide Semiconductor Field Effect Transistors (MOSFETs)
--Double Diffused Metal Oxide Semiconductor Field Effect Transistor
(DMOSFET)
--Insulated Gate Bipolar Transistor (IGBT)
--High Electron Mobility Transistors (HEMTs)
--Bipolar Junction Transistors (BJTs)
--Thyristors and Silicon Controlled Rectifiers (SCRs)
--Gate Turn-Off Thyristors (GTOs)
--Emitter Turn-Off Thyristors (ETOs)
--PiN Diodes
--Schottky Diodes
Note 3: 3A001.h does not apply to switches, diodes, or
`modules', incorporated into equipment designed for civil
automobile, civil railway, or ``civil aircraft'' applications.
i. Intensity, amplitude, or phase electro-optic modulators,
designed for analog signals and having any of the following:
i.1. A maximum operating frequency of more than 10 GHz but less
than 20 GHz, an optical insertion loss equal to or less than 3 dB
and having any of the following:
i.1.a. A `half-wave voltage' (`V[pi]') less than 2.7 V when
measured at a frequency of 1 GHz or below; or
i.1.b. A `V[pi]' of less than 4 V when measured at a frequency
of more than 1 GHz; or
i.2. A maximum operating frequency equal to or greater than 20
GHz, an optical insertion loss equal to or less than 3 dB and having
any of the following:
i.2.a. A `V[pi]' less than 3.3 V when measured at a frequency of
1 GHz or below; or
i.2.b. A `V[pi]' less than 5 V when measured at a frequency of
more than 1 GHz.
Note: 3A001.i includes electro-optic modulators having optical
input and output connectors (e.g., fiber-optic pigtails).
Technical Note: For the purposes of 3A001.i, a `half-wave
voltage' (`V[pi]') is the applied voltage necessary to make a phase
change of 180 degrees in the wavelength of light propagating through
the optical modulator.
j. through y. [Reserved]
z. Any commodity described in 3A001 that meets or exceeds the
performance parameters in 3A090, as follows:
z.1. ``Monolithic Microwave Integrated Circuit'' (``MMIC'')
amplifiers described in 3A001.b.2 and discrete microwave transistors
in 3A001.b.3 that also meet or exceed the performance parameters in
ECCN 3A090, except those 3A001.b.2 and b.3 items being exported or
reexported for use in civil telecommunications applications;
z.2. Commodities that are described in 3A001.a.1.a when usable
in ``missiles'' that also meet or exceed the performance parameters
in ECCN 3A090; and to 3A001.a.5.a when ``designed or modified'' for
military use, hermetically sealed and rated for operation in the
temperature range from below -54 [deg]C to above +125 [deg]C and
that also meet or exceed the performance parameters in ECCN 3A090;
z.3. Pulse discharge capacitors described in 3A001.e.2 and
superconducting solenoidal electromagnets in 3A001.e.3 that meet or
exceed the technical parameters in 3A201.a and 3A201.b, respectively
and that also meet or exceed the performance parameters in ECCN
3A090; or
z.4. All other commodities specified in this ECCN that meet or
exceed the performance parameters of ECCN 3A090.
* * * * *
3A090 Integrated circuits as follows (see List of Items Controlled).
License Requirements
Reason for Control: RS, AT
Country Chart (see Supp. No.
Control(s) 1 to part 738)
RS applies to entire entry................ To or within destinations
specified in Country Groups
D:1, D:4,
and D:5 of supplement no. 1
to part 740
of the EAR, excluding any
destination
also specified in Country
Groups A:5 or A:6. See Sec.
742.6(a)(6)(iii) of the
EAR.
AT applies to entire entry................ AT Column 1.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
NAC/ACA: Yes, for 3A090.a, if the item is not designed or marketed
for use in datacenters and has a `total processing performance' of
4800 or more; yes, for 3A090.b, if the item is designed or marketed
for use in datacenters.
List of Items Controlled
Related Controls: (1) See ECCNs 3D001, 3E001, 5D002.z, and 5D992.z
for associated technology and software controls. (2) See ECCNs
3A001.z, 5A002.z, 5A004.z, and 5A992.z.
Related Definitions: N/A
Items:
a. Integrated circuits having one or more digital processing
units having either of the following:
a.1. A `total processing performance' of 4800 or more, or
a.2. A `total processing performance' of 1600 or more and a
`performance density' of 5.92 or more.
b. Integrated circuits having one or more digital processing
units having either of the following:
b.1. A `total processing performance' of 2400 or more and less
than 4800 and a `performance density' of 1.6 or more and less than
5.92, or
b.2. A `total processing performance' of 1600 or more and a
`performance density' of 3.2 or more and less than 5.92.
Note 1 to 3A090: Integrated circuits specified by 3A090 include
graphical processing units (GPUs), tensor processing units (TPUs),
neural processors, in-memory processors, vision processors, text
processors, co-processors/accelerators, adaptive processors, field-
programmable logic devices (FPLDs), and application-specific
integrated circuits (ASICs). Examples of integrated circuits are in
the Note to 3A001.a.
Note 2 to 3A090: 3A090 does not apply to items that are not
designed or marketed for use in datacenters and do not have a `total
processing performance' of 4800 or more. For integrated circuits
that are not designed or marketed for use in datacenters and that
have a `total processing performance' of 4800 or more, see license
exceptions NAC and ACA.
Note 3 to 3A090: For ICs that are excluded from ECCN 3A090 under
Note 2 or 3 to 3A090, those ICs are also not applicable for
classifications made under ECCNs 3A001.z, 4A003.z, 4A004.z, 4A005.z,
4A090, 5A002.z, 5A004.z, 5A992.z, 5D002.z, or 5D992.z because those
other CCL classifications are based on the incorporation of an IC
that meets the control parameters under ECCN 3A090 or otherwise
meets or exceeds the control parameters or ECCNs 3A090 or 4A090. See
the Related Controls paragraphs of 3A001.z, 4A003.z, 4A004.z,
4A005.z,
[[Page 23893]]
4A090, 5A002.z, 5A004.z, 5A992.z, 5D002.z, or 5D992.z.
Technical Notes:
1. `Total processing performance' (`TPP') is 2 x `MacTOPS' x
`bit length of the operation', aggregated over all processing units
on the integrated circuit.
a. For purposes of 3A090, `MacTOPS' is the theoretical peak
number of Tera (10\12\) operations per second for multiply-
accumulate computation (D = A x B + C).
b. The 2 in the `TPP' formula is based on industry convention of
counting one multiply-accumulate computation, D = A x B + C, as 2
operations for purpose of datasheets. Therefore, 2 x MacTOPS may
correspond to the reported TOPS or FLOPS on a datasheet.
c. For purposes of 3A090, `bit length of the operation' for a
multiply-accumulate computation is the largest bit-length of the
inputs to the multiply operation.
d. Aggregate the TPPs for each processing unit on the integrated
circuit to arrive at a total. `TPP' = TPP1 + TPP2 + . . . . + TPPn
(where n is the number or processing units on the integrated
circuit).
2. The rate of `MacTOPS' is to be calculated at its maximum
value theoretically possible. The rate of `MacTOPS' is assumed to be
the highest value the manufacturer claims in annual or brochure for
the integrated circuit. For example, the `TPP' threshold of 4800 can
be met with 600 tera integer operations (or 2 x 300 `MacTOPS') at 8
bits or 300 tera FLOPS (or 2 x 150 `MacTOPS') at 16 bits. If the IC
is designed for MAC computation with multiple bit lengths that
achieve different `TPP' values, the highest `TPP' value should be
evaluated against parameters in 3A090.
3. For integrated circuits specified by 3A090 that provide
processing of both sparse and dense matrices, the `TPP' values are
the values for processing of dense matrices (e.g., without
sparsity).
4. `Performance density' is `TPP' divided by `applicable die
area'. For purposes of 3A090, `applicable die area' is measured in
millimeters squared and includes all die area of logic dies
manufactured with a process node that uses a non-planar transistor
architecture.
* * * * *
3B001 Equipment for the manufacturing of semiconductor devices,
materials, or related equipment, as follows (see List of Items
Controlled) and ``specially designed'' ``components'' and
``accessories'' therefor.
License Requirements
Reason for Control: NS, RS, AT
Country chart (see Supp. No.
Control(s) 1 to part 738)
NS applies to 3B001.a.1 to a.3, b, e, NS Column 22.
f.1.a, f.2 to f.4, g to i.
NS applies to 3B001.a.4, c, d, f.1.b, j to To or within Macau or a
p. destination specified in
Country Group D:5 of
supplement no. 1 to part
740 of the EAR. See Sec.
742.4(a)(4) of the EAR.
RS applies to 3B001.a.4, c, d, f.1.b, j to To or within Macau or a
p. destination specified in
Country Group D:5 of
supplement no. 1 to part
740 of the EAR. See Sec.
742.6(a)(6) of the EAR.
AT applies to entire entry................ AT Column 1.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $500, except semiconductor manufacturing equipment specified in
3B001.a.4, c, d, f.1.b, j to p.
GBS: Yes, except a.3 (molecular beam epitaxial growth equipment
using gas sources), .e (automatic loading multi-chamber central
wafer handling systems only if connected to equipment controlled by
3B001.a.3, or .f), and .f (lithography equipment).
List of Items Controlled
Related Controls: See also 3B991
Related Definitions: N/A
Items:
a. Equipment designed for epitaxial growth as follows:
a.1. Equipment designed or modified to produce a layer of any
material other than silicon with a thickness uniform to less than
2.5% across a distance of 75 mm or more;
Note: 3B001.a.1 includes atomic layer epitaxy (ALE) equipment.
a.2. Metal Organic Chemical Vapor Deposition (MOCVD) reactors
designed for compound semiconductor epitaxial growth of material
having two or more of the following elements: aluminum, gallium,
indium, arsenic, phosphorus, antimony, or nitrogen;
a.3. Molecular beam epitaxial growth equipment using gas or
solid sources;
a.4. Equipment designed for silicon (Si), carbon doped silicon,
silicon germanium (SiGe), or carbon doped SiGe epitaxial growth, and
having all of the following:
a.4.a. Multiple chambers and maintaining high vacuum (equal to
or less than 0.01 Pa) or inert environment (water and oxygen partial
pressure less than 0.01 Pa) between process steps;
a.4.b. At least one preclean chamber designed to provide a
surface preparation means to clean the surface of the wafer; and
a.4.c. An epitaxial deposition operating temperature of 685
[deg]C or below;
b. Semiconductor wafer fabrication equipment designed for ion
implantation and having any of the following:
b.1. [Reserved]
b.2. Being designed and optimized to operate at a beam energy of
20 keV or more and a beam current of 10 mA or more for hydrogen,
deuterium, or helium implant;
b.3. Direct write capability;
b.4. A beam energy of 65 keV or more and a beam current of 45 mA
or more for high energy oxygen implant into a heated semiconductor
material ``substrate''; or
b.5. Being designed and optimized to operate at beam energy of
20 keV or more and a beam current of 10 mA or more for silicon
implant into a semiconductor material ``substrate'' heated to 600
[deg]C or greater;
c. Etch equipment.
c.1. Equipment designed for dry etching as follows:
c.1.a. Equipment designed or modified for isotropic dry etching,
having a largest `silicon germanium-to-silicon (SiGe:Si) etch
selectivity' of greater than or equal to 100:1; or
c.1.b. Equipment designed or modified for anisotropic etching of
dielectric materials and enabling the fabrication of high aspect
ratio features with aspect ratio greater than 30:1 and a lateral
dimension on the top surface of less than 100 nm, and having all of
the following:
c.1.b.1. Radio Frequency (RF) power source(s) with at least one
pulsed RF output; and
c.1.b.2. One or more fast gas switching valve(s) with switching
time less than 300 milliseconds; or
c.1.c. Equipment designed or modified for anisotropic dry
etching, having all of the following;
c.1.c.1. Radio Frequency (RF) power source(s) with at least one
pulsed RF output;
c.1.c.2. One or more fast gas switching valve(s) with switching
time less than 300 milliseconds; and
c.1.c.3. Electrostatic chuck with twenty or more individually
controllable variable temperature elements;
c.2. Equipment designed for wet chemical processing and having a
largest `silicon germanium-to-silicon (SiGe:Si) etch selectivity' of
greater than or equal to 100:1;
Note 1: 3B001.c includes etching by `radicals', ions, sequential
reactions, or non-sequential reaction.
Note 2: 3B001.c.1.c includes etching using RF pulse excited
plasma, pulsed duty cycle excited plasma, pulsed voltage on
electrodes modified plasma, cyclic injection and purging of gases
combined with a plasma, plasma atomic layer etching, or plasma
quasi-atomic layer etching.
Technical Notes:
1. For the purposes of 3B001.c, `silicon germanium-to-silicon
(SiGe:Si) etch selectivity' is measured for a Ge concentration of
greater than or equal to 30% (Si0.70Ge0.30).
2. For the purposes of 3B001.c Note 1 and 3B001.d.14, `radical'
is defined as an atom, molecule, or ion that has an unpaired
electron in an open electron shell configuration.
d. Semiconductor manufacturing deposition equipment, as follows:
d.1. Equipment designed for cobalt (Co) electroplating or cobalt
electroless-plating deposition processes;
[[Page 23894]]
Note: 3B001.d.1 controls semiconductor wafer processing
equipment.
d.2. Equipment designed for:
d.2.a. Chemical vapor deposition of cobalt (Co) fill metal; or
d.2.b. Selective bottom-up chemical vapor deposition of tungsten
(W) fill metal;
d.3. Equipment designed to fabricate a metal contact by
multistep processing within a single chamber by performing all of
the following:
d.3.a. Deposition of a tungsten layer, using an organometallic
compound, while maintaining the wafer substrate temperature greater
than 100 [deg]C and less than 500 [deg]C; and
d.3.b. A plasma process using hydrogen (H2),
including hydrogen and nitrogen (H2 + N2) or
ammonia (NH3);
d.4. Equipment or systems designed for multistep processing in
multiple chambers or stations and maintaining high vacuum (equal to
or less than 0.01 Pa) or inert environment between process steps, as
follows:
d.4.a. Equipment designed to fabricate a metal contact by
performing the following processes:
d.4.a.1. Surface treatment plasma process using hydrogen
(H2), including hydrogen and nitrogen (H2 +
N2) or ammonia (NH3), while maintaining the
wafer substrate at a temperature greater than 100 [deg]C and less
than 500 [deg]C;
d.4.a.2. Surface treatment plasma process using oxygen
(O2) or ozone (O3), while maintaining the
wafer substrate at a temperature greater than 40 [deg]C and less
than 500 [deg]C; and
d.4.a.3. Deposition of a tungsten layer while maintaining the
wafer substrate temperature greater than 100 [deg]C and less than
500 [deg]C;
d.4.b. Equipment designed to fabricate a metal contact by
performing the following processes:
d.4.b.1 Surface treatment process using a remote plasma
generator and an ion filter; and
d.4.b.2. Deposition of a cobalt (Co) layer selectively onto
copper (Cu) using an organometallic compound;
Note: This control does not apply to equipment that is non-
selective.
d.4.c. Equipment designed to fabricate a metal contact by
performing all the following processes:
d.4.c.1. Deposition of a titanium nitride (TiN) or tungsten
carbide (WC) layer, using an organometallic compound, while
maintaining the wafer substrate at a temperature greater than 20
[deg]C and less than 500 [deg]C;
d.4.c.2. Deposition of a cobalt (Co) layer using a physical
sputter deposition technique and having a process pressure greater
than 133.3 mPa and less than 13.33 Pa, while maintaining the wafer
substrate at a temperature below 500 [deg]C; and
d.4.c.3. Deposition of a cobalt (Co) layer using an
organometallic compound and having a process pressure greater than
133.3 Pa and less than 13.33 kPa, while maintaining the wafer
substrate at a temperature greater than 20 [deg]C and less than 500
[deg]C;
d.4.d. Equipment designed to fabricate copper (Cu) interconnects
by performing all of the following processes:
d.4.d.1. Deposition of a cobalt (Co) or ruthenium (Ru) layer
using an organometallic compound and having a process pressure
greater than 133.3 Pa and less than 13.33 kPa, while maintaining the
wafer substrate at a temperature greater than 20 [deg]C and less
than 500 [deg]C; and
d.4.d.2. Deposition of a copper layer using a physical vapor
deposition technique and having a process pressure greater than
133.3 mPa and less than 13.33 Pa, while maintaining the wafer
substrate at a temperature below 500 [deg]C;
d.5. Equipment designed for plasma enhanced chemical vapor
deposition of carbon hard masks more than 100 nm thick and with
stress less than 450 MPa;
d.6. Atomic Layer Deposition (ALD) equipment designed for area
selective deposition of a barrier or liner using an organometallic
compound;
Note: 3B001.d.6 includes equipment capable of area selective
deposition of a barrier layer to enable fill metal contact to an
underlying electrical conductor without a barrier layer at the fill
metal via interface to an underlying electrical conductor.
d.7. Equipment designed for Atomic Layer Deposition (ALD) of
tungsten (W) to fill an entire interconnect or in a channel less
than 40 nm wide, while maintaining the wafer substrate at a
temperature less than 500 [deg]C.
d.8 Equipment designed for Atomic Layer Deposition (ALD) of
`work function metal' having all of the following:
d.8.a. More than one metal source of which one is designed for
an aluminum (Al) precursor;
d.8.b. Precursor vessel designed and enabled to operate at a
temperature greater than 30 [deg]C; and
d.8.c. Designed for depositing a `work function metal' having
all of the following:
d.8.c.1. Deposition of titanium-aluminum carbide (TiAlC); and
d.8.c.2. Enabling a work function greater than 4.0eV;
Technical Note: For the purposes of 3B001.d.8, `work function
metal' is a material that controls the threshold voltage of a
transistor.
d.9. Spatial Atomic Layer Deposition (ALD) equipment having a
wafer support platform that rotates around an axis having any of the
following:
d.9.a. A spatial plasma enhanced atomic layer deposition mode of
operation;
d.9.b. A plasma source; or
d.9.c. A plasma shield or means to confine the plasma to the
plasma exposure process region;
d.10. Equipment designed for Atomic Layer Deposition (ALD) or
Chemical Vapor Deposition (CVD) of plasma enhanced of low fluorine
tungsten (FW) (fluorine (F) concentration less than 10\19\ atoms/
cm\3\) films;
d.11. Equipment designed to deposit a metal layer, in a vacuum
(equal to or less than 0.01 Pa) or inert gas environment, and having
all of the following:
d.11.a. A Chemical Vapor Deposition (CVD) or cyclic deposition
process for depositing a tungsten nitride (WN) layer, while
maintaining the wafer substrate at a temperature greater than 20
[deg]C and less than 500 [deg]C; and
d.11.b. A Chemical Vapor Deposition (CVD) or cyclic deposition
process for depositing a tungsten (W) layer having a process
pressure greater than 133.3 Pa and less than 53.33 kPa, while
maintaining the wafer substrate at a temperature greater than 20
[deg]C and less than 500 [deg]C.
d.12. Equipment designed for depositing a metal layer, in a
vacuum (equal to or less than 0.01 Pa) or inert gas environment, and
having any of the following:
d.12.a. Selective tungsten (W) growth without a barrier; or
d.12.b. Selective molybdenum (Mo) growth without a barrier;
d.13. Equipment designed for depositing a ruthenium layer (Ru)
using an organometallic compound, while maintaining the wafer
substrate at a temperature greater than 20 [deg]C and less than 500
[deg]C;
d.14. Equipment designed for deposition assisted by remotely
generated `radicals', enabling the fabrication of a silicon (Si) and
carbon (C) containing film, and having all of the following
properties of the deposited film:
d.14.a. A dielectric constant (k) of less than 5.3;
d.14.b. An aspect ratio greater than 5:1 in features with
lateral openings of less than 70 nm; and
d.14.c. A feature-to-feature pitch of less than 100 nm;
d.15. Equipment designed for void free plasma enhanced
deposition of a low-k dielectric layer in gaps between metal lines
less than 25 nm and having an aspect ratio greater than or equal to
1:1 with a less than 3.3 dielectric constant;
d.16. Equipment designed for deposition of a film, containing
silicon and carbon, and having a dielectric constant (k) of less
than 5.3, into lateral openings having widths of less than 70 nm and
aspect ratios greater than 5:1 (depth: width) and a feature-to-
feature pitch of less than 100 nm, while maintaining the wafer
substrate at a temperature greater than 400 [deg]C and less than 650
[deg]C, and having all of the following:
d.16.a. Boat designed to hold multiple vertically stacked
wafers;
d.16.b. Two or more vertical injectors; and
d.16.c. A silicon source and propene are introduced to a
different injector than a nitrogen source or an oxygen source;
e. Automatic loading multi-chamber central wafer handling
systems having all of the following:
e.1. Interfaces for wafer input and output, to which more than
two functionally different `semiconductor process tools' controlled
by 3B001.a.1, 3B001.a.2, 3B001.a.3 or 3B001.b are designed to be
connected; and
e.2. Designed to form an integrated system in a vacuum
environment for `sequential multiple wafer processing';
Note: 3B001.e does not control automatic robotic wafer handling
systems ``specially designed'' for parallel wafer processing.
Technical Notes:
1. For the purposes of 3B001.e, `semiconductor process tools'
refers to modular tools that provide physical processes for
semiconductor production that are functionally different, such as
deposition, implant or thermal processing.
[[Page 23895]]
2. For the purposes of 3B001.e, `sequential multiple wafer
processing' means the capability to process each wafer in different
`semiconductor process tools', such as by transferring each wafer
from one tool to a second tool and on to a third tool with the
automatic loading multi-chamber central wafer handling systems.
f. Lithography equipment as follows:
f.1. Align and expose step and repeat (direct step on wafer) or
step and scan (scanner) equipment for wafer processing using photo-
optical or X-ray methods and having any of the following:
f.1.a. A light source wavelength shorter than 193 nm; or
f.1.b. A light source wavelength equal to or longer than 193 nm
and having all of the following:
f.1.b.1. The capability to produce a pattern with a ``Minimum
Resolvable Feature size'' (MRF) of 45 nm or less; and
f.1.b.2. Having any of the following:
f.1.b.2.a. A maximum `dedicated chuck overlay' value of less
than or equal to 1.50 nm; or
f.1.b.2.b. A maximum `dedicated chuck overlay' value greater
than 1.50 nm but less than or equal to 2.40 nm;
Technical Notes: For the purposes of 3B001.f.1.b:
1. The `Minimum Resolvable Feature size' (MRF), i.e.,
resolution, is calculated by the following formula:
[GRAPHIC] [TIFF OMITTED] TR04AP24.002
where, for the purposes of 3.B.1.f.1.b, the K factor = 0.25 `MRF' is
also known as resolution.
2. `Dedicated chuck overlay' is the alignment accuracy of a new
pattern to an existing pattern printed on a wafer by the same
lithographic system. `Dedicated chuck overlay' is also known as
single machine overlay.
f.2. Imprint lithography equipment capable of production
features of 45 nm or less;
Note: 3B001.f.2 includes:
--Micro contact printing tools
--Hot embossing tools
--Nano-imprint lithography tools
--Step and flash imprint lithography (S-FIL) tools
f.3. Equipment ``specially designed'' for mask making having all
of the following:
f.3.a. A deflected focused electron beam, ion beam or ``laser''
beam; and
f.3.b. Having any of the following:
f.3.b.1. A Full-Width Half-Maximum (FWHM) spot size smaller than
65 nm and an image placement less than 17 nm (mean + 3 sigma); or
f.3.b.2. [Reserved]
f.3.b.3. A second-layer overlay error of less than 23 nm (mean +
3 sigma) on the mask;
f.4. Equipment designed for device processing using direct
writing methods, having all of the following:
f.4.a. A deflected focused electron beam; and
f.4.b. Having any of the following:
f.4.b.1. A minimum beam size equal to or smaller than 15 nm; or
f.4.b.2. An overlay error less than 27 nm (mean + 3 sigma);
g. Masks and reticles, designed for integrated circuits
controlled by 3A001;
h. Multi-layer masks with a phase shift layer not specified by
3B001.g and designed to be used by lithography equipment having a
light source wavelength less than 245 nm;
Note: 3B001.h. does not control multi-layer masks with a phase
shift layer designed for the fabrication of memory devices not
controlled by 3A001.
N.B.: For masks and reticles, ``specially designed'' for optical
sensors, see 6B002.
i. Imprint lithography templates designed for integrated
circuits by 3A001;
j. Mask ``substrate blanks'' with multilayer reflector structure
consisting of molybdenum and silicon, and having all of the
following:
j.1. ``Specially designed'' for ``Extreme Ultraviolet''
(``EUV'') lithography; and
j.2. Compliant with SEMI Standard P37;
k. Equipment designed for ion beam deposition or physical vapor
deposition of a multi-layer reflector for ``EUV'' masks;
l. ``EUV'' pellicles;
m. Equipment for manufacturing ``EUV'' pellicles;
n. Equipment designed for coating, depositing, baking, or
developing photoresist formulated for ``EUV'' lithography;
o. Annealing equipment, operating in a vacuum (equal to or less
than 0.01 Pa) environment, performing any of the following:
o.1. Reflow of copper (Cu) to minimize or eliminate voids or
seams in copper (Cu) metal interconnects; or
o.2. Reflow of cobalt (Co) or tungsten (W) fill metal to
minimize or eliminate voids or seams;
p. Removal and cleaning equipment as follows:
p.1. Equipment designed for removing polymeric residue and
copper oxide (CuO) film and enabling deposition of copper (Cu) metal
in a vacuum (equal to or less than 0.01 Pa) environment;
p.2. Single wafer wet cleaning equipment with surface
modification drying; or
p.3. Equipment designed for dry surface oxide removal preclean
or dry surface decontamination.
Note to 3B001.p.1 and p.3: These controls do not apply to
deposition equipment.
* * * * *
3B991 Equipment not controlled by 3B001, for the manufacture of
electronic ``parts,'' ``components,'' and materials, and ``specially
designed'' ``parts,'' ``components,'' and ``accessories'' therefor.
License Requirements
Reason for Control: AT
Country chart (see Supp. No.
Control(s) 1 to part 738)
AT applies to entire entry................ AT Column 1.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: `Sputtering' is an overlay coating process
wherein positively charged ions are accelerated by an electric field
towards the surface of a target (coating material). The kinetic
energy of the impacting ions is sufficient to cause target surface
atoms to be released and deposited on the substrate. (Note: Triode,
magnetron or radio frequency sputtering to increase adhesion of
coating and rate of deposition are ordinary modifications of the
process.)
Items:
a. Equipment ``specially designed'' for the manufacture of
electron tubes, optical elements and ``specially designed''
``parts'' and ``components'' therefor controlled by 3A001 or 3A991;
b. Equipment ``specially designed'' for the manufacture of
semiconductor devices, integrated circuits and ``electronic
assemblies'', as follows, and systems incorporating or having the
characteristics of such equipment:
Note: 3B991.b also controls equipment used or modified for use
in the manufacture of other devices, such as imaging devices,
electro-optical devices, acoustic-wave devices.
b.1. Equipment for the processing of materials for the
manufacture of devices, ``parts'' and ``components'' as specified in
the heading of 3B991.b, as follows:
Note: 3B991 does not control quartz furnace tubes, furnace
liners, paddles, boats (except ``specially designed'' caged boats),
bubblers, cassettes or crucibles ``specially designed'' for the
processing equipment controlled by 3B991.b.1.
b.1.a. Equipment for producing polycrystalline silicon and
materials controlled by 3C001;
b.1.b. Equipment ``specially designed'' for purifying or
processing III/V and II/VI semiconductor materials controlled by
3C001, 3C002, 3C003, 3C004, or 3C005 except crystal pullers, for
which see 3B991.b.1.c below;
b.1.c. Crystal pullers and furnaces, as follows:
Note: 3B991.b.1.c does not control diffusion and oxidation
furnaces.
b.1.c.1. Annealing or recrystallizing equipment other than
constant temperature furnaces employing high rates of energy
transfer capable of processing wafers at a rate exceeding 0.005 m\2\
per minute;
b.1.c.2. ``Stored program controlled'' crystal pullers having
any of the following characteristics:
b.1.c.2.a. Rechargeable without replacing the crucible
container;
b.1.c.2.b. Capable of operation at pressures above 2.5 x 10\5\
Pa; or
b.1.c.2.c. Capable of pulling crystals of a diameter exceeding
100 mm;
b.1.d. ``Stored program controlled'' equipment for epitaxial
growth having any of the following characteristics:
b.1.d.1. Capable of producing silicon layer with a thickness
uniform to less than 2.5% across a distance of 200 mm
or more;
b.1.d.2. Capable of producing a layer of any material other than
silicon with a thickness
[[Page 23896]]
uniformity across the wafer of equal to or better than
3.5%; or
b.1.d.3. Rotation of individual wafers during processing;
b.1.e. Molecular beam epitaxial growth equipment;
b.1.f. Magnetically enhanced `sputtering' equipment with
``specially designed'' integral load locks capable of transferring
wafers in an isolated vacuum environment;
b.1.g. Equipment ``specially designed'' for ion implantation,
ion-enhanced or photo-enhanced diffusion, having any of the
following characteristics:
b.1.g.1. Patterning capability;
b.1.g.2. Beam energy (accelerating voltage) exceeding 200 keV;
b.1.g.3 Optimized to operate at a beam energy (accelerating
voltage) of less than 10 keV; or
b.1.g.4. Capable of high energy oxygen implant into a heated
``substrate'';
b.1.h. ``Stored program controlled'' equipment for the selective
removal (etching) by means of anisotropic dry methods (e.g.,
plasma), as follows:
b.1.h.1. Batch types having either of the following:
b.1.h.1.a. End-point detection, other than optical emission
spectroscopy types; or
b.1.h.1.b. Reactor operational (etching) pressure of 26.66 Pa or
less;
b.1.h.2. Single wafer types having any of the following:
b.1.h.2.a. End-point detection, other than optical emission
spectroscopy types;
b.1.h.2.b. Reactor operational (etching) pressure of 26.66 Pa or
less; or
b.1.h.2.c. Cassette-to-cassette and load locks wafer handling;
Notes: 1. ``Batch types'' refers to machines not ``specially
designed'' for production processing of single wafers. Such machines
can process two or more wafers simultaneously with common process
parameters, e.g., RF power, temperature, etch gas species, flow
rates.
2. ``Single wafer types'' refers to machines ``specially
designed'' for production processing of single wafers. These
machines may use automatic wafer handling techniques to load a
single wafer into the equipment for processing. The definition
includes equipment that can load and process several wafers but
where the etching parameters, e.g., RF power or end point, can be
independently determined for each individual wafer.
b.1.i. ``Chemical vapor deposition'' (CVD) equipment, e.g.,
plasma-enhanced CVD (PECVD) or photo-enhanced CVD, for semiconductor
device manufacturing, having either of the following capabilities,
for deposition of oxides, nitrides, metals or polysilicon:
b.1.i.1. ``Chemical vapor deposition'' equipment operating below
10\5\ Pa; or
b.1.i.2. PECVD equipment operating either below 60 Pa (450
millitorr) or having automatic cassette-to-cassette and load lock
wafer handling;
Note: 3B991.b.1.i does not control low pressure ``chemical vapor
deposition'' (LPCVD) systems or reactive ``sputtering'' equipment.
b.1.j. Electron beam systems ``specially designed'' or modified
for mask making or semiconductor device processing having any of the
following characteristics:
b.1.j.1. Electrostatic beam deflection;
b.1.j.2. Shaped, non-Gaussian beam profile;
b.1.j.3. Digital-to-analog conversion rate exceeding 3 MHz;
b.1.j.4. Digital-to-analog conversion accuracy exceeding 12 bit;
or
b.1.j.5. Target-to-beam position feedback control precision of 1
micrometer or finer;
Note: 3B991.b.1.j does not control electron beam deposition
systems or general purpose scanning electron microscopes.
b.1.k. Surface finishing equipment for the processing of
semiconductor wafers as follows:
b.1.k.1. ``Specially designed'' equipment for backside
processing of wafers thinner than 100 micrometer and the subsequent
separation thereof; or
b.1.k.2. ``Specially designed'' equipment for achieving a
surface roughness of the active surface of a processed wafer with a
two-sigma value of 2 micrometer or less, total indicator reading
(TIR);
Note: 3B991.b.1.k does not control single-side lapping and
polishing equipment for wafer surface finishing.
b.1.l. Interconnection equipment which includes common single or
multiple vacuum chambers ``specially designed'' to permit the
integration of any equipment controlled by 3B991 into a complete
system;
b.1.m. ``Stored program controlled'' equipment using ``lasers''
for the repair or trimming of ``monolithic integrated circuits''
with either of the following characteristics:
b.1.m.1. Positioning accuracy less than 1
micrometer; or
b.1.m.2. Spot size (kerf width) less than 3 micrometer.
b.2. Masks, mask ``substrates,'' mask-making equipment and image
transfer equipment for the manufacture of devices, ``parts'' and
``components'' as specified in the heading of 3B991, as follows:
Note: The term ``masks'' refers to those used in electron beam
lithography, X-ray lithography, and ultraviolet lithography, as well
as the usual ultraviolet and visible photo-lithography.
b.2.a. Finished masks, reticles and designs therefor, except:
b.2.a.1. Finished masks or reticles for the production of
unembargoed integrated circuits; or
b.2.a.2. Masks or reticles, having both of the following
characteristics:
b.2.a.2.a. Their design is based on geometries of 2.5 micrometer
or more; and
b.2.a.2.b. The design does not include special features to alter
the intended use by means of production equipment or ``software'';
b.2.b. Mask ``substrates'' as follows:
b.2.b.1. Hard surface (e.g., chromium, silicon, molybdenum)
coated ``substrates'' (e.g., glass, quartz, sapphire) for the
preparation of masks having dimensions exceeding 125 mm x 125 mm; or
b.2.b.2. ``Substrates'' ``specially designed'' for X-ray masks;
b.2.c. Equipment, other than general purpose computers,
``specially designed'' for computer aided design (CAD) of
semiconductor devices or integrated circuits;
b.2.d. Equipment or machines, as follows, for mask or reticle
fabrication:
b.2.d.1. Photo-optical step and repeat cameras capable of
producing arrays larger than 100 mm x 100 mm, or capable of
producing a single exposure larger than 6 mm x 6 mm in the image
(i.e., focal) plane, or capable of producing line widths of less
than 2.5 micrometer in the photoresist on the ``substrate'';
b.2.d.2. Mask or reticle fabrication equipment using ion or
``laser'' beam lithography capable of producing line widths of less
than 2.5 micrometer; or
b.2.d.3. Equipment or holders for altering masks or reticles or
adding pellicles to remove defects;
Note: 3B991.b.2.d.1 and b.2.d.2 do not control mask fabrication
equipment using photo-optical methods which was either commercially
available before the 1st January, 1980, or has a performance no
better than such equipment.
b.2.e. ``Stored program controlled'' equipment for the
inspection of masks, reticles or pellicles with:
b.2.e.1. A resolution of 0.25 micrometer or finer; and
b.2.e.2. A precision of 0.75 micrometer or finer over a distance
in one or two coordinates of 63.5 mm or more;
Note: 3B991.b.2.e does not control general purpose scanning
electron microscopes except when ``specially designed'' and
instrumented for automatic pattern inspection.
b.2.f. Align and expose equipment for wafer production using
photo-optical or X-ray methods, e.g., lithography equipment,
including both projection image transfer equipment and step and
repeat (direct step on wafer) or step and scan (scanner) equipment,
capable of performing any of the following functions:
Note: 3B991.b.2.f does not control photo-optical contact and
proximity mask align and expose equipment or contact image transfer
equipment.
b.2.f.1. Production of a pattern size of less than 2.5
micrometer;
b.2.f.2. Alignment with a precision finer than 0.25
micrometer (3 sigma);
b.2.f.3. Machine-to-machine overlay no better than
0.3 micrometer; or
b.2.f.4. A light source wavelength shorter than 400 nm;
b.2.g. Electron beam, ion beam or X-ray equipment for projection
image transfer capable of producing patterns less than 2.5
micrometer;
Note: For focused, deflected-beam systems(direct write systems),
see 3B991.b.1.j or b.10.
b.2.h. Equipment using ``lasers'' for direct write on wafers
capable of producing patterns less than 2.5 micrometer.
b.3. Equipment for the assembly of integrated circuits, as
follows:
b.3.a. ``Stored program controlled'' die bonders having all of
the following characteristics:
b.3.a.1. ``Specially designed'' for ``hybrid integrated
circuits'';
b.3.a.2. X-Y stage positioning travel exceeding 37.5 x 37.5 mm;
and
b.3.a.3. Placement accuracy in the X-Y plane of finer than
10 micrometer;
[[Page 23897]]
b.3.b. ``Stored program controlled'' equipment for producing
multiple bonds in a single operation (e.g., beam lead bonders, chip
carrier bonders, tape bonders);
b.3.c. Semi-automatic or automatic hot cap sealers, in which the
cap is heated locally to a higher temperature than the body of the
package, ``specially designed'' for ceramic microcircuit packages
controlled by 3A001 and that have a throughput equal to or more than
one package per minute.
Note: 3B991.b.3 does not control general purpose resistance type
spot welders.
b.4. Filters for clean rooms capable of providing an air
environment of 10 or less particles of 0.3 micrometer or smaller per
0.02832 m\3\ and filter materials therefor.
* * * * *
3D001 ``Software'' ``specially designed'' for the ``development'' or
``production'' of commodities controlled by 3A001.b to 3A002.h,
3A090, or 3B (except 3B991 and 3B992).
License Requirements
Reason for Control: NS, RS, AT
Country chart (see Supp. No.
Control(s) 1 to part 738)
NS applies to ``software'' for commodities NS Column 1.
controlled by 3A001.b to 3A001.h,
3A001.z, and 3B (except 3B001.a.4, c, d,
f.1.b, j to p, 3B002.b and c).
NS applies to ``software'' for commodities To or within destinations
controlled by 3B001.a.4, c, d, f.1.b, j specified in Country Group
to p, 3B002.b and c. D:5 of supplement no. 1 to
part 740 of the EAR or
Macau. See Sec.
742.4(a)(4) of the EAR.
RS applies to ``software'' for commodities To or within destinations
controlled by 3A001.z and 3A090. specified in Country Groups
D:1, D:4, and D:5 of
supplement no. 1 to part
740 of the EAR, excluding
any destination also
specified in Country Groups
A:5 or A:6. See Sec.
742.6(a)(6)(iii) of the
EAR.
AT applies to entire entry................ AT Column 1.
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for exports
under License Exceptions, Special Comprehensive Licenses, and
Validated End-User authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: Yes, except for ``software'' ``specially designed'' for the
``development'' or ``production'' of Traveling Wave Tube Amplifiers
described in 3A001.b.8 having operating frequencies exceeding 18
GHz; or commodities specified in 3A090, 3B001.a.4, c, d, f.1.b, j to
p, and 3B002.b and c.
Note: See Sec. 740.2(a)(9)(ii) of the EAR for license exception
restrictions for ECCN 3D001 ``software'' for commodities controlled
by 3A001.z and 3A090.
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit
``software'' ``specially designed'' for the ``development'' or
``production'' of equipment specified by 3A090, 3A002.g.1,
3B001.a.4, a.2, c, d, f.1.b, j to p, or 3B002.b and c to any of the
destinations listed in Country Group A:6 (See Supplement No.1 to
part 740 of the EAR).
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items:
The list of items controlled is contained in the ECCN heading.
3D002 ``Software'' ``specially designed'' for the ``use'' of
equipment controlled by 3B001.a to .f and .j to .p, or 3B002.
License Requirements
Reason for Control: NS, RS, AT
Country chart (see Supp. No.
Control(s) 1 to part 738)
NS applies to entire entry, except NS Column 1.
``software'' for 3B001.a.4 c, d, f.1.b, j
to p, 3B002.b and c.
NS applies to ``software'' for 3B001.a.4, To or within Macau or a
c, d, f.1.b,j to p, 3B002.b and c. destination specified in
Country Group D:5 of
supplement no. 1 to part
740 of the EAR. See Sec.
742.4(a)(4) of the EAR.
RS applies to ``software'' for 3B001.a.4, To or within Macau or a
c, d, f.1.b, j to p, 3B002.b and c. destination specified in
Country Group D:5 of
supplement no. 1 to part
740 of the EAR. See Sec.
742.6(a)(6) of the EAR.
AT applies to entire entry................ AT Column 1.
License Requirements Note: See Sec. 744.17 of the EAR for
additional license requirements for microprocessors having a
processing speed of 5 GFLOPS or more and an arithmetic logic unit
with an access width of 32 bit or more, including those
incorporating ``information security'' functionality, and associated
``software'' and ``technology'' for the ``production'' or
``development'' of such microprocessors.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: Yes, except N/A for RS.
List of Items Controlled
Related Controls: Also see 3D991.
Related Definitions: N/A
Items:
The list of items controlled is contained in the ECCN heading.
* * * * *
3E001 ``Technology'' according to the General Technology Note for
the ``development'' or ``production'' of commodities controlled by
3A (except 3A980, 3A981, 3A991, 3A992, or 3A999), 3B (except 3B991
or 3B992) or 3C (except 3C992).
License Requirements
Reason for Control: NS, MT, NP, RS, AT
Country chart (see Supp. No.
Control(s) 1 to part 738)
NS applies to ``technology'' for NS Column 1.
commodities controlled by 3A001, 3A002,
3A003, 3B001 (except 3B001 a.4, c, d,
f.1.b, j to p), 3B002 (except 3B002.b and
c), or 3C001 to 3C006.
NS applies to ``technology'' for 3B001 To or within Macau or a
a.4, c, d, f.1.b, j to p, 3B002.b and c. destination specified in
Country Group D:5 of
supplement no. 1 to part
740 of the EAR. See Sec.
742.4(a)(4) of the EAR.
MT applies to ``technology'' for MT Column 1.
commodities controlled by 3A001 or 3A101
for MT Reasons.
NP applies to ``technology'' for NP Column 1.
commodities controlled by 3A001, 3A201,
or 3A225 to 3A234 for NP reasons.
RS applies to ``technology'' for Worldwide (See Sec.
commodities controlled in 3A090, when 742.6(a)(6)(ii).
exported from Macau or a destination
specified in Country Group D:5.
[[Page 23898]]
RS applies to ``technology'' for To or within destinations
commodities controlled by 3A001.z, 3A090. specified in Country Groups
D:1, D:4, and D:5 of
supplement no. 1 to part
740 of the EAR, excluding
any destination also
specified in Country Groups
A:5 or A:6. See Sec.
742.6(a)(6)(iii) of the
EAR.
RS applies to ``technology'' for To or within destinations
commodities controlled by 3B001.a.4, c, specified in Country Group
d, f.1.b, j to p, 3B002.b and c. D:5 of supplement no. 1 to
part 740 of the EAR or
Macau. See Sec.
742.6(a)(6)(i) of the EAR.
AT applies to entire entry................ AT Column 1.
License Requirements Note: See Sec. 744.17 of the EAR for
additional license requirements for microprocessors having a
processing speed of 5 GFLOPS or more and an arithmetic logic unit
with an access width of 32 bit or more, including those
incorporating ``information security'' functionality, and associated
``software'' and ``technology'' for the ``production'' or
``development'' of such microprocessors.
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for
exports under License Exceptions, Special Comprehensive Licenses,
and Validated End-User authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: Yes, except N/A for MT, and ``technology'' for the
``development'' or ``production'' of: (a) vacuum electronic device
amplifiers described in 3A001.b.8, having operating frequencies
exceeding 19 GHz; (b) solar cells, coverglass-interconnect-cells or
covered-interconnect-cells (CIC) ``assemblies'', solar arrays and/or
solar panels described in 3A001.e.4; (c) ``Monolithic Microwave
Integrated Circuit'' (``MMIC'') amplifiers in 3A001.b.2; (d)
discrete microwave transistors in 3A001.b.3; and (e) commodities
described in 3A090, 3B001.a.4, c, d, f.1.b, j to p, 3B002.b and c.
Note: See Sec. 740.2(a)(9)(ii) of the EAR for license exception
restrictions for ECCN 3E001 ``technology'' for commodities
controlled by 3A001.z, 3A090.
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit
``technology'' according to the General Technology Note for the
``development'' or ``production'' of equipment specified by ECCNs
3A002.g.1 or 3B001.a.2 to any of the destinations listed in Country
Group A:6 (See Supplement No.1 to part 740 of the EAR). License
Exception STA may not be used to ship or transmit ``technology''
according to the General Technology Note for the ``development'' or
``production'' of components specified by ECCN 3A001.b.2, b.3,
commodities specified in 3A090, 3B001.a.4, c, d, f.1.b, j to p, or
3B002.b and c, to any of the destinations listed in Country Group
A:5 or A:6 (See Supplement No.1 to part 740 of the EAR).
List of Items Controlled
Related Controls: (1) ``Technology'' according to the General
Technology Note for the ``development'' or ``production'' of certain
``space-qualified'' atomic frequency standards described in Category
XV(e)(9), MMICs described in Category XV(e)(14), and oscillators
described in Category XV(e)(15) of the USML are ``subject to the
ITAR'' (see 22 CFR parts 120 through 130). See also 3E101, 3E201 and
9E515. (2) ``Technology'' for ``development'' or ``production'' of
``Microwave Monolithic Integrated Circuits'' (``MMIC'') amplifiers
in 3A001.b.2 is controlled in this ECCN 3E001; 5E001.d refers only
to that additional ``technology'' ``required'' for
telecommunications.
Related Definition: N/A
Items:
The list of items controlled is contained in the ECCN heading.
Note 1: 3E001 does not control ``technology'' for equipment or
``components'' controlled by 3A003.
Note 2: 3E001 does not control ``technology'' for integrated
circuits controlled by 3A001.a.3 to a.14 or .z, having all of the
following:
(a) Using ``technology'' at or above 0.130 [micro]m; and
(b) Incorporating multi-layer structures with three or fewer
metal layers.
Note 3: 3E001 does not apply to `Process Design Kits' (`PDKs')
unless they include libraries implementing functions or technologies
for items specified by 3A001.
Technical Note: For the purposes of 3E001 Note 3, a `Process
Design Kit' (`PDK') is a software tool provided by a semiconductor
manufacturer to ensure that the required design practices and rules
are taken into account in order to successfully produce a specific
integrated circuit design in a specific semiconductor process, in
accordance with technological and manufacturing constraints (each
semiconductor manufacturing process has its particular `PDK').
* * * * *
4A003 ``Digital computers'', ``electronic assemblies'', and related
equipment therefor, as follows (see List of Items Controlled) and
``specially designed'' ``components'' therefor.
License Requirements
Reason for Control: NS, RS, CC, AT
Country chart (see Supp. No.
Control(s) 1 to part 738)
NS applies to 4A003.b, .c, and .z.1....... NS Column 1.
NS applies to 4A003.g, and z.2............ NS Column 2.
RS applies to 4A003.z..................... To or within destinations
specified in Country Groups
D:1, D:4, and D:5 of
supplement no. 1 to part
740 of the EAR excluding
any destination also
specified in Country Groups
A:5 or A:6. See Sec.
742.6(a)(6)(iii) of the
EAR.
CC applies to ``digital computers'' for CC Column 1.
computerized finger-print equipment.
AT applies to entire entry (refer to 4A994 AT Column 1.
for controls on ``digital computers''
with a APP >0.0128 but
