2024-19633. Commerce Control List Additions and Revisions; Implementation of Controls on Advanced Technologies Consistent With Controls Implemented by International Partners
Table 1 to Paragraph ( d )(1) Introductory Text
Last 3 digits of an ECCN Reason for control 000-099 National Security (NS). 100-199 Missile Technology (MT). 200-299 Nuclear Nonproliferation (NP). 300-399 Chemical and Biological (CB). 500-599 Firearms, “Spacecraft,” and related commodities controlled for NS and other reasons. 600-699 Wassenaar Arrangement Munitions List (WAML) or former U.S. Munitions List (USML) controlled for NS and other reasons. 900-979 Plurilateral NS and Regional Stability (RS) and other reasons. 980-989 Crime Control (CC), Short Supply (SS). 990-999 Anti-terrorism (AT), RS, United Nations Sanctions (UN). (i) Reasons for Control are not mutually exclusive and numbers are assigned in order of precedence. As an example, if an item is controlled for both National Security and Missile Technology reasons, the entry's third alphanumeric character will be a “0”. If the item is controlled only for Missile Technology the third alphanumeric character will be “1”.
(ii) The numbers in either the second or third digit ( e.g., 3A001) serve to differentiate between multilateral, plurilateral, and unilateral entries. For example, an entry with the number “99” as the second and third digit, identifies the entire entry as controlled for a unilateral concern ( e.g., 2B991 for anti-terrorism reasons). If the second digit is a “2” and the third digit is a “9”, the item is controlled for unilateral purposes based on a nuclear proliferation concern ( e.g., 2A290 is controlled for unilateral purposes based on nuclear nonproliferation concerns).
(iii) The last digit within each entry ( e.g., 3A001) is used for the sequential numbering of ECCNs to differentiate between entries on the CCL.
(iv) Last two characters in a “600 series” ECCN. The last two characters of each “600 series” ECCN generally track the Wassenaar Arrangement Munitions List (WAML) categories for the types of items at issue. The WAML ML21 (“software”) and ML22 (“technology”) are, however, included in D (“software”) and E (“technology”) CCL product groups to remain consistent with the structure of the CCL.
* * * * *PART 740—LICENSE EXCEPTIONS
5. The authority citation for part 740 continues to read as follows:
6. Section 740.2 is amended by adding paragraph (a)(22) to read as follows:
Restrictions on all License Exceptions.* * * * *(a) * * *
(22) The item being exported, reexported, or transferred (in-country) is eligible for § 740.24 and the license exception is other than IEC, TMP, RPL, GOV, or TSU, subject to the limitations in this paragraph (a)(22). License Exception IEC is available as specified in § 740.24. License Exception TMP is restricted to eligibility under the provisions of § 740.9(a)(3) and (a)(6); RPL is restricted to eligibility under the provisions of § 740.10; GOV is restricted to eligibility under the provisions of § 740.11(b); and TSU is restricted to eligibility under the provisions of § 740.13(a) and (c).
* * * * *7. Part 740 is amended by adding § 740.24 to read as follows:
Implemented Export Control (IEC).(a) Scope. License Exception Implemented Export Controls (IEC) authorizes exports, reexports, and transfers (in-country) in accordance with License Exception IEC Eligible Items and Destinations, see paragraphs (b) and (c) of this section.
(b) Eligible items and destinations. License Exception IEC authorizes specified items to be exported, reexported, or transferred (in-country) to, among, or within specified destinations, as identified for each respective item, in accordance with License Exception IEC Eligible Items and Destinations. See paragraph (c) of this section.
(c) Incorporation by reference. License Exception Implemented Export Controls (IEC) Eligible Items and Destinations, last modified August 27, 2024, is incorporated by reference into this section with the approval of the Director of the Federal Register under 5 U.S.C. 552(a) and 1 CFR part 51. This material is available for inspection at the BIS and at the National Archives and Records Administration (NARA). Contact BIS at: BIS Office of National Security Controls, phone: 202-482-0092; email: LicenseExceptionIEC@bis.doc; website: www.bis.gov. For information on the availability of this material at NARA, visit www.archives.gov/federal-register/cfr/ibr-locations or email fr.inspection@nara.gov. The material may be obtained from BIS and is available for inspection on the BIS website at https://www.bis.gov/articles/license-exceptions#license-exception-IEC.
PART 742—CONTROL POLICY—CCL BASED CONTROLS
8. The authority citation for part 742 continues to read as follows:
( print page 72938)9. Section 742.4 is amended by adding paragraphs (a)(5) and (b)(10) to read as follows:
National security.(a) * * *
(5)(i) Scope. A license is required for national security reasons to export or reexport any item subject to the EAR and specified on the Commerce Control List (supplement no. 1 to part 774) to any destination worldwide when the ECCN includes an NS license requirement that references this paragraph (a)(5) in the license requirement table of the ECCN.
(ii) Deemed export and deemed reexport exclusions. The license requirements in paragraph (a)(5)(i) of this section do not apply to deemed exports or deemed reexports of “technology” or “software” to the extent consistent with paragraphs (a)(5)(ii)(A) and (B) of this section.
(A) Grandfather Exclusion. Except for deemed exports or deemed reexports of “technology” in ECCN 3E905 to foreign persons whose most recent country of citizenship or permanent residency is a destination specified in Country Group D:1 or D:5 in supplement no. 1 to part 740 of the EAR (see GAAFET General License in supplement no. 1 to part 736 general order no. 4), the license requirements in paragraph (a)(5)(i) of this section do not apply to deemed exports or deemed reexports of “technology” or “software,” including for future advancements or versions of the same “technology” or “software,” to employees or contractors already employed by entities subject to this control as of September 6, 2024, and who are not prohibited persons under part 744 of the EAR, e.g., not listed on the Entity List (supplement no. 4 to part 744), Unverified List (supplement no.6 to part 744), Military End-User List (supplement no. 7 to part 744) or listed on the Denied Persons List ( https://www.bis.doc.gov). For purposes of this paragraph (a)(5)(ii), the employee need not be a permanent and regular employee as that term is defined in § 734.20(d), e.g., they may be newly hired.
(B) Deemed export and deemed reexport exclusion —(i) Limited exclusion. There is a limited deemed export or deemed reexport exclusion from the license requirements in this paragraph (a)(5)(i) of this section for the following “software” or “technology” ECCNs unless for foreign persons whose most recent citizenship or permanent residency is a destination specified in Country Group D:1 or D:5: ECCNs 2D910; 2E910; 3D001 (“software” for “EUV” masks and reticles in ECCN 3B001.q); 3D901 (for “software” for quantum items in ECCNs 3A901.b and 3B904 and for scanning electron microscopes (SEM) in ECCN 3B903); 3D907 “software” designed to extract “GDSII” or equivalent data; 3E001 (“technology” for “EUV” masks and reticles in ECCN 3B001.q); and 3E901 (for “technology” for quantum items in 3A901, 3A904, 3B904, 3C907, 3C908, and 3C909, and for SEMs in ECCN 3B903); 3E905 (“technology” according to the General Technology Note for the “development” or “production” of integrated circuits or devices, using “Gate all-around Field-Effect Transistor” (“GAAFET”) structures); and “technology” (for quantum items in ECCNs 4D906 or 4E906).
(ii) Full exclusion. There is a full deemed export or deemed reexport exclusion from the license requirement in this paragraph (a)(5)(i) for “technology” and “software” in ECCNs 3D001, 3D002, and 3E001 for anisotropic dry plasma etch equipment and isotropic dry etch equipment in 3B001.c.1.a and c.1.c.
(b) * * *
(10) License review policy for items specified in paragraph (a)(5). License applications to export or reexport items described in paragraph (a)(5)(i) of this section to destinations specified in Country Group A:1, A:5, and A:6, see supplement no. 1 to part 740 of the EAR, will be reviewed with a presumption of approval. License applications to export or reexport items described in paragraph (a)(5)(i) of this section to destinations specified in Country Groups D:1 or D:5 of supplement no. 1 to part 740 of the EAR will be reviewed under a presumption of denial. License applications to export or reexport items described in paragraph (a)(5)(i) of this section to any other destination will be reviewed on a case-by-case basis, unless subject to a more restrictive NS policy in this section.
* * * * *10. Section 742.6 is amended by adding paragraphs (a)(10) and (b)(11), to read as follows:
Regional stability.(a) * * *
(10)(i) Scope. A license is required for regional stability reasons to export or reexport any item subject to the EAR and listed on the Commerce Control List (supplement no. 1 to part 774) to any destination worldwide when the ECCN includes an RS license requirement that references this (a)(10) paragraph in the license requirement table.
(ii) Deemed export and deemed reexport exclusions. The license requirements in paragraph (a)(10)(i) of this section do not apply to deemed exports or deemed reexports to the extent consistent with paragraphs (a)(10)(ii)(A) and (B) of this section.
(A) Grandfather clause. Except for deemed exports or deemed reexports of “technology” in ECCN 3E905 to foreign persons whose most recent country of citizenship or permanent residency is a destination specified in Country Group D:1 or D:5 in supplement no. 1 to part 740 of the EAR (see GAAFET General License in supplement no. 1 to part 736 general order no. 4), the license requirements in paragraph (a)(10)(i) of this section do not apply to deemed exports or deemed reexports of “technology” or “software,” including for future advancements or versions of the same “technology” or “software,” to employees or contractors already employed by entities subject to this control as of September 6, 2024, and who are not prohibited persons under part 744 of the EAR, e.g., not listed on the Entity List (supplement no. 4 to part 744), Unverified List (supplement no.6 to part 744), Military End-User List (supplement no. 7 to part 744) or listed on the Denied Persons List ( https://www.bis.doc.gov). For purposes of this paragraph (a)(10)(ii), the employee need not be a permanent and regular employee as that term is defined in § 734.20(d), e.g., they may be newly hired.
(B) Deemed export and deemed reexport exclusion —( 1) Limited exclusion. There is a limited deemed export or deemed reexport exclusion from the license requirements in paragraph (a)(10)(i) of this section for the following “software” or “technology” ECCNs, unless for foreign persons whose most recent citizenship or permanent residency is a destination specified in Country Group D:1 or D:5: 2D910; 2E910;3D001 (“software” for “EUV” masks and reticles in ECCN 3B001. q); 3D901 (for “software” for quantum items in ECCNs 3A901.b, 3B904 and scanning electron microscopes (SEM) in ECCN 3B903); 3D907 “software” designed to extract “GDSII” or equivalent data; 3E001 (“technology” for “EUV” masks and reticles in ECCN 3B001.q), 3E901 (for “technology for quantum items in 3A901, 3A904, 3B904, 3C907, 3C908, and 3C909, and for SEMs in ECCN 3B903); 3E905 (“technology” according to the General Technology Note for the “development” or “production” of integrated circuits or devices, using “Gate all-around Field-Effect Transistor” (“GAAFET”) structures); and “technology” for quantum items in ECCNs 4D906 or 4E906. ( print page 72939)
( 2) Full exclusion. There is a full deemed export and reexport exclusion in § 742.6(a)(6)(iv) that conveys to the license requirement in this paragraph (a)(10) for “technology” and “software” in ECCNs 3D001, 3D002, and 3E001 for anisotropic dry plasma etch equipment and isotropic dry etch equipment in 3B001.c.1.a and c.1.c.
(b) * * *
(11) License review policy for items specified in paragraph (a)(10). License applications to export or reexport items described in paragraph (a)(10) of this section to destinations specified in Country Group A:1, A:5, and A:6, see supplement no. 1 to part 740 of the EAR, will be reviewed with a presumption of approval. License applications to export or reexport items described in paragraph (a)(10) of this section to destinations specified in Country Groups D:1 or D:5 of supplement no. 1 to part 740 of the EAR will be reviewed under a presumption of denial. License applications to export or reexport items described in paragraph (a)(10) of this section to any other destination will be reviewed on a case-by-case basis, unless subject to a more restrictive RS policy in this section.
* * * * *PART 743—SPECIAL REPORTING AND NOTIFICATION
11. The authority citation for part 743 continues to read as follows:
12. Part 743 is amended by adding sections 743.7 and 743.8, to read as follows:
Reporting on GAAFET General License.(a) Transactions to be reported. (1) Annual Reports. Annual reports are required for any export, reexport, or transfer (in-country) of “technology” specified in ECCN 3E905 that is not authorized by an individual validated license but is authorized pursuant to the GAAFET General License in General Order No. 6 paragraph (f)(1) or (f)(2) in supplement no. 1 to part 736 of the EAR.
(2) Termination reports. Companies that use the GAAFET General License for deemed exports and reexports to current employees of “technology” specified in ECCN 3E905 must report to BIS the voluntary or involuntary termination of employment of foreign person employees whose most recent country of citizenship or permanent residency is a destination specified in Country Group D:1 or D:5 within 30 days of termination.
(b) Party responsible for reporting. The entity who exported or reexported the items must ensure the reports required by this section are submitted to BIS.
(c) Information to be included in the reports —(1) Annual report information. The annual report must include the following:
(A) Description of the “technology”;
(B) All parties, including name and address, involved in the collaboration; and
(C) End item of the “technology,” including a description and ECCN of the end item (if known).
(2) Termination report information. The termination report must include the following:
(A) Name of foreign person;
(B) Name of host company;
(C) If they are leaving the United States to go to a destination specified in Country Group D:1 or D:5 (if known); and
(D) If they are leaving to change employers within the United States.
(d) Annual reporting requirement. (1) You must submit the first report on November 5, 2024 subject to the provisions of this section. The report must be labeled with the exporting company's name and address at the top of each page and must include all the information specified in paragraph (c) of this section. The annual report shall cover collaboration occurring during the time between September 6, 2024 and October 28, 2024. Thereafter, reports are due according to the provisions of paragraph (d)(2) of this section.
(2) Annual reports for the reporting period ending December 31 must be received by BIS no later than February 1.
(e) Where to submit GAAFET General License reports —Report may be emailed to EAR.Reports@bis.doc.gov and must include “Annual report for GAAFET General License” or “Termination report for GAAFET General License” in the subject line, whichever is appropriate.
(f) Contacts. General information concerning the GAAFET General License report is available from the Office of National Security Controls, Tel. (202) 482-0092, or Email: EAR.Reports@bis.doc.gov.
Reporting on quantum deemed exports and deemed reexports.(a) Requirement. A report must be submitted to BIS in accordance with this section for the deemed export or deemed reexport under General License in General Order no. 6 in paragraph (f)(3) of supplement no. 1 to part 736 of the EAR to foreign person employees whose most recent country of citizenship or permanent residency is a destination specified in Country Group D:1 or D:5 of quantum “software” or “technology” specified in the following ECCNs: 3D901 (for 3A901.b, 3B904), 3E901 (for 3A901, 3A904, 3B904, 3C907, 3C908, 3C909), 4D906, or 4E906.
(b) Party responsible for reporting. The entity who released the specified “software” or “technology” must ensure the reports required by this section are properly submitted to BIS.
(c) Information to be included in the reports. The report must include the following:
(1) The name, address and point of contact of the entity that made the release;
(2) Description of the “software” or “technology;”
(3) Foreign person information, including all the information that would be provided in a deemed export license application, see guidelines for deemed export license applications under the learn and support tab of the BIS website at www.bis.gov;
(4) End item of the “technology” or “software” including a description and ECCN of the end item (if known); and
(5) The exporting company's name and address must appear at the top of each page.
(d) Annual reporting requirement. (1) You must submit the first report on November 5, 2024 subject to the provisions of this section. The report shall cover any releases during the time between September 6, 2024 and October 28, 2024. Thereafter, reports are due according to the provisions of paragraph (d)(2) of this section.
(2) Reports for the reporting period ending December 31 must be received by BIS no later than February 1.
(e) Termination reporting. When a foreign person, who has had access to “software” or “technology” identified in paragraph (a) of this section, leaves your employment or academic institution, you must report the name, host company or university, and if known, if they are leaving the United States to go be employed in a destination specified in Country Group D;1 or D:5 or if they are leaving to change employer or university within the United States. This report is due within 30 days of the foreign person's last day with the host company or university.
(f) Where to submit Quantum General License reports —Report may be emailed to EAR.Reports@bis.doc.gov and must include “Quantum General License Report” in the subject line. ( print page 72940)
(g) Contacts. General information concerning the “Quantum General License Report” is available from the Office of National Security Controls, Tel. (202) 482-0092, or Email: EAR.Reports@bis.doc.gov.
PART 772—DEFINITIONS OF TERMS
13. The authority citation for part 772 continues to read as follows:
14. Section 772.1 is amended by adding in alphabetic order the definition for “GDSII” to read as follows:
Definitions of terms as used in the Export Administration Regulations (EAR).* * * * *GDSII (“Graphic Design System II ”) (Cat 3) is a database file format for data exchange of integrated circuit artwork or integrated circuit layout artwork.
* * * * *PART 774—[AMENDED]
15. The authority citation for part 774 continues to read as follows:
16. Supplement no. 1 to part 774 is amended by:
a. Adding ECCNs 2B910, 2D910;
b. Revising ECCN 2E003;
c. Adding ECCNs 2E903 and 2E910;
d. Revising Notes 1 and 2 and a Nota Bene in Category 3, Product Group A;
e. Revising ECCN 3A001;
f. Adding ECCNs 3A901 and 3A904;
g. Revising ECCN 3B001;
h. Adding ECCNs 3B903 and 3B904;
i. Revising ECCN 3C001;
j. Adding ECCNs 3C907, 3C908, and 3C909;
k. Revising ECCNs 3D001 and 3D002;
l. Adding ECCNs 3D901 and 3D907;
m. Adding a Note and a Technical Note to Category 3 to Product Group E;
n. Revising ECCN 3E001;
o. Adding ECCNs 3E901, 3E905 and 4A906;
p. Revising ECCNs 4D001;
q. Adding ECCN 4D906;
r. Revising ECCN 4E001; and
s. Adding ECCN 4E906.
The additions and revision read as follows:
Supplement No. 1 to Part 774—The Commerce Control List
* * * * *2B910 Additive manufacturing equipment, designed to produce metal or metal alloy components, having all of the following (see List of Items Controlled), and “specially designed” “components” therefor.
License Requirements
Reason for Control: NS, RS, AT
Control(s) Country chart (see Supp. No. 1 to part 738) NS applies to entire entry Worldwide control. See § 742.4(a)(5) and (b)(10) of the EAR. RS applies to entire entry Worldwide control. See § 742.6(a)(10) and (b)(11) 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
IEC: Yes, see § 740.2(a)(22) and § 740.24 of the EAR.
Special Conditions for STA
STA: License Exception STA may not be used to ship any item in this ECCN 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: For related “technology” see ECCN 2E910.
Related Definitions: N/A
Items:
a. Having at least one of the following consolidation sources:
a.1. “Laser”;
a.2. Electron beam; or
a.3. Electric arc;
b. Having a controlled process atmosphere of any of the following:
b.1. Inert gas; or
b.2. Vacuum (equal to or less than 100 Pa);
c. Having any of the following `in-process monitoring' equipment in a `co-axial configuration' or `paraxial configuration':
c.1. Imaging camera with a peak response in the wavelength range exceeding 380 nm but not exceeding 14,000 nm;
c.2. Pyrometer designed to measure temperatures greater than 1,273.15K (1,000 °C); or
c.3. Radiometer or spectrometer with a peak response in the wavelength range exceeding 380 nm but not exceeding 3,000 nm; and
d. A closed loop control system designed to modify the consolidation source parameters, build path, or equipment settings during the build cycle in response to feedback from `in-process monitoring' equipment specified in 2B010.c.
Technical Notes: For the purposes of 2B910:
1. `In-process monitoring', also known as in-situ process monitoring, pertains to the observation and measurement of the additive manufacturing process including electromagnetic, or thermal, emissions from the melt pool.
2. `Co-axial configuration', also known as on-axis or inline configuration, pertains to one or more sensors that are mounted in an optical path shared by the “laser” consolidation source.
3. `Paraxial configuration' pertains to one or more sensors that are physically mounted onto or integrated into the “laser”, electron beam, or electric arc consolidation source component.
4. For both `co-axial configuration' and `paraxial configuration', the field of view of the sensor(s) is fixed to the moving reference frame of the consolidation source and moves in the same scan trajectories of the consolidation source throughout the build process.
* * * * *2D910 “Software”, not specified elsewhere, “specially designed” or modified for the “development” or “production” of equipment specified in ECCN 2B910.
License Requirements
Reason for Control: NS, RS, AT
Control(s) Country chart (see Supp. No. 1 to part 738) NS applies to entire entry Worldwide control. See § 742.4(a)(5) and (b)(10) of the EAR. RS applies to entire entry Worldwide control. See § 742.6(a)(10) and (b)(11) 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)
TSR: N/A
IEC: Yes, see § 740.2(a)(22) and § 740.24 of the EAR.
Special Conditions for STA
STA: License Exception STA may not be used to ship any item in this ECCN 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: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
* * * * *2E003 Other “technology”, as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, AT
Control(s) Country chart (see Supp. No. 1 to part 738) NS applies to entire entry NS Column 1. AT applies to entire entry AT Column 1. List Based License Exceptions (See Part 740 for a Description of All License Exceptions)
TSR: Yes, except 2E003.b, .e and .f ( print page 72941)
List of Items Controlled
Related Controls: (1) See 2E001, 2E002, and 2E101 for “development” and “use” technology for equipment that are designed or modified for densification of carbon-carbon composites, structural composite rocket nozzles and reentry vehicle nose tips. (2) See 2E903 for “technology”, not specified elsewhere, for the “development” or “production” of coating systems (as defined in 2E903).
Related Definitions: N/A
Items:
a. [Reserved]
b. “Technology” for metal-working manufacturing processes, as follows:
b.1. “Technology” for the design of tools, dies or fixtures “specially designed” for any of the following processes:
b.1.a. “Superplastic forming”;
b.1.b. “Diffusion bonding”; or
b.1.c. 'Direct-acting hydraulic pressing';
b.2. [Reserved]
N.B.: For “technology” for metal-working manufacturing processes for gas turbine engines and components, see 9E003 and USML Category XIX.
Technical Note: For the purposes of 2E003.b.1.c, 'direct-acting hydraulic pressing' is a deformation process which uses a fluid-filled flexible bladder in direct contact with the workpiece.
c. “Technology” for the “development” or “production” of hydraulic stretch-forming machines and dies therefor, for the manufacture of airframe structures;
d. [Reserved]
e. “Technology” for the “development” of integration “software” for incorporation of expert systems for advanced decision support of shop floor operations into “numerical control” units;
f. “Technology” for the application of inorganic overlay coatings or inorganic surface modification coatings (specified in column 3 of the following table) to non-electronic substrates (specified in column 2 of the following table), by processes specified in column 1 of the following table and defined in the Technical Note.
* * * * *2E903 “Technology”, not specified elsewhere, for the “development” or “production” of `coating systems' having all of the following: (see List of Items Controlled).
License Requirements
Reason for Control: NS, RS, AT
Control(s) Country chart (see Supp. No. 1 to part 738) NS applies to entire entry Worldwide control. See § 742.4(a)(5) and (b)(10) of the EAR. RS applies to entire entry Worldwide control. See § 742.6(a)(10) and (b)(11) 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)
TSR: N/A
IEC: Yes, see § 740.2(a)(22) and § 740.24 of the EAR.
Special Conditions for STA
STA: License Exception STA may not be used to ship any item in this ECCN 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: N/A
Related Definitions: N/A
Items:
a. Designed to protect ceramic “matrix” “composite” materials specified by ECCN 1C007 from corrosion; and
b. Designed to operate at temperatures exceeding 1,373.15 K (1,100 °C).
Technical Note: For the purposes of 2E903, `coating systems' consist of one or more layers (e.g., bond, interlayer, top coat) of material deposited on the substrate.
* * * * *2E910 “Technology”, not specified elsewhere, “specially designed” or modified for the “development” or “production” of equipment specified in ECCN 2B910.
License Requirements
Reason for Control: NS, RS, AT
Control(s) Country chart (see Supp. No. 1 to part 738) NS applies to entire entry Worldwide control. See § 742.4(a)(5) and (b)(10) of the EAR. RS applies to entire entry Worldwide control. See § 742.6(a)(10) and (b)(11) 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)
TSR: N/A
IEC: Yes, see § 740.2(a)(22) and § 740.24 of the EAR.
Special Conditions for STA
STA: License Exception STA may not be used to ship any item in this ECCN 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: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
* * * * *Category 3—Electronics
A. “End Items,” “Equipment,” “Accessories,” “Attachments,” “Parts,” “Components,” and “Systems”
Note 1: The control status of equipment and “components” described in 3A001(other than those described in 3A001.a.3 to 3A001.a.10, 3A001.a.12 to 3A001.a.14, 3A001.b.12, or 3A001.z), 3A002, 3A901, which are “specially designed” for or which have the same functional characteristics as other equipment is determined by the control status of the other equipment.
Note 2: The control status of integrated circuits described in 3A001.a.3 to 3A001.a.9, 3A001.a.12 to 3A001.a.14, 3A001.z or 3A901 that are unalterably programmed or designed for a specific function for other equipment is determined by the control status of the other equipment.
N.B.: When the manufacturer or applicant cannot determine the control status of the other equipment, the control status of the integrated circuits is determined in 3A001.a.3 to 3A001.a.9, or 3A001.a.12 to 3A001.a.14, 3A001.z and 3A901.
* * * * *3A001 Electronic items as follows (see List of Items Controlled).
Reason for Control: NS, RS, MT, NP, AT
( print page 72942)Control(s) Country chart (see Supp. No. 1 to part 738) NS applies to “Monolithic Microwave 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 Column 1. NS applies to entire entry NS Column 2. RS applies “Monolithic Microwave 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 Column 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 § 742.6(a)(6)(iii) of the EAR. MT applies to 3A001.a.1.a when usable in “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 °C to above +125 °C; and 3A001.z.2 MT Column 1. NP applies to pulse discharge capacitors 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 NP Column 1. AT applies to entire entry AT Column 1. Reporting Requirements: See § 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 § 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 § 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,' `transmit modules,' or `MMICs' “subject to the ITAR.” (2) See also 3A090, 3A101, 3A201, 3A611, 3A901 for cryogenic CMOS integrated circuits and parametric signal amplifiers or quantum limited amplifiers not controlled by 3A001, 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 × 103 Gy(Si) = 5 × 105 Rads (Si); 5 × 106 Gy (Si)/s = 5 × 108 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 × 103 Gy (Si), or higher;
a.1.b. A dose rate upset of 5 × 106 Gy (Si)/s, or higher; or
a.1.c. A fluence (integrated flux) of neutrons (1 MeV equivalent) of 5 × 1013 n/cm2 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 °C);
a.2.b. Rated for operation at an ambient temperature below 218 K (−55 °C); or
a.2.c. Rated for operation over the entire ambient temperature range from 218 K (−55 °C) to 398 K (+125 °C);
N.B.: For cryogenic CMOS integrated circuits not specified by 3A001.a.2, see 3A901.a.
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 2nlevels.
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. ( print page 72943)
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. [Reserved];
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 500m 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 2nlevels.
2. The resolution of the ADC is the number of bits of the digital output of the ADC that 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.
N.B.: For parametric signal amplifiers or Quantum-limited amplifiers (QLAs) not specified by 3A001.b, see ECCN 3A901.b.
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 ( print page 72944) emission current density at rated operating conditions exceeding 5 A/cm2 or a pulsed (non-continuous) current density at rated operating conditions exceeding 10 A/cm2 ;
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 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;
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 ( print page 72945) 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 cm3 ;
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 cm3 /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 cm3 /W = 200 cm3 .
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 + 20log10 F − 20log10 f) anywhere within the range of 10 Hz ≤ F ≤ 10 kHz;
Technical Note: For the purposes of 3A001.b.10, F is the offset from the operating frequency in Hz and f is the operating frequency in MHz.
b.11. `Frequency synthesizer' “electronic assemblies” having a “frequency switching time” as specified by any of the following:
b.11.a. Less than 143 ps;
b.11.b. Less than 100 µs for any frequency change exceeding 2.2 GHz within the synthesized frequency range exceeding 4.8 GHz but not exceeding 31.8 GHz;
b.11.c. [Reserved]
b.11.d. Less than 500 µs for any frequency change exceeding 550 MHz within the synthesized frequency range exceeding 31.8 GHz but not exceeding 37 GHz;
b.11.e. Less than 100 µs for any frequency change exceeding 2.2 GHz within the synthesized frequency range exceeding 37 GHz but not exceeding 75 GHz;
b.11.f. Less than 100 µs for any frequency change exceeding 5.0 GHz within the synthesized frequency range exceeding 75 GHz but not exceeding 90 GHz; or
b.11.g. Less than 1 ms within the synthesized frequency range exceeding 90 GHz;
Technical Note: For the purposes of 3A001.b.11, a `frequency synthesizer' is any kind of frequency source, regardless of the actual technique used, providing a multiplicity of simultaneous or alternative output frequencies, from one or more outputs, controlled by, derived from or disciplined by a lesser number of standard (or master) frequencies.
N.B.: For general purpose “signal analyzers”, signal generators, network analyzers and microwave test receivers, see 3A002.c, 3A002.d, 3A002.e and 3A002.f, respectively.
b.12. `Transmit/receive modules,' `transmit/receive MMICs,' `transmit modules,' and `transmit MMICs,' rated for operation at frequencies above 2.7 GHz and having all of the following:
b.12.a. A peak saturated power output (in watts), Psat, greater than 505.62 divided by the maximum operating frequency (in GHz) squared [Psat >505.62 W*GHz2 /fGHz2 ] 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 ≤ 15cm*GHz*N/fGHz] where N is the number of transmit or transmit/receive channels; and
b.12.d. An electronically variable phase shifter per channel;
Technical Notes: For the purposes of 3A001.b.12:
1. A `transmit/receive module' is a multifunction “electronic assembly” that provides bi-directional amplitude and phase control for transmission and reception of signals.
2. A `transmit module' is an “electronic assembly” that provides amplitude and phase control for transmission of signals.
3. A `transmit/receive MMIC' is a multifunction “MMIC ” that provides bi-directional amplitude and phase control for transmission and reception of signals.
4. A `transmit MMIC' is a “MMIC ” that provides amplitude and phase control for transmission of signals.
5. 2.7 GHz should be used as the lowest operating frequency (fGHz) in the formula in 3A001.b.12.c for transmit/receive or transmit modules that have a rated operation range extending downward to 2.7 GHz and below [d≤15cm*GHz*N/2.7 GHz].
6. 3A001.b.12 applies to `transmit/receive modules' or `transmit modules' with or without a heat sink. The value of d in 3A001.b.12.c does not include any portion of the `transmit/receive module' or `transmit module' that functions as a heat sink.
7. `Transmit/receive modules' or `transmit modules,' `transmit/receive MMICs' or `transmit MMICs' may or may not have N integrated radiating antenna elements where N is the number of transmit or transmit/receive channels.
c. Acoustic wave devices as follows and “specially designed” “components” therefor:
c.1. Surface acoustic wave and surface skimming (shallow bulk) acoustic wave devices, having any of the following:
c.1.a. A carrier frequency exceeding 6 GHz;
c.1.b. A carrier frequency exceeding 1 GHz, but not exceeding 6 GHz and having any of the following:
c.1.b.1. A `frequency side-lobe rejection' exceeding 65 dB;
c.1.b.2. A product of the maximum delay time and the bandwidth (time in µs and bandwidth in MHz) of more than 100;
c.1.b.3. A bandwidth greater than 250 MHz; or
c.1.b.4. A dispersive delay of more than 10 µs; or
c.1.c. A carrier frequency of 1 GHz or less and having any of the following:
c.1.c.1. A product of the maximum delay time and the bandwidth (time in μs and bandwidth in MHz) of more than 100;
c.1.c.2. A dispersive delay of more than 10 μs; or
c.1.c.3. A `frequency side-lobe rejection' exceeding 65 dB and a bandwidth greater than 100 MHz; ( print page 72946)
Technical Note: For the purposes of 3A001.c.1, `frequency side-lobe rejection' is the maximum rejection value specified in data sheet.
c.2. Bulk (volume) acoustic wave devices that permit the direct processing of signals at frequencies exceeding 6 GHz;
c.3. Acoustic-optic “signal processing” devices employing interaction between acoustic waves (bulk wave or surface wave) and light waves that permit the direct processing of signals or images, including spectral analysis, correlation or convolution;
Note: 3A001.c does not control acoustic wave devices that are limited to a single band pass, low pass, high pass or notch filtering, or resonating function.
d. Electronic devices and circuits containing “components,” manufactured from “superconductive” materials, “specially designed” for operation at temperatures below the “critical temperature” of at least one of the “superconductive” constituents and having any of the following:
d.1. Current switching for digital circuits using “superconductive” gates with a product of delay time per gate (in seconds) and power dissipation per gate (in watts) of less than 10−14 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 °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 °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/mm2 ;
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 °C) under simulated `AM0' illumination with an irradiance of 1,367 Watts per square meter (W/m2 );
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/µs and off-state voltage greater than 1,100 V; or
g.2. A maximum turn-on current rate of rise (di/dt) greater than 2,000 A/µs 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 °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' (`Vπ') less than 2.7 V when measured at a frequency of 1 GHz or below; or
i.1.b. A `Vπ' 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 `Vπ' less than 3.3 V when measured at a frequency of 1 GHz or below; or
i.2.b. A `Vπ' less than 5 V when measured at a frequency of more than 1 GHz. ( print page 72947)
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' (`Vπ') 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 °C to above +125 °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.
* * * * *3A901 Electronic items, not specified by ECCN 3A001, as follows (see List of Items Controlled).
Reason for Control: NS, RS, AT
Control(s) Country chart (see Supp. No. 1 to part 738) NS applies to entire entry Worldwide control. See § 742.4(a)(5) and (b)(10) of the EAR. RS applies to entire entry Worldwide control. See § 742.6(a)(10) and (b)(11) 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
IEC: Yes, see § 740.2(a)(22) and § 740.24 of the EAR.
Special Conditions for STA
STA: License Exception STA may not be used to ship any item in this ECCN 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: For related “software” see ECCN 3D901 and for “technology” see ECCN 3E901.
Related Definitions: N/A
Items:
a. Complementary Metal Oxide Semiconductor (CMOS) integrated circuits, not specified by 3A001.a.2, designed to operate at an ambient temperature equal to or less (better) than 4.5 K (−268.65 °C).
Technical Note: For the purposes of 3A901.a, CMOS integrated circuits are also referred to as cryogenic CMOS or cryo-CMOS.
b. Parametric signal amplifiers having all of the following:
b.1. Designed for operation at an ambient temperature below 1 K (−272.15 °C);
b.2. Designed for operation at any frequency from 2 GHz up to and including 15 GHz; and
b.3. A noise figure less (better) than 0.015 dB at any frequency from 2 GHz up to and including 15 GHz at 1 K (−272.15 °C).
Note: For the purposes of 3A901.b, parametric signal amplifiers include Travelling Wave Parametric Amplifiers (TWPAs).
Technical Note: For the purposes of 3A901.b, parametric signal amplifiers may also be referred to as Quantum-limited amplifiers (QLAs).
* * * * *3A904 Cryogenic cooling systems and components, as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, RS, AT
Control(s) Country chart (see Supp. No. 1 to part 738) NS applies to entire entry Worldwide control. See § 742.4(a)(5) and (b)(10) of the EAR. RS applies to the entire entry Worldwide control. See § 742.6(a)(10) and (b)(11) 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
IEC: Yes, see § 740.2(a)(22) and § 740.24 of the EAR.
Special Conditions for STA
STA: License Exception STA may not be used to ship any item in this ECCN 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: See ECCN 3E901 for related technology controls for the “development” or “production” of this ECCN.
Related Definitions: N/A
Items:
a. Systems rated to provide a cooling power greater than or equal to 600 μW at or below a temperature of 0.1 K (−273.05 °C) for a period of greater than 48 hours;
b. Two-stage pulse tube cryocoolers rated to maintain a temperature below 4 K (−269.15 °C) and provide a cooling power greater than or equal to 1.5 W at or below a temperature of 4.2 K (−268.95 °C).
* * * * *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
Control(s) Country chart (see Supp. No. 1 to part 738) NS applies to 3B001.c.1.a, 3B001.c.1.c, and 3B001.q Worldwide control. See § 742.4(a)(5) and (b)(10) of the EAR. RS applies to 3B001.c.1.a, 3B001.c.1.c, and 3B001.q Worldwide control. See § 742.6(a)(10) and (b)(11) of the EAR. NS applies to 3B001.a.1 to a.3, b, e, f.1.a, f.2 to f.4, g to i NS Column 2 NS applies to 3B001.a.4, c, d, f.1.b, j to p To or within Macau or a destination specified in Country Group D:5 of supplement no. 1 to part 740 of the EAR. See § 742.4(a)(4) of the EAR. RS applies to 3B001.a.4, c, d, f.1.b, j to p To or within Macau or a destination specified in Country Group D:5 of supplement no. 1 to part 740 of the EAR. See § 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), c.1.a (Equipment designed or modified for isotropic dry etching), c.1.c (Equipment designed or modified for anisotropic dry etching), .e (automatic loading multi-chamber central wafer handling systems only if connected to equipment controlled by 3B001.a.3, or .f), .f (lithography equipment) and .q (“EUV” masks and reticles designed for integrated circuits, not specified by 3B001.g, and having a mask “substrate blank” specified by 3B001.j).
IEC: Yes for 3B001.c.1.a, c.1.c, and .q, see § 740.2(a)(22) and § 740.24 of the EAR.
Special Conditions for STA
STA: License Exception STA may not be used to ship 3B001.c.1.a, c.1.c, or .q 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: See also 3B903 and 3B991
Related Definitions: N/A
Items:
a. Equipment designed for epitaxial growth as follows: ( print page 72948)
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 °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 10mA or more for silicon implant into a semiconductor material “substrate” heated to 600 °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% (Si0.70 Ge0.30).
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;
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 °C and less than 500 °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 °C and less than 500 °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 °C and less than 500 °C; and
d.4.a.3. Deposition of a tungsten layer while maintaining the wafer substrate temperature greater than 100 °C and less than 500 °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: T his 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 °C and less than 500 °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 °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 °C and less than 500 °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 °C and less than 500 °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 °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 °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 °C; and
d.8.c. Designed for depositing a `work function metal' having all of the following: ( print page 72949)
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 1019 atoms/cm3 ) 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 °C and less than 500 °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 °C and less than 500 °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 °C and less than 500 °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 °C and less than 650 °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.
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:
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
_ 3Nano-imprint lithography tools
_. 3Step 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 ( print page 72950) 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.
q. “EUV” masks and “EUV” reticles, designed for integrated circuits, not specified by 3B001.g, and having a mask “substrate blank” specified by 3B001.j;
Technical Notes: For the purposes of 3B001.q, masks or reticles with a mounted pellicle are considered masks and reticles.
* * * * *3B903 Scanning Electron Microscope (SEM) equipment designed for imaging semiconductor devices or integrated circuits, having all of the following (See List of Items Controlled).
License Requirements
Reason for Control: NS, RS, AT
Control(s) Country chart (see Supp. No. 1 to part 738) NS applies to entire entry Worldwide control. See § 742.4(a)(5) and (b)(10) of the EAR. RS applies to the entire entry Worldwide control. See § 742.6(a)(10) and (b)(11) 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
IEC: Yes, see § 740.2(a)(22) and § 740.24 of the EAR.
Special Conditions for STA
STA: License Exception STA may not be used to ship any item in this ECCN 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: See ECCNs 3D901 for related “development” or “production” “software”, ECCN 3E901 for related “development” and “production” “technology”.
Related Definition: N/A
Items:
a. Stage placement accuracy less (better) than 30 nm;
b. Stage positioning measurement performed using laser interferometry;
c. Position calibration within a field-of-view (FOV) based on laser interferometer length-scale measurement;
d. Collection and storage of images having more than 2 x 108 pixels;
e. FOV overlap of less than 5 percent in vertical and horizontal directions;
f. Stitching overlap of FOV less than 50 nm; and
g. Accelerating voltage more than 21 kV.
Note 1: 3B903 includes SEM equipment designed for chip design recovery.
Note 2: 3B903 does not apply to SEM equipment designed to accept a Semiconductor Equipment and Materials International (SEMI) standard wafer carrier, such as a 200 mm or larger Front Opening Unified Pod (FOUP).
3B904 Cryogenic wafer probing “equipment”, having all of the following (see List of Items Controlled).
License Requirements
Reason for Control: NS, RS, AT
Control(s) Country chart (see Supp. No. 1 to part 738) NS applies to entire entry Worldwide control. See § 742.4(a)(5) and (b)(10) of the EAR. RS applies to the entire entry Worldwide control. See § 742.6(a)(10) and (b)(11) 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
IEC: Yes, see § 740.2(a)(22) and § 740.24 of the EAR.
Special Conditions for STA
STA: License Exception STA may not be used to ship any item in this ECCN 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: See ECCN 3E901 for related technology controls for the “development” or “production” of this ECCN.
Related Definitions: N/A
Items:
a. Designed to test devices at temperatures less than or equal to 4.5 K (−268.65 °C); and
b. Designed to accommodate wafer diameters greater than or equal to 100 mm.
* * * * *3C001 Hetero-epitaxial materials consisting of a “substrate” having stacked epitaxially grown multiple layers of any of the following (see List of Items Controlled).
License Requirements
Reason for Control: NS, AT
Control(s) Country chart (see Supp. No. 1 to part 738) NS applies to entire entry NS Column 2. AT applies to entire entry AT Column 1. List Based License Exceptions (See Part 740 for a Description of All License Exceptions)
LVS: $3,000
GBS: N/A
List of Items Controlled
Related Controls: (1) This entry does not control equipment or material whose functionality has been unalterably disabled. (2) See also ECCNs 3C907 (Epitaxial materials), 3C908 (Fluorides, hydrides, chlorides, of silicon or germanium), and 3C909 (Silicon, silicon oxides, germanium or germanium oxides).
Related Definitions: N/A
Items:
a. Silicon (Si);
b. Germanium (Ge);
c. Silicon Carbide (SiC); or
d. “III/V compounds” of gallium or indium.
Note: 3C001.d does not apply to a “substrate” having one or more P-type epitaxial layers of GaN, InGaN, AlGaN, InAlN, InAlGaN, GaP, GaAs, AlGaAs, InP, InGaP, AlInP or InGaAlP, independent of the sequence of the elements, except if the P-type epitaxial layer is between N-type layers.
e. Gallium Oxide (Ga2 O3); or
f. Diamond.
N.B.: For materials having layers of isotopically enriched Silicon or Germanium isotopes, see 3C907.
* * * * *3C907 Epitaxial materials consisting of a “substrate” having at least one epitaxially grown layer of any of the following (see List of Items Controlled).
License Requirements
Reason for Control: NS, RS, AT
Control(s) Country chart (see Supp. No. 1 to part 738) NS applies to entire entry Worldwide control. See § 742.4(a)(5) and (b)(10) of the EAR. ( print page 72951) RS applies to the entire entry Worldwide control. See § 742.6(a)(10) and (b)(11) 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
IEC: Yes, see § 740.2(a)(22) and § 740.24 of the EAR.
Special Conditions for STA
STA: License Exception STA may not be used to ship any item in this ECCN 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: See ECCN 3E901 for related technology controls for the “development” or “production” of this ECCN.
Related Definitions: N/A
Items:
a. Silicon having an isotopic impurity less than 0.08% of silicon isotopes other than silicon-28 or silicon-30; or
b. Germanium having an isotopic impurity less than 0.08% of germanium isotopes other than germanium-70, germanium-72, germanium-74, or germanium-76.
3C908 Fluorides, hydrides, chlorides, of silicon or germanium, containing any of the following (see List of Items Controlled).
License Requirements
Reason for Control: NS, RS, AT
Control(s) Country chart (see Supp. No. 1 to part 738) NS applies to entire entry Worldwide control. See § 742.4(a)(5) and (b)(10) of the EAR. RS applies to entire entry Worldwide control. See § 742.6(a)(10) and (b)(11) of the EAR. RS applies to the entire entry Worldwide control. See § 742.6(a)(10) and (b)(11) of the EAR. List Based License Exceptions (See Part 740 for a Description of All License Exceptions)
LVS: N/A
GBS: N/A
IEC: Yes, see § 740.2(a)(22) and § 740.24 of the EAR.
Special Conditions for STA
STA: License Exception STA may not be used to ship any item in this ECCN 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: See ECCN 3E901 for related technology controls for the “development” or “production” of this ECCN.
Related Definitions: N/A
Items:
a. Silicon having an isotopic impurity less than 0.08% of silicon isotopes other than silicon-28 or silicon-30; or
b. Germanium having an isotopic impurity less than 0.08% of germanium isotopes other than germanium-70, germanium-72, germanium-74, or germanium-76.
3C909 Silicon, silicon oxides, germanium or germanium oxides, containing any of the following (see List of Items Controlled).
License Requirements
Reason for Control: NS, RS, AT
Control(s) Country chart (see Supp. No. 1 to part 738) NS applies to entire entry Worldwide control. See § 742.4(a)(5) and (b)(10) of the EAR. RS applies to the entire entry Worldwide control. See § 742.6(a)(10) and (b)(11) 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
IEC: Yes, see § 740.2(a)(22) and § 740.24 of the EAR.
Special Conditions for STA
STA: License Exception STA may not be used to ship any item in this ECCN 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 See ECCN 3E901 for related technology controls for the “development” or “production” of this ECCN.
Related Definitions: N/A
Items:
a. Silicon having an isotopic impurity less than 0.08% of silicon isotopes other than silicon-28 or silicon-30; or
b. Germanium having an isotopic impurity less than 0.08% of germanium isotopes other than germanium-70, germanium-72, germanium-74, or germanium-76.
Note: 3C909 includes “substrates”, lumps, ingots, boules and preforms.
N.B.: For materials having layers of isotopically enriched silicon (Si) or germanium (Ge) isotopes, see 3C907.
* * * * *3D001 “Software” “specially designed” for the “development” or “production” of commodities controlled by 3A001.b to 3A002.h, 3A090, or 3B (except 3B903, 3B904, 3B991 and 3B992).
License Requirements
Reason for Control: NS, RS, AT
Control(s) Country chart (see Supp. No. 1 to part 738) NS applies to “software” for equipment controlled by 3B001.c.1.a, 3B001.c.1.c, and 3B001.q Worldwide control. See § 742.4(a)(5) and (b)(10) of the EAR. RS applies to “software” for equipment controlled by 3B001.c.1.a, 3B001.c.1.c, and 3B001.q Worldwide control. See § 742.6(a)(10) and (b)(11) of the EAR. NS applies to “software” for commodities 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 Column 1. NS applies to “software” for commodities controlled by 3B001.a.4, c, d, f.1.b, j to p, 3B002.b and c To or within destinations specified in Country Group D:5 of supplement no. 1 to part 740 of the EAR or Macau. See § 742.4(a)(4) of the EAR. RS applies to “software” for commodities controlled by 3A001.z and 3A090 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 § 742.6(a)(6)(iii) of the EAR. AT applies to entire entry AT Column 1. Reporting Requirements
See § 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 § 740.2(a)(9)(ii) of the EAR for license exception restrictions for ECCN 3D001 “software” for commodities controlled by 3A001.z and 3A090.
IEC: Yes, for “software” for equipment controlled by 3B001.c.1.a, 3B001.c.1.c, and 3B001.q, see § 740.2(a)(22) and § 740.24 of the EAR.
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 3B001.c.1.a, c.1.b, or .q to any of the destinations listed in Country Group A:5 or A:6 (See Supplement No.1 to part 740 of the EAR); and 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.
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
( print page 72952)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
Control(s) Country chart (see Supp. No. 1 to part 738) NS applies to entire entry, except “software” for 3B001.a.4 c, d, f.1.b, j to p, 3B002.b and c NS Column 1. NS applies to “software” for equipment controlled by 3B001.c.1.a or c.1.c Worldwide control. See § 742.4(a)(5) and (b)(10) of the EAR. RS applies to “software” for equipment controlled by 3B001.c.1.a or c.1.c Worldwide control. See § 742.6(a)(10) and (b)(11) of the EAR. NS applies to “software” for 3B001.a.4, c, d, f.1.b,j to p, 3B002.b and c To or within Macau or a destination specified in Country Group D:5 of supplement no. 1 to part 740 of the EAR. See § 742.4(a)(4) of the EAR. RS applies to “software” for 3B001.a.4, c, d, f.1.b, j to p, 3B002.b and c To or within Macau or a destination specified in Country Group D:5 of supplement no. 1 to part 740 of the EAR. See § 742.6(a)(6) of the EAR. AT applies to entire entry AT Column 1. License Requirements Note: See § 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.
IEC: Yes, for “software” for equipment controlled by 3B001.c.1.a and 3B001.c.1.c, see § 740.2(a)(22) and § 740.24 of the EAR.
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit “software” “specially designed” for the “use” of equipment specified by 3B001.c.1.a or c.1.b 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: Also see 3D991.
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
* * * * *3D901 “Software”, not specified elsewhere, “specially designed” or modified for the “development” or “production” of items specified in ECCN 3A901.b, 3B903, or 3B904.
License Requirements
Reason for Control: NS, RS, AT
Control(s) Country chart (see Supp. No. 1 to part 738) NS applies to entire entry Worldwide control. See § 742.4(a)(5) and (b)(10) of the EAR. RS applies to entire entry Worldwide control. See § 742.6(a)(10) and (b)(11) of the EAR. AT applies to entire entry AT Column 1. Special Reporting: Deemed exports and deemed reexports of “software” specified in this ECCN for commodities in ECCNs 3A901.b, and 3B904 are subject to reporting requirements in accordance with § 743.8 of the EAR.
List Based License Exceptions (See Part 740 for a Description of All License Exceptions)
TSR: N/A
IEC: Yes, see § 740.2(a)(22) and § 740.24 of the EAR.
Special Conditions for STA
STA: License Exception STA may not be used to ship any item in this ECCN 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: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
* * * * *3D907 “Software” designed to extract “GDSII” or equivalent standard layout data and perform layer-to-layer alignment from SEM images, and generate multi-layer “GDSII” data or the circuit netlist.
License Requirements
Reason for Control: NS, RS, AT
Control(s) Country chart (see Supp. No. 1 to part 738) NS applies to entire entry Worldwide control. See § 742.4(a)(5) and (b)(10) of the EAR. RS applies to the entire entry Worldwide control. See § 742.6(a)(10) and (b)(11) 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)
TSR: N/A
IEC: Yes, see § 740.2(a)(22) and § 740.24 of the EAR.
Special Conditions for STA
STA: License Exception STA may not be used to ship any item in this ECCN 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: An example of an equivalent standard to “GDSII” would be Open Artwork System Interchange Standard (OASIS).
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
* * * * *E. “Technology”
Note 1 to Cat 3 Product Group E: 3E001 and 3E905 do 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 and 3E905, 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').
3E001 “Technology” according to the General Technology Note for the “development” or “production” of commodities controlled by 3A (except 3A901, 3A904, 3A980, 3A981, 3A991, 3A992, or 3A999), 3B (except 3B903, 3B904, 3B991 or 3B992) or 3C (except 3C907, 3C908, 3C909, or 3C992).
License Requirements
Reason for Control: NS, MT, NP, RS, AT
Control(s) Country chart (see Supp. No. 1 to part 738) NS applies to “technology” for 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 Column 1. NS applies to “technology” for equipment controlled by 3B001.c.1.a, 3B001.c.1.c, and 3B001.q Worldwide control. See § 742.4(a)(5) and (b)(10) of the EAR. RS applies to “technology” for equipment controlled by 3B001.c.1.a, 3B001.c.1.c, and 3B001.q Worldwide control. See § 742.6(a)(10) and (b)(11) of the EAR. NS applies to “technology” for 3B001 a.4, c, d, f.1.b, j to p, 3B002.b and c To or within Macau or a destination specified in Country Group D:5 of supplement no. 1 to part 740 of the EAR. See § 742.4(a)(4) of the EAR. MT applies to “technology” for commodities controlled by 3A001 or 3A101 for MT Reasons MT Column 1. NP applies to “technology” for commodities controlled by 3A001, 3A201, or 3A225 to 3A234 for NP reasons NP Column 1. ( print page 72953) RS applies to “technology” for commodities controlled in 3A090, when exported from Macau or a destination specified in Country Group D:5 Worldwide (See § 742.6(a)(6)(ii). RS applies to “technology” for commodities controlled by 3A001.z, 3A090 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 § 742.6(a)(6)(iii) of the EAR. RS applies to “technology” for commodities controlled by 3B001.a.4, c, d, f.1.b, j to p, 3B002.b and c To or within destinations specified in Country Group D:5 of supplement no. 1 to part 740 of the EAR or Macau. See § 742.6(a)(6)(i) of the EAR. RS applies to “technology” for commodities controlled by 3A001.a.15 or b.13, 3A004, 3B003, 3C007, 3C008, or 3C009 RS Column 2. AT applies to entire entry AT Column 1. License Requirements Note: See § 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 § 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; and (d) discrete microwave transistors in 3A001.b.3; (e) commodities described in 3A090, 3B001.a.4, c, d, f.1.b, j to p, 3B002.b and c.
Note: S ee § 740.2(a)(9)(ii) of the EAR for license exception restrictions for ECCN 3E001 “technology” for commodities controlled by 3A001.z, 3A090.
IEC: Yes, for “technology” for equipment controlled by 3B001.c.1.a, 3B001.c.1.c, and 3B001.q, see § 740.2(a)(22) and § 740.24 of the EAR.
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 q, 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 µm; and
(b) Incorporating multi-layer structures with three or fewer metal layers.
* * * * *3E901 “Technology” according to the General Technology Note for the “development” or “production” of items controlled by ECCN 3A901, 3A904, 3B903, 3B904, 3C907, 3C908, or 3C909.
License Requirements
Reason for Control: NS, RS, AT
Control(s) Country chart (see Supp. No. 1 to part 738) NS applies to entire entry Worldwide control. See § 742.4(a)(5) and (b)(10) of the EAR. RS applies to the entire entry Worldwide control. See § 742.6(a)(10) and (b)(11) of the EAR. AT applies to entire entry AT Column 1. Special Reporting: Deemed exports and deemed reexports of “technology” specified in this ECCN are subject to reporting requirements in accordance with § 743.8 of the EAR.
List Based License Exceptions (See Part 740 for a Description of All License Exceptions)
TSR: N/A
IEC: Yes, see § 740.2(a)(22) and § 740.24 of the EAR.
Special Conditions for STA
STA: License Exception STA may not be used to ship any item in this ECCN 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: N/A
Related Definitions: N/A
Items:
The list of items controlled is contained in the ECCN heading.
3E905 “Technology” according to the General Technology Note for the “development” or “production” of integrated circuits or devices, using “Gate all-around Field-Effect Transistor” (“GAAFET”) structures.
License Requirements
Reason for Control: NS, RS, AT
Control(s) Country chart (see Supp. No. 1 to part 738) NS applies to entire entry Worldwide control. See § 742.4(a)(5) and (b)(10) of the EAR. RS applies to the entire entry Worldwide control. See § 742.6(a)(10) and (b)(11) 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)
TSR: N/A
IEC: Yes, see § 740.2(a)(22) and § 740.24 of the EAR.
Special Conditions for STA
STA: License Exception STA may not be used to ship any item in this ECCN to any of the destinations listed in Country Group A:5 or A:6 (See Supplement No.1 to part 740 of the EAR).
Note: See General Order No. 6 in supplement no. 1 to part 736 for additional authorization that may apply for exports, reexports, or transfers (in-country) of this item.
List of Items Controlled
Related Controls: 1. ECCN 3E905 applies to process “technology” exclusively for the “development” or “production” of GAAFET structures of integrated circuits at a semiconductor wafer production facility. ECCN 3E905 does not, for example, control an integrated circuit design such as the physical layout file in “GDSII” format or EDA tools, or any other technology used to produce the physical layout file for integrated circuit design. 2. ECCN 3E905 does not apply to vertical GAAFET architectures, e.g., those used for 3D NAND.
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
Note 1: 3E905 includes `process recipes'. ( print page 72954)
Note 2: 3E905. does not apply for tool qualification or maintenance.
Technical Note: For the purposes of Note 1 to 3E905, a `process recipe' is a set of conditions and parameters for a particular process step.
4A906 Quantum computers and related “electronic assemblies,” and “components” therefor, as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, RS, AT
Control(s) Country chart (see Supp. No. 1 to part 738) NS applies to entire entry Worldwide control. See § 742.4(a)(5) and (b)(10) of the EAR. RS applies to the entire entry Worldwide control. See § 742.6(a)(10) and (b)(11) 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
IEC: Yes, see § 740.2(a)(22) and § 740.24 of the EAR.
Special Conditions for STA
STA: License Exception STA may not be used to ship any item in this ECCN 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: See ECCN 4D906 for related “software” controls for the “development” or “production” of this ECCN. See ECCN 4E906 for related “technology” controls for the “development” or “production” of this ECCN.
Related Definitions: N/A
Items:
a. Quantum computers, as follows:
a.1. Quantum computers supporting 34 or more, but fewer than 100, `fully controlled', `connected' and `working' `physical qubits', and having a `C-NOT error' of less than or equal to 10−4;
a.2. Quantum computers supporting 100 or more, but fewer than 200, `fully controlled', `connected' and `working' `physical qubits', and having a `C-NOT error' of less than or equal to 10−3;
a.3. Quantum computers supporting 200 or more, but fewer than 350, `fully controlled', `connected' and `working' `physical qubits', and having a `C-NOT error' of less than or equal to 2 × 10−3;
a.4. Quantum computers supporting 350 or more, but fewer than 500, `fully controlled', `connected' and `working' `physical qubits', and having a `C-NOT error' of less than or equal to 3 × 10−3;
a.5. Quantum computers supporting 500 or more, but fewer than 700, `fully controlled', `connected' and `working' `physical qubits', and having a `C-NOT error' of less than or equal to 4 × 10−3;
a.6. Quantum computers supporting 700 or more, but fewer than 1,100, `fully controlled', `connected' and `working' `physical qubits', and having a `C-NOT error' of less than or equal to 5 × 10−3;
a.7. Quantum computers supporting 1,100 or more, but fewer than 2,000, `fully controlled', `connected' and `working' `physical qubits', and having a `C-NOT error' of less than or equal to 6 × 10−3;
a.8. Quantum computers supporting 2,000 or more `fully controlled', `connected' and `working' `physical qubits';
b. Qubit devices and qubit circuits, containing or supporting arrays of `physical qubits', and “ specially designed” for items specified by 4A906.a;
c. Quantum control components and quantum measurement devices, “specially designed” for items specified by 4A906.a;
Note 1: 4A906 applies to circuit model (or gate-based) and one-way (or measurement-based) quantum computers. This entry does not apply to adiabatic (or annealing) quantum computers.
Note 2: Items specified by 4A906 may not necessarily physically contain any qubits. For example, quantum computers based on photonic schemes do not permanently contain a physical item that can be identified as a qubit. Instead, the photonic qubits are generated while the computer is operating and then later discarded.
Note 3: Items specified by 4A906.b include semiconductor, superconducting, and photonic qubit chips and chip arrays; surface ion trap arrays; other qubit confinement technologies; and coherent interconnects between such items.
Note 4: 4A906.c applies to items designed for calibrating, initializing, manipulating or measuring the resident qubits of a quantum computer.
Technical Notes: For the purposes of 4A906:
1. A `physical qubit' is a two-level quantum system used to represent the elementary unit of quantum logic by means of manipulations and measurements that are not error corrected. `Physical qubits' are distinguished from logical qubits, in that logical qubits are error-corrected qubits comprised of many `physical qubits'.
2. `Fully controlled' means the `physical qubit' can be calibrated, initialized, gated, and read out, as necessary.
3. `Connected' means that two-qubit gate operations can be performed between any arbitrary pair of the available `working' `physical qubits'. This does not necessarily entail all-to-all connectivity.
4. `Working' means that the `physical qubit' performs universal quantum computational work according to the system specifications for qubit operational fidelity.
5. Supporting 34 or more `fully controlled', `connected', `working' `physical qubits' refers to the capability of a quantum computer to confine, control, measure and process the quantum information embodied in 34 or more `physical qubits'.
6. `C-NOT error' is the average physical gate error for the nearest-neighbor two-`physical qubit' Controlled-NOT (C-NOT) gates.
* * * * *4D001 “Software” as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, RS, CC, AT
Control(s) Country chart (see Supp. No. 1 to part 738) NS applies to entire entry NS Column 1. RS applies to “software” for commodities controlled by 4A003.z, 4A004.z, and 4A005.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 § 742.6(a)(6)(iii) of the EAR. CC applies to “software” for computerized finger-print equipment controlled by 4A003 for CC reasons CC Column 1. AT applies to entire entry AT Column 1. Reporting Requirements
See § 743.1 of the EAR for reporting requirements for exports under License Exceptions, and Validated End-User authorizations.
List Based License Exceptions (See Part 740 for a Description of All License Exceptions)
TSR: Yes, except for “software” for the “development” or “production” of the following:
(1) Commodities with an “Adjusted Peak Performance” (“APP”) exceeding 29 WT; or
(2) Commodities controlled by 4A005 or “software” controlled by 4D004.
APP: Yes to specific countries (see § 740.7 of the EAR for eligibility criteria).
ACE: Yes for 4D001.a (for the “development”, “production” or “use” of equipment or “software” specified in ECCN 4A005 or 4D004), except to Country Group E:1 or E:2. See § 740.22 of the EAR for eligibility criteria.
Note: See § 740.2(a)(9)(ii) for license exception restrictions for “software” for commodities controlled by 4A003.z, 4A004.z, and 4A005.z.
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit “software” “specially designed” or modified for the “development” or “production” of equipment specified by ECCN 4A001.a.2 or for the “development” or “production” of “digital computers” having an `Adjusted Peak Performance' (`APP') exceeding 29 Weighted TeraFLOPS (WT) to any of the destinations listed in Country Group A:6 (See Supplement No.1 to part 740 of the EAR); and may not be used to ship or transmit “software” specified in 4D001.a “specially designed” for the “development” or “production” of equipment specified by ECCN 4A005 to any of the destinations listed in Country Group A:5 or A:6.
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items:
( print page 72955)a. “Software” “specially designed” or modified for the “development” or “production”, of equipment or “software” controlled by 4A001, 4A003, 4A004, 4A005 or 4D (except 4D090, 4D906, 4D980, 4D993 or 4D994).
b. “Software”, other than that controlled by 4D001.a, “specially designed” or modified for the “development” or “production” of equipment as follows:
b.1. “Digital computers” having an “Adjusted Peak Performance” (“APP”) exceeding 24 Weighted TeraFLOPS (WT);
b.2. “Electronic assemblies” “specially designed” or modified for enhancing performance by aggregation of processors so that the “APP” of the aggregation exceeds the limit in 4D001.b.1.
* * * * *4D906 “Software” “specially designed” or modified for the “development” or “production” of commodities controlled by 4A906.b or 4A906.c.
License Requirements
Reason for Control: NS, RS, AT
Control(s) Country chart (see Supp. No. 1 to part 738) NS applies to entire entry Worldwide control. See § 742.4(a)(5) and (b)(10) of the EAR. RS applies to the entire entry Worldwide control. See § 742.6(a)(10) and (b)(11) of the EAR. AT applies to entire entry AT Column 1. Special Reporting: Deemed exports and deemed reexports of “software” specified in this ECCN are subject to reporting requirements in accordance with § 743.8 of the EAR.
List Based License Exceptions (See Part 740 for a Description of All License Exceptions)
TSR: N/A
IEC: Yes, see § 740.2(a)(22) and § 740.24 of the EAR.
Special Conditions for STA
STA: License Exception STA may not be used to ship any item in this ECCN 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: See ECCN 4E906 for related “technology” controls for the “development” or “production” of this ECCN.
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
* * * * *4E001 “Technology” as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, MT, RS, CC, AT
Control(s) Country chart (see Supp. No. 1 to part 738) NS applies to entire entry, except for “technology” for 4A090 or “software” specified by 4D090 NS Column 1. MT applies to “technology” for items controlled by 4A001.a and 4A101 for MT reasons MT Column 1. RS applies to “technology” for commodities controlled by 4A003.z, 4A004.z, 4A005.z, 4A090 or “software” specified by 4D001 (for 4A003.z, 4A004.z, and 4A005.z), 4D090 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 § 742.6(a)(6)(iii) of the EAR. CC applies to “software” for computerized finger-print equipment controlled by 4A003 for CC reasons CC Column 1. AT applies to entire entry AT Column 1. Reporting Requirements
See § 743.1 of the EAR for reporting requirements for exports under License Exceptions, and Validated End-User authorizations.
List Based License Exceptions (See Part 740 for a description of all license exceptions)
TSR: Yes, except for the following:
(1) “Technology” for the “development” or “production” of commodities with an “Adjusted Peak Performance” (“APP”) exceeding 70 WT or for the “development” or “production” of commodities controlled by 4A005 or “software” controlled by 4D004; or
(2) “Technology” for the “development” of “intrusion software”.
APP: Yes, to specific countries (see § 740.7 of the EAR for eligibility criteria).
ACE: Yes for 4E001.a (for the “development”, “production” or “use” of equipment or “software” specified in ECCN 4A005 or 4D004); and for 4E001.c, except to Country Group E:1 or E:2. See § 740.22 of the EAR for eligibility criteria.
Note: See § 740.2(a)(9)(ii) of the EAR for license exception restrictions for technology for .z paragraphs under ECCNs 4A003, 4A004, 4A005 or 4A090, or “software” specified by 4D001 (for 4A003.z, 4A004.z, 4A005.z, and 4A090).
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 any of the following equipment or “software”: a. Equipment specified by ECCN 4A001.a.2; b. “Digital computers” having an 'Adjusted Peak Performance' ('APP') exceeding 70 Weighted TeraFLOPS (WT); or c. “software” specified in the License Exception STA paragraph found in the License Exception section of ECCN 4D001 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:
a. “Technology” according to the General Technology Note, for the “development”, “production”, or “use” of equipment or “software” controlled by 4A (except 4A906, 4A980 or 4A994 and “use” of equipment controlled under 4A090) or 4D (except 4D906, 4D980, 4D993, 4D994 and “use” of software controlled under 4D090).
b. “Technology” according to the General Technology Note, other than that controlled by 4E001.a, for the “development” or “production” of equipment as follows:
b.1. “Digital computers” having an “Adjusted Peak Performance” (“APP”) exceeding 24 Weighted TeraFLOPS (WT);
b.2. “Electronic assemblies” “specially designed” or modified for enhancing performance by aggregation of processors so that the “APP” of the aggregation exceeds the limit in 4E001.b.1.
c. “Technology” for the “development” of “intrusion software.”
Note 1: 4E001.a and .c do not apply to “vulnerability disclosure” or “cyber incident response”.
Note 2: Note 1 does not diminish national authorities' rights to ascertain compliance with 4E001.a and .c.
* * * * *4E906 “Technology” according to the General Technology Note as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, RS, AT
Control(s) Country chart (see Supp. No. 1 to part 738) NS applies to entire entry Worldwide control. See § 742.4(a)(5) and (b)(10) of the EAR. RS applies to the entire entry Worldwide control. See § 742.6(a)(10) and (b)(11) of the EAR. AT applies to entire entry AT Column 1.
Document Information
- Effective Date:
- 9/6/2024
- Published:
- 09/06/2024
- Department:
- Industry and Security Bureau
- Entry Type:
- Rule
- Action:
- Interim final rule; request for comments.
- Document Number:
- 2024-19633
- Dates:
- Effective date: This rule is effective September 6, 2024. The incorporation by reference of certain publications listed in the rule is approved by the Director of the Federal Register as of September 6, 2024.
- Pages:
- 72926-72956 (31 pages)
- Docket Numbers:
- Docket No. 240813-0217
- RINs:
- 0694-AJ60: Commerce Control List Additions and Revisions; Implementation of Controls on Advanced Technologies Consistent With Controls Implemented by International Partners
- RIN Links:
- https://www.federalregister.gov/regulations/0694-AJ60/commerce-control-list-additions-and-revisions-implementation-of-controls-on-advanced-technologies-co
- Topics:
- Administrative practice and procedure, Exports, Incorporation by reference, Reporting and recordkeeping requirements, Reporting and recordkeeping requirements, Terrorism
- PDF File:
- 2024-19633.pdf