96790 Federal Register / Vol. 89, No. 234 / Thursday, December 5, 2024 / Rules and Regulations 

DEPARTMENT OF COMMERCE 

Bureau of Industry and Security 

15 CFR Parts 732, 734, 736, 740, 742, 

744, 746, 758, 762, 772, and 774 

[Docket No. 241126–0302] 

RIN 0694–AJ74 

Foreign-Produced Direct Product Rule 

Additions, and Refinements to 

Controls for Advanced Computing and 

Semiconductor Manufacturing Items 

AGENCY: Bureau of Industry and 

Security, Commerce. 

ACTION: Interim final rule. 

SUMMARY: In this interim final rule (IFR), 

the Bureau of Industry and Security 

(BIS) makes changes to the Export 

Administration Regulations (EAR) 

controls for certain advanced computing 

items, supercomputers, and 

semiconductor manufacturing 

equipment, which includes adding new 

controls for certain semiconductor 

manufacturing equipment and related 

items, creating new Foreign Direct 

Product (FDP) rules for certain 

commodities to impair the capability to 

produce ‘‘advanced-node integrated 

circuits’’ (‘‘advanced-node ICs’’) by 

certain destinations or entities of 

concern, adding new controls for certain 

high bandwidth memory important for 

advanced computing, and clarifying 

controls on certain software keys that 

allow for the use of items such as 

software tools. This IFR publishes 

concurrently with another BIS final rule 

entitled, ‘‘Additions and Modifications 

to the Entity List; and Removals from 

the Validated End-User (VEU) Program’’ 

(Entity List rule) that adds to and 

modifies the Entity List to ensure 

appropriate EAR controls are in place 

for certain critical technologies and to 

minimize the risk of diversion to 

entities of concern. 

DATES: 

Effective date: This rule is effective 

December 2, 2024. 

Compliance dates: Although this rule 

is effective December 2, 2024, exporters, 

reexporters, and transferors are not 

required to comply with the changes 

made in the following amendatory 

instructions until the compliance dates 

specified below for the respective 

amendatory instructions. If no 

compliance date is provided, the parties 

must comply with those requirements as 

of the effective date of this IFR. 

• The changes made in this IFR in 

amendatory instructions 2 (Red Flags) 

and 6 (§ 734.19) have a compliance date 

of December 2, 2024. 

• The changes made in this IFR in 

amendatory instructions 4, 5, 15, 16, 17, 

19, 20, 21, 23, 25, 29, and 31 (ECCNs 

3B001, 3B002, 3B991, 3B992, 3B993, 

3B994, 3A090, 3D001 (related to 

3A090.c and 3B commodities), 3D002, 

3D992, 3D993, 3D994, 3E001 (related to 

3A090.c and 3B commodities) (HBM 

controls and related changes), 3E992, 

3E993, and 3E994) FN5, and FDP rules, 

and related changes, and DRAM 

definition changes) have a compliance 

date of December 31, 2024. 

Comments due date: Comments must 

be received by BIS no later than January 

31, 2025. 

ADDRESSES: Comments on this IFR may 

be submitted to the Federal rulemaking 

portal at: www.regulations.gov. The 

regulations.gov ID for this IFR is BIS– 

2024–0028. Please refer to RIN 0694– 

AJ74 in all comments. 

All filers using the portal should use 

the name of the person or entity 

submitting the comments as the name of 

their files, in accordance with the 

instructions below. Anyone submitting 

business confidential information 

should clearly identify the business 

confidential portion at the time of 

submission, file a statement justifying 

nondisclosure and referring to the 

specific legal authority claimed, and 

provide a non-confidential version of 

the submission. 

For comments submitted 

electronically containing business 

confidential information, the file name 

of the business confidential version 

should begin with the characters ‘‘BC.’’ 

Any page containing business 

confidential information must be clearly 

marked ‘‘BUSINESS CONFIDENTIAL’’ 

on the top of that page. The 

corresponding non-confidential version 

of those comments must be clearly 

marked ‘‘PUBLIC.’’ The file name of the 

non-confidential version should begin 

with the character ‘‘P.’’ Any 

submissions with file names that do not 

begin with either a ‘‘BC’’ or a ‘‘P’’ will 

be assumed to be public and will be 

made publicly available at: https://

www.regulations.gov. Commenters 

submitting business confidential 

information are encouraged to scan a 

hard copy of the non-confidential 

version to create an image of the file, 

rather than submitting a digital copy 

with redactions applied, to avoid 

inadvertent redaction errors which 

could enable the public to read business 

confidential information. 

FOR FURTHER INFORMATION CONTACT: 

• For general questions, contact 

Regulatory Policy Division, Office of 

Exporter Services, Bureau of Industry 

and Security, U.S. Department of 

Commerce at 202–482–2440 or by email: 

RPD2@bis.doc.gov. 

• For Category 3 technical questions, 

contact Carlos Monroy at 202–482–3246 

or by email: Carlos.Monroy@bis.doc.gov. 

SUPPLEMENTARY INFORMATION: 

I. Background 

A. BIS’s Implementation of Export 

Controls To Address National Security 

Risks and Foreign Policy Objectives 

Associated With the People’s Republic 

of China (PRC)’s Use of Advanced 

Computing, Supercomputer, and 

Semiconductor Manufacturing 

PRC leadership at the highest levels 

has stressed the importance of building 

an indigenous and self-sufficient 

semiconductor ecosystem, referring to 

ICs in particular as critical to PRC 

national security strategy. Reporting 

from PRC state-owned media outlets has 

even referred to integrated circuits (ICs) 

as the ‘‘main battlefield’’ of the PRC’s 

Military-Civil Fusion (MCF) National 

Strategy to eliminate barriers between 

the PRC’s civilian research and 

commercial sectors and its military and 

defense industrial sectors to ensure that 

innovations in the civilian sector 

simultaneously advance the PRC’s 

military capabilities. The Chinese 

Communist Party (CCP) aims to achieve 

a world class military by 2049 through 

MCF. Due to the significance of 

semiconductors to that strategy and the 

PRC’s technology ambitions, PRC 

political and scientific leaders have 

sought to develop an ‘‘independent and 

controllable’’ semiconductor industry 

for decades—one that is fully within the 

government’s control and not reliant on 

foreign suppliers. The PRC has also 

mandated and incentivized relevant 

domestic firms to dedicate significant 

resources to realizing these strategic 

objectives, demonstrating the top-down, 

hands-on approach that the PRC is 

taking to shape this ecosystem to benefit 

itself, with a related detriment to the 

technology leadership of the United 

States and its allies. 

Export controls on semiconductor 

manufacturing equipment (SME) and 

related parts and components are 

central to countering the PRC’s goal of 

furthering its ‘‘advanced-node ICs’’ 

production capacity in support of its 

military modernization and weapons of 

mass destruction (WMD) programs. 

Since October 2022, BIS has published 

a series of IFRs imposing controls on 

advanced computing and 

supercomputing items and SME, 

starting with an IFR that was issued on 

October 7, 2022, ‘‘Implementation of 

Additional Export Controls: Certain 

Advanced Computing and 


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Semiconductor Manufacturing Items; 

Supercomputer and Semiconductor End 

Use; Entity List Modification’’ (October 

7 IFR) (87 FR 62186, October 13, 2022). 

The October 7 IFR amended the EAR to 

implement controls on advanced 

computing ICs, computer commodities 

that contain such ICs, and certain SME 

and parts and components needed to 

produce those and other advanced ICs, 

and to make other EAR changes to 

implement appropriate related controls, 

including on certain ‘‘U.S. person’’ 

activities that ‘support’ (as defined in 

§ 744.6 of the EAR) the ‘‘development’’ 

or ‘‘production’’ of certain ICs in the 

PRC. 

The October 7 IFR explained that 

these controls were aimed at limiting 

the PRC’s ability to engage in activities 

that would pose significant threats to 

U.S. national security and foreign 

policy. Specifically, BIS determined that 

certain advanced computing ICs and 

related computing items—many of 

which originated in the United States or 

were produced with U.S. technology, 

software, or tools—could enable the 

PRC to develop certain enhanced data 

processing and analysis capabilities, 

including through AI applications 

because of the high processing power of 

the advanced ICs and related computing 

items. Additionally, BIS determined 

that the capability to produce advanced 

computing ICs for advanced computing 

systems, such as AI systems, through 

the use of certain SME, presented 

significant national security and foreign 

policy concerns because indigenous 

production is another means to obtain 

‘‘advanced computing ICs’’ and other 

advanced computing systems. These 

capabilities could be used by the PRC to 

further its military modernization 

efforts, improve calculations in weapons 

design and testing (including for WMD), 

and violate basic human rights through 

comprehensive surveillance programs. 

As previously stated, these activities are 

contrary to U.S. national security and 

foreign policy as set forth in the Export 

Control Reform Act of 2018 (ECRA) 

(codified, as amended, at 50 U.S.C. 

4801–4852), which directs BIS to 

control items subject to the jurisdiction 

of the United States when those items 

could be used in ‘‘military programs 

that pose a threat to the security of the 

United States or its allies,’’ could lead 

to ‘‘the proliferation of weapons of mass 

destruction or of conventional 

weapons,’’ or could undermine the 

‘‘foreign policy of the United States, 

including the protection of human 

rights and the promotion of democracy’’ 

(50 U.S.C. 4811(2)). 

To effectuate its controls under the 

October 7 IFR—and, consequently, to 

help reduce the risk that U.S. 

technology would contribute to 

activities that threaten U.S. national 

security and foreign policy—BIS added 

new Export Control Classification 

Numbers (ECCNs) 3A090 (specified 

high-performance ICs), 4A090 (related 

computing items), and 3B090 (specified 

SME essential to produce ‘‘advancednode ICs’’). 

Because many of the advanced 

computing ICs and related computing 

items controlled by the October 7 IFR 

are produced by manufacturers outside 

the United States relying on U.S. 

software, technology, or tools, the 

October 7 IFR also imposed two 

additional foreign direct product (FDP) 

rules. As a general matter, the EAR 

asserts jurisdiction over certain foreignproduced items made with the use of 

U.S. technology, software, or tools, as 

described under the various FDP rules 

in § 734.9 of the EAR. The FDP rules do 

not apply to all items and end users. 

Instead, FDP rules are targeted to cover 

specific combinations of items, 

destinations, end users, or end uses. 

Accordingly, the October 7 IFR 

implemented two new FDP rules related 

to advanced computing items and 

‘‘supercomputers’’ to extend jurisdiction 

over certain items produced in foreign 

countries and destined to the PRC or 

certain entities in the PRC. BIS also 

expanded the scope of an existing FDP 

rule that covers items destined for 

certain entities on the Entity List. 

In 2023, BIS issued two rules 

imposing additional controls on 

advanced computing and 

semiconductor manufacturing items. In 

the IFR, ‘‘Export Controls on 

Semiconductor Manufacturing Items’’ 

(SME IFR) (88 FR 73424, October 25, 

2023), BIS added controls for additional 

SME essential to producing ‘‘advancednode ICs’’ and required licenses for such 

SME, as well as for SME previously 

controlled under ECCN 3B090 (now 

3B001 and 3B002), when destined to 

Macau and Country Group D:5. The 

same day it issued the SME IFR, BIS 

issued a second rule to address 

advanced computing chips. The IFR, 

‘‘Implementation of Additional Export 

Controls: Certain Advanced Computing 

Items; Supercomputer and 

Semiconductor End Use; Updates and 

Corrections’’ (AC/S IFR) (88 FR 73458, 

October 25, 2023), adjusted parameters 

for advanced computing ICs that are 

critical for advanced computing and AI 

applications, and imposed new 

measures to address the risk of 

circumvention of the controls, including 

expanding the license requirement for 

advanced computing ICs to apply to 

Country Groups D:1, D:4, and D:5. 

Like the October 7 IFR, the SME IFR 

described the national security rationale 

for expanding controls on SME. The 

SME IFR noted that the controls protect 

U.S. national security by restricting the 

PRC’s military modernization efforts 

and degrading the PRC’s ability to 

violate human rights. The SME IFR 

further noted that the controlled SME 

has profound implications for U.S. 

national security, including production 

of the advanced computing ICs that 

could further development of weapons 

of mass destruction and emerging 

technologies, such as advanced artificial 

intelligence systems, autonomous 

weapons, cyberweapons, hypersonics, 

and high-tech surveillance applications. 

The PRC’s statements and activities 

suggest it would use its next generation 

military capabilities to engage in 

activities contrary to U.S. and allied 

national security interests. 

B. In Order Address the Continuing 

Threat Posed by the PRC’s Efforts To 

Acquire Advanced Computing Items, 

Supercomputing Items, and SME, This 

IFR Imposes Additional Controls 

Related to Such Items 

There is substantial open source and 

unclassified information detailing the 

PRC’s efforts to respond to the impact of 

current restrictions on SME, including 

key parts and components, through 

supporting semiconductor research and 

development, building additional 

facilities as alternate suppliers to 

fabrication facilities, and funding 

indigenous producers of SME. 

As such, to address the continued 

threat from the PRC’s efforts to develop 

an ‘‘independent and controllable’’ 

semiconductor industry to produce 

‘‘advanced-node ICs’’ to help achieve a 

world-class military, BIS is imposing 

additional controls on certain types of 

SME and related items that are used to 

produce ‘‘advanced-node ICs.’’ BIS is 

also establishing new foreign FDP 

controls for certain SME items that 

originate in foreign countries but are 

produced with U.S. technology, 

software, or tools, as well as SME items 

that contain essential components, like 

ICs, that could not be produced without 

U.S. technology, software, or tools. 

These changes, and the related national 

security and foreign policy 

considerations, are described below 

under sections III.A and III.B. The 

addition of new FDP rules also requires 

certain additional revisions to parts 734 

and 736, which are described below 

under sections III.A.4 (regarding the 

FDP rules) and III.B.1 (regarding de 

minimis changes) of this preamble. 

Additionally, BIS is imposing new 

controls on certain high-bandwidth 


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memory (HBM) commodities that 

provide necessary memory capacity and 

bandwidth needed for advanced 

artificial intelligence (AI) models and 

supercomputing applications. Such 

applications can enable advanced 

military and intelligence applications, 

lower the barriers to entry for nonexperts to develop WMD, support 

powerful offensive cyber operations, 

and assist in using mass surveillance to 

commit human rights abuses. In 

accordance with the policy goals 

described in § 1752(1)(A) and (2)(D), 

imposing controls on certain HBM is 

necessary to restrict items that can make 

a ‘‘significant contribution to the 

military potential of any other country’’ 

and to ‘‘carry out the foreign policy of 

the United States, including the 

protection of human rights.’’ 

Finally, this IFR also adds new 

paragraph (b) to 734.19 to specify that 

software keys, also called software 

license keys, which allow users the 

ability to use ‘‘software’’ or hardware by 

providing access to it, and software keys 

that renew existing ‘‘software’’ or 

hardware use licenses, are classified and 

controlled under the same ECCNs on the 

Commerce Control List (CCL) (15 CFR 

part 744) as the corresponding 

‘‘software’’ or hardware to which they 

provide access, or in the case of 

hardware, the software key would be 

classified under the corresponding 

ECCN in the software group (e.g., a 

software license key that allows the use 

of hardware classified under ECCN 

5A992 would be classified under ECCN 

5D992). This clarification applies to, 

among other items, software keys for 

electronic computer-aided design 

(ECAD) tools that are important to the 

development and production of 

‘‘advanced-node ICs’’ and thus can have 

a significant impact on military 

programs posing a threat to the security 

of the United States and its allies (see 

§ 1752(2)(A)(iv) of ECRA). Additionally, 

as noted under § 1752(7) of ECRA, 

administering export controls in an 

effective manner ‘‘requires a clear 

understanding both inside and outside 

the U.S. Government of which items are 

controlled.’’ This clarification enhances 

the exporting community’s 

understanding to prevent unauthorized 

access to controlled ‘‘software’’ or 

hardware. 

C. Additional Changes and Relation of 

This IFR With the Accompanying BIS 

Rule, ‘‘Additions and Modifications to 

the Entity List; and Removals From the 

Validated End-User (VEU) Program.’’ 

The controls implemented since 

October 2022 have also added or 

expanded end-use controls under part 

744 of the EAR. In particular, the 

addition of § 744.23 and the expansion 

of the ‘‘U.S. person’’ control under 

§ 744.6 have supplemented the CCLbased controls to address the national 

security and foreign policy concerns 

with these items. Public comments on 

both the SME and AC/S IFRs published 

since October 2022 in this area have 

requested the U.S. Government to 

publicly identify ‘‘production’’ 

‘‘facilities’’ for ‘‘advanced-node ICs,’’ or 

entities engaged in the indigenization of 

SME. In the SME IFR and AC/S IFR, BIS 

noted its support of identifying such 

entities to enhance compliance by 

exporters, reexporters, and transferors 

and to improve the effectiveness of the 

controls. 

Consequently, BIS is publishing 

concurrently with this IFR the Entity 

List rule. The Entity List rule adds 

entities to the Entity List because of 

specific national security or foreign 

policy concerns regarding those entities, 

which are described in that rule. The 

addition and modification of certain 

entities on the Entity List are designed 

to impair their current or potential 

‘‘development’’ or ‘‘production’’ of 

‘‘advanced-node ICs.’’ The addition of 

other entities on the Entity List are 

designed to impair their ability to 

produce SME and related items. The 

Entity List rule publishes concurrently 

with this IFR as part of the larger effort 

to ensure appropriate EAR controls are 

in place on these items, including in 

connection with transactions destined 

to, or otherwise involving, the entities 

being added to the Entity List, as well 

as for existing entries on the Entity List 

that this final rule modifies. 

The Entity List rule publishing 

concurrently with this IFR adds entities 

to the Entity List and modifies certain 

existing entries on the Entity List. As 

part of that Entity List rule, BIS has 

included a Footnote 5 (which extends 

EAR jurisdiction to certain foreignproduced items pursuant to 

§ 734.9(e)(3)) designation for certain 

entities being added to the Entity List 

and to certain entities already on the 

Entity List. While the Entity List rule 

adds Footnote 5 designations to specific 

entities, this IFR adds FDP rules, license 

requirements, license exceptions, and 

Temporary General Licenses (TGLs) that 

pertain to exports, exports from abroad, 

reexports, and transfers (in-country) 

when these entities are involved in the 

transaction. See the Entity List rule 

publishing concurrently with this IFR 

for an identification of which new and 

modified entities on the Entity List will 

receive a Footnote 5 designation. 

As BIS identifies additional entities 

that warrant being subject to these 

controls, they will be added to the 

Entity List. However, exporters, 

reexporters, and transferors must 

continue to conduct due diligence, 

including by reviewing transactions for 

Red Flags (i.e., circumstances in a 

transaction that indicate that the export 

may be destined for an inappropriate 

end use, end user, or destination). To 

assist parties in identifying Red Flags, 

this IFR adds eight new Red Flags to 

supplement no. 3 to part 732. The Red 

Flags are discussed in section III.C.5 of 

this preamble. 

The controls implemented since 

October 2022 are calibrated to impact 

‘‘advanced-node IC’’ production (and 

related development) activities without 

significantly impacting global 

commercial supply chains. However, 

calibrated controls by their nature tend 

to be more complex than broader 

controls. BIS has evaluated the 

effectiveness of these controls and has 

identified revisions to enhance clarity 

and to ensure the controls are effectively 

addressing national security and foreign 

policy concerns. BIS is still in the 

process of reviewing and responding to 

the comments received on the SME IFR 

and AC/S IFR, as well as comments on 

another IFR, ‘‘Implementation of 

Additional Export Controls: Certain 

Advanced Computing Items; 

Supercomputer and Semiconductor End 

Use; Updates and Corrections; and 

Export Controls on Semiconductor 

Manufacturing Items; Corrections and 

Clarifications’’ (April 4 IFR) (88 FR 

23876, April 4, 2024). However, at this 

time, BIS has identified additional 

changes that will be implemented in 

this IFR. BIS is soliciting comments on 

these changes and will address any such 

comments along with comments on the 

three earlier IFRs as needed in a 

subsequent rule. 

The controls enacted by this IFR, as 

described in section III below, are 

consistent with ECRA. The underlying 

purpose of ECRA encompasses 

restricting the products of U.S. 

‘‘technology,’’ ‘‘software,’’ and 

‘‘commodities’’ that could be used to 

undermine U.S. national security and 

foreign policy. As explained above, the 

PRC’s goal of achieving a world class 

military by 2049 is a critical concern to 

U.S. national security and foreign 

policy. ECRA provides that the policy of 

the United States is ‘‘to restrict the 

export of items which would make a 

significant contribution to the military 

potential of any other country or 

combination of countries which would 

prove detrimental to the national 

security of the United States; and to 

restrict the export of items if necessary 

to further significantly the foreign 


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policy of the United States . . .’’ (50 

U.S.C. 4811(1)). Because the 

development of a PRC ‘‘independent 

and controllable’’ semiconductor 

industry is a critical factor in the PRC’s 

ability to achieve its goal, ECRA 

authorizes the implementation of 

sufficient controls to prevent the PRC’s 

possession of sensitive items and is 

necessary to advance the U.S. national 

security and foreign policy interests. 

II. Overview of This Interim Final Rule 

In this IFR, BIS makes changes to EAR 

controls for advanced computing items, 

supercomputers, and SME. The five 

categories of changes implemented by 

this IFR are described in section III as 

follows: 

A. Addition of two new FDP rules in 

§ 734.9 of the EAR for certain types of 

advanced SME and for entities on the 

Entity List involved in the production of 

‘‘advanced-node ICs’’; 

B. Additional revisions related to the 

production of semiconductors and other 

conforming changes, including revisions 

to de minimis provisions that correlate 

to the new FDP rules, establishment of 

new License Exception Restricted 

Fabrication ‘‘Facility’’ (RFF), addition of 

eight new Red Flags, clarifications to 

§ 744.23, and revisions and conforming 

changes to other parts of the EAR; 

C. Addition of HBM controls, 

including addition of new ECCN 

3A090.c and License Exceptions HBM; 

D. Clarification to software keys to 

address when authorization is required; 

and 

E. Revisions to the CCL in supplement 

no. 1 to part 774, including revisions to 

eight existing ECCNs and addition of 

eight new ECCNs. 

III. Changes to the EAR 

A. Addition of Two New Foreign Direct 

Product Rules Related to the Production 

of ‘‘Advanced-Node ICs’’ 

1. National Security and Foreign Policy 

Considerations for New FDP Rule for 

Entities on the Entity List Involved in 

the Production of ‘‘Advanced-Node ICs’’ 

in Countries of Concern 

This IFR implements a new FDP rule 

for certain SME that are essential to, or 

support, producing ‘‘advanced-node 

ICs,’’ which have important military 

applications (SME FDP). This interim 

final rule also implements a new FDP 

rule for entities on the Entity List 

designated with new Footnote 5 (FN5 

FDP). The entities added to the Entity 

List with a Footnote 5 designation are 

being added because of specific national 

security or foreign policy concerns 

described in the Entity List rule, 

including supporting, or having the 

potential to support, the PRC’s efforts to 

develop and produce ‘‘advanced-node 

ICs,’’ including for military end uses. 

As explained in the October 7 IFR, the 

SME IFR, and above in this IFR, the 

capability to produce ‘‘advanced-node 

ICs’’ is a force-multiplying technology 

that has critical implications for 

national security and foreign policy. 

SME is needed to produce ‘‘advancednode ICs,’’ and the ability to produce 

‘‘advanced-node ICs’’ has impacts across 

various technology ecosystems critical 

to national security. For example, 

‘‘advanced-node ICs’’ improve 

computing power and efficiency relative 

to older IC technology, enabling the 

compute miniaturization necessary for 

the next generation of autonomous 

weapons systems, as well as the 

compute scaling necessary for exascale 

supercomputing and advanced AI 

capabilities, both of which can directly 

contribute to development of WMD, 

advanced weapons systems, and hightech surveillance applications. 

In particular, advancements in largescale AI models have shown striking 

performance improvements and can be 

utilized for advanced military and 

intelligence applications. These largescale AI models have the ability to 

rapidly review large volumes of 

information and synthesize it into 

digestible and actionable points, making 

them well-suited for battlefield 

capabilities and thus having the 

potential to alter the nature of warfare. 

They may also pose threats to national 

security and foreign policy by diffusing 

dangerous capabilities by lowering the 

barrier to develop cyberweapons or 

chemical, biological, radiological, or 

nuclear weapons, developing tools with 

increasingly autonomous capabilities 

relevant to national security 

applications, and utilizing facial and 

voice recognition to surveil minorities 

and political dissidents. 

As discussed, BIS continues to 

advance U.S. national security and 

foreign policy interests by imposing 

controls that reduce the risk U.S. 

technology will contribute to the PRC’s 

ability to carry out those activities. 

Specifically, BIS has imposed controls 

on the SME and related parts and 

components used to produce 

‘‘advanced-node ICs.’’ BIS has also 

added several FDP rules to § 734.9 to 

extend the jurisdiction of the EAR to 

additional foreign-made items, 

including revisions to § 734.9(e) to add 

a new product scope and end-user scope 

for certain entities on the Entity List. 

This IFR also revises the § 734.9(e) 

(Entity List FDP rule) introductory text 

to reference this new FN5 FDP and to 

also revise the paragraph heading, so it 

references Entity List FDP rules to 

reflect that there is more than one Entity 

List FDP rule described under paragraph 

(e). 

Although those controls have been 

effective, BIS has found that PRC 

entities of concern have continued 

purchasing SME items produced outside 

the United States that include SME 

items produced with the use of U.S. 

technology, software, or tools, as well as 

SME items using components, such as 

ICs, necessary for the function of the 

SME items and also produced with the 

use of U.S. technology, software, or 

tools. U.S. technology, software, and 

tools therefore remain key to the 

production or function of the SME items 

being purchased by PRC entities of 

concern. 

Based on these findings, this IFR 

implements the SME FDP and FN5 FDP, 

which will impose additional controls 

on certain SME items—which are used 

for the production of ‘‘advanced-node 

ICs’’—as described further in section 2 

below. Both FDPs will regulate the 

products of tools, ‘‘technology,’’ and 

‘‘software’’ that are made or developed 

using U.S.-origin ‘‘technology’’ or 

‘‘software,’’ or which contain a foreign 

product made from tools that are a 

product of U.S.-origin ‘‘technology’’ or 

‘‘software.’’ As with the controls 

previously imposed by the October 7 

IFR and the SME IFR, the purpose of the 

SME FDP and FN5 FDP rules is to 

reduce the risk that U.S. technology will 

contribute to the PRC’s efforts to 

produce ‘‘advanced-node ICs’’ that 

threaten U.S. national security and 

foreign policy interests. As detailed 

below, the SME FDP and FN5 FDP rules 

simply recognize that certain SME 

items—which are already subject to 

comprehensive restrictions when 

destined for advanced fabrication 

facilities in Country Group D:5 or 

Macau when they originate from the 

United States—should also be subject to 

controls when destined for such entities 

when produced abroad, if they are 

directly produced with U.S. 

‘‘technology’’ or otherwise contain a 

critical component that could not have 

been produced without U.S. 

‘‘technology.’’ 

2. Scope of FN5 FDP 

Specifically, this interim final rule 

implements a new FDP rule for entities 

on the Entity List designated with FN5 

FDP. The entities added to the Entity 

List with a Footnote 5 designation are 

being added because of specific national 

security or foreign policy concerns 

described in the Entity List rule, such as 

their involvement in supporting the 

PRC’s military modernization through 


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their potential to produce ‘‘advancednode ICs,’’ including for military end 

uses. 

Because of the critical national 

security implications of these 

technologies and the need to enhance 

the effectiveness of the Entity List 

designations to address foreign 

availability concerns, this rule 

implements the FN5 FDP to make 

certain foreign-produced items subject 

to the EAR, and requires a license if the 

exporter, reexporter, or transferor has 

‘‘knowledge’’ (which includes reason to 

know) that (i) such foreign-produced 

commodities will be incorporated in 

any ‘‘part,’’ ‘‘component,’’ or 

‘‘equipment’’ produced, purchased, or 

ordered by an entity with a Footnote 5 

designation; or (ii) any entity with a 

Footnote 5 designation is a party to any 

transaction involving such foreignproduced commodities. 

The foreign-produced commodities 

subject to the FN5 FDP rule are 

commodities most relevant to 

semiconductor production and related 

activities and thus covers foreignproduced commodities meeting the 

descriptions in 3B001 (except 

3B001.a.4, c, d, f.1, f.5, g, h, k to n, p.2, 

p.4, r), 3B002 (except 3B002.c), 3B903, 

3B991 (except 3B991.b.2.a through 

3B991.b.2.b), 3B992, 3B993, or 3B994. 

The commodities covered include 

certain ‘‘equipment’’ as well as certain 

‘‘specially designed’’ ‘‘parts,’’ 

‘‘components,’’ and ‘‘accessories,’’ as 

described within the scope of each 

ECCN. If a foreign-produced commodity 

does not meet any of the descriptions in 

those Category 3 ECCNs, then the FN5 

FDP does not apply. 

The foreign-produced commodities 

described in the Category 3 ECCNs 

described above meet the product scope 

prong of the FN5 FDP rule if they are: 

(i) a ‘‘direct product’’ of ‘‘technology’’ or 

‘‘software’’ subject to the EAR and 

specified in ECCN 3D001 (for 3B 

commodities), 3D901, 3D991 (for 3B991 

and 3B992), 3D993, 3D994, 3E001 (for 

3B commodities), 3E901 (for 3B903), 

3E991 (for 3B991 and 3B992), 3E993, or 

3E994 (see § 734.9(e)(3)(i)(A)); (ii) 

produced by a complete plant or ‘major 

component’ of a plant (located outside 

the United States) when the complete 

plant or ‘major component,’ whether 

made in the United States or a foreign 

country, is itself a ‘‘direct product’’ of 

U.S.-origin ‘‘technology’’ or ‘‘software’’ 

specified in ECCN 3D001 (for 3B 

commodities), 3D901, 3D991 (for 3B991 

and 3B992), 3D992, 3D993, 3D994, 

3E001 (for 3B commodities), 3E901 (for 

3B903), 3E991 (for 3B991 and 3B992), 

3E992, 3E993, or 3E994 (see 

§ 734.9(e)(3)(i)(B)(1)); or (iii) contain an 

commodity that is produced by a 

complete plant or ‘major component’ of 

a plant (located outside the United 

States) when the complete plant or 

‘major component,’ whether made in the 

United States or a foreign country, is 

itself a ‘‘direct product’’ of U.S.-origin 

‘‘technology’’ or ‘‘software’’ specified in 

ECCN 3D001 (for 3B commodities), 

3D901, 3D991 (for 3B991 and 3B992), 

3D992, 3D993, 3D994, 3E001 (for 3B 

commodities), 3E901 (for 3B903), 3E991 

(for 3B991 and 3B992)), 3E992, 3E993, 

or 3E994 (see § 734.9(e)(3)(i)(B)(2)). 

With respect to § 734.9(e)(3)(i)(B)(2), 

this IFR adds Note 3 to provide 

additional guidance on its product 

scope. Note 3 clarifies that if a foreignproduced item contains an IC, and that 

IC was produced with the use of a tool 

that itself was a ‘‘direct product’’ of 

U.S.-origin technology or software 

specified in the ECCNs in 

§ 734.9(e)(3)(i)(B)(2), then the product 

scope would be met. In line with BIS’s 

application of its FDP rules concerning 

integrated circuits, the note also 

specifies that the production of an 

integrated circuit includes fabrication of 

the integrated circuit in a wafer, as well 

as assembly, testing, and packaging of 

the integrated circuit. 

In addition to the note, BIS is also 

adding a Red Flag to assist parties in 

determining whether their products fall 

within § 734.9(e)(3)(i)(B)(2). 

Specifically, based in part on its 

assessment of supply chain data, BIS 

has found that there is a significant 

prevalence of certain types of U.S.- 

origin tools (or foreign-produced tools 

that are subject to the EAR) in 

fabrication facilities for the production 

of integrated circuits. It can thus be 

presumed that any integrated circuit has 

been produced using at least one U.S. 

tool qualifying as a ‘major component’ 

under § 734.9(e)(3)(i)(B) of the FN5 FDP. 

Therefore, as explained in greater detail 

below, this IFR adds Red Flag 26 to 

supplement no. 3 to part 732 stating that 

there is a Red Flag that the product 

scope of the FN5 FDP is met if the 

foreign-produced item contains at least 

one integrated circuit. 

Importantly, as described above, the 

scope of the FN5 FDP is calibrated in 

multiple places to ensure the rule 

captures those transactions of national 

security and foreign policy concern. 

First, the FN5 FDP captures only the 

products of the U.S. tools, technology, 

and software that are relevant to the 

production of items (e.g., ‘‘advancednode ICs’’) of national security and 

foreign policy concern by, for, or 

involving specific parties, who are 

identified on the Entity List as involved 

in relevant activities of concern. The 

FN5 FDP does not generally apply to the 

destinations identified in new 

supplement no. 4 to part 742. U.S. 

national security and foreign policy 

interests inform this approach. 

Governments in those destinations are 

members of multilateral export control 

regimes (e.g., the Wassenaar 

Arrangement on Export Controls for 

Conventional Arms and Dual-use Goods 

and Technologies) and have the 

authority to control key SME items of 

concern. Lastly, this IFR provides 

varying compliance dates to provide 

parties time to comport with the new 

controls where possible consistent with 

U.S. national security and foreign policy 

concerns. Parties need not apply for a 

license, for example, until the 

compliance date or the effective date, 

whichever is later. In so doing, this IFR 

calibrates the pertinent restrictions to 

provide notice of this IFR’s provisions 

as well as time for parties to ensure they 

can properly classify their items and 

otherwise comply with this IFR’s new 

requirements. 

3. Scope of SME FDP Rule 

Under the SME FDP rule, specified 

foreign-produced commodities of 

national security concern meet the 

destination scope of SME FDP if there 

is ‘‘knowledge’’ that the foreignproduced commodity is destined to 

Macau or a destination in Country 

Group D:5 of supplement no. 1 to part 

740 of the EAR. 

The product scope of the SME FDP 

applies to: (i) a foreign-produced 

commodity specified in 3B001.a.4, c, d, 

f.1, f.5, k to n, p.2, p.4, r, or 3B002.c that 

is the ‘‘direct product’’ of ‘‘technology’’ 

or ‘‘software’’ subject to the EAR and 

specified in 3D992 or 3E992 of the CCL; 

(ii) a foreign-produced commodity that 

is produced by any complete plant or 

‘major component’ of a plant that is 

located outside the United States, when 

the plant or ‘major component’ of a 

plant, whether made in the United 

States or a foreign country, itself is a 

‘‘direct product’’ of U.S.-origin 

‘‘technology’’ or ‘‘software’’ that is 

specified in ECCN 3D001 (for 3B 

commodities), 3D901, 3D991 (for 3B991 

and 3B992), 3D992, 3D993, 3D994, 

3E001 (for 3B commodities), 3E901 (for 

3B903), 3E991 (for 3B991 or 3B992), 

3E992, 3E993, or 3E994 of the CCL; or 

(iii) contains a commodity produced by 

any complete plant or ‘major 

component’ of a plant that is located 

outside the United States, when the 

complete plant or ‘major component’ of 

a plant, whether made in the U.S. or a 

foreign country, itself is a ‘‘direct 

product’’ of U.S.-origin ‘‘technology’’ or 

‘‘software’’ that is specified in ECCN 


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3D001 (for 3B commodities), 3D901, 

3D991 (for 3B991 and 3B992), 3D992, 

3D993, 3D994, 3E001 (for 3B 

commodities), 3E901 (for 3B903), 3E991 

(for 3B991 or 3B992), 3E992, 3E993, or 

3E994 of the CCL. For example, the 

product scope of paragraph (k)(1) is met 

if a foreign-produced commodity 

contains an integrated circuit that is 

produced by a complete plant or ‘major 

component’ of a plant that itself is a 

‘‘direct product’’ of U.S.-origin 

‘‘technology’’ or ‘‘software’’ specified in 

the ECCNs described in paragraph 

(k)(1)(ii)(B). 

The license requirements and 

exclusions to the license requirements 

associated with this SME FDP rule are 

found in §§ 742.4(a)(4) and 742.6(a)(6) 

of the EAR. See §§ 742.4(b)(2) and 

742.6(b)(10) for license review policy 

applicable to foreign-produced items 

that are subject to the EAR under this 

SME FDP rule. These license review 

policies are each clarified by this IFR by 

adding ‘‘however if § 744.23 does not 

apply’’ to make clear when the case-bycase license review policy applies. 

4. License Requirements and License 

Review Policy for Commodities Subject 

to the EAR Pursuant to the FN5 FDP or 

SME FDP Rules (FDPR) 

i. FN5 FDPR as Well as License 

Requirements in § 744.11(a)(2)(v) 

This IFR adds § 744.11(a)(2)(v) to 

impose a license requirement for 

entities listed on the Entity List 

(supplement no. 4 to part 744) that are 

designated with new Footnote 5 (FN5 

entities). This IFR adds 

§ 744.11(a)(2)(v)(A) (License 

requirement) to specify that a license is 

required for foreign-produced 

commodities to or within any 

destination or to any end user or party, 

subject to the EAR pursuant to 

§§ 734.4(a)(9) or 734.9(e)(3), if any of the 

license requirements under 

§ 744.11(a)(2)(v)(A)(1) through (A)(4) 

applies. See Section B.1 regarding 

§ 734.4 provisions. 

This IFR adds § 744.11(a)(2)(v)(A)(1) 

for exports from abroad or reexports 

from all countries. Specifically, a 

license is required for commodities 

specified in ECCN 3B993 when 

exported from abroad or reexported by 

an entity whose ultimate parent 

company is headquartered in either 

Macau or a destination specified in 

Country Group D:5. 

This IFR adds § 744.11(a)(2)(v)(A)(2) 

for exports from abroad or reexports 

from countries in Country Group A:5 

that are not in supplement no. 4 to part 

742. Specifically, a license is required 

for commodities specified in ECCN 

3B993 if the commodity is not subject 

to equivalent controls by the relevant 

country. 

This IFR adds § 744.11(a)(2)(v)(A)(3) 

for exports from abroad or reexports 

from all countries not listed in Country 

Group A:5. These license requirements 

apply under two scenarios. First, under 

§ 744.11(a)(2)(v)(A)(3)(i), a license is 

required for commodities specified in 

ECCN 3B001 (except 3B001.a.4, c, d, f.1, 

f.5, k to n, p.2, p.4, r), 3B002 (except 

3B002.c), 3B611, 3B903, 3B991 (except 

3B991.b.2.a through 3B991.b.2.b), 

3B992, 3B993, or 3B994 to be exported 

from abroad or reexported by an entity 

that is headquartered or whose ultimate 

parent company is headquartered in a 

country not specified in supplement no. 

4 to part 742. Second, under 

§ 744.11(a)(2)(v)(A)(3)(ii), a license is 

required for commodities specified in 

ECCN 3B993 to be exported from abroad 

or reexported by an entity 

headquartered in or whose ultimate 

parent company is headquartered in a 

country described in supplement no. 4 

to part 742. 

This IFR adds § 744.11(a)(2)(v)(A)(4) 

for transfers (in-country) within the 

country of the entity specified by 

§ 734.9(e)(3)(ii). These license 

requirements apply under two 

scenarios. First, under 

§ 744.11(a)(2)(v)(A)(4)(i), a license is 

required for transfers by an entity whose 

ultimate parent company is 

headquartered in a country not 

described in supplement no. 4 to part 

742 and the entity is transferring a 

commodity specified in ECCN 3B001 

(except 3B001.a.4, c, d, f.1, f.5, g, h, k 

to n, p.2, p.4, or r), 3B002 (except 

3B002.c), 3B611, 3B903, 3B991 (except 

3B991.b.2.a through 3B991.b.2.b), 

3B992, 3B993, or 3B994. Second, under 

§ 744.11(a)(2)(v)(A)(4)(ii), a license is 

required for transfers by an entity whose 

ultimate parent company is 

headquartered in a country described in 

supplement no. 4 to part 742 and the 

entity is transferring a commodity 

specified in ECCN 3B993. With respect 

to the scope of the license requirements 

under § 744.11(a)(2)(v)(A)(4), note that 

under the definition of transfer (incountry) in § 734.16, an in-country 

transfer is ‘‘a change in end use or end 

user of an item within the same foreign 

country.’’ Thus, if a tool has already 

been exported to a warehouse and will 

later be moved to and installed in a 

production facility that was the 

intended end user at the time of the 

export, the movement from the 

warehouse to the production facility 

within the same country is not an incountry transfer and would not be 

subject to the license requirements 

under § 744.11(a)(2)(v)(A)(4). 

ii. New SME FDP as Well as 

Amendments to the National Security 

and Regional Stability Controls 

The license requirements for the new 

SME FDP in § 734.9(k) are in 

§§ 742.4(a)(4) and 742.6(a)(6)(i) 

(national security (NS) and regional 

stability (RS) controls, respectively), 

which correspond to the reasons for 

control for the commodities that may be 

subject to the EAR under the SME FDP. 

The license requirements are identical 

in §§ 742.4(a)(4) and 742.6(a)(6)(i). 

Changes to each of those provisions is 

discussed below. 

This rule updates the NS controls in 

§ 742.4(a)(4) to designate the regulations 

at § 742.4(a)(4)(i) as the scope of the 

license requirement and § 742.4(a)(4)(ii) 

for exclusions to the license 

requirement. Under § 742.4(a)(4)(i), the 

current license requirement remains for 

exports, reexports, or transfers (incountry) to or within either Macau or a 

destination specified in Country Group 

D:5 of items specified in 3B001.a.4, c, d, 

f.1, f.5, k to n, p.2, p.4, r, 3B002.c and 

related ‘‘software’’ and ‘‘technology.’’ 

Similarly, for RS controls, this rule 

also updates § 742.6(a)(6)(i) to describe 

the scope of license requirements in 

§ 742.6(a)(6)(i)(A)(1) and exclusions 

from the license requirement in 

§ 742.6(a)(6)(i)(A)(2). Under 

§ 742.6(a)(6)(i)(A)(1), the current license 

requirement remains for exports, 

reexports, or transfers (in-country) to or 

within Macau or a destination specified 

in Country Group D:5. 

The NS and RS sections also have 

identical exclusion paragraphs. The 

existing exclusion from license 

requirements for deemed exports or 

deemed reexports for both sets of 

controls is moved to new 

§§ 742.4(a)(4)(ii) and 742.6(a)(6)(i)(A)(2), 

respectively. Under those provisions, 

commodities subject to the EAR under 

§§ 734.4(a)(8) or the SME FDP do not 

require a license if the commodity is 

reexported or exported from abroad by 

an entity located in a country specified 

in supplement no. 4 to part 742, and the 

entity is not headquartered or have an 

ultimate parent company headquartered 

in Macau or a destination specified in 

Country Group D:5. Also, subject to the 

EAR under §§ 734.4(a)(8) or the SME 

FDP do not require a license if the 

commodity is reexported or exported 

from abroad by an entity located in a 

country that has implemented 

equivalent controls for items specified 

in paragraph (a)(4)(i) of this section, and 

the entity is not headquartered or have 

an ultimate parent company 


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headquartered in Macau or a destination 

specified in Country Group D:5. 

For license requirements for incountry transfers, note that under the 

definition of transfer (in-country) in 

§ 734.16, an in-country transfer is ‘‘a 

change in end use or end user of an item 

within the same foreign country.’’ Thus, 

if a tool has already been exported to a 

warehouse and will later be moved to 

and installed in a production facility 

that was the intended end user at the 

time of the export, the movement from 

the warehouse to the production facility 

within the same country is not an incountry transfer and would not be 

subject to the license requirements in 

§§ 742.4(a)(4)(i) and 742.6(a)(6)(i)(A)(1). 

iii. License Review Policy 

Lastly, this IFR adds 

§ 744.11(a)(2)(v)(B) (License review 

policy) to specify the license review 

policy for each entity with a Footnote 5 

designation in the Entity List in 

supplement no. 4 to part 744. Unless 

specified otherwise in the license 

review policy column of the applicable 

entity with a Footnote 5 designation, 

there is a case-by-case license review 

policy for items subject to the license 

requirements of this section where there 

is a foreign-made item that is not subject 

to the license requirements of this 

section and performs the same function 

as an item subject to the EAR license 

requirements of this section. 

B. Additional Revisions Related to the 

Production of Semiconductors and 

Other Conforming Changes 

1. Addition of New De Minimis 

Provisions Corresponding to the FN5 

and SME FDP Rules and a Conforming 

Change 

To address the national security and 

foreign policy concerns described above 

regarding the production of ‘‘advancednode ICs,’’ this interim final rule adds 

new de minimis provisions in 

§§ 734.4(a)(8) and 734.4(a)(9) of the 

EAR. Section 734.4(a)(8) specifies that 

there is no de minimis threshold level 

of U.S. controlled content for 

commodities specified in ECCNs 

3B001.a.4, c, d, f.1, f.5, k to n, p.2, p.4, 

r, or 3B002.c when the commodity is 

incorporated in a U.S.-origin IC or 

contains a U.S.-origin IC specified under 

Category 3, 4, or 5 of the CCL, and the 

commodity is destined for Macau or a 

destination specified in Country Group 

D:5, unless excluded from the national 

security license requirement in 

§ 742.4(a)(4) or the regional stability 

license requirement in § 742.6(a)(6) of 

the EAR. 

Section 734.4(a)(9) specifies that there 

is no de minimis level for an item 

meeting the parameters in ECCNs 

specified in Category 3B (except 

3B001.a.4, c, d, f.1, f.5, k to n, p.2, p.4, 

r, or 3B002.c) of the CCL in supplement 

no. 1 to part 774 of the EAR, when the 

commodity is incorporated in a U.S.- 

origin integrated circuit or contains a 

U.S.-origin integrated circuit specified 

under Category 3, 4, or 5 of the CCL, and 

the commodity is destined for an entity 

with a Footnote 5 designation in the 

license requirement column of the 

Entity List in supplement no. 4 to part 

744 of the EAR. 

These new provisions ensure that 

foreign-produced SME containing U.S.- 

origin ICs (or other components) are 

controlled to the same extent as foreignproduced SME containing items 

controlled by the SME FDP rule and the 

FN5 FDP rule. 

This IFR makes a conforming change 

to § 734.4(a)(3) by replacing ECCN 

3B001.f.1.b.2.b with 3B993.f.1 because 

this is the new location of the control. 

2. Addition of New License Exception 

Restricted Fabrication Facility (RFF) 

The new License Exception RFF will 

allow certain items, including specified 

SME, to be exported, reexported, 

exported from abroad, or transferred (incountry) to certain fabrication facilities 

that are subject to end user-based 

license requirements but that are not 

currently producing ‘‘advanced node 

ICs.’’ This license exception is available 

for these fabrication facilities to obtain 

legacy equipment and related items to 

produce non-‘‘advanced node ICs’’ 

through a framework that establishes 

guardrails and monitoring to address 

U.S. national security concerns. This 

includes terms and conditions on the 

use of License Exception RFF, such as 

excluding from eligibility items 

essential for producing ‘‘advanced-node 

ICs,’’ as well as requiring pre-shipment 

notifications, end-use monitoring, and 

annual reporting. The license exception 

also has restrictions related to the 

operation, installation, maintenance, 

repair, overhaul, or refurbishing of items 

ineligible under RFF that may already 

be part of the entity’s installed base. BIS 

believes that these restrictions, along 

with existing countrywide license 

requirements for SME and related items 

that cannot be overcome by RFF, will 

further U.S. national security and 

foreign policy objectives. Under the 

concurrently published EL rule, one 

entity is eligible for this license 

exception. 

License Exception RFF, found in new 

§ 740.26, only overcomes license 

requirements in the license 

requirements column of a specific entity 

when § 740.26 is referenced in that 

Entity List entry. This license exception 

does not overcome destination-based 

license requirements, end-use based 

license requirements in other sections of 

part 744, or license requirements that 

apply to other entities on the Entity List 

if other listed entities are a party to the 

transaction. License Exception RFF 

authorizes the export, reexport, export 

from abroad, and transfer (in-country) of 

items not specified in ECCN 3B001, 

3B002, 3B993, 3B994, 3D992, 3D993, 

3D994, 3E992, 3E993, or 3E994. For 

commodities exported, reexported, or 

transferred prior to December 5, 2024. 

License Exception RFF may not be used 

for the operation, installation, 

maintenance, repair, overhaul, or 

refurbishing of commodities specified in 

ECCN 3B001.a.4, c, d, f.1, f.5, k to n, p.2, 

p.4, r, or 3B002.c, or 3B993, or 3B994. 

Also, any item exported, exported from 

abroad, reexported, or transferred under 

License Exception RFF may not be used 

to produce ‘‘advanced-node ICs.’’ There 

is also a notification that must be sent 

to BIS 45 days prior to exporting, 

reexporting, exporting from abroad, or 

transferring (in-country) that includes 

the end-user’s name and address, 

description of item(s), purchase price, 

and anticipated shipping date of export, 

reexport, or transfer (in-country). These 

changes are expected to result in an 

increase of 306 prior notifications under 

§ 740.26(d)(1) to BIS under License 

Exception RFF. 

In addition, a notification must be 

sent to BIS within one business day of 

gaining ‘‘knowledge’’ that the end use 

has changed to ‘‘advance-node IC’’ 

‘‘production.’’ These changes are 

expected to not result in an annual 

increase of ‘‘one-business day’’ 

notifications under § 740.26(d)(2) to BIS 

under License Exception RFF or a 

minimal number of one business day 

notifications, provided the other terms 

and conditions of License Exception 

RFF are being followed. 

There is also a reporting requirement 

for installation of SME that must be sent 

to BIS within 30 days of installation. 

These changes are expected to result in 

an annual increase of 306 installation 

reports under § 740.26(e)(1) to BIS 

under License Exception RFF. 

In addition, there is an annual enduse confirmation report that must be 

sent to BIS by the exporter, reexporter, 

or transferor that confirms that the 

installed equipment is not being used in 

the productions of ‘‘advanced-node 

ICs.’’ These changes are expected to 

result in an annual increase of 102 

installation reports under § 740.26(e)(2) 

to BIS under License Exception RFF. 


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As a conforming change for the 

addition of License Exception RFF, in 

§ 762.2 (Records to be retained) this IFR 

revises paragraph (b) (Records retention 

references) to add a new paragraph 

(b)(57) to reference § 740.26, License 

Exception RFF as a new records 

retention reference. This change is a 

conforming change with the addition of 

License Exception RFF and the new 

notification and reporting requirements 

under § 740.26(d) and (e), respectively, 

which are considered ‘‘export control 

records’’ for purposes of the EAR and 

must be kept in accordance with the 

requirements of part 762 of the EAR. 

3. Addition of Eight New Red Flags To 

Assist With Compliance 

In supplement no. 3 to part 732 (BIS’s 

‘‘Know Your Customer’’ Guidance and 

Red Flags), this IFR adds eight new Red 

Flags under paragraphs (b)(20) through 

(27) that are intended to provide 

additional compliance guidance to 

assist exporters, reexporters, and 

transferors as part of their compliance 

programs. These eight new Red Flags 

are in addition to the five Red Flags that 

were added by the AC/S IFR. As 

specified in the ‘‘Know Your Customer’’ 

Guidance and Red Flags, various 

requirements of the EAR are dependent 

upon a person’s knowledge of the end 

use, end user, ultimate destination, or 

other facts relating to a transaction or 

activity. BIS provides the ‘‘Know Your 

Customer’’ Guidance and Red Flags to 

advise how individuals and firms 

should act under this knowledge 

standard. 

New Red Flag 20 identifies a scenario 

where a non-advanced fabrication 

facility orders equipment designed for 

‘‘advanced-node IC’’ production (e.g., 

§ 742.4(a)(4) ECCNs). This scenario 

raises a Red Flag because this 

technology mismatch indicates the 

fabrication facility produces or intends 

to produce ‘‘advanced-node ICs.’’ The 

exporter, reexporter, or transferor must 

resolve this Red Flag before proceeding 

with the transaction. 

New Red Flag 21 identifies a scenario 

where an exporter, reexporter, or 

transferor receives an order for which 

the ultimate owner or user of the items 

is uncertain, such as a request to ship 

equipment for the ‘‘development’’ or 

‘‘production’’ of ICs to a distributor 

without a manufacturing operation, 

when the item is ordinarily customized 

for the end user or installed by the 

supplier. Under this scenario the 

distributor would never be the end user 

of such equipment, which means that 

the ultimate owner or beneficiary is 

unknown to the exporter, reexporter, or 

transferor. This uncertainty raises a Red 

Flag that needs to be resolved before the 

exporter, reexporter, or transferor 

proceeds with the transaction. New Red 

Flag 21 specifies this uncertainty 

requires the need for due diligence 

particularly for items where such 

information would typically be known 

to an exporter, reexporter, or transferor, 

such as for advanced computing items, 

supercomputers, or SME. 

New Red Flag 22 identifies a scenario 

where an order or request related to an 

item that would require an export, 

reexport, or in-country transfer license 

from BIS or another jurisdiction (i.e., 

from another foreign government) that 

maintains controls on the item and the 

exporter, reexporter, or transferor has 

uncertainty about the license history for 

the item—meaning the exporter, 

reexporter, or transferor is not sure 

whether the export, reexport, or transfer 

(in-country) was properly authorized in 

accordance with the EAR and/or by the 

respective foreign government. New Red 

Flag 22 provides an example where 

there is information known to the 

exporter, reexporter, or transferor 

indicating that a license was not, or was 

not likely to have been, obtained by the 

end user, such as where the end user or 

end use, or the ECCN and end-user 

destination triggers a license review 

policy of a presumption of denial. New 

Red Flag 22 specifies that these 

uncertainties raise a Red Flag that needs 

to be resolved before the exporter, 

reexporter, or transferor proceeds with 

further transactions related to the item 

to avoid the risk of violating § 764.2(e), 

which includes acting on requests to 

service, install, upgrade, or otherwise 

support the item of concern. 

New Red Flag 23 identifies a scenario 

where an exporter, reexporter, or 

transferor receives a request to service, 

install, upgrade, or otherwise maintain 

an item that was altered after export by 

a third-party for a more advanced end 

use that would normally require a 

license for the destination. New Red 

Flag 23 specifies that this scenario 

would raise a Red Flag that the item is 

employed in a prohibited end use that 

would need to be resolved before 

proceeding further with the transaction. 

New Red Flag 24 identifies another 

scenario related to a request for an item 

or service from a new customer whose 

senior management or technical 

leadership (e.g., process engineers that 

are team leaders or otherwise leading 

development or production activities) 

overlaps with an entity on the Entity 

List, particularly if the supplier 

previously provided the same or 

substantially similar item or service to 

the Entity List entity, most likely prior 

to the listed entity being added to the 

Entity List. New Red Flag 24 specifies 

that this scenario would raise a Red Flag 

that the entity requesting the item or 

service is engaged in or supporting the 

same prohibited end use as the Entity 

List entity. The exporter, reexporter, or 

transferor would need to conduct 

additional due diligence before 

proceeding with the transaction with 

the new customer. 

New Red Flag 25 identifies another 

scenario related to servicing a request 

from a new customer for an item or 

service that was designed or modified 

for an existing or former customer that 

is now designated on the Entity List. 

New Red Flag 25 specifies that this 

scenario would raise a Red Flag that the 

new customer has assumed the 

operations for which the item or service 

is still needed to engage in or support 

the same prohibited end use for which 

the Entity List entity was listed. This 

Red Flag would need to be resolved by 

the exporter, reexporter, or transferor 

before proceeding. 

New Red Flag 26 provides additional 

guidance that will assist exporters, 

reexporters, and transferors in 

complying with the two new FDP rules 

added to the EAR in this IFR. See 

section III.A of this preamble for a 

description of the two new FDP rules 

related to the production of ‘‘advancednode ICs’’ implemented by this IFR. Red 

flag 26 specifies that when analyzing the 

scope of the Entity List FDP rules for 

Footnote 5 entities, if a foreignproduced item is described in the 

relevant Category 3B ECCN in 

§§ 734.9(e)(3)(i) or 734.9(k)(1) and 

contains at least one IC, then there is a 

Red Flag that the foreign-produced item 

meets the product scope of the 

applicable FDP rule and the exporter, 

reexporter, or transferor must resolve 

the Red Flag before proceeding. Key 

components, including ICs, are key to 

the functioning of SME, and such 

components are dependent on U.S. 

technology and software as well as on 

tools derived from U.S. technology and 

software. BIS has concluded, based on 

assessments of supply chain data, that 

there is a significant prevalence of 

certain types of U.S.-origin tools (or 

foreign-produced tools that are the 

direct product of U.S.-origin technology 

or software) in fabrication facilities for 

the production of ICs. As with all Red 

Flags, exporters, reexporters, and incountry transferors will need to conduct 

due diligence before continuing with 

the transaction. Such additional 

diligence is necessary in order to ensure 

that items produced with the use of U.S. 

technology, software, or tools, including 

ICs that are contained in the specified 

foreign-produced commodities being 


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controlled, are not sent to end users 

contrary to U.S. national security and 

foreign policy interests. 

New Red Flag 27 identifies a scenario 

where the end user is a ‘‘facility’’ that 

is physically connected to a ‘‘facility’’ 

where ‘‘production’’ of ‘‘advanced-node 

ICs’’ occurs. Each building is considered 

a separate ‘‘facility,’’ but if multiple 

buildings are connected in such a way 

that allows for the ‘‘production’’ of the 

integrated circuits across the physically 

connected buildings, this raises a Red 

Flag that ‘‘production’’ of ‘‘advancednode ICs’’ occurs in each one of the 

connected facilities. The Note to 

Number 27 states that, for example, if an 

exporter, reexporter, or transferor 

receives an equipment order from a 

company that is engaged in 

‘‘production’’ of non-‘‘advanced-node 

ICs’’ in one building, and this building 

is physically connected to another 

building where the ‘‘production’’ of 

‘‘advanced-node ICs’’ occurs, then both 

buildings would be subject to the 

controls under § 744.23 of the EAR, 

unless the exporter can demonstrate that 

the destination facility is not engaged in 

the ‘‘production’’ of ‘‘advanced-node 

ICs.’’ The Note to Number 27 provides 

that to resolve the red flag, the exporter 

should submit an advisory opinion to 

BIS. Otherwise, the two buildings are 

treated as a single ‘‘facility’’ for 

purposes of license requirements under 

§ 744.23 of the EAR. 

4. Revisions to the Definition of 

‘‘Advanced-Node Integrated Circuit’’ 

Related to DRAM 

In § 772.1 (Definitions of terms as 

used in the Export Administration 

Regulations (EAR)), this IFR revises the 

definition of ‘‘Advanced-Node 

Integrated Circuits (Advanced-Node 

IC)’’ by revising the criteria for how 

DRAM ICs is defined. In paragraph 3 of 

the definition, this IFR removes the 

criterion using a ‘‘production’’ 

‘technology node’ of ‘18 nanometer half 

pitch or less’ and adds in its place two 

different criteria. When either of these 

two criteria are met, the commodity 

would be considered a DRAM integrated 

circuit for purposes of this definition. 

Specifically, this IFR specifies that 

DRAM integrated circuits meet the 

definition of ‘‘Advanced-Node 

Integrated Circuits (Advanced-Node 

IC)’’ when the integrated circuit either 

has a memory cell area of less than 

0.0019 square micrometers (mm2); or a 

memory density greater than 0.288 

gigabits per square mm. 

For additional context on the reason 

for this change, in parts 734 and 744 of 

the EAR, ‘‘advanced-node ICs’’ include 

logic, DRAM, and NAND ICs that meet 

certain technical parameters. This IFR 

updates the technical parameters 

defining advanced-node DRAM ICs. The 

previous definition used half-pitch to 

characterize advanced-node DRAM ICs. 

However, that definition allowed 

fabrication facilities to make substantial 

improvements in memory density by 

using more compact memory cell 

architectures, as well as by stacking 

DRAM in three dimensions, without 

meeting the definition, thereby avoiding 

controls. Furthermore, the previous 

definition did not capture HBM, which 

is crucial to frontier AI training and 

inference and is typically co-packaged 

with advanced logic chips for datacenter 

AI and supercomputing. 

The definition in this IFR uses a 

memory density and memory cell area 

standard that captures both advances in 

memory cell miniaturization as well as 

HBM and other memory devices that 

stack layers of DRAM vertically to 

achieve greater densities without 

reducing half-pitch. A technical note 

also defines the cell area. The intent of 

this change in the definition of 

advanced-node DRAM ICs is not to 

change the current impact of the enduser controls, but to prevent possible 

future workarounds, especially the 

production of high bandwidth memory 

for advanced computing ICs. As a 

conforming change, the reference to 

paragraph three is removed from Note 1 

to the definition. 

This IFR also removes the Technical 

Note to the definition, as it is no longer 

needed because of the other clarifying 

changes made to this definition, in 

particular the addition of new Note 2 to 

the definition of ‘‘Advanced-Node 

Integrated Circuits.’’ This IFR adds a 

new Note 2 to the definition of 

‘‘Advanced-Node Integrated Circuits 

(Advanced-Node IC)’’ to specify that 

memory density is measured in 

gigabytes (GB) of memory capacity of 

the package or stack, divided by the 

footprint of the package or stack 

measured in square millimeters. Note 2 

also clarifies that in the case where a 

stack is contained in a package, the area 

of the package should be used in the 

classification. Finally, Note 2 specifies 

that cell area is defined as 

Wordline*Bitline (which takes into 

consideration both transistor and 

capacitor dimensions). 

5. Clarifications to Section 744.23 

(i) Revisions To Address Support for 

‘‘Development’’ and ‘‘Production’’ of 

Advanced-Node ICs 

This IFR adds new paragraph 

(a)(2)(iii) in § 744.23 to clarify that 

§ 744.23(a)(2) restricts the provision of 

Electronic Computer Aided Design 

(ECAD) and Technology Computer 

Aided Design (TCAD) ‘‘software’’ and 

‘‘technology’’ subject to the EAR when 

you ‘‘know’’ it will be used in the 

design of ‘‘advanced-node IC’’ whose 

subsequent ‘‘production’’ will be in 

Macau or a destination in Country 

Group D:5. 

This IFR also adds new paragraph 

(a)(2)(iv) in § 744.23 to add an 

‘‘advanced node IC’’ exclusion to 

specify the license requirements for 

items specified in paragraphs (a)(2)(i) 

and (ii) destined to entities designated 

with a Footnote 5 are not subject to the 

license requirements in this section. 

This IFR adds this exclusion because 

the Entity List license requirements for 

these Footnote 5 entities will already 

impose a license requirement for these 

items, so the additional license 

requirement under § 744.23(a)(2)(i) and 

(ii) is not needed to protect U.S. 

national security and foreign policy 

interests for these entities. 

(ii) Revisions To Address Support for 

Indigenization of Semiconductor 

Manufacturing Supply Chains 

BIS continues to evaluate public 

comments received on the AC/S IFR, the 

SME IFR, and the April 4 IFR. BIS 

intends to address those comments in a 

future rulemaking. In the meantime, in 

this IFR, BIS is revising § 744.23(a)(4) to 

address several specific questions and 

concerns about the application of 

§ 744.23(a)(4)(ii)(B), added in the April 

4 IFR, to both the initial and 

intermediate ‘‘development’’ or 

‘‘production’’ of Category 3B SME 

specified in § 744.23(a)(4). Specifically, 

BIS is revising § 744.23(a)(4)(ii) to make 

clear that the end-use control may apply 

to any item subject to the EAR and 

specified on the CCL when: (1) the item 

(either in its original form or as 

subsequently incorporated into a 

foreign-made item) is for the 

‘‘development’’ or ‘‘production’’ of any 

foreign-made item specified in the enduse control; and (2) the ‘‘development’’ 

or ‘‘production’’ is by an entity 

headquartered in or whose ultimate 

parent is headquartered in Macau or a 

destination specified in Country Group 

D:5. Because of this clarification to 

paragraph (a)(4)(ii), paragraph (B) is no 

longer needed, so this IFR removes 

paragraph (a)(4)(ii)(B) and redesignates 

paragraph (a)(4)(ii)(C) as paragraph (B). 

BIS is also adding the parenthetical 

phrase ‘‘(and not excepted by that 

paragraph)’’ to paragraph (A) of 

§ 744.23(a)(4)(ii)(A) to clarify that the 

exclusions (e.g., for masks) to the ECCNs 

listed in § 744.23(a)(4)(i) also apply in 

the controls under § 744.23(a)(4)(ii). 


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Further, BIS is eliminating the 

qualification for ‘front-end integrated 

circuit ‘‘production’’ equipment’ in 

current Note 1 to § 744.23(a)(4). BIS 

believes this approach will simplify 

compliance with the end-use control by 

eliminating questions about whether an 

end-use involves ‘‘development’’ or 

‘‘production’’ of a ‘front-end’ versus 

‘back-end’ item, and it will reduce the 

risk that items subject to the EAR are 

diverted from purported ‘‘development’’ 

or ‘‘production’’ of back-end items to 

front-end items specified in the same 

ECCNs. As noted in the SME IFR, BIS 

continues to welcome feedback from 

industry on specific ECCNs that are not 

used in front-end production of ICs and 

could be excluded from the ECCN scope 

of § 744.23(a)(4). 

BIS is also adding ECCN 3B903 to the 

list of qualifying ECCNs to reflect 

updates to Category 3B under the IFR, 

‘‘Commerce Control List Additions and 

Revisions; Implementation of Controls 

on Advanced Technologies Consistent 

with Controls Implemented by 

International Partners’’ (89 FR 72926, 

September 6, 2024). 

SME specified in ECCNs 3B903, 

3B992, 3B993, and 3B994 are added to 

the end-use license requirement in 

§ 744.23(a)(4)(i). Accordingly, a license 

is now required to export, reexport, 

transfer (in-country) any item subject to 

the EAR and specified on the CCL when 

destined to or within either Macau or a 

destination specified in Country Group 

D:5 for the ‘‘development’’ or 

‘‘production’’ of ‘‘equipment,’’ 

‘‘components,’’ ‘‘assemblies,’’ or 

‘‘accessories’’ specified in ECCNs 

3B903, 3B992, 3B993, and 3B994. 

Additional changes to § 744.23 are 

discussed in section III.C.2 of the 

preamble. 

6. Conforming and Clarifying Revisions 

to General Prohibition Three 

In § 736.2 (General prohibitions and 

determination of applicability), this IFR 

revises paragraph (b)(3)(i) (General 

Prohibition Three—Foreign-direct 

product (FDP) rules), to clarify that the 

prohibition extends to any foreignproduced items that are subject to the 

EAR pursuant to § 734.9 if such items 

are subject to a license requirement in 

part 736, 742, 744, 746, or 764 of the 

EAR. The existing Entity List FDP rules 

under § 734.9(e)(1) and (2) already 

extend to foreign-‘‘direct products’’ and 

certain other foreign-produced items, 

and the new FN5 FDP will do the same. 

This revision to § 736.2(b)(3)(i) is a 

conforming and clarifying change. 

7. Revision to General Order No. 4 

Temporary General License 

The Temporary General License (TGL) 

in supplement no. 1 to part 736, General 

Order no. 4, is amended by adding 

newly added SME ECCNs (i.e., 

3B001.c.4, 3B993.b.1, c.2, c.3, d.4, f.2, 

f.3, o.2, q.1, q.2, 3B994, 3D993.a (for 

commodities specified in paragraph 

(d)(1)(i)(B)), 3D993.b through .d, 3D994, 

3E993.a (for commodities specified in 

paragraph (d)(1)(i)(B)), 3E993.b, and 

3E994) to this authorization in 

paragraph (d)(1)(i). Paragraph (d)(2)(ii) 

is revised by adding 3A090.c when 

destined to or within Macau or a 

destination in Country Group D:5 and 

cascading the paragraph into three 

separate paragraphs (d)(2)(ii)(A)(1) 

through (3). See Section C.2 for more 

details regarding the addition of 

3A090.c (high bandwidth memory). In 

addition, a new paragraph (d)(2)(ii)(B) is 

added to add an additional ultimate end 

use for 3A090.c. This IFR also revises 

the paragraph (d)(3) validity date to 

extend it as follows: (1) for SME items 

controlled only for AT reasons, until 

December 31, 2026; (2) for SME items 

added to the CCL in this rule (i.e., 

excluding items that were moved from 

3B001 to 3B993, but not previously 

eligible for paragraph (d)(1)) until 

December 31, 2026; (3) for items 

specified in paragraph (d)(2)(i)(A), until 

December 2025; and (4) for HBM items 

specified in paragraph (d)(2)(i)(B), until 

December 2026. In order to not disrupt 

IC supply chains and from discussions 

with industry, BIS is extending the 

validity period for AT only items for 

one additional year (December 31, 

2026). BIS is setting the validity period 

for SME items added to the CCL to one 

year (December 31, 2026). BIS is not 

extending the validity deadline for 

advanced compute items because it is 

no longer needed because of new 

licenses and new additions to the VEU 

for these companies. The validity for the 

new HBM items is set at one year 

(December 31, 2026) to allow for 

adjustment to the new controls. 

8. Revisions to ‘‘U.S. Persons’’ 

Restrictions in § 744.6 

This IFR revises paragraph (c)(2)(iii) 

of § 744.6 to synchronize the product 

scope with the license requirement 

product scope in §§ 742.4(a)(4) and 

742.6(a)(6) of the EAR. 

9. Revisions to § 770.2 

This IFR revises § 770.2 to make 

conforming changes to paragraph 

(o)(2)(i) by adding ECCNs 3D992, 

3D993, 3E992, and 3E993. 

10. Conforming Changes to Foreign 

Direct Product Rules 

This IFR adds ECCNs 3D901, 3D992, 

3D993, 3D994, 3E901, 3E992, 3E993, 

and 3E994 to the following foreign 

direct product rules in § 734.9: Entity 

List FDP: Footnote 1 (§ 734.9(e)(1)(i)(A) 

and (B)), Entity List FDP: Footnote 4 

(§ 734.9(e)(2)(i)(A) and (B)), Advanced 

Computing FDP rule (§ 734.9(h)(1)(i)(A) 

introductory text, (h)(1)(ii)(A)), 

Supercomputer FDP rule § 734.9(i)(1)(i) 

and (ii)). 

11. Conforming Changes to Section 

742.4 

This IFR corrects a paragraph 

designation in § 742.4 under paragraph 

(a)(5) to redesignate the second 

reference to paragraph (a)(5)(ii)(B)(i) and 

(ii) as paragraphs (a)(5)(ii)(B)(1) and (2) 

as intended. This IFR does not change 

the first reference to paragraph (a)(5)(ii) 

in § 742.4, which is correct. 

C. Addition of High Bandwidth Memory 

(HBM) Controls 

1. Addition of New 3A090.c 

Control of advanced memory chips is 

key to national security because of their 

military, intelligence, and surveillance 

applications. In particular, advanced AI 

models rely on a type of advanced 

memory called HBM, which is found in 

almost all advanced computing ICs 

destined for advanced AI data centers. 

As the speed of advanced logic 

increases, a similar increase in memory 

capacity and bandwidth is required; 

otherwise, the full capabilities of the 

processor cannot be realized. In 

advanced AI and supercomputing, 

advanced logic chips must be paired 

with advanced memory to avoid this 

memory bottleneck. As such, HBM is 

critical to both AI training and inference 

at scale and a key component of 

advanced computing ICs. 

Based on the importance of HBM 

described above, BIS is adding a new 

ECCN control on HBM stacks with a 

specific memory bandwidth density to 

ECCN 3A090.c. HBM units are 

optimized for very high memory 

bandwidth, unlike general consumergrade dynamic random access memory 

(DRAM) chips, so this threshold will 

narrowly target controls at HBM. BIS 

uses the bandwidth density—rather 

than just the bandwidth—to ensure 

controls will still apply if an IC uses a 

larger quantity of smaller HBM chips at 

little additional cost. As indigenous PRC 

advanced computing ICs rely upon 

imported HBM, new ECCN 3A090.c 

implements restrictions to slow PRC 

attempts to indigenize advanced AI chip 

production, which, as explained above, 


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raises national security and foreign 

policy concerns. 

Under ECCN 3A090, this IFR adds a 

new items paragraph .c to impose a new 

CCL-based control for certain HBM 

commodities. Also, under the advanced 

computing FDP rule in § 734.9(h), 

foreign-produced 3A090.c items will be 

subject to the EAR if they meet the 

scope of that FDP rule. Under new 

3A090.c, this IFR will control HBM 

having a ‘memory bandwidth density’ 

greater than 2 GB per second per square 

millimeter (mm). All HBM stacks 

currently in production exceed this 

threshold. 

This IFR also adds a technical note to 

3A090.c to define for purposes of this 

ECCN that ‘memory bandwidth density’ 

is the memory bandwidth of the package 

or stack measured in GB per second 

divided by the area of the package or 

stack measured in square mm. The new 

technical note to 3A090.c includes a 

sentence to clarify that where a stack is 

contained in a package, the item should 

be classified using the memory 

bandwidth of the packaged device and 

the area of the package. The new 

technical note to 3A090.c also includes 

a sentence highlighting that high 

bandwidth memory includes dynamic 

random access memory integrated 

circuits, regardless of whether they 

conform to the JEDEC standards for high 

bandwidth memory, provided they have 

a ‘memory bandwidth density’ greater 

than 2 GB per second per square mm. 

Lastly, technical note to 3A090.c 

specifies that certain co-packaged 

integrated circuits are excluded from the 

scope of 3A090.c, as this control does 

not cover co-packaged integrated 

circuits with both HBM and logic, 

where the dominant function of the copackaged integrated circuit is 

processing. The technical note further 

clarifies that this control does include 

HBM permanently affixed to a logic 

integrated circuit designed as a control 

interface and incorporating a physical 

layer (PHY) function. Advanced 

computing ICs containing co-packaged 

logic and HBM are not controlled by 

3A090.c, though they may be controlled 

by other ECCNs such as 3A090.a or 

3A090.b depending on their Total 

Processing Performance (TPP) and 

performance density. 

This IFR imposes these new controls 

on HBM stacks under ECCN 3A090.c 

because these commodities are an 

important part of the ‘‘production’’ 

process for making advanced computing 

ICs, which prior to this IFR were not 

being controlled under ECCN 3A090. In 

order to more effectively address the 

national security and foreign policy 

concerns which are being addressed 

under ECCN 3A090, BIS added a control 

on HBM to prevent the PRC, as well as 

other destinations of concern, from 

producing advanced computing ICs 

incorporating HBM. 

If these HBM stacks are incorporated 

into an IC or a higher-level commodity, 

such as a computer or electronic 

assembly, then ECCN 3A090.a, .b, 

4A090.a or .b, or the respective .z 

controls may impose controls on the 

commodities containing HBM. The 

national security and foreign policy 

concerns are focused on HBM, as 

covered under 3A090.c, that is exported 

as a stand-alone commodity (i.e., when 

not incorporated into a higher-level 

commodity). When a 3A090.c 

commodity is incorporated into another 

commodity, such as a 3A090.a, .b, or 

another commodity, the EAR controls 

applicable to those other commodities 

are sufficient to address the export 

control concerns with these 3A090.c 

commodities. 

This IFR also redesignates and revises 

Note 2 to 3A090 as new Note 1 to 

3A090.a and 3A090.b, including adding 

references to 3A090.a and 3A090.b in 

the note and repositioning the note, so 

it appears immediately after 3A090.a 

and .b. This IFR also redesignates Note 

1 to 3A090 as Note 2 to 3A090 to reflect 

the reordering of the notes in ECCN 

3A090. 

2. Conforming Changes for Addition of 

3A090.c 

This IFR also makes the following 

eight conforming changes to other parts 

of the EAR to address the addition of 

3A090.c: 

In supplement no. 1 to part 736— 

General Orders, this IFR revises General 

Order No. 4 under paragraph (d)(2) 

(TGL—Advanced computing items) to 

redesignate the introductory text of 

(d)(2)(ii) (End-use scope), except for the 

heading that is added by this rule, as 

new paragraph (d)(2)(ii)(A) (For all 

items under paragraph (d)(2)(i)). This 

IFR also adds a new paragraph 

(d)(2)(ii)(B) (Additional permitted 

ultimate end use for 3A090.c.) to clarify 

the application of the ultimate end use 

requirement for 3A090.c commodities 

that are authorized under the TGL. As 

described in new paragraph (d)(2)(ii)(A), 

for other items, the TGL requires the 

ultimate end use of these other items to 

be outside of destinations specified in 

Country Groups D:1, D:4, or D:5 (and 

not specified in Country Groups A:5 or 

A:6) by entities not headquartered in or 

whose ultimate parent company is not 

headquartered in Macau or a destination 

specified in Country Group D:5 in all 

cases. The first sentence under new 

paragraph (d)(2)(ii)(B) specifies that the 

ultimate end use of 3A090.c 

commodities allows for use in any 

destination once the 3A090.c 

commodity is incorporated into another 

commodity, provided that higher-level 

commodity is not a commodity that is 

identified under paragraph (d)(2)(i) of 

this General Order No. 4. This sentence 

is needed because 3A090.c in certain 

cases may be incorporated into 

consumer electronics that would not 

otherwise be of concern for advanced 

AI, so therefore the ultimate end-use 

restriction is qualified with the addition 

of this sentence. The second sentence 

under new paragraph (d)(2)(ii)(B) 

specifies that if the higher level 

commodity is identified under 

paragraph (d)(2)(i), of this General Order 

No. 4, then the ultimate end use of these 

items is authorized under paragraph 

(d)(2)(ii) for destinations other than 

those specified in Country Groups D:1, 

D:4, or D:5 (and not specified in Country 

Groups A:5 or A:6) by entities not 

headquartered in or whose ultimate 

parent company is not headquartered in 

Macau or a destination specified in 

Country Group D:5. Lastly, the third 

sentence under new paragraph 

(d)(2)(ii)(B) clarifies that any subsequent 

export, reexport, or transfer (in-country) 

of a 3A090.c commodity (regardless of 

whether it was incorporated into a 

higher-level commodity) would also 

need to comply with any other 

applicable EAR license requirements 

that may be applicable, such as those 

based on the classification (including, if 

relevant, of the higher-level commodity) 

and the end use and parties to the 

transaction. 

This IFR revises the introductory text 

in § 740.8 (Notified Advanced 

Computing (NAC) and Advanced 

Computing Authorized (ACA)), 

paragraph (a) (Eligibility requirements) 

to specify that ECCN 3A090.c is not 

eligible for License Exception NAC or 

ACA. This exclusion is made because of 

concerns that HBM classified under 

3A090.c could be diverted for 

incorporation into other items that 

would be of national security and 

foreign policy concern for advanced AI 

model training applications. However, if 

the HBM is incorporated into another 

commodity, those concerns are 

sufficiently addressed through the 

export controls imposed under the EAR 

for the higher-level commodity. Based 

on the same rationale, this IFR does not 

extend the .z controls to items that meet 

or exceed the controls parameters under 

3A090.c, because if a 3A090.c item is 

incorporated into a higher-level 

commodity, the classification and 

controls for the higher-level commodity 


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applies. Lastly, if a 3A090.c commodity 

were incorporated into a commodity 

that is eligible for License Exception 

NAC or ACA, that higher-level 

commodity (e.g., a 3A090.b commodity) 

would not be precluded from being 

authorized under License Exception 

NAC or ACA. See § 770.2 (Item 

interpretations) under paragraph (b) 

(Interpretation 2: Classification of 

‘‘parts’’ of machinery, equipment, or 

other items). As an additional 

conforming change for this exclusion of 

3A090.c from NAC and ACA, this IFR 

also revises the NAC/ACA paragraph in 

the License Exceptions section of ECCN 

3A090 to specify that NAC/ACA is N/ 

A for 3A090.c. 

This IFR makes a third conforming 

change in § 742.6 (Regional stability). 

Paragraph (a)(6)(i) (Exports, reexports, 

transfers (in-country) to or within 

Macau or Country Group D:5) is revised 

to designate the text in paragraph 

(a)(6)(i) as paragraph (a)(6)(i)(A) and add 

a new paragraph (a)(6)(i)(B) to set forth 

license requirements for high 

bandwidth memory (HBM) items 

specified in ECCNs 3A090.c, 3D001 (for 

3A090.c), and 3E001 (for 3A090.c) when 

exported, reexported, or transferred (incountry) to or within Macau or a 

destination specified in Country Group 

D:5 in supplement no. 1 to part 740 of 

the EAR. 

This IFR also revises, as a conforming 

change, paragraph (a)(6)(iii) (Exports, 

reexports, transfers (in-country) to or 

within destinations specified in Country 

Groups D:1, D:4, and D:5, excluding 

destinations also specified in Country 

Groups A:5 or A:6) to specify that 

3A090.c, 3D001 (for 3A090.c), and 

3E001 (for 3A090.c) are excluded from 

the license requirements in this 

paragraph. These conforming changes 

are needed because the license 

requirements described in paragraph 

(a)(6)(iii) that apply for 3A090 and for 

the related software and technology 

controls for 3A090 will not apply for 

3A090.c, which will have narrower RS 

license requirements than the rest of 

3A090, as this IFR specifies in 

paragraph (a)(6)(i). 

This IFR also revises paragraph 

(b)(10)(i) to update the reference to 

newly designated paragraph (a)(6)(i)(A), 

in alignment with the change made to 

that paragraph. This IFR redesignates 

paragraph (b)(10)(ii) as paragraph 

(b)(10)(iii), and new paragraph (b)(10)(ii) 

now sets forth the license review policy 

for new paragraph (a)(6)(i)(B) (for HBM). 

There is a presumption of approval 

review policy for license applications 

for items specified in paragraph 

(a)(6)(i)(B) to or within Macau or a 

destination specified in Country Group 

D:5 in supplement no. 1 to part 740 of 

the EAR for entities neither 

headquartered in, nor whose ultimate 

parent company is headquartered in, 

either Macau or a destination specified 

in Country Group D:5. There is a 

presumption of denial policy for all 

other license applications. 

This IFR also revises former 

paragraph (b)(10)(ii) (License review 

policy for paragraph (a)(6)(iii)) to 

cascade it into two new paragraphs 

(b)(10)(iii)(A) for presumption of 

approval policy and paragraph 

(b)(10)(iii)(B) for presumption of denial 

and case-by-case policy. The 

presumption of approval policy in 

paragraph (b)(10)(iii)(A) and the 

presumption of denial policy in 

paragraph (b)(10)(iii)(B) is unchanged by 

this IFR. BIS has added a case-by-case 

license review policy for paragraphs 

(b)(10)(iii)(B)(i) and (ii), which are those 

that would qualify for License 

Exception NAC in § 740.8 of the EAR. 

This IFR makes a fourth and fifth 

conforming change in § 744.23 

(‘‘Supercomputer,’’ ‘‘advanced-node 

ICs,’’ and SME end use controls). This 

IFR makes a conforming change to 

paragraph (a)(3)(i) to account for the RS 

license requirement for 3A090.c items 

destined to Macau or destinations 

specified in Country Group D:5, 

requiring a different destination scope 

for the end-use control under 

§ 744.23(a)(3)(i) compared to the other 

items referenced in this paragraph. This 

IFR addresses this needed end-use 

control conforming change by making 

the following changes. In 

§ 744.23(a)(3)(i), this IFR adds a heading 

to paragraph (i) (ECCNs 3A090, 4A090, 

and .z items destined to entities 

headquartered in, or whose ultimate 

parent company is headquartered in, 

either Macau or a destination specified 

in Country Group D:5 in certain 

destinations) and removes the text from 

paragraph (i) and adds that text to new 

paragraph (a)(3)(i)(A). BIS also amends 

that paragraph by excluding 3A090.c 

from the scope of this end-use license 

requirement and revising the 

parenthetical phrase at the end of the 

paragraph to make that example easier 

to understand. In another conforming 

change related to 3A090.c, this IFR adds 

a new paragraph (a)(3)(i)(B) to impose 

an end-use license requirement for 

ECCN 3A090.c commodities when there 

is ‘‘knowledge’’ these commodities are 

destined to any destination other than 

Macau or those specified in Country 

Group D:5, for an entity that is 

headquartered in, or whose ultimate 

parent company is headquartered in, 

either Macau or a destination specified 

in Country Group D:5. Lastly, this IFR 

adds a parenthetical phrase with an 

application example under new 

paragraphs (a)(3)(ii) to provide a better 

understanding of this provision. 

In addition, paragraph (a)(3)(ii) 

introductory text and paragraph 

(a)(ii)(D) of § 744.23 are revised to add 

an exclusion for 3E001 technology for 

3A090.c, because the intent of this enduse control for certain 3E001 technology 

is focused, for example, on preventing a 

PRC company located in PRC from 

sending its designs to a logic foundry in 

a third country to manufacture 3A090 

chips under 3A090.a or .b for the PRC 

company. The license review policy for 

3A090.c and related ‘‘technology’’ and 

‘‘software’’ destined to Macau, 

destinations specified in Country Group 

D:5, or any entity headquartered in, or 

with an ultimate parent headquartered 

in, either Macau or a destination 

specified in Country Group D:5 will be 

consistent with the current policy for 

ECCN 3A090 pursuant to § 744.23(d)(1) 

of the EAR. Additional changes to 

§ 744.23 are discussed in section III.B.5 

of this preamble. 

This IFR makes a sixth conforming 

change related to 3A090.c in § 758.6 

(Destination control statement and other 

information furnished to consignees). 

The last sentence of paragraph (a)(2) is 

revised by adding .c to the reference to 

3A090.a or .b, so it is clear that, for 

tangible exports of ECCN 3A090 

commodities, 3A090.c needs to be 

identified on the commercial invoice, in 

the same way as 3A090.a or .b needs to 

be identified on the commercial invoice. 

As the seventh and eighth conforming 

changes related to 3A090.c, this IFR 

revises two ECCNs in the Commerce 

Control List, 3D001 and 3E001, for the 

related software and technology controls 

for 3A090.c to conform with the 

revisions to § 742.6 for the RS controls 

that are applicable to these related 

software and technology ECCNs. 

Under ECCN 3D001, this IFR revises 

the RS Controls paragraph in the 

License Requirements section to 

exclude software for 3A090.c from RS 

license requirements under 

§ 742.6(a)(6)(iii), consistent with the 

exclusion of 3A090.c and 3E001 

technology for 3A090.c from the scope 

of § 742.6(a)(6)(iii). In addition, this IFR 

also adds an RS Controls paragraph in 

the License Requirements section to 

reference § 742.6(a)(6)(i), including 

adding 3A090.c to this RS license 

requirement because software for 

3A090.c is included in the scope of 

§ 742.6(a)(6)(i). Previously, this RS 

Controls paragraph that references 

§ 742.6(a)(6)(i) was not included in the 

License Requirements section. To 

conform with the RS license 


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requirements in § 742.6(a)(6)(i), this IFR 

corrects that omission by adding this 

intended RS Controls paragraph, along 

with including a reference to new ECCN 

3A090.c. 

Under ECCN 3E001, this IFR revises 

the RS Controls paragraph in the 

License Requirements section that 

references § 742.6(a)(6)(iii), to exclude 

3A090.c from this RS license 

requirement because 3E001 technology 

for 3A090.c is excluded from the scope 

of § 742.6(a)(6)(iii). In addition, this IFR 

adds a new RS Controls paragraph in 

the License Requirements section of 

ECCN 3E001 for 3A090.c to impose a RS 

license requirement under 

§ 742.6(a)(6)(i)(B) for exports, reexports, 

and transfers to or within Macau or a 

destination specified in Country Group 

D:5 of supplement no. 1 to part 740. 

3. Addition of New License Exception 

HBM for 3A090.c 

In part 740 (License Exceptions), this 

IFR adds a new License Exception HBM 

under § 740.25. This IFR adds License 

Exception HBM to authorize certain 

exports, reexports, and transfers (incountry) for some of the new HBM 

commodities that this IFR adds to ECCN 

3A090.c. License Exception HBM 

consists of paragraphs (a) through (e), 

which specify the terms and conditions 

of this new license exception and create 

a more efficient authorization for certain 

exports, reexports, or transfers (incountry) of these new ECCN 3A090.c 

commodities that are in U.S. national 

security and foreign policy interests. 

This license exception authorizes 

exports, reexports, and transfers (incountry) when both: (1) the export, 

reexport, or transfer (in-country) is 

completed by and to packaging sites 

that, even if located within a country of 

concern, are owned and operated by 

U.S. or allied headquartered companies, 

alleviating the national security 

concerns about those destinations; and 

(2) where the U.S. or allied 

headquartered company carefully tracks 

the HBM being sent and returned by the 

packaging site and resolves 

discrepancies or report them to BIS. As 

a result, the exception helps ensure that 

national security and foreign policy 

considerations are addressed without 

delaying the ability of U.S. and allied 

headquartered companies to continue 

operations that do not raise national 

security or foreign policy concerns. 

Specifically, this IFR adds paragraph 

(a) (Scope) to specify that License 

Exception HBM authorizes the export, 

reexport, or transfer (in-country) of 

items specified in ECCN 3A090.c on the 

CCL if all terms and conditions within 

this section are met. 

This IFR adds paragraph (b) (Exporter, 

reexporter, transferor) to impose 

requirements on who may be an 

exporter, reexporter or transferor under 

License Exception HBM. This IFR 

specifies under paragraph (b) that the 

exporter, reexporter, or transferor must 

be headquartered in the United States or 

a destination specified in Country 

Group A:5 of supplement no. 1 to part 

740, without an ultimate parent 

headquartered in Macau or a destination 

specified in Country Group D:5 of 

supplement no. 1 to part 740. No other 

exporter, reexporter, or transferor may 

use License Exception HBM. 

This IFR adds paragraph (c) 

(Conditions) to specify that exports, 

reexports, or transfers (in-country) are 

authorized under this License Exception 

HBM only when the 3A090.c item has 

a memory bandwidth density less than 

3.3 GB/s/mm∧2. Only HBM at less than 

this parameter may be authorized under 

License Exception HBM. HBM at equal 

to or greater than this parameter 

referenced under paragraph (c) are of 

greater sensitivity, so those HBM of 

greater sensitivity are not eligible for 

HBM to ensure U.S. national security 

and foreign policy interests are 

protected. In order to export, reexport, 

or transfer (in-country) such HBM, both 

of the conditions that are specified 

under paragraphs (c)(1) and (c)(2) must 

be met. 

New paragraph (c)(1) of License 

Exception HBM specifies that the 

3A090.c items exported, reexported, or 

transferred to or within Macau or a 

destination specified in Country Group 

D:5 must be directly purchased by the 

designer of the co-packaged commodity. 

Because of the greater export control 

concerns with shipments through 

distributors related to diversion, this 

condition ensures that the exporter, 

reexporter, or transferor must know who 

the designer of the co-packaged 

commodity is and that the designer is 

the entity that the co-packaged 

commodity is being exported, 

reexported, or transferred (in-country) to 

under License Exception HBM. 

New paragraph (c)(2) of License 

Exception HBM specifies that the 

3A090.c items must be shipped directly 

to the packaging site, which is included 

to prevent diversion. HBM are used at 

packaging sites, so this condition is 

intended to further ensure that the HBM 

are being exported, reexported, or 

transferred (in-country) directly to the 

end user and not to other parties that 

would pose a greater risk of diversion. 

Paragraph (c)(2)(i) of License 

Exception HBM applies to 3A090.c 

items that are destined for packaging at 

a U.S.- or Country Group A:5 or A:6- 

headquartered packaging site without an 

ultimate parent headquartered in Macau 

or a destination specified in Country 

Group D:5 and meet the additional 

conditions this IFR adds under 

paragraph (c)(2)(i)(A) and (B). New 

paragraph (c)(2)(i)(A) specifies that the 

packaging site must confirm in writing 

to the producer of the chips that the 

3A090.c item was packaged and 

exported, reexported, or transferred (incountry) to the specified designer of the 

co-packaged commodity. The second 

sentence to paragraph (c)(2)(i)(A) 

specifies that this confirmation is 

considered an ‘‘export control 

document’’ and is subject to 

recordkeeping requirements in part 762. 

New paragraph (c)(2)(i)(B) specifies that 

the co-packaged commodities must not 

exceed the technical thresholds in 

ECCN 3A090, unless packaging the item 

is permitted under the TGL specified in 

paragraph (d) of General Order No. 4 in 

of supplement no. 1 to part 736. This 

condition under paragraph (c)(2)(i)(B) is 

excluded because there is greater export 

control concern if a 3A090.c item is 

being incorporated into a 3A090.a or 

3A090.b commodity, unless that activity 

is within the scope of the TGL. 

Paragraph (c)(2)(ii) of License 

Exception HBM specifies that if the 

3A090.c items are destined for 

packaging at any other packaging site, 

then the co-packaged commodities must 

be sent back to the exporter, reexporter, 

or transferor for export, reexport, or 

transfer (in-country) to the purchaser 

and meet the additional conditions 

under new paragraphs (c)(2)(ii)(A) and 

(B). New paragraph (c)(2)(ii)(A) specifies 

that upon receipt of the co-packaged 

commodities, the exporter, reexporter, 

or transferor must confirm the number 

of 3A090.c units contained within the 

co-packaged chips received from the 

packaging site matches the number of 

3A090.c items exported, reexported, or 

transferred (in-country) to the packaging 

site. Similar to the text this IFR adds to 

paragraph (c)(2)(i)(A), this IFR adds a 

second sentence to paragraph 

(c)(2)(ii)(A) to specify that this 

confirmation is considered an ‘‘export 

control document’’ and is subject to 

recordkeeping requirements in part 762. 

As with all export control records, the 

IFR specifies under paragraph 

(c)(2)(ii)(A) that a copy of this record 

must be provided to BIS upon request. 

Paragraph (c)(2)(ii)(B) specifies that the 

co-packaged commodity must not 

exceed the technical thresholds in 

ECCN 3A090.a or 3A090.b. This is 

necessary because the logic die copackaged with the HBM may still 


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exceed the TPP or performance density 

thresholds in 3A090.a or 3A090.b. 

This IFR adds paragraph (d) 

(Restrictions) to specify certain exports, 

reexports, or transfers (in-country) of 

3A090.c items that are not authorized 

under this License Exception HBM 

when specified under paragraphs (d)(1), 

(2), or (3). New paragraph (d)(1) 

excludes exports, reexports or transfers 

(in-country) to distributors. New 

paragraph (d)(2) excludes exports, 

reexports, or transfers (in-country) to 

intermediate consignees, unless hired 

by the packaging site for freight 

forwarding or customs clearance. New 

paragraph (d)(3) excludes exports, 

reexports, or transfers (in-country) to copackaging at a ‘‘facility’’ located in 

Macau or a destination specified in 

Country Group D:5 where ‘‘production’’ 

of ‘‘advanced-node ICs’’ occurs. These 

three restrictions specified under 

paragraphs (d)(1) through (3) are needed 

to ensure the exports, reexports, and 

transfers (in-country) authorized under 

License Exception HBM will not be 

diverted contrary to U.S. national 

security and foreign policy interests. 

This IFR adds paragraph (e) 

(Reporting requirement) to specify that 

in the event that the exporter, 

reexporter, or transferor identifies a 

discrepancy of greater than 1 percent 

between the number of 3A090.c units 

exported, reexported, or transferred (incountry) to the packaging site and the 

number of 3A090.c units contained 

within the co-packaged commodities 

received from the packaging site under 

paragraph (c)(2)(A) of this section, this 

generates a ‘Red Flag’ that must be 

resolved before exporting, reexporting, 

or transferring (in-country) the copackaged commodities to the designer 

of the co-packaged commodities or 

engaging in any further exports, 

reexports, or transfers (in-country) of 

3A090.c items to the designer of the copackaged commodities or packaging site 

involved in the transaction that raised 

the Red Flag. The IFR adds a second 

sentence to the introductory text of 

paragraph (e) to specify that if the Red 

Flag cannot be resolved, then within 60 

days of identifying the discrepancy, the 

exporter, reexporter, or transferor must 

report the information in new paragraph 

(e)(1) to BIS on the unresolved Red Flag, 

following the requirements under 

paragraph (e)(2). 

New paragraph (e)(1) (Information 

required) specifies under paragraphs 

(e)(1)(i) through (vi) the information that 

needs to be reported to BIS. Specifically, 

paragraphs (e)(1)(i) through (e)(vi) 

specifies that the following information 

must be reported to BIS: (i) the date of 

shipment; (ii) the quantity shipped, and 

quantity returned; (iii) the name of 

Consignee or designer of the copackaged commodities; (iv) the name 

and address of the packaging site; (v) the 

end use; and (6) an explanation of 

measures already taken or planned to 

resolve the Red Flag. 

New paragraph (e)(2) (Submission 

requirements) specifies that reports 

must be provided in electronic form. 

Paragraph (e)(2) specifies that the 

recommended file formats for electronic 

submission include spreadsheets, 

tabular text, or structured text. 

Paragraph (e)(2) allows for submitters of 

such reports to request other reporting 

arrangements with BIS to better reflect 

their business models. Lastly, paragraph 

(e)(2) specifies that reports are to be sent 

electronically to BIS at the email 

address: HBMReports@bis.doc.gov with 

the email subject line Attn: LE HBM 

Discrepancy Reports. These changes are 

expected to result annually in an 

increase of 10 notifications to BIS under 

License Exception HBM. 

As a conforming change for the 

addition of License Exception HBM, this 

IFR revises section 740.2(a)(9)(ii) to add 

the phrase ‘‘HBM under the provisions 

of § 740.25’’ to specify this is an 

additional EAR license exception that 

may overcome the general restriction, 

even though License Exception HBM is 

only available for ECCN 3A090.c. This 

IFR also adds a new Note to paragraph 

(a)(9)(ii) to provide guidance on why 

ECCN 3A090.c is included within the 

scope of this paragraph even though the 

destination scope referenced in this 

paragraph is broader than the 

destination scope of license 

requirements for 3A090.c. This new 

Note specifies under the first sentence 

that ECCN 3A090.c requires a license for 

exports, reexports, transfers (in-country) 

to or within Macau or Country Group 

D:5 but is still included within the 

scope of this paragraph because it 

generally shares the same EAR license 

exception eligibility as other 3A090 

commodities. The last sentence of this 

note specifies that an export, reexport, 

or transfer (in-country) of an ECCN 

3A090.c commodity to a destination 

specified in Country Groups D:1 or D:4 

that is not specified in Country Group 

D:5, may be made under the No License 

Required (NLR) designation, provided 

no part 744 or 746 license requirements 

are applicable. 

As a conforming change for the 

addition of License Exception HBM, in 

§ 762.2 (Records to be retained) this IFR 

revises paragraph (b) (Records retention 

references) to add a new paragraph 

(b)(56) to reference § 740.25, License 

Exception HBM as a new record 

retention reference. This change is a 

conforming change with the addition of 

License Exception HBM and the new 

reporting requirement under § 740.25(e), 

which is considered an ‘‘export control 

record’’ for purposes of the EAR and 

must be kept in accordance with the 

requirements of part 762 of the EAR. 

D. Clarification to the EAR: Software 

Keys 

This IFR also clarifies the export 

controls that apply to the export, 

reexport, and transfer (in-country) of 

software keys that allow access to the 

use of certain software and hardware. 

This IFR revises existing § 734.19 

(Transfer of access information) by 

redesignating the existing introductory 

text of the section as new paragraph (a) 

and adding a new paragraph (b), 

including adding a new Note 2 to 

paragraph (b), to describe the export 

control treatment of software license 

keys. 

This clarification adds software keys, 

or software license keys, to new 

paragraph (b) in § 734.19(b). These keys 

allow the use of specific ‘‘software’’ 

(e.g., to ‘‘unlock’’ the use of the software 

or hardware) and software keys that 

allow the renewal of existing software 

and hardware use licenses, thereby 

allowing the use of the ‘‘software’’ or 

hardware by the licensed end user. 

Prior to this rule, the introductory text 

to § 734.19 described the transfer of 

‘‘access information’’ only and did not 

otherwise address the export control 

status of software license keys that 

allow access but are not ‘‘access 

information’’ as defined in part 772 of 

the EAR. In this IFR, BIS is clarifying 

the scope of § 734.19 by adding a new 

paragraph (b) to specify the EAR 

treatment of software keys. To 

implement these changes, this IFR 

makes the following revisions: 

To reflect the clarification of the 

intended scope of § 734.19, this IFR 

revises the heading of the section to 

read as ‘‘Transfer of access information 

and export, reexport, and transfer (incountry) of software keys,’’ so that it is 

clear that this section applies to both 

transfer of access information now 

described under paragraph (a) and the 

export, reexport, and transfer (incountry) of software keys described 

under new paragraph (b) that this IFR 

adds to this section. 

This IFR redesignates the existing text 

of § 734.19 as new paragraph (a). This 

IFR as a conforming change redesignates 

Note 1 to § 734.19 as new Note 1 to 

§ 734.19(a). 

New paragraph (b) is added to specify 

that software keys, also called software 

license keys, which allow users the 

ability to use ‘‘software’’ or hardware by 


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providing access to it, and software keys 

that renew existing ‘‘software’’ or 

hardware use licenses, are classified and 

controlled under the same ECCNs on the 

CCL as the corresponding ‘‘software’’ or 

hardware to which they provide access, 

or in the case of hardware, the software 

key would be classified under the 

corresponding ECCN in the software 

group (e.g., a software license key that 

allows the use of hardware classified 

under ECCN 5A992 would be classified 

under ECCN 5D992). This clarification 

is needed to inform exporters, 

reexporters, and transferors of the EAR’s 

approach to software keys. 

If authorization is required for the 

export, reexport, or transfer (in-country) 

of the ‘‘software’’ or hardware, 

authorization is likewise required for 

the software key. For example, if a 

license is required to export ECCN 

5D992 software to an entity listed on the 

Entity List (see supplement no. 4 to part 

744 of the EAR), a license is also 

required to release the associated 

software key that allows the entity 

access to that ‘‘software.’’ Importantly, 

this would apply even if the listed 

entity already had previous access to the 

‘‘software’’ in question but needs a 

software key for current or future access 

to the ‘‘software.’’ 

Additionally, if authorization via an 

export license is obtained for the export, 

reexport, or transfer (in-country) of the 

‘‘software’’ or hardware, that license 

also authorizes the export, reexport, or 

transfer (in-country) to the 

corresponding software license key, 

consistent with the terms and 

conditions set forth in the license. The 

license would continue to authorize 

access to the use of the ‘‘software’’ or 

hardware (not upgrades) until the 

license expires, provided the license did 

not specifically exclude such a release 

of the software license key, or require 

separate authorization for the software 

key. 

If no authorization was required for 

the initial export of the ‘‘software’’ or 

hardware and the associated software 

key, but a license requirement is later 

imposed on the ‘‘software’’ or hardware 

(e.g., a license requirement is imposed 

because the end user becomes listed on 

the Entity List), then subsequent 

exports, reexports, or transfers (incountry) of the ‘‘software,’’ hardware, 

and the software license key are subject 

to the new license requirement. This 

clarifies the application of paragraph (b) 

requirements when a change in the 

license requirement occurs between the 

initial export, reexport, or transfer (incountry) of the ‘‘software’’ or hardware, 

and the release of the software license 

key to access it. 

Note 2 to paragraph (b) is added in 

§ 734.19 to clarify that paragraph (b) 

does not impact keys that unlock 

dormant functionality in a controlled 

item. Note 2 to paragraph (b) addresses 

items with dormant functionality that 

can be activated using a license key. 

This typically occurs when an item is 

already activated and useable, but a 

customer wants to purchase and add 

additional features. In some cases, those 

additional features take an item from an 

uncontrolled to a controlled state, or 

from a lower to a higher control (e.g., an 

AT-controlled item becomes NScontrolled). BIS has existing policies on 

the way it treats such a scenario that 

vary by category. The purpose of Note 

2 to paragraph (b) is to make it clear that 

this rule is not intended to impact those 

existing policies. 

As a conforming change, this IFR also 

revises the definition of ‘‘access 

information’’ in part 772 to specify that 

the definition of ‘‘access information’’ 

applies only to § 734.19(a), and not to 

§ 734.19(b). 

Instructions for submission of 

comments, including comments that 

contain business confidential 

information, are found in the ADDRESSES

section of this IFR. BIS is requesting 

comments on whether the revisions 

promulgated in this IFR effectively 

describe the treatment of software keys, 

that allow users the ability to use the 

‘‘software’’ and hardware, and software 

keys that renew existing ‘‘software’’ use 

licenses. Additionally, whether BIS 

should address the export control status 

of other types of keys and software 

access control mechanisms under the 

EAR. BIS will also accept comments on 

the relationship between the treatment 

of software keys as described in new 

§ 734.19(b) and the treatment of keys 

that activate new dormant functionality 

in ‘‘software’’ or hardware that has 

already been activated. 

E. Revisions to the Commerce Control 

List 

1. Revisions to 3B001 

This rule revises 3B001 by adding 

‘‘oxygen’’ to paragraph 3B001.a.2 to 

implement a revision of a WA 

agreement. Oxygen is added due to 

recent developments in the epitaxial 

growth rate of gallium oxide in metal 

organic chemical vapor deposition 

(MOCVD) systems. Double quotes are 

added around the word ‘‘production’’ in 

Technical Note 1 to paragraph 3B001.e 

to indicate it is a defined term in § 772.1 

of the EAR. 

This section discusses the 

amendments to ECCN 3B001 other than 

the commodities moved to new ECCN 

3B993, discussion of which is found in 

Section D.4 of the rule. No changes were 

made to ECCN 3B001 paragraphs .b, or 

.g through .n. 

The ECCN 3B001 paragraphs 

amended and added in this rule are 

controlled for NS and RS reasons, as 

identified in §§ 742.4(a)(4) (NS) and 

742.6(a)(6) (RS), which applies only to 

Macau and destinations specified in 

Country Group D:5. The entire entry is 

also controlled for anti-terrorism (AT) 

reasons and subject to an AT:1 license 

requirement. The License Requirement 

table is revised as needed to identify 

these reasons for control. 

3B001.a.4 is updated as follows. The 

list of epitaxy materials is updated to 

only specify silicon and silicon 

germanium, but not carbon doped 

silicon. Carbon doped silicon epitaxy is 

still included under silicon epitaxy. The 

parameter specifying the chamber 

atmosphere has been removed. The 

parameter specifying temperature is 

updated to reflect that it refers to the 

chamber temperature, and the 

temperature value is converted from 

degrees Celsius to Kelvin. These 

changes are made to ensure that all 

systems capable of achieving similar 

epitaxial performance are specified 

regardless of their architecture or 

configuration. These changes are not 

intended to alter the original scope of 

control as published in October 2023, 

and BIS welcomes feedback on whether 

any fewer or additional systems are 

specified by the updated control text. 

3B001.c.3 controls the etch equipment 

used to package a chip containing a 

through-silicon via (TSV) (e.g., a HBM 

chip). The equipment specified by 

3B001.c.3 performs a ‘‘reveal etch,’’ 

which removes silicon from the 

backside of the wafer and ‘‘reveals’’ the 

vias for subsequent packaging steps. To 

perform this process in high-volume 

manufacturing and at a high yield, this 

equipment employs endpoint detection 

to remove a highly precise thickness of 

material as well as ‘‘process uniformity 

tuning,’’ which is defined in the 

Technical Note to 3B001.c.3 to refer to 

the ability to compensate for incoming 

wafer thickness variation caused by the 

wafer grinding process. 

3B001.c.4 controls etch equipment 

designed to create TSVs, which are 

formed by first etching a high-aspect 

ratio hole. This control specifies 

equipment designed for TSV etch with 

an aspect ratio of greater than or equal 

to 10:1, which BIS believes describes 

the TSVs used in advanced packaging 

applications, but not the TSVs used in 

legacy processes. The control further 

specifies that the equipment produces 

low non-uniformity (less than 2%) and 


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a high etch rate (greater than 7 microns 

per minute), which are important to 

maintain the throughput and yield 

necessary for high-volume 

manufacturing. BIS notes that 3B001.c.4 

items are listed under 3B001 to reflect 

that they are subject to a destinationbased license requirement for 

destinations specified in Country Group 

D:5 or Macau. If § 744.23 does not 

apply, applications will be reviewed on 

a case-by-case basis if no license would 

be required under any other provision of 

part 744 of the EAR. 

3B001.d.3 is updated to specify that 

the plasma process described in d.3.b is 

a surface treatment. 

3B001.d.4 and 3B001d.12 are updated 

to remove the specification that the 

transfer chamber or wafer handling 

system must maintain high vacuum 

(equal to or less than 0.01 Pascal (Pa)) 

or inert environment between process 

steps. This change is made to ensure 

relevant systems are specified based on 

their performance criteria (listed in the 

ECCN sub-paragraphs), rather than 

transfer pressure, which may vary from 

system to system. 

3B001.d.5 is updated to change the 

specification of the carbon hard mask to 

being more than 2 mm thick and have a 

density greater than 1.7 grams per cubic 

centimeter (g/cm∧3). 

3B001.d.11: The parameters in this 

paragraph do not control the targeted 

SME, but 3B001.d.7, 3B001.d.8 and 

3B001.10 do. Therefore, the control text 

is removed, and the paragraph is 

reserved. 

3B001.d.14 has been updated to 

control a narrower set of equipment by 

specifying that the properties of the 

deposited film must have a lower 

dielectric constant and be deposited in 

features with a smaller lateral opening 

and smaller feature-to-feature pitch. As 

described below, the new paragraph 

3B993.d.1 is created to be largely similar 

to the former paragraph 3B001.d.14. 

The control text for former paragraph 

3B001.d.16 has been moved to the new 

paragraph 3B993.d.2, as described 

below. Therefore, the control text is 

removed, and the paragraph is reserved. 

New paragraph 3B001.d.17 controls 

equipment used for depositing dielectric 

material between the metal lines of 

advanced ICs. This material must have 

very low dielectric constant (low-k). 

Unlike control 3B001.d.15—which 

controls equipment that produces lowk films as-deposited—3B001.d.17 

controls films that achieve a low k after 

curing with ultraviolet (UV) light. This 

UV curing is typically necessary for 

achieving the dielectric constants 

necessary for ‘‘advanced-node ICs.’’ 

This equipment uses a plasma-enhanced 

chemical vapor deposition process, 

which allows the substrate to be kept at 

a temperature below 500 degrees Celsius 

(°C). The most advanced equipment also 

includes the curing capability in the 

same platform as the deposition 

chamber to avoid exposing the 

deposited film to moisture in-transit 

between different platforms. Finally, 

this control specifies the geometry of the 

deposited film to be consistent with the 

advanced metal layers of advanced IC 

production nodes (thickness between 6 

nanometers (nm) and 20 nm at an aspect 

ratio greater than or equal to 1:1.8, and 

a metal pitch less than 24 nm). 

New paragraph 3B001.d.18 expands 

on the existing controls on equipment 

that deposits low-resistivity metals used 

in advanced memory integrated circuits. 

Namely, this expands on the controls on 

molybdenum and ruthenium beyond 

controls 3B001.d.12.b and 3B001.d.13, 

respectively. 3B001.d.18 includes 

deposition techniques that utilize a 

reducing agent, rather than keeping the 

chamber under vacuum. Additionally, 

the control does not specify the type of 

precursor, but instead specifies a 

precursor temperature above 75°C. 

3B001.d.18 also includes a note to 

specify that the metal precursor could 

be located on the tool or elsewhere in 

the facility in a sub-fab. In some cases, 

a fabrication facility will separate out 

toxic materials from the main 

fabrication facility, instead placing them 

in a dedicated ‘‘sub-fab.’’ 

The new 3B001.d.19 controls 

equipment designed or modified for 

depositing insulators used in advanced 

DRAM. As memory cells shrink, the 

DRAM cell’s capacitor needs to use an 

insulator with a higher dielectric 

constant to compensate for its decreased 

size. 3B001.d.19 controls equipment 

that deposits material in very high 

aspect ratio features (greater than 200:1, 

characteristic of 3D DRAM technology). 

Additionally, 3B001.d.19 specifies the 

materials and processes used in practice 

to achieve this deposition in high 

volume manufacturing. Namely, the 

control specifies materials that require 

two metal precursors and result in a 

film with a very high dielectric constant 

(greater than 40). It further specifies that 

the two metal precursors are delivered 

through direct liquid injection, which is 

a technique that allows low-volatility 

precursors to achieve sufficient vapor 

pressure to efficiently deposit on the 

large surface areas present in high 

aspect ratio features. Also see the 

related control in the new paragraph 

3B993.d.4. 

The new 3B001.d.20 is created to 

control certain physical deposition 

equipment having electromagnets and 

being ‘‘specially designed’’ for 

depositing tungsten into features with a 

specified geometry. This equipment 

enables the creation of pure tungsten 

metal contacts to overcome resistance 

challenges in the production of 

‘‘advanced-node ICs.’’ 

3B001.e.1 is updated to include 

3B001.a., .b, and .c and .d, because all 

of these ‘semiconductor processing 

tools’ all have the same configuration. 

3B001.f.1.b is updated to remove the 

parameter f.1.b.2.b. Items previous 

controlled by this parameter are now 

controlled under the new 3B993.f.1.b. 

The new 3B001.f.5 controls 

nanoimprint lithography equipment 

capable of producing ‘‘advanced-node 

ICs.’’ To accomplish this, the equipment 

must have a small overlay accuracy, in 

this control an overlay accuracy less 

than 1.5nm. BIS has also created a 

related new control on less advanced 

nanoimprint lithography, paragraph 

3B993.f.2, described below. 

3B001.o.1 and 3B001.o.2 are moved to 

the new paragraphs 3B993.o.1.a and 

o.1.b. Therefore, the control text is 

removed, and the paragraph is reserved. 

New paragraph 3B001.p.4 controls 

single wafer cleaning equipment, which 

is required for advanced processes due 

to the need for higher control over 

variables like contamination compared 

to batch cleaning systems. 3B001.p.4 

expands on former 3B001.p.3 (current 

3B993.p.3) by removing the ‘‘surface 

modification drying’’ parameter. That 

technique can be challenging to use for 

the most advanced processes due to 

pattern collapse from surface tensions. 

3B001.p.4 controls an alternative 

technique, supercritical or 

sublimination drying using carbon 

dioxide (CO2). 

3B001.r.is created to control 

equipment designed for deposition or 

removal processes that improve the 

overall patterning achieved by EUV 

lithography. See the Crosswalk for 

ECCN 3B001 commodities that moved 

to New ECCN 3B993 under section 

III.D.4 for additional context on these 

movements. 

2. Revisions to 3B002 

ECCN 3B002 is amended by removing 

3B002.b from certain license 

requirements in the license 

requirements table. The License 

Exception LVS paragraph is revised by 

removing the exclusion for 3B002.b. 

Additionally, ECCN 3B993 is added to 

the related controls for ECCN 3B002. 

3. Revision of ECCNs 3B991 and 3B992 

This IFR revises the headings of ECCN 

3B991 and 3B992 to add ECCNs 3B993 

and 3B994 to the equipment not 


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controlled by ECCNs 3B991 or 3B992. 

While ECCNs 3B993 and 3B994 may 

have similar control parameters, they 

have a higher RS reason for control than 

ECCNs 3B991 and 3B992, which are 

controlled for AT reasons. Therefore, 

these revisions were made in order to 

maintain the correct order of review. 

4. Addition of ECCN 3B993 

This IFR adds new ECCN 3B993 to 

specify items that enable ‘‘advancednode IC’’ production, but which BIS 

believes also have legitimate 

applications in non-advanced-node 

production, and thus do not warrant 

nationwide license requirements or a 

presumption of denial. These items are 

differentiated from those in the ECCN 

3B001 item paragraphs described above, 

which now specify items that are not 

only enabling ‘‘advanced-node IC’’ 

production but used exclusively or 

designed specifically for that purpose. 

CROSSWALK FOR ECCN 3B001 COMMODITIES THAT MOVED TO NEW ECCN 3B993 

3B001 Description 3B993 

c.1.b .......................................... High-aspect ratio etch ................................................................................................................ c.1. 

d.14 ........................................... Remotely-generated radical assisted dielectric deposition ....................................................... d.1. 

d.16 ........................................... Dielectric deposition ................................................................................................................... d.2. 

f.1.b.2.b ..................................... Less-advanced DUV photolithography equipment .................................................................... f.1.b.2. 

o.1 and o.2 ............................... Annealing equipment ................................................................................................................. o.1 and o.2. 

p.1 and p.3 ............................... Cleaning equipment ................................................................................................................... p.1 and p.3. 

Seven commodities are moved from 

former ECCN 3B001 paragraphs into the 

new ECCN 3B993, due to their nodeagnostic nature and established usage in 

non-advanced-node fabrication 

applications. These include 

commodities in former paragraphs 

3B001.c.1.b (high-aspect ratio etch), 

3B001.d.14 (remotely-generated radical 

assisted dielectric deposition), 

3B001.d.16 (dielectric deposition), 

3B001.f.1 (less-advanced DUV 

photolithography equipment), 3B001.o.1 

(annealing equipment), and 3B001.p.1 

and p.3 (cleaning equipment). BIS has 

also added several other commodities to 

new 3B993 ECCNs. 

New paragraph 3B993.b.1 augments 

existing controls on ion implantation in 

2B005.b, 3B001.b, and 3B991.b.1.g. 

3B993.b.1 controls equipment that 

performs ‘‘plasma doping,’’ which 

enables dopant atoms to be deposited 

into the sidewalls of 3D structures like 

FinFETs and GAAFETs. This control 

also specifies several properties of the 

equipment, including the wafer size it 

can accept (300 mm diameter), power 

sources it uses (at least one radio 

frequency source and at least one pulsed 

direct current source), and the atomic 

species it can implant (namely, n-type 

or p-type dopants, which are the atomic 

species used to tune the electrical 

properties of semiconductor material). 

3B993.c.1 (formerly 3B001.c.1.b) 

controls certain equipment designed or 

modified for anisotropic dry etching. 

Atomic layer etching enhanced by the 

features described in 3B993.c.1 produce 

the vertical edges required in highquality, leading-edge advanced devices 

and structures, including GAAFET and 

similar 3D structures. This control 

includes a Note to inform the public 

that 3B993.c.1 includes etching by 

‘radicals’, ions, sequential reactions, or 

non-sequential reactions. In addition, it 

includes a Technical Note to define the 

term ‘radical’ used in the Note. 

3B993.c.2 controls etch equipment 

used in the fabrication of dynamic 

random access memory (DRAM) chips. 

As the size of DRAM cells decrease, the 

lateral dimensions of all the features 

within the memory cell also need to 

shrink. Crucially, this involves 

shrinking the diameter of the capacitor 

used to store the bit of information 

contained in the cell. One step in 

fabricating this capacitor is etching a 

high-aspect ratio feature into a dielectric 

material. Accordingly, the control 

focuses on equipment that can etch 

dielectric materials to an aspect ratio of 

greater than 30:1. Furthermore, it 

specifies the equipment can create 

openings with a lateral dimension less 

than 40 nm (necessary for capacitors 

that fit in a single advanced DRAM 

memory cell). This control also contains 

a Note to specify that it does not apply 

to equipment designed for wafer 

diameters less than 300 mm. 

3B993.c.3 expands on the control in 

3B001.c.1.c by broadening the scope of 

the fast gas switching time (from 300 

milliseconds (ms) to 500 ms), and the 

individually controllable variable 

temperature elements in the 

electrostatic chuck (from 20 to 10). 

3B993.c.3 will not control equipment 

already controlled by 3B001.c.1.c. 

3B993.d.1 (derived from former 

3B001.d.14) controls equipment for 

depositing films in features with certain 

geometry and a specified dielectric 

constant. This is an update to the former 

3B001.d.14 control by redesignating this 

equipment specified under new 

3B001.d.14 and specifying that the 

aspect ratio in 3B993.d.1.b describes the 

features. These changes are made to 

differentiate license requirements for 

more (3B001.d.14) versus less 

(3B993.d.1) advanced dielectric 

deposition equipment. 

3B993.d.2 (formerly 3B001.d.16) 

controls deposition for silicon and 

carbon containing films while meeting 

certain temperature requirements, 

having the capability to hold multiple 

vertically stacked wafers, and having 

certain injector configurations, as 

specified. 

3B993.d.3 controls equipment 

designed for chemical vapor deposition 

(CVD) of carbon hard masks. This 

expands on 3B001.d.5—which controls 

plasma-enhanced CVD (PECVD) of 

carbon hard masks—to encompass other 

CVD techniques and resulting film 

properties. Carbon hard masks are 

critical for multipatterning processes, 

with higher density masks providing 

better etch selectivity and pattern 

fidelity, enabling the creation of smaller 

features on the wafer. 

3B993.d.4 (related to new 3B001.d.19) 

controls equipment designed for 

depositing the insulators used in 

advanced DRAM production. As 

memory cells shrink, the DRAM cell’s 

capacitor needs to use an insulator with 

a higher dielectric constant to 

compensate for its decreased size. It 

further specifies that this equipment can 

deposit material on very high aspect 

ratio features (greater than 50:1, 

characteristic of advanced DRAM). 

Additionally, 3B993.d.4 specifies the 

materials and processes used in practice 

to achieve this deposition in high 

volume manufacturing. Namely, the 

control specifies materials that require 

two metal precursors and result in a 

film with a high dielectric constant 

(greater than 35). It further specifies that 

the two metal precursors are delivered 

through direct liquid injection. 

3B993.f.1 (formerly part of 3B001.f.1) 

reflects the scope of former 

3B001.f.1.b.2.b, which specified certain 


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less-advanced DUV photolithography 

equipment. Equipment meeting the 

parameters in 3B993.f.1 is not eligible 

for de minimis treatment, with one 

exception as set forth in § 734.4(a)(3) of 

the EAR, as described below in Section 

B.1. 

3B993.f.2 controls nanoimprint 

lithography equipment capable of 

producing ‘‘advanced-node ICs.’’ This 

control specifies it controls equipment 

with an overlay accuracy between 1.5 

nm and 4.0 nm. Also see the related 

new control on nanoimprint 

lithography, 3B001.f.5. 

3B993.f.3 specified commodities 

designed or modified to improve the 

productivity of controlled DUV 

photolithography equipment. BIS has 

also added similar controls in 3D993 

and 3E993 that cover ‘‘software’’ and 

‘‘technology’’ for the ‘‘development’’ or 

‘‘production’’ of commodities specified 

by 3B993, which is intended to restrict 

‘‘software’’ or technology’’ that could 

modify or improve DUV 

photolithography equipment. 

3B993.o.1 (formerly 3B001.o) controls 

certain annealing equipment for reflow 

of copper, cobalt, and tungsten. The 

scope of control is unchanged. 

3B993.o.2 is created to control certain 

equipment designed for annealing 

semiconductors. Annealing is an 

essential step used to modify the 

electrical properties of semiconductor 

material to be useful in transistors. This 

control is targeted at the ‘‘millisecond 

spike annealing’’ technology, which is 

used in advanced node semiconductor 

fabrication. Millisecond spike annealing 

allows for precise control of dopant 

activation and diffusion, with the 

‘‘spike’’ referring to the extremely short 

duration during which the wafer is 

heated to the desired temperature. This 

brief, intense heating allows for dopant 

activation while minimizing unwanted 

diffusion, which is critical for creating 

advanced semiconductors. This control 

covers both lamp-based and laser-based 

millisecond spike annealing systems, as 

both can achieve rapid heating and 

cooling required for this process. 

3B993.o.2 includes a Technical Note 

that ‘duration’ is the period of time (i.e., 

total elapsed time) the wafer is above 

the stated temperature. 

3B993.p is created to control removal 

and cleaning equipment 3B993.p.1 

(formerly 3B001.p.1) controls 

equipment designed for removing 

polymeric residue and copper oxide 

film and enabling deposition of copper 

metal in a vacuum (equal to or less than 

0.01 Pa) environment. 3B993.p.3 

(formerly 3B001.p.3) controls 

equipment designed for dry surface 

oxide removal preclean or dry surface 

decontamination. BIS notes that this 

control does not capture deposition 

equipment not elsewhere specified, but 

which may also have the capability 

described in the control. 

3B993.q.1 is created to control 

metrology and inspection equipment for 

use with patterned 300 mm 

semiconductor wafers, including 

equipment employing either optical or 

electron beam techniques. It specifies 

the equipment must be designed or 

modified to detect defects equal to or 

smaller than 21nm, which BIS believes 

is critical for advanced-node production 

applications. This control also specifies 

properties of the source. For optical 

equipment (including broadband 

plasma equipment), it specifies the 

wavelength must be less than 400 nm, 

but BIS notes that this requirement 

would be met by equipment that can be 

tuned to a wavelength both below and 

above 400 nm. For electron beam 

equipment, it specifies the system must 

have a resolution less than or equal to 

1.65nm, or certain properties for its 

electron beam source (i.e., a cold field 

emission source, or two sources of any 

type). 

3B993.q.2 controls metrology 

equipment that can improve the overlay 

accuracy of photolithography 

equipment. Overlay accuracy is 

important for multipatterning, a process 

which enables legacy photolithography 

machines to create ‘‘advanced-node 

ICs.’’ 3B993.q.2 focuses on two types of 

machines. 3B993.q.2.a controls 

machines that measure wafer shape 

(typically used to feedforward 

measurements to lithography machines). 

3B993.q.2.b controls machines that 

measure focus and overlay after resist 

development (typically used for 

feedback to a lithography machines). 

3B993.q.2.a controls only standalone 

equipment (not equipment integrated 

into the lithography machines itself), 

whereas 3B993.q.2.b controls machines 

designed for integration to a track 

(which maximizes throughput). 

3B993.q.2.b also specifies that the 

machine must have fast wavelength 

switching functionality and an overlay 

measurement accuracy better than 0.5 

nm. 3B993.q.2 also includes Technical 

Notes to clarify the terminology in the 

control. Namely, these specify that, for 

the purposes of 3B993.q.2, a ‘track’ is 

equipment designed for coating and 

developing photoresist formulated for 

lithography, and ‘fast wavelength 

switching functionality’ means the 

equipment can the change the 

measurement wavelength and acquire a 

measurement in less than 25 ms. 

5. Addition of ECCN 3B994 

Similar to ECCN 3B993, BIS has 

added new ECCN 3B994 to specify 

items that can support ‘‘advanced-node 

IC’’ ‘‘production,’’ but which BIS 

believes also have legitimate 

applications in non-advanced-node 

production, and thus do not warrant 

nationwide license requirements or a 

presumption of denial. ECCN 3B994 

will be continually evaluated to 

determine if additions, revisions, or 

removals are needed. ECCN 3B994 is 

controlled for RS and AT reasons; for 

the former, see § 742.6(a)(11) and (b)(12) 

of the EAR. 

3B994.b.2 controls certain ion 

implantation equipment. 3B994.b.2.a 

controls low- and medium-current ion 

implantation equipment. This 

equipment is used in advanced 

processes to maintain low damage and 

high uniformity on the smallest 

transistors fabricated in advanced 

production. 3B994.b.2.b controls high 

energy, low current systems which can 

implant dopants at a shallow depth 

below the surface of the wafer, which is 

used in some advanced processes. 

3B994.b.2.c. controls systems that can 

maintain a high angular accuracy 

between the ion beam and the substrate, 

which is used to implant the non-planar 

transistor structures used in ‘‘advancednode ICs.’’ 

3B994.q.3 controls equipment that 

uses optical measurement techniques 

and advanced software to determine the 

three-dimensional structure of patterns 

on a semiconductor wafer. Such 

techniques can be used to monitor and 

optimize process to fabricate the nonplanar transistors used in ‘‘advancednode ICs.’’ 

6. Revision to ECCN 3D002 

This IFR is removing the SME 

previously added to the license 

requirements of ECCN 3D002 and 

revising it to align with typical controls 

applied to Wassenaar Dual-Use List 

entries. The NS column 1 license 

requirement no longer only applies to 

certain SME, but now applies to the 

entire entry. The NS and RS license 

requirements for 3B001.a.4, c, d, f.1. b, 

j to p, 3B002.b and c, to Macau and 

destinations in Country Group D:5 are 

removed, because the WA control is 

broader. The RS control is not 

necessary, because this entry is 

controlled by a multilateral regime. 

7. Addition of ECCN 3D992 

BIS has added new ECCN 3D992 to 

control software for specified SME. 

3D992.a controls ‘‘software’’ for the 

‘‘development’’ or ‘‘production,’’ of 


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commodities specified in 3B001.a.4, c, 

d, f.1, f.5, k to n, p.2, p.4, r, or 3B002.c. 

In addition, 3D992.b is added to control 

electronic computer-aided design 

(ECAD) software for advanced 

semiconductor packaging involving 

multiple chips or chiplets co-packaged 

in a single device. This software must 

support complex 3D floorplans and 

must conduct advanced simulations to 

detect and mitigate potential signal 

degradation and electromagnetic 

interference. The control also includes a 

Technical Note to specify that ‘multichip’ includes both multi-die and multichiplet. 

8. Addition of ECCN 3D993 

ECCN 3D993.a is added to control 

‘‘software’’ for the ‘‘production’’ and 

‘‘development’’ of commodities in 

ECCN 3B993. Paragraph 3D993.b 

controls ‘Electronic Computer-Aided 

Design’ (‘ECAD’) ‘‘software’’ designed or 

modified for the ‘‘development’’ or 

‘‘production’’ of integrated circuits 

using multipatterning. Paragraph 

3B993.c controls computational 

lithography software, which enables 

fabrication facilities to decrease their 

minimum resolvable feature size 

through techniques such as optical 

proximity correction, inverse 

lithography, and hotspot correction. In 

some cases, this software acts as a 

digital model of the fabrication facility, 

allowing for very precise optimization 

of the fabrication process. Existing 

controls are limited to computational 

lithography equipment specifically for 

EUV, but computational lithography 

software that is not currently controlled 

can improve the minimum feature size 

achievable with DUV to less than 40nm 

and can facilitate the complex mask 

decomposition necessary for 

multipatterning. ECCN 3B993.d is 

added to control software designed or 

modified to improve the productivity of 

controlled DUV photolithography 

equipment. This addition addresses that 

potential workaround. 3D993 also 

includes a technical note which defines 

‘computational lithography’. 

9. Addition of ECCNs 3E992 and 3E993 

This IFR adds ECCN 3E992 to control 

‘‘technology’’ for the ’’production’’ or 

‘‘development’’ of commodities 

specified in 3B001.a.4, c, d, f.1, f.5, k to 

n, p.2, p.4, r; and 3B002.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) 

and § 742.6(a)(6)(i) of the EAR). This 

rule also moves the worldwide NS and 

RS controls for ‘‘software’’ for 

equipment controlled by 3B001.c.1.a or 

c.1.c from ECCN 3E001 to ECCN 3E992, 

as well as the License Exception IEC 

paragraph. 

This rule adds ECCN 3E993.a to 

control ‘‘technology’’ for the 

‘‘development’’ or ‘‘production’’ of 

commodities specified in 3B993 (see 

§ 742.6(a)(11) and (b)(12) of the EAR). 

ECCN 3E993.b is added to control 

‘‘technology’’ designed or modified to 

improve the productivity of controlled 

DUV photolithography equipment. 

10. Addition of ECCNs 3D994 and 

3E994 

This IFR adds ECCNs 3D994 and 

3E994 to the CCL to control ‘‘software’’ 

and ‘‘technology’’ for the 

‘‘development’’ or ‘‘production’’ of 

commodities specified in ECCN 3B994. 

These ECCNs will be controlled for RS 

and AT reasons; for the former, see 

§ 742.6(a)(11) and (b)(12) of the EAR. 

IV. Public Comments 

BIS welcomes comments from the 

public on these additional changes and 

clarifications made to § 744.23(a)(4), as 

well as for any of the other changes 

included in this IFR. 

V. Savings Clauses 

• Savings clause for amendatory 

instructions 4, 5, 15, 16, 17, 19, 20, 21, 

23, 25, 29, and 31: For changes in 

amendatory instructions 4, 5, 15, 16, 17, 

19, 20, 21, 23, 25, 29, and 31, shipments 

of items removed from eligibility for a 

License Exception or export, reexport, 

or transfer (in-country) without a license 

(NLR) as a result of this regulatory 

action that were en route aboard a 

carrier to a port of export, reexport, or 

transfer (in-country), on January 6, 2025, 

pursuant to actual orders for export, 

reexport, or transfer (in-country) to or 

within a foreign destination, may 

proceed to that destination under the 

previous eligibility for a License 

Exception or export, reexport, or 

transfer (in-country) without a license 

(NLR), provided the export, reexport, or 

transfer (in-country) is completed no 

later than on February 3, 2025. 

• There is no savings clause for other 

amendatory instructions in this IFR. 

VI. Export Control Reform Act of 2018 

On August 13, 2018, the President 

signed into law the John S. McCain 

National Defense Authorization Act for 

Fiscal Year 2019, which included the 

ECRA (codified, as amended, at 50 

U.S.C. 4801–4852). ECRA provides the 

legal basis for BIS’s principal authorities 

and serves as the authority under which 

BIS issues this rule. In particular, and as 

noted elsewhere, Section 1753 of ECRA 

(50 U.S.C. 4812) authorizes the 

regulation of exports, reexports, and 

transfers (in-country) of items subject to 

U.S. jurisdiction. Further, Section 

1754(a)(1)–(16) of ECRA (50 U.S.C. 

4813(a)(1)–(16)) authorizes, inter alia, 

the establishment of a list of controlled 

items; the prohibition of unauthorized 

exports, reexports, and transfers (incountry); the requirement of licenses or 

other authorizations for exports, 

reexports, and transfers (in-country) of 

controlled items; apprising the public of 

changes in policy, regulations, and 

procedures; and any other action 

necessary to carry out ECRA that is not 

otherwise prohibited by law. Pursuant 

to Section 1762(a) of ECRA (50 U.S.C. 

4821(a)), these changes can be imposed 

in a final rule without prior notice and 

comment. 

VII. Rulemaking Requirements 

1. Executive Orders 12866, 13563, and 

14094 direct agencies to assess all costs 

and benefits of available regulatory 

alternatives and, if regulation is 

necessary, to select regulatory 

approaches that maximize net benefits 

(including potential economic, 

environmental, public health and safety 

effects and distributive impacts and 

equity). Executive Order 13563 

emphasizes the importance of 

quantifying both costs and benefits and 

of reducing costs, harmonizing rules, 

and promoting flexibility. Pursuant to 

Executive Order 12866, as amended, 

this final rule has not been determined 

to be a ‘‘significant regulatory action.’’ 

2. Notwithstanding any other 

provision of law, no person is required 

to respond to, nor shall any person be 

subject to a penalty for failure to comply 

with, a collection of information subject 

to the requirements of the Paperwork 

Reduction Act of 1995 (44 U.S.C. 3501 

et seq.) (PRA), unless that collection of 

information displays a currently valid 

Office of Management and Budget 

(OMB) Control Number. 

This rule involves the following 

OMB-approved collections of 

information subject to the PRA: 

• 0694–0088, ‘‘Multi-Purpose 

Application,’’ which carries a burden 

hour estimate of 29.4 minutes for a 

manual or electronic submission; 

• 0694–0096 ‘‘Five Year Records 

Retention Period,’’ which carries a 

burden hour estimate of less than 1 

minute; 

• 0694–0122, ‘‘Licensing 

Responsibilities and Enforcement;’’ 

which carries a burden hour estimate of 

10 minutes per electronic submission; 

• 0694–0137, ‘‘License Exceptions 

and Exclusions;’’ which carries a burden 

hour estimate of 5 minutes per 

electronic submission; and 


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• 0607–0152 ‘‘Automated Export 

System (AES) Program,’’ which carries a 

burden hour estimate of 3 minutes per 

electronic submission. 

This IFR will affect the collection 

under control number 0694–0088, for 

the multipurpose application because of 

the addition of HBM controls to ECCN 

3A090.c, the eight new Red Flags added 

to supplement no. 3 to part 732, and the 

addition of the new FDP rules under 

§ 734.9(e)(3) and (k), which will result 

in additional license applications. BIS 

estimates that the changes included in 

this IFR will result in an increase of 75 

multi-purpose applications (i.e., an 

increase of 75 license applications) 

submitted annually to BIS. However, the 

additional burden falls within the 

existing burden estimates currently 

associated with these control numbers. 

This regulation also involves a 

collection previously approved by the 

OMB under control number 0694–0122, 

‘‘Licensing Responsibilities and 

Enforcement’’ because this rule under 

the revision to § 758.6(a)(2) will require 

the items level classification for 

ECCN(s) 3A090.c to be included on the 

commercial invoice, similar to the 

previous requirement to include this 

classification information on the 

commercial invoice, which will now 

require identifying new 3A090.c when 

applicable on the commercial invoice. 

BIS does not anticipate a change in the 

total burden hours associated with the 

PRA and OMB control number 0694– 

0122 as a result of this rule. 

This IFR also involves a collection 

previously approved by the OMB under 

control number 0694–0137, ‘‘License 

Exceptions and Exclusions’’ because 

this rule includes the addition of two 

new EAR license exceptions, which 

each include new notification or 

reporting requirements that are being 

added to this BIS information collection 

under OMB Control Number 0694–0137. 

Specifically, this IFR adds new 

reporting requirements with the 

addition of License Exception HBM 

under § 740.25 of the EAR and adds new 

notification and reporting requirements 

for the addition of License Exception 

RFF under § 740.26 of the EAR. These 

changes are expected to result in an 

increase of 10 notifications to BIS under 

License Exception HBM. BIS estimates 

that the time needed to submit each 

notification to BIS is 20 minutes, 

resulting in an increase in burden hours 

of 3 hours. This collection of 

information fits within the scope of this 

IC. These changes are expected to result 

in an increase of 306 prior notifications 

under § 740.26(d)(1) to BIS under 

License Exception RFF. BIS estimates 

that the time needed to submit each 

notification to BIS is 5 minutes, 

resulting in an increase in burden hours 

of 26 hours. This collection of 

information fits within the scope of this 

IC. 

These changes are expected to result 

in an increase of not more than 3 

notifications within one business day 

under § 740.26(d)(2) to BIS under 

License Exception RFF. BIS estimates 

that the time needed to submit each 

notification to BIS is 5 minutes, 

resulting in an increase in burden hours 

of no more than 15 minutes. This 

collection of information fits within the 

scope of this IC. These changes are 

expected to result in an increase of 306 

installation reports under § 740.26(e)(1) 

to BIS under License Exception RFF. 

BIS estimates that the time needed to 

submit each notification to BIS is 5 

minutes, resulting in an increase in 

burden hours of 26 hours. These 

changes are expected to result in an 

increase of 306 annual end-use 

confirmation reports under 

§ 740.26(e)(2) to BIS under License 

Exception RFF. BIS estimates that the 

time needed to submit each notification 

to BIS is 5 minutes, resulting in an 

increase in burden hours of 26 hours. 

This collection of information fits 

within the scope of this IC. 

Additional information regarding 

these collections of information— 

including all background materials—can 

be found at https://www.reginfo.gov/ 

public/do/PRAMain by using the search 

function to enter either the title of the 

collection or the OMB Control Number. 

3. This rule does not contain policies 

with federalism implications as that 

term is defined in Executive Order 

13132. 

4. Pursuant to Section 1762 of ECRA 

(50 U.S.C. 4821), this action is exempt 

from the Administrative Procedure Act 

(APA) (5 U.S.C. 553) requirements for 

notice of proposed rulemaking, 

opportunity for public participation, 

and delay in effective date. While 

Section 1762 of ECRA provides 

sufficient authority for such an 

exemption, this action is also 

independently exempt from these APA 

requirements because it involves a 

military or foreign affairs function of the 

United States (5 U.S.C. 553(a)(1)). 

However, BIS is accepting comments on 

this IFR. 

5. Because a notice of proposed 

rulemaking and an opportunity for 

public comment are not required to be 

given for this rule under the APA (5 

U.S.C. 553) or by any other law, the 

analytical requirements of the 

Regulatory Flexibility Act (5 U.S.C. 601, 

et seq.) are not applicable. Accordingly, 

no regulatory flexibility analysis is 

required, and none has been prepared. 

List of Subjects 

15 CFR Parts 732 

Administrative practice and 

procedure, Exports, Reporting and 

recordkeeping requirements. 

15 CFR Part 734 

Administrative practice and 

procedure, Exports, Inventions and 

patents, Research, Science and 

technology. 

15 CFR Parts 740 and 758 

Administrative practice and 

procedure, Exports, Reporting and 

recordkeeping requirements. 

15 CFR Part 742 

Exports, Terrorism. 

15 CFR Part 744 

Exports, Reporting and recordkeeping 

requirements, Terrorism. 

15 CFR Parts 736, 770, and 772 

Exports. 

15 CFR Part 762 

Administrative practice and 

procedure, Business and industry, 

Confidential business information, 

Exports, Reporting and recordkeeping 

requirements. 

15 CFR Part 774 

Exports, Reporting and recordkeeping 

requirements. 

For the reasons stated in the 

preamble, parts 732, 734, 736, 740, 742, 

744, 758, 762, 770, 772, and 774 of the 

Export Administration Regulations (15 

CFR parts 730 through 774) are 

amended as follows: 

PART 732—STEPS FOR USING THE 

EAR 

■ 1. The authority citation for part 732 

continues to read as follows: 

Authority: 50 U.S.C. 4801–4852; 50 U.S.C. 

4601 et seq.; 50 U.S.C. 1701 et seq.; E.O. 

13026, 61 FR 58767, 3 CFR, 1996 Comp., p. 

228; E.O. 13222, 66 FR 44025, 3 CFR, 2001 

Comp., p. 783. 

■ 2. In supplement no. 3 to part 732 

amend paragraph (b) by adding 

paragraphs 20 through 27 to read as 

follows: 

Supplement No. 3 to Part 732—BIS’s 

‘‘Know Your Customer’’ Guidance and 

Red Flags 

* * * * * 

(b) * * * 

20. A non-advanced fabrication facility 

orders equipment designed for ‘‘advancedVerDate Sep<11>2014 16:58 Dec 04, 2024 Jkt 265001 PO 00000 Frm 00021 Fmt 4701 Sfmt 4700 E:\FR\FM\05DER2.SGM 05DER2

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96810 Federal Register / Vol. 89, No. 234 / Thursday, December 5, 2024 / Rules and Regulations 

node IC’’ production, (e.g., § 742.4(a)(4) 

ECCNs) that it would not need given its 

technology level. This technology mismatch 

indicates the fabrication facility produces or 

intends to produce ‘‘advanced-node ICs,’’ 

and it requires resolution before the exporter, 

reexporter, or transferor proceeds with the 

transaction. 

21. An exporter, reexporter, or transferor 

receives an order for which the ultimate 

owner or user of the items is uncertain, such 

as a request to ship equipment for developing 

or producing integrated circuits to a 

distributor without a manufacturing 

operation, when the item is ordinarily 

customized for the end user or installed by 

the supplier. Because the distributor would 

never be the end user of such equipment, the 

ultimate owner or beneficiary is unknown to 

the exporter, reexporter, or transferor. This 

uncertainty raises a Red Flag that needs to be 

resolved before the exporter, reexporter, or 

transferor proceeds with the transaction, in 

particular for items where such information 

would typically be known to an exporter, 

reexporter, or transferor, such as for 

advanced computing items, supercomputers, 

or SME. 

22. An exporter, reexporter, or transferor 

receives an order or request related to an item 

that would require an export, reexport, or incountry transfer license from BIS or another 

jurisdiction that maintains controls on the 

item, and there is uncertainty about the 

license history for the item. For example, 

there is information known to the exporter, 

reexporter, or transferor indicating that a 

required license was not, or would not have 

likely been obtained by the end user, such as 

where the end user or end use, or the ECCN 

and end-user destination triggers a license 

review policy of a presumption of denial. 

These uncertainties raise a Red Flag that 

needs to be resolved before the exporter, 

reexporter, or transferor proceeds with 

further transactions related to the item to 

avoid the risk of violating § 764.2(e) (‘‘Acting 

with knowledge of a violation.’’). This would 

include acting on requests to service, install, 

upgrade, or otherwise maintain the item of 

concern. 

23. An exporter, reexporter, or transferor 

receives a request to service, install, upgrade, 

or otherwise maintain an item that was 

altered after export, reexport, or transfer by 

a third-party for a more advanced end use 

that would normally require a license for the 

destination. This scenario raises a Red Flag 

that the item is employed in a prohibited end 

use that would need to be resolved before 

proceeding further with the transaction. 

24. An exporter, reexporter, or transferor 

receives a request for an item or service from 

a new customer. The new customer’s senior 

management or technical leadership (e.g., 

process engineers that are team leaders or 

otherwise leading development or 

production activities) overlaps with an entity 

on the Entity List in supplement no. 4 to part 

744 of the EAR, particularly if the supplier 

previously provided the same or 

substantially similar item or service to the 

Entity List entity, most likely prior to the 

listed entity being added to the Entity List. 

This scenario would raise a Red Flag that the 

entity requesting the item or service is 

engaged in or supporting the same prohibited 

end use as the Entity List entity, and the 

supplier would need to conduct additional 

due diligence before proceeding with the 

transaction with the new customer. 

25. An exporter, reexporter, or transferor 

receives a request from a new customer for 

an item or service that was designed or 

modified for an existing or former customer 

that is now designated on the Entity List. 

This scenario would raise a Red Flag that the 

new customer has assumed the operations for 

which the item or service is still needed to 

engage in or support the same prohibited 

end-use for which the Entity List entity was 

listed. The exporter, reexporter, or transferor 

must resolve this Red Flag before proceeding 

with the transaction. 

26. For purposes of analyzing the scope of 

the Entity List FDP rule for Footnote 5 

entities described in § 734.9(e)(3) and the 

SME FDP rule in § 734.9(k), if a foreignproduced item is described in the relevant 

Category 3B ECCN in § 734.9(e)(3)(i) or 

§ 734.9(k)(1) and contains at least one 

integrated circuit, then there is a Red Flag 

that the foreign-produced item meets the 

product scope of the applicable FDP rule. 

The exporter, reexporter, or transferor must 

resolve this Red Flag before proceeding. 

27. The end user is a ‘‘facility’’ that is 

physically connected to a ‘‘facility’’ where 

‘‘production’’ of ‘‘advanced-node ICs’’ 

occurs. This scenario raises a Red Flag that 

the end user is also a ‘‘facility’’ where the 

‘‘production’’ of ‘‘advanced-node ICs’’ 

occurs, and the supplier would need to 

conduct additional due diligence before 

proceeding with the transaction. For 

example, if an exporter, reexporter, or 

transferor receives an equipment order from 

a company that is engaged in ‘‘production’’ 

of non-‘‘advanced-node ICs’’ in a building 

with a bridge, tunnel, or other connection to 

another building where the ‘‘production’’ of 

‘‘advanced-node ICs’’ occurs, then both 

buildings would be subject to the controls 

under § 744.23 of the EAR. However, if the 

exporter or fabrication facility has received 

an Advisory Opinion from BIS confirming 

that the ‘‘production’’ technology node for 

the relevant facility does not qualify as an 

‘‘advanced-node IC’’ technology node, that 

would resolve the Red Flag of the connection 

to the advanced facility. Unless the Red Flag 

is resolved through an Advisory Opinion, the 

two buildings are treated as a single 

‘‘facility’’ for purposes of § 744.23 of the 

EAR. 

PART 734—SCOPE OF THE EXPORT 

ADMINISTRATION REGULATIONS 

■ 3. The authority citation for part 734 

is revised to read as follows: 

Authority: 50 U.S.C. 4801–4852; 50 U.S.C. 

4601 et seq.; 50 U.S.C. 1701 et seq.; E.O. 

12938, 59 FR 59099, 3 CFR, 1994 Comp., p. 

950; E.O. 13020, 61 FR 54079, 3 CFR, 1996 

Comp., p. 219; E.O. 13026, 61 FR 58767, 3 

CFR, 1996 Comp., p. 228; E.O. 13222, 66 FR 

44025, 3 CFR, 2001 Comp., p. 783; E.O. 

13637, 78 FR 16129, 3 CFR, 2014 Comp., p. 

223; Notice of November 7, 2024, 89 FR 

88867 (November 8, 2024). 

■ 4. Section 734.4 is amended by: 

■ a. Revising paragraph (a)(3); and 

■ b. Adding paragraphs (a)(8) and (9). 

The revision and additions read as 

follows: 

§ 734.4 De minimis U.S. content. 

(a) * * * 

(3) There is no de minimis level for 

equipment meeting the parameters in 

ECCN 3B993.f.1 of the Commerce 

Control List in supplement no. 1 to part 

774 of the EAR, when the equipment is 

destined for use in the ‘‘development’’ 

or ‘‘production’’ of ‘‘advanced-node 

integrated circuits’’ and the ‘‘advancednode integrated circuits’’ meet the 

parameter specified in paragraph (1) of 

that definition in § 772.1 of the EAR, 

unless the country from which the 

foreign-made item was first exported 1

has a commodity specified on an export 

control list. 

* * * * * 

(8) There is no de minimis level 

related to the SME FDP rule for a 

commodity meeting the parameters in 

ECCNs 3B001.a.4, c, d, f.1, f.5, k to n, 

p.2, p.4, r, or 3B002.c of the Commerce 

Control List (CCL) in supplement no. 1 

to part 774 of the EAR, when the 

commodity contains a U.S.-origin 

integrated circuit specified under 

Category 3, 4, or 5 of the CCL, and the 

commodity is destined for Macau or a 

destination specified in Country Group 

D:5, unless excluded from the national 

security license requirement in 

§ 742.4(a)(4) or the regional stability 

license requirement in § 742.6(a)(6) of 

the EAR. 

(9) There is no de minimis level 

related to the Footnote 5 FDP rule for an 

item meeting the parameters in ECCNs 

specified in Category 3B (except 

3B001.a.4, c, d, f.1, f.5, k to n, p.2, p.4, 

r, or 3B002.c) of the Commerce Control 

List (CCL) in supplement no. 1 to part 

774 of the EAR, when the commodity 

contains a U.S.-origin integrated circuit 

specified under Category 3, 4, or 5 of the 

CCL, and the commodity is destined for 

an entity with a Footnote 5 designation 

in the license requirement column of 

the Entity List in supplement no. 4 to 

part 744 of the EAR. 

* * * * * 1The Government of Japan added ArF-wet 

lithography equipment and other advanced 

semiconductor manufacturing equipment to 

its control list for all regions on July 23, 2023. 

* * * * * 

■ 5. Section 734.9 is amended by: 

■ a. Revising the introductory text; 

■ b. Revising paragraphs (e) 

introductory text, (e)(1)(i)(A) and (B), 

and (e)(2)(i)(A) and (B); 

■ c. Adding paragraph (e)(3); 


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■ d. Revising paragraphs (h)(1)(i)(A) 

introductory text, (h)(1)(ii)(A), and 

(i)(1)(i) and (ii); and 

■ e. Adding paragraph (k). 

The revisions and additions read as 

follows: 

§ 734.9 Foreign-Direct Product (FDP) 

Rules. 

Foreign-produced items located 

outside the United States are subject to 

the EAR when they are a ‘‘direct 

product’’ of specified ‘‘technology’’ or 

‘‘software,’’ produced by a complete 

plant or ‘major component’ of a plant 

that itself is a ‘‘direct product’’ of 

specified ‘‘technology’’ or ‘‘software,’’ 

or, for specified foreign-produced items 

in paragraph (e)(3)(i)(B)(2) of this 

section, contain an item produced by a 

complete plant or ‘major component’ of 

a plant that itself is a ‘‘direct product’’ 

of specified ‘‘technology’’ or ‘‘software.’’ 

If a foreign-produced item is subject to 

the EAR, then you should separately 

determine the license requirements that 

apply to that foreign-produced item 

(e.g., by assessing the item 

classification, destination, end-use, and 

end-user in the relevant transaction). 

Not all transactions involving foreignproduced items that are subject to the 

EAR require a license. Those 

transactions that do require a license 

may be eligible for a license exception. 

* * * * * 

(e) Entity List FDP rules. A foreignproduced item is subject to the EAR if 

it meets the product scope and end-user 

scope in either Entity List FDP rule 

footnote 1 provision in paragraph (e)(1) 

of this section; the Entity List FDP rule 

footnote 4 provision in paragraph (e)(2) 

of this section; or the Entity List FDP 

rule Footnote 5 provision in paragraph 

(e)(3) of this section. 

(1) * * * 

(i) * * * 

(A) ‘‘Direct product’’ of ‘‘technology’’ 

or ‘‘software.’’ A foreign-produced item 

meets the product scope of this 

paragraph (e)(1)(i)(A) if the foreignproduced item is a ‘‘direct product’’ of 

‘‘technology’’ or ‘‘software’’ subject to 

the EAR and specified in ECCN 3D001, 

3D901, 3D991, 3D992, 3D993, 3D994, 

3E001, 3E002, 3E003, 3E901, 3E991, 

3E992, 3E993, 3E994, 4D001, 4D993, 

4D994, 4E001, 4E992, 4E993, 5D001, 

5D991, 5E001, or 5E991 of the 

Commerce Control List (CCL) in 

supplement no. 1 to part 774 of the 

EAR; or 

(B) Product of a complete plant or 

’major component’ of a plant that is a 

‘‘direct product.’’ A foreign-produced 

item meets the product scope of this 

paragraph if the foreign-produced item 

is produced by any complete plant or 

‘major component’ of a plant that is 

located outside the United States, when 

the complete plant or ‘major 

component’ of a plant, whether made in 

the U.S. or a foreign country, itself is a 

‘‘direct product’’ of U.S.-origin 

‘‘technology’’ or ‘‘software’’ that is 

specified in ECCN 3D001, 3D901, 

3D991, 3D992, 3D993, 3D994, 3E001, 

3E002, 3E003, 3E901, 3E991, 3E992, 

3E993, 3E994, 4D001, 4D993, 4D994, 

4E001, 4E992, 4E993, 5D001, 5D991, 

5E001, or 5E991 of the CCL. 

Note 2 to paragraph (e)(1)(i): A foreignproduced item includes any foreignproduced wafer whether finished or 

unfinished. 

* * * * * 

(2) * * * 

(i) * * * 

(A) ‘‘Direct product’’ of ‘‘technology’’ 

or ‘‘software.’’ The foreign-produced 

item is a ‘‘direct product’’ of 

‘‘technology’’ or ‘‘software’’ subject to 

the EAR and specified in ECCN 3D001, 

3D901 3D991, 3D992, 3D993, 3D994, 

3E001, 3E002, 3E003, 3E901, 3E991, 

3E992, 3E993, 3E994, 4D001, 4D993, 

4D994, 4E001, 4E992, 4E993, 5D001, 

5D002, 5D991, 5E001, 5E002, or 5E991 

of the CCL; or 

(B) Product of a complete plant or 

’major component’ of a plant that is a 

‘‘direct product.’’ A foreign-produced 

item meets the product scope of this 

paragraph if the foreign-produced item 

is produced by any complete plant or 

‘major component’ of a plant that is 

located outside the United States, when 

the complete plant or ‘major 

component’ of a plant, whether made in 

the U.S. or a foreign country, itself is a 

‘‘direct product’’ of U.S.-origin 

‘‘technology’’ or ‘‘software’’ that is 

specified in ECCN 3D001, 3D901, 

3D991, 3D992, 3D993, 3D994, 3E001, 

3E002, 3E003, 3E901, 3E991, 3E992, 

3E993, 3E994, 4D001, 4D993, 4D994, 

4E001, 4E992, 4E993, 5D001, 5D002, 

5D991, 5E001, 5E002, or 5E991 of the 

CCL. 

* * * * * 

(3) Entity List FDP rule: Footnote 5. A 

foreign-produced commodity is subject 

to the EAR if it meets both the product 

scope in paragraph (e)(3)(i) of this 

section and the end-user scope in 

paragraph (e)(3)(ii) of this section. See 

§ 744.11(a)(2)(v) of the EAR for license 

requirements, exclusion from license 

requirements, and license review policy, 

applicable to foreign-produced 

commodities that are subject to the EAR 

pursuant to this paragraph (e)(3). 

(i) Product Scope Entity List FDP rule: 

Footnote 5. The product scope applies if 

a foreign-produced commodity is 

specified in ECCN 3B001 (except 

3B001.a.4, c, d, f.1, f.5, g, h, k to n, p.2, 

p.4, r), 3B002 (except 3B002.c), 3B903, 

3B991 (except 3B991.b.2.a through 

3B991.b.2.b), 3B992, 3B993, or 3B994, 

and meets the conditions of either 

paragraph (e)(3)(i)(A) or (B) of this 

section. 

(A) ‘‘Direct product’’ of ‘‘technology’’ 

or ‘‘software.’’ A foreign-produced item 

meets the product scope of this 

paragraph if the foreign-produced 

commodity is a ‘‘direct product’’ of 

‘‘technology’’ or ‘‘software’’ subject to 

the EAR and specified in ECCN 3D001 

(for 3B commodities), 3D901(for 3B903), 

3D991 (for 3B991 and 3B992), 3D993, 

3D994, 3E001 (for 3B commodities), 

3E901 (for 3B903), 3E991 (for 3B991 and 

3B992), 3E993, or 3E994 of the 

Commerce Control List (CCL) in 

supplement no. 1 to part 774 of the 

EAR; or 

(B) Product of a complete plant or 

‘major component’ of a plant that is a 

‘‘direct product,’’ or a commodity that 

contains a product of a complete plant 

or ‘major component’ of a plant that is 

a ‘‘direct product.’’ A foreign-produced 

commodity meets the product scope of 

this paragraph if the foreign-produced 

commodity meets at least one of the 

following conditions: 

(1) Is produced by any complete plant 

or ‘major component’ of a plant that is 

located outside the United States, when 

the complete plant or ‘major 

component’ of a plant, whether made in 

the United States or a foreign country, 

itself is a ‘‘direct product’’ of U.S.-origin 

‘‘technology’’ or ‘‘software’’ that is 

specified in ECCN 3D001 (for 3B 

commodities), 3D901, 3D991 (for 3B991 

and 3B992), 3D992, 3D993, 3D994, 

3E001 (for 3B commodities), 3E901 (for 

3B903), 3E991 (for 3B991 and 3B992), 

3E992, 3E993, or 3E994 of the CCL; or 

(2) Contains a commodity produced 

by any complete plant or ‘major 

component’ of a plant that is located 

outside the United States, when the 

complete plant or ‘major component’ of 

a plant, whether made in the United 

States or a foreign country, itself is a 

‘‘direct product’’ of U.S.-origin 

‘‘technology’’ or ‘‘software’’ that is 

specified in ECCN 3D001 (for 3B 

commodities), 3D901, 3D991 (for 3B991 

and 3B992), 3D992, 3D993, 3D994, 

3E001 (for 3B commodities), 3E901 (for 

3B903), 3E991 (for 3B991 and 3B992)), 

3E992, 3E993, or 3E994 of the CCL. 

Note 3 to paragraph (e)(3)(i)(B)(2): The 

product scope of paragraph (e)(3)(i) is met if 

a foreign-produced commodity contains an 

integrated circuit that is produced by a 

complete plant or ‘major component’ of a 

plant that itself is a ‘‘direct product’’ of U.S.- 

origin ‘‘technology’’ or ‘‘software’’ specified 

in the ECCNs described in paragraph 


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(e)(3)(i)(B)(2). See Red Flag 26 in supplement 

no. 3 to part 732 for additional guidance on 

the scope of paragraph (e)(3)(i). Production of 

an integrated circuit includes fabrication of 

the integrated circuit in a wafer, as well as 

assembly, testing, and packaging of the 

integrated circuit. 

(ii) End-user scope of the Entity List 

FDP rule: Footnote 5. A foreignproduced commodity meets the enduser scope of this paragraph (e)(3)(ii) if 

there is ‘‘knowledge’’ that: 

(A) Activities involving Footnote 5 

designated entities. The foreignproduced commodity will be 

incorporated into any ‘‘part,’’ 

‘‘component,’’ or ‘‘equipment’’ 

produced, purchased, or ordered by any 

entity with a Footnote 5 designation in 

the license requirement column of the 

Entity List in supplement no. 4 to part 

744 of the EAR; or 

(B) Footnote 5 designated entities as 

transaction parties. Any entity with a 

Footnote 5 designation in the license 

requirement column of the Entity List in 

supplement no. 4 to part 744 of the EAR 

is a party to any transaction involving 

the foreign-produced commodity (e.g., 

as a ‘‘purchaser,’’ ‘‘intermediate 

consignee,’’ ‘‘ultimate consignee,’’ or 

‘‘end-user’’). 

* * * * * 

(h) * * * 

(1) * * * 

(i) * * * 

(A) The foreign-produced item is the 

‘‘direct product’’ of ‘‘technology’’ or 

‘‘software’’ subject to the EAR and 

specified in ECCN 3D001, 3D901, 

3D991, 3D992, 3D993, 3D994, 3E001, 

3E002, 3E003, 3E901, 3E991, 3E992, 

3E993, 3E994, 4D001, 4D090, 4D993, 

4D994, 4E001, 4E992, 4E993, 5D001, 

5D002, 5D991, 5E001, 5E991, or 5E002 

of the CCL; and 

* * * * * 

(ii) * * * 

(A) The foreign-produced item is 

produced by any complete plant or 

‘major component’ of a plant that is 

located outside the United States, when 

the plant or ‘major component’ of a 

plant, whether made in the United 

States or a foreign country, itself is a 

‘‘direct product’’ of U.S.-origin 

‘‘technology’’ or ‘‘software’’ that is 

specified in ECCN 3D001, 3D901, 

3D991, 3D992, 3D993, 3D994, 3E001, 

3E002, 3E003, 3E901, 3E991, 3E992, 

3E993, 3E994, 4D001, 4D090, 4D993, 

4D994, 4E001, 4E992, 4E993, 5D001, 

5D991, 5E001, 5E991, 5D002, or 5E002 

of the CCL; and 

* * * * * 

(i) * * * 

(1) * * * 

(i) ‘‘Direct product’’ of ‘‘technology’’ 

or ‘‘software.’’ The foreign-produced 

item meets the product scope of this 

paragraph (i)(1)(i) if the foreignproduced item is a ‘‘direct product’’ of 

‘‘technology’’ or ‘‘software’’ subject to 

the EAR and specified in ECCN 3D001, 

3D901, 3D991, 3D992, 3D993, 3D994, 

3E001, 3E002, 3E003, 3E901, 3E991, 

3E992, 3E993, 3E994, 4D001, 4D993, 

4D994, 4E001, 4E992, 4E993, 5D001, 

5D002, 5D991, 5E001, 5E002, or 5E991 

of the CCL; or 

(ii) Product of a complete plant or 

’major component’ of a plant that is a 

‘‘direct product.’’ A foreign-produced 

item meets the product scope of this 

paragraph if the foreign-produced item 

is produced by any complete plant or 

‘major component’ of a plant that is 

located outside the United States, when 

the complete plant or ‘major 

component’ of a plant, whether made in 

the United States or a foreign country, 

itself is a ‘‘direct product’’ of U.S.-origin 

‘‘technology’’ or ‘‘software’’ that is 

specified in ECCN 3D001, 3D901, 

3D991, 3D992, 3D993, 3D994, 3E001, 

3E002, 3E003, 3E901, 3E991, 3E992, 

3E993, 3E994, 4D001, 4D994, 4E001, 

4E992, 4E993, 5D001, 5D002, 5D991, 

5E001, 5E002, or 5E991 of the CCL. 

* * * * * 

(k) Semiconductor Manufacturing 

Equipment (SME) FDP rule. A foreignproduced commodity is subject to the 

EAR if it meets both the product scope 

in paragraph (k)(1) of this section and 

the destination scope in paragraph (k)(2) 

of this section. See §§ 742.4(a)(4) and 

742.6(a)(6)(i)(A) of the EAR for license 

requirements and exclusions to the 

license requirements and §§ 742.4(b)(2) 

and 742.6(b)(10) for license review 

policy applicable to foreign-produced 

commodities that are subject to the EAR 

under this paragraph (k). 

(1) Product scope. The product scope 

applies to a foreign-produced 

commodity specified in ECCN 

3B001.a.4, c, d, f.1, f.5, k to n, p.2, p.4, 

r, or 3B002.c that meets the conditions 

of either paragraph (k)(1)(i) or (ii) of this 

section. 

(i) ‘‘Direct product’’ of ‘‘technology’’ 

or ‘‘software.’’ A foreign-produced 

commodity meets the product scope of 

this paragraph (k) if the foreignproduced commodity is the ‘‘direct 

product’’ of ‘‘technology’’ or ‘‘software’’ 

subject to the EAR and specified in 

3D992 or 3E992 of the CCL; or 

(ii) Product of a complete plant or 

‘major component’ of a plant that is a 

‘‘direct product.’’ A foreign-produced 

commodity meets the product scope of 

this paragraph if it meets either of the 

following conditions: 

(A) Is produced by any complete plant 

or ‘major component’ of a plant that is 

located outside the United States, when 

the plant or ‘major component’ of a 

plant, whether made in the United 

States or a foreign country, itself is a 

‘‘direct product’’ of U.S.-origin 

‘‘technology’’ or ‘‘software’’ that is 

specified in ECCN 3D001 (for 3B 

commodities), 3D901, 3D991 (for 3B991 

and 3B992), 3D992, 3D993, 3D994, 

3E001 (for 3B commodities), 3E901 (for 

3B903), 3E991 (for 3B991 or 3B992), 

3E992, 3E993, or 3E994 of the CCL; or 

(B) Contains a commodity produced 

by any complete plant or ‘major 

component’ of a plant that is located 

outside the United States, when the 

complete plant or ‘major component’ of 

a plant, whether made in the U.S. or a 

foreign country, itself is a ‘‘direct 

product’’ of U.S.-origin ‘‘technology’’ or 

‘‘software’’ that is specified in ECCN 

3D001 (for 3B commodities), 3D901, 

3D991 (for 3B991 and 3B992), 3D992, 

3D993, 3D994, 3E001 (for 3B 

commodities), 3E901 (for 3B903), 3E991 

(for 3B991 or 3B992), 3E992, 3E993, or 

3E994 of the CCL. 

Note 3 to paragraph (k)(1)(ii)(B): The 

product scope of paragraph (k)(1) is met if a 

foreign-produced commodity contains an 

integrated circuit that is produced by a 

complete plant or ‘major component’ of a 

plant that itself is a ‘‘direct product’’ of U.S.- 

origin ‘‘technology’’ or ‘‘software’’ specified 

in the ECCNs described in paragraph 

(k)(1)(ii)(B). See Red Flag 26 in supplement 

no. 3 to part 732 for additional guidance on 

the scope of paragraph (k)(1). Production of 

an integrated circuit includes fabrication of 

the integrated circuit in a wafer, as well as 

assembly, testing, and packaging of the 

integrated circuit. 

(2) Destination scope of the SME FDP 

rule. A foreign-produced item meets the 

destination scope of this paragraph 

(k)(2) if there is ‘‘knowledge’’ that the 

foreign-produced item is destined to 

Macau or a destination in Country 

Group D:5 of supplement no. 1 to part 

740 of the EAR. 

* * * * * 

■ 6. Section 734.19 is revised to read as 

follows: 

§ 734.19 Transfer of access information 

and export, reexport, and transfer (incountry) of software keys. 

(a) To the extent an authorization 

would be required to transfer 

‘‘technology’’ or ‘‘software,’’ a 

comparable authorization is required to 

transfer ‘‘access information’’ if done 

with ‘‘knowledge’’ that such transfer 

would result in the release of such 

‘‘technology’’ or ‘‘software’’ without a 

required authorization. 

Note 1 to paragraph (a): For purposes of 

this section, a release of ‘‘software’’ includes 

source code and object code. 


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Federal Register / Vol. 89, No. 234 / Thursday, December 5, 2024 / Rules and Regulations 96813 

(b) Software keys, also called software 

license keys, that allow users the ability 

to use the ‘‘software’’ or hardware, or 

software keys that renew existing 

‘‘software’’ or hardware use licenses, are 

classified and controlled under the same 

ECCNs on the CCL as the corresponding 

‘‘software’’ or hardware to which they 

provide access. If authorization is 

required for the export, reexport, or 

transfer (in-country) of the ‘‘software’’ or 

hardware, the same level of 

authorization is required for the 

software key. If authorization is 

obtained for the export, reexport, or 

transfer (in-country) of the ‘‘software’’ or 

hardware, that authorization also 

applies to the corresponding software 

license key. If no authorization was 

required for the initial export of the 

‘‘software’’ or hardware and the 

associated software key, but a license 

requirement is later imposed on the 

‘‘software’’ or hardware, (e.g., a license 

requirement is imposed because the end 

user becomes listed on the Entity List in 

supplement no. 4 to part 744), then 

subsequent exports, reexports, or 

transfers (in-country) of both the 

‘‘software’’ and hardware, and the 

associated software license key will be 

subject to the new license requirement. 

Note 2 to paragraph (b): This paragraph 

does not apply to keys that unlock dormant 

functionality in an item. However, in some 

cases, changes to, or the addition of, features 

may impact the classification of the item. 

PART 736—GENERAL PROHIBITIONS 

■ 7. The authority citation for part 736 

is revised to read as follows: 

Authority: 50 U.S.C. 4801–4852; 50 U.S.C. 

4601 et seq.; 50 U.S.C. 1701 et seq.; E.O. 

12938, 59 FR 59099, 3 CFR, 1994 Comp., p. 

950; E.O. 13020, 61 FR 54079, 3 CFR, 1996 

Comp., p. 219; E.O. 13026, 61 FR 58767, 3 

CFR, 1996 Comp., p. 228; E.O. 13222, 66 FR 

44025, 3 CFR, 2001 Comp., p. 783; E.O. 

13338, 69 FR 26751, 3 CFR, 2004 Comp., p. 

168; Notice of May 8, 2024, 89 FR 40355 

(May 9, 2024); Notice of November 7, 2024, 

89 FR 88867 (November 8, 2024). 

■ 8. Section 736.2 is amended by 

revising paragraph (b)(3)(i) to read as 

follows: 

§ 736.2 General prohibitions and 

determination of applicability. 

* * * * * 

(b) * * * 

(3) General Prohibition Three— 

Foreign-direct product (FDP) rules. (i) 

You may not, without a license or 

license exception, export from abroad, 

reexport, or transfer (in-country) 

foreign-‘‘direct products’’ or other 

foreign-produced items subject to the 

EAR pursuant to § 734.9 if such items 

are subject to a license requirement in 

part 736, 742, 744, 746, or 764 of the 

EAR. 

* * * * * 

■ 9. Supplement no. 1 to part 736 is 

amended by revising paragraphs (d)(1), 

(2), and (3), to read as follows: 

Supplement No. 1 to Part 736—General 

Orders 

* * * * * 

(d) * * * 

(1) TGL—Less restricted SME ‘‘parts,’’ 

‘‘components,’’ or ‘‘equipment.’’ This TGL 

only overcomes the license requirements 

described in § 744.23(a)(4) of EAR when: 

(i) Product scope. The items subject to the 

EAR that are specified on the Commerce 

Control List (CCL) in supplement no. 1 to 

part 774 of the EAR, as follows: 

(A) ECCNs that are designated as 

controlled on the CCL only for AT reasons 

(3A991, 3B992, and associated ‘‘software’’ 

and ‘‘technology’’); or 

(B) ECCN 3B001.c.4, 3B993.b.1, c.2, c.3, 

d.4, f.2, f.3, o.2, q.1, q.2, 3B994, 3D993.a (for 

commodities specified in this paragraph), 

3D993.b through d, 3D994, 3E993.a (for 

commodities specified in this paragraph), 

3E993.b, or 3E994; and 

(ii) End-use scope. The recipient is 

‘‘developing’’ or ‘‘producing’’ ‘‘parts,’’ 

‘‘components,’’ or ‘‘equipment’’ (as specified 

in §§ 744.23(a)(4) and 742.6(a)(11)) of the 

EAR) at the direction of a company that is 

headquartered in the United States or a 

destination specified in Country Group A:5 

or A:6 and not majority-owned by an entity 

headquartered in either Macau or a 

destination specified in Country Group D:5. 

(2) TGL—Advanced computing items. This 

TGL only overcomes the license 

requirements described in § 742.6(a)(6)(iii) of 

the EAR when the criteria in paragraphs 

(d)(2)(i) and either (d)(2)(ii)(A) or (d)(2)(ii)(B) 

are met. 

(i) Product scope. The items subject to the 

EAR are specified in, either: 

(A) ECCNs 3A001.z; 3A090.a and 3A090.b; 

3D001 (for ‘‘software’’ for commodities 

controlled by 3A001.z, 3A090.a and 

3A090.b); 3E001 (for ‘‘technology’’ for 

commodities controlled by 3A001.z, 3A090.a 

and .b); 4A003.z; 4A004.z; 4A005.z; 4A090; 

4D001 (for ‘‘software’’ for commodities 

controlled by 4A003.z, 4A004.z, and 

4A005.z); 4D090; 4E001 (for ‘‘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; 5A002.z; 5A004.z; 5A992.z; 5D002.z; 

5D992.z; 5E002 (for ‘‘technology’’ for 

commodities controlled by 5A002.z or 

5A004.z or ‘‘software’’ specified by 5D002 

(for 5A002.z or 5A004.z commodities)); or 

5E992 (for ‘‘technology’’ for commodities 

controlled by 5A992.z or ‘‘software’’ 

controlled by 5D992.z) of the Commerce 

Control List (CCL); or 

(B) ECCN 3A090.c. 

(ii) End-use scope—(A) For all items under 

paragraph (d)(2)(i). Any item identified 

under the paragraph (d)(2)(i) of this 

supplement, may be exported, reexported, or 

transferred (in-country) to or within a 

destination specified in Country Groups D:1, 

D:4, or D:5 (and not specified in Country 

Groups A:5 or A:6) or for 3A090.c to or 

within Macau or a destination specified in 

Country Group D:5 when either of the 

following apply: 

(1) The end user is located in, but is not 

headquartered in, or whose ultimate parent 

company is not headquartered in, Macau or 

Country Group D:5 and the end use is to 

continue or engage in the following activities: 

integration, assembly (mounting), inspection, 

testing, quality assurance, and distribution of 

items covered by items specified in 

paragraph (d)(2)(i); and 

(2) The ultimate end user of these items is 

located outside of destinations specified in 

Country Groups D:1, D:4, or D:5 (and not 

specified in Country Groups A:5 or A:6) by 

entities not headquartered in or whose 

ultimate parent company is not 

headquartered in Macau or a destination 

specified in Country Group D:5. 

(B) Additional permitted ultimate end use 

for 3A090.c. ECCN 3A090.c commodities are 

authorized under this paragraph (d)(2)(ii) of 

this General Order No. 4 for use in any 

destination if the 3A090.c commodity is 

incorporated into another commodity, 

provided that the higher-level commodity is 

not identified in paragraph (d)(2)(i) of this 

General Order No. 4. If the higher-level 

commodity is identified under paragraph 

(d)(2)(i), of this General Order No. 4, then the 

ultimate end use of these items is authorized 

under this paragraph (d)(2)(ii) for 

destinations other than those specified in 

Country Groups D:1, D:4, or D:5 (and not 

specified in Country Groups A:5 or A:6) by 

entities not headquartered in, or whose 

ultimate parent company is not 

headquartered in, Macau or a destination 

specified in Country Group D:5. Any 

subsequent export, reexport, or transfer (incountry) of a 3A090.c commodity (regardless 

of whether it was incorporated into a higherlevel commodity) would also need to comply 

with any other applicable EAR license 

requirements such as those based on the 

classification (including, if relevant, the 

higher-level commodity) and the end use and 

parties to the transaction. 

(3) Validity date follows: 

(i) Paragraph (d)(1)(i)(A) expires on 

December 31, 2026; 

(ii) Paragraph (d)(1)(i)(B) expires on 

December 31, 2026; 

(iii) Paragraph (d)(2)(i)(A) expires on 

December 31, 2025; and 

(iv) Paragraph (d)(2)(i)(B) expires on 

December 31, 2026. 

* * * * * 

PART 740—LICENSE EXCEPTIONS 

■ 10. The authority citation for part 740 

continues to read as follows: 

Authority: 50 U.S.C. 4801–4852; 50 U.S.C. 

4601 et seq.; 50 U.S.C. 1701 et seq.; 22 U.S.C. 

7201 et seq.; E.O. 13026, 61 FR 58767, 3 CFR, 

1996 Comp., p. 228; E.O. 13222, 66 FR 44025, 

3 CFR, 2001 Comp., p. 783. 

■ 11. Section 740.2 is amended by: 

■ a. Revising paragraph (a)(9)(i) and 

paragraph (a)(9)(ii) introductory text; 


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■ b. Adding a new note to paragraph 

(a)(9)(ii). 

The revisions and addition read as 

follows: 

§ 740.2 Restrictions on all License 

Exceptions. 

* * * * * 

(a) * * * 

(9) * * * 

(i) The item is controlled under ECCN 

3B001.a.4, c, d, f.1, f.5, k to n, p.2, p.4, 

r, 3B002.c, 3B993, 3B994, or associated 

software and technology in ECCN 

3D001, 3D002, 3D003, 3D992, 3D993, 

3D994, 3E001, 3E992, 3E993, or 3E994 

and is being exported, exported from 

abroad, reexported, or transferred (incountry) to or within either Macau or a 

destination specified in Country Group 

D:5 of supplement no. 1 to this part, and 

the license exception is other than 

License Exception GOV, restricted to 

eligibility under the provisions of 

§ 740.11(b). 

(ii) The item is identified in paragraph 

(a)(9)(ii)(A) or (B) of this section, is 

being exported, reexported, or 

transferred (in-country) to or within a 

destination specified in Country Group 

D:1, D:4, or D:5, excluding any 

destination also specified in Country 

Groups A:5 or A:6, or to an entity 

headquartered in or whose ultimate 

parent headquartered in, Macau or a 

destination specified in Country Group 

D:5, wherever located, and the license 

exception is other than: TMP, restricted 

to eligibility under the provisions of 

§ 740.9(a)(6); NAC/ACA, under the 

provisions of § 740.8; RPL, under the 

provisions of § 740.10; GOV, restricted 

to eligibility under the provisions of 

§ 740.11(b); TSU under the provisions of 

§ 740.13(a) and (c); or HBM under the 

provisions of § 740.25. Items restricted 

to eligibility only for the foregoing 

license exceptions are: 

* * * * * 

Note 1 to paragraph (a)(9)(ii): ECCN 

3A090.c requires a license for exports, 

reexports, and transfers (in-country) to or 

within Macau or destinations specified in 

Country Group D:5, but is still included 

within the scope of this paragraph because it 

generally shares the same EAR license 

exception eligibility as other 3A090 

commodities, except for NAC/ACA, under 

the provisions of § 740.8., which ECCN 

3A090.c is not eligible. An export, reexport, 

or transfer (in-country) of an ECCN 3A090.c 

commodity to a destination specified in 

Country Groups D:1 or D:4 that is not 

specified in Country Group D:5, may be made 

under the No License Required (NLR) 

designation, provided no part 744 or 746 

license requirements are applicable. 

* * * * * 

■ 12. Section 740.8 is amended by 

revising paragraph (a) introductory text 

to read as follows: 

§ 740.8 Notified Advanced Computing 

(NAC) and Advanced Computing Authorized 

(ACA). 

(a) Eligibility requirements. License 

Exception NAC authorizes the export 

and reexport of any item classified in 

ECCN 3A090 (except for 3A090.c), 

4A090, 3A001.z, 4A003.z, 4A004.z, 

4A005.z, 5A002.z, 5A004.z, 5A992.z, 

5D002.z, or 5D992.z, except for items 

designed or marketed for use in a 

datacenter and meeting the parameters 

of 3A090.a, to Macau and Country 

Group D:5 or an entity headquartered in, 

or whose ultimate parent headquartered 

in, Macau or a destination specified in 

Country Group D:5, wherever located. 

License Exception ACA authorizes the 

export, reexport, and transfer (incountry) of any item classified in ECCN 

3A090 (except for 3A090.c), 4A090, 

3A001.z, 4A003.z, 4A004.z, 4A005.z, 

5A002.z, 5A004.z, 5A992.z, 5D002.z, or 

5D992.z, except for items designed or 

marketed for use in a datacenter and 

meeting the parameters of 3A090.a, to or 

within any destination specified in 

Country Groups D:1 and D:4 (except 

Macau, a destination in Country Group 

D:5, or an entity headquartered in, or 

whose ultimate parent headquartered in, 

Macau or a destination specified in 

Country Group D:5, wherever located), 

as well as transfers (in-country) within 

Macau and destinations in Country 

Group D:5. These license exceptions 

may be used provided the export, 

reexport, or transfer (in-country) meets 

all of the applicable criteria identified 

under this paragraph (a) and none of the 

restrictions in paragraph (b) of this 

section. 

* * * * * 

■ 13. Sections 740.25 and 740.26 are 

added to read as follows: 

§ 740.25 License Exception High 

Bandwidth Memory (HBM). 

(a) Scope. This License Exception 

High Bandwidth Memory (HBM) 

authorizes the export, reexport, or 

transfer (in-country) of items specified 

in ECCN 3A090.c on the Commerce 

Control List (CCL) in supplement no. 1 

to part 774 if all terms and conditions 

within this section are met. 

(b) Exporter, reexporter, transferor. 

The exporter, reexporter, or transferor 

must be headquartered in the United 

States or a destination specified in 

Country Group A:5 of supplement no. 1 

to this part, without an ultimate parent 

headquartered in Macau or a destination 

specified in Country Group D:5 of 

supplement no. 1 to this part. 

(c) Conditions. The following exports, 

reexports, or transfers (in-country) are 

only authorized under this License 

Exception HBM if the 3A090.c item has 

a memory bandwidth density less than 

3.3 GB/s/mm∧2 and both of the 

following conditions apply: 

(1) The 3A090.c items exported, 

reexported, or transferred to or within 

Macau or a destination specified in 

Country Group D:5 must be directly 

purchased by the designer of the copackaged commodity not otherwise 

prohibited from receipt of the item; and 

(2) The 3A090.c items must be 

exported, reexported, or transferred (incountry) directly to the packaging site. 

(i) For 3A090.c items exported, 

reexported, or transferred (in-country) to 

a U.S., or Country Group A:5 or A:6- 

headquartered packaging site without an 

ultimate parent headquartered in Macau 

or a destination specified in Country 

Group D:5 of supplement no. 1 to part 

740: 

(A) The packaging site must confirm 

in writing to the producer of the chips 

that the 3A090.c item was packaged and 

exported, reexported, or transferred (incountry) to the specified designer of the 

co-packaged commodity. This 

confirmation is considered an ‘‘export 

control document’’ and is subject to 

recordkeeping requirements in part 762. 

A copy of this record must be provided 

to BIS upon request; and 

(B) The finished, co-packaged 

commodities must not exceed the 

technical thresholds in ECCN 3A090, 

unless packaging the item is permitted 

under the Temporary General License 

(TGL) specified in paragraph (d) of 

General Order No. 4 in of supplement 

no. 1 to part 736. 

(ii) For 3A090.c items exported, 

reexported, or transferred (in-country) to 

any other packaging site, the finished, 

co-packaged commodities must be sent 

back to the exporter, reexporter, or 

transferor for export, reexport, or 

transfer (in-country) to the purchaser: 

(A) Upon receipt of the finished, copackaged commodities, the exporter, 

reexporter, transferor must confirm the 

number of 3A090.c units contained 

within the finished, co-packaged chips 

received from the packaging site 

matches the number of 3A090.c items 

exported, reexported, or transferred (incountry) to the packaging site. This 

confirmation is considered an ‘‘export 

control document’’ and is subject to 

recordkeeping requirements in part 762. 

A copy of this record must be provided 

to BIS upon request; and 

(B) The finished, co-packaged 

commodities must not exceed the 

technical thresholds in ECCN 3A090.a 

or 3A090.b. 


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(d) Restrictions. The following 

exports, reexports, or transfers (incountry) of 3A090.c items are not 

authorized under this License Exception 

HBM: 

(1) To distributors. 

(2) To intermediate consignees, unless 

hired by the packaging site for freight 

forwarding or customs clearance. 

(3) To co-packaging at a ‘‘facility’’ 

located in Macau or a destination 

specified in Country Group D:5 where 

‘‘production’’ of ‘‘advanced-node ICs’’ 

occurs. 

(e) Reporting requirement. In the 

event that the exporter, reexporter, or 

transferor identifies a discrepancy of 

greater than 1 percent between the 

number of 3A090.c units exported, 

reexported, or transferred (in-country) to 

the packaging site and the number of 

3A090.c units contained within the 

finished, co-packaged commodities 

received from the packaging site under 

paragraph (c)(2)(ii) of this section, this 

generates a ‘Red Flag’ that must be 

resolved before exporting, reexporting, 

or transferring (in-country) the finished, 

co-packaged commodities to the 

designer of the co-packaged commodity 

or engaging in any further exports, 

reexports, or transfers (in-country) of 

3A090.c items to the designer of the copackaged commodity or packaging site 

involved in the transaction that raised 

the Red Flag. If the Red Flag cannot be 

resolved, then within 60 days of 

identifying the discrepancy, the 

exporter, reexporter, or transferor must 

report the information in paragraph 

(e)(1) to BIS consistent with the 

requirements under paragraph (e)(2). 

(1) Information required. (i) Date of 

shipment; 

(ii) Quantity exported and quantity 

returned; 

(iii) Name of Consignee or designer of 

the co-packaged commodity; 

(iv) Name and address of the 

packaging site; 

(v) End use; and 

(vi) Explanation of measures already 

taken or planned to resolve the Red 

Flag. 

(2) Submission requirements. Reports 

must be provided in electronic form. 

Recommended file formats for 

electronic submission include 

spreadsheets, tabular text or structured 

text. Submitters may request other 

reporting arrangements with BIS to 

better reflect their business models. 

Reports are to be sent electronically to 

BIS at the email address: HBMReports@

bis.doc.gov with the email subject line 

Attn: LE HBM Discrepancy Reports. 

§ 740.26 License Exception Restricted 

Fabrication ‘‘Facility’’ (RFF). 

(a) Scope. License Exception 

Restricted Fabrication ‘‘Facility’’ (RFF) 

authorizes the export, reexport, export 

from abroad, and transfer (in-country) of 

items not specified in ECCNs 3B001, 

3B002, 3B993, 3B994, 3D992, 3D993, 

3D994, 3E992, 3E993, or 3E994. 

Additionally, this license exception 

does not overcome destination-based 

license requirements in part 742, enduse based license requirements in other 

sections of part 744, or license 

requirements that apply to other entities 

on the Entity List if other listed entities 

that are not eligible for this license 

exception are a party to the transaction. 

(b) Definition. A restricted fabrication 

‘‘facility’’ is an entity that is on the 

Entity List in supplement no. 4 to part 

744 of the EAR that has a reference to 

§ 740.26 in the license requirement 

column. 

(c) Restrictions. License Exception 

RFF is subject to the following 

restrictions. 

(1) Items may not be used for the 

operation, installation, maintenance, 

repair, overhaul, or refurbishing of items 

specified in ECCNs 3B001.a.4, c, d, f.1, 

f.5, k to n, p.2, p.4, r, 3B002.c, 3B993, 

or 3B994 at a ‘restricted fabrication 

facility’. 

(2) The item may not be used to 

produce ‘‘advanced-node integrated 

circuits.’’ 

(d) Notification requirements. 

Notifications must be sent to 

EARReports@bis.doc.gov. Subject line 

‘LE RFF Notification pursuant to (d)(1)’ 

for notifications required under (d)(1) 

and with the subject line ‘LE RFF 

Notification pursuant to (d)(2)’ for 

notifications required under (d)(2) of 

this section. 

(1) 45-Days Prior. 45 days prior to 

exporting, reexporting, exporting from 

abroad, or transferring (in-country) 

items eligible under this license 

exception, a notification must be sent to 

BIS that includes the end-user’s name 

and address, description of item(s), 

purchase price, and anticipated 

shipping date of shipment. 

(2) Within one business day. If you 

gain ‘‘knowledge’’ that the end use has 

changed to ‘‘advance-node integrated 

circuit’’ ‘‘production,’’ you must notify 

BIS within one business day. 

(e) Reporting requirements. Reports 

must be provided in electronic form. 

Recommended file formats for 

electronic submission include 

spreadsheets, tabular text, or structured 

text. Submitters may request other 

reporting arrangements with BIS to 

better reflect their business models. 

Reports are to be sent electronically to 

BIS at the email address: EARReports@

bis.doc.gov. Subject line Attn: LE RFF 

Installation Reports for paragraph (e)(1) 

or Attn: LE RFF Annual Confirmation 

Report for paragraph (e)(2) of this 

section. 

(1) Installation. Within 30 days of 

installation of semiconductor 

manufacturing equipment, you must 

submit a report to BIS that includes the 

end-user’s name and address, 

description of equipment that was 

installed, and date of installation. This 

email should reference previous 

notifications sent to BIS, including 

notifications. 

(2) Annual end-use confirmation. On 

February 1 of each year that the 

exporter, reexporter, or transferor is 

continuing to provide service or for at 

least for five years from the date of last 

service, you must submit a report to BIS 

that you have confirmed that the 

installed semiconductor manufacturing 

equipment is not being used in the 

production of ‘‘advanced-node 

integrated circuits.’’ 

* * * * * 

PART 742—CONTROL POLICY—CCL 

BASED CONTROLS 

■ 14. The authority citation for part 742 

continues to read as follows: 

Authority: 50 U.S.C. 4801–4852; 50 U.S.C. 

4601 et seq.; 50 U.S.C. 1701 et seq.; 22 U.S.C. 

3201 et seq.; 42 U.S.C. 2139a; 22 U.S.C. 7201 

et seq.; 22 U.S.C. 7210; Sec. 1503, Pub. L. 

108–11, 117 Stat. 559; E.O. 12058, 43 FR 

20947, 3 CFR, 1978 Comp., p. 179; E.O. 

12851, 58 FR 33181, 3 CFR, 1993 Comp., p. 

608; E.O. 12938, 59 FR 59099, 3 CFR, 1994 

Comp., p. 950; E.O. 13026, 61 FR 58767, 3 

CFR, 1996 Comp., p. 228; E.O. 13222, 66 FR 

44025, 3 CFR, 2001 Comp., p. 783; 

Presidential Determination 2003–23, 68 FR 

26459, 3 CFR, 2004 Comp., p. 320; Notice of 

November 7, 2024, 89 FR 88867 (November 

8, 2024). 

■ 15. Section 742.4 is amended by: 

(a) Revising paragraph (a)(4); 

(b) Redesignating paragraphs 

(a)(5)(ii)(B)(i) and (ii) as paragraphs 

(a)(5)(ii)(B)(1) and (2); and 

(c) Revising paragraph (b)(2). 

The revisions read as follows: 

§ 742.4 National security. 

(a) * * * 

(4) Certain semiconductor 

manufacturing equipment and 

associated software and technology—(i) 

Scope. A license is required for exports, 

reexports, exports from abroad, and 

transfers (in-country) to or within either 

Macau or a destination specified in 

Country Group D:5 in supplement no. 1 

to part 740 of the EAR of items specified 

in 3B001.a.4, c, d, f.1, f.5, k to n, p.2, 

p.4, r, 3B002.c, 3D992, or 3E992. 


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(ii) Exclusions. The license 

requirements in this paragraph (a)(4) do 

not apply to any of the following: 

(A) Deemed exports or deemed 

reexports. 

(B) An item subject to the EAR 

pursuant to §§ 734.4(a)(8) or 734.9(k) if 

the item is reexported or exported from 

abroad by an entity located in a country 

specified in supplement no. 4 to this 

part, and the entity is not headquartered 

or have an ultimate parent company 

headquartered in either Macau or a 

destination specified in Country Group 

D:5. 

(C) An item subject to the EAR 

pursuant to §§ 734.4(a)(8) or 734.9(k) if 

the item is reexported or exported from 

abroad by an entity located in a country 

that has implemented equivalent 

controls for items specified in paragraph 

(a)(4)(i) of this section, and the entity is 

not headquartered or have an ultimate 

parent company headquartered in either 

Macau or a destination specified in 

Country Group D:5. For the purposes of 

this paragraph, equivalent means the 

item is listed on the country’s export 

control list and the country applies the 

same license review policy. To receive 

assistance in determining countries with 

equivalent controls, you may submit an 

advisory opinion in accordance with 

§ 748.3(c) of the EAR. 

* * * * * 

(b) * * * 

(2) License applications for items 

specified in paragraph (a)(4) of this 

section will be reviewed consistent with 

license review policies in § 744.23(d) of 

the EAR. However, if § 744.23 does not 

apply, applications will be reviewed on 

a case-by-case basis if no license would 

be required under part 744 of the EAR. 

applications will be reviewed on a caseby-case basis if no license would be 

required under part 744 of the EAR. 

* * * * * 

■ 16. Section 742.6 is amended by: 

■ a. Revising paragraphs (a)(6)(i) and 

(a)(6)(iii); 

■ c. Adding paragraph (a)(11); 

■ d. Revising paragraph (b)(10); and 

■ e. Adding paragraph (b)(12). 

The additions and revisions read as 

follows: 

§ 742.6 Regional stability. 

(a) * * * 

(6) RS requirement that applies to 

advanced computing and 

semiconductor manufacturing items—(i) 

Exports, reexports, transfers (in-country) 

to or within Macau or Country Group 

D:5—(A) Certain semiconductor 

manufacturing equipment and 

associated software and technology—(1) 

Scope. A license is required for exports, 

reexports, and transfers (in-country) to 

or within either Macau or a destination 

specified in Country Group D:5 in 

supplement no. 1 to part 740 of the EAR 

of items specified in 3B001.a.4, c, d, f.1, 

f.5, k to n, p.2, p.4, r, 3B002.c, 3D992, 

or 3E992. 

(2) Exclusions. The license 

requirements in this paragraph 

(a)(6)(i)(A) do not apply to any of the 

following: 

(i) Deemed exports or deemed 

reexports. 

(ii) An item subject to the EAR 

pursuant to §§ 734.4(a)(8) or 734.9(k) if 

the item is reexported or exported from 

abroad by an entity located in a country 

specified in supplement. no. 4 to this 

part, and the entity is not headquartered 

or have an ultimate parent company 

headquartered in Country Group D:5 or 

Macau. 

(iii) An item subject to the EAR 

pursuant to §§ 734.4(a)(8) or 734.9(k) if 

the item is reexported or exported from 

abroad by an entity located in a country 

that has implemented equivalent 

controls for items specified in paragraph 

(a)(6)(i)(A)(1) of this section, and the 

entity is not headquartered or have an 

ultimate parent company headquartered 

in Country Group D:5 or Macau. For the 

purposes of this paragraph, ‘equivalent’ 

means the item is listed on the country’s 

export control list and the country 

applies the same license review policy. 

To receive assistance in determining 

countries with equivalent controls, you 

may submit an advisory opinion request 

in accordance with § 748.3(c) of the 

EAR. 

(B) High Bandwidth Memory (HBM). 

A license is required for items specified 

in ECCNs 3A090.c, 3D001 (for 3A090.c), 

and 3E001 (for 3A090.c) when exported, 

reexported, or transferred (in-country) to 

or within Macau or a destination 

specified in Country Group D:5 in 

supplement no. 1 to part 740 of the 

EAR. The license requirements in this 

paragraph (a)(6)(i)(B) do not apply to 

deemed exports or deemed reexports. 

* * * * * 

(iii) Exports, reexports, transfers (incountry) to or within destinations 

specified in Country Groups D:1, D:4, 

and D:5, excluding destinations also 

specified in Country Groups A:5 or A:6. 

A license is required for items specified 

in ECCNs 3A001.z; 3A090 (except for 

3A090.c); 3D001 (for ‘‘software’’ for 

commodities controlled by 3A001.z, 

3A090 (except for 3A090.c)); 3E001 (for 

‘‘technology’’ for commodities 

controlled by 3A001.z, 3A090 (except 

for 3A090.c)); 4A003.z; 4A004.z; 

4A005.z; 4A090; 4D001 (for ‘‘software’’ 

for commodities controlled by 4A003.z, 

4A004.z, and 4A005.z); 4D090 (for 

‘‘software’’ for commodities controlled 

by 4A090); 4E001 (for ‘‘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 (for 

‘‘software’’ for commodities controlled 

by 4A090)); 5A002.z; 5A004.z; 5A992.z; 

5D002.z; 5D992.z; 5E002 (for 

‘‘technology’’ for commodities 

controlled by 5A002.z or 5A004.z or 

‘‘software’’ specified by 5D002 (for 

5A002.z or 5A004.z commodities)); or 

5E992 (for ‘‘technology’’ for 

commodities controlled by 5A992.z or 

‘‘software’’ controlled by 5D992.z) being 

exported, reexported, or transferred (incountry) to or within a destination 

specified in Country Groups D:1, D:4, 

and D:5, excluding destinations also 

specified in Country Groups A:5 or A:6, 

in supplement no. 1 to part 740 of the 

EAR. 

* * * * * 

(11) License requirement for ECCN 

3B993, 3B994, 3D993, 3D994, 3E993, 

and 3E994. A license is required for the 

export, reexport, or transfer (in-country) 

of items specified in ECCN 3B993, 

3B994, 3D993, 3D994, 3E993, or 3E994 

to a Footnote 5 designated entity listed 

on the Entity List in supplement no. 4 

to part 744 of the EAR when the item 

is not subject to the EA pursuant to 

§§ 734.4(a)(9) or 734.9(e)(3) of the EAR. 

See § 744.11(a)(2)(v)(a) for license 

requirements for these items when 

subject to the EAR pursuant to 

§§ 734.4(a)(9) and 734.9(e)(3) of the 

EAR. 

(b) * * * 

(10) Advanced computing and 

semiconductor manufacturing items—(i) 

License review policy for paragraphs 

(a)(6)(i)(A) and (ii) of this section. 

License applications for items specified 

in paragraphs (a)(6)(i)(A) and (ii) of this 

section will be reviewed consistent with 

license review policies in § 744.23(d) of 

the EAR. However, if § 744.23 does not 

apply, applications will be reviewed on 

a case-by-case basis if no license would 

be required under part 744 of the EAR. 

(ii) License review policy for 

paragraph (a)(6)(i)(B) of this section (for 

3A090.c). There is a presumption of 

approval review policy for license 

applications for items specified in 

paragraph (a)(6)(i)(B) to or within Macau 

or a destination specified in Country 

Group D:5 in supplement no. 1 to part 

740 of the EAR for entities neither 

headquartered in nor whose ultimate 

parent company is headquartered in 

either Macau or a destination specified 

in Country Group D:5. There is a 


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presumption of denial policy for all 

other license applications. 

(iii) License review policy for 

paragraph (a)(6)(iii) of this section. (A) 

License applications will be reviewed 

under a presumption of approval for 

export, reexport, or transfer (in-country) 

of items specified in paragraph (a)(6)(iii) 

to or within destinations other than 

Country Group D:5 or Macau or to 

entities not headquartered in or whose 

ultimate parent company is not 

headquartered in destinations in 

Country Group D:5 or Macau. (B) 

License applications will be reviewed 

under a presumption of denial for the 

export, reexport, or transfer (in-country) 

of items specified in paragraph (a)(6)(iii) 

of this section to or within destinations 

in Country Group D:5 or Macau, or to 

an entity headquartered in or whose 

ultimate parent company is 

headquartered in a destination in 

Country Group D:5 or Macau, unless 

either of the following apply, in which 

case they will be subject to a case-bycase license review policy if either of 

the following apply: 

(1) The commodity meets the 

parameters of 3A090.a and is not 

designed or marketed for use in a 

datacenter; or 

(2) The commodity meets the 

parameters of 3A090.b and is designed 

or marketed for use in a datacenter. 

* * * * * 

(12) License review policy for 

paragraph (a)(11). The license review 

policy for items subject to a license 

pursuant to paragraph (a)(11) of this 

section will be reviewed as specified in 

the license review policy column for the 

listed entity. See also § 744.11(a)(2)(v) of 

the EAR. 

* * * * * 

■ 17. Supplement no. 4 to part 742 is 

added to read as follows: 

Supplement No. 4 to Part 742— 

Countries Excluded From Certain 

Semiconductor Manufacturing 

Equipment License Requirements 

Australia 

Austria 

Belgium 

Bulgaria 

Canada 

Croatia 

Czech Republic 

Denmark 

Estonia 

Finland 

France 

Germany 

Greece 

Hungary 

Iceland 

Ireland 

Italy 

Japan 

Latvia 

Lithuania 

Luxembourg 

Netherlands 

New Zealand 

Norway 

Poland 

Portugal 

Romania 

Slovakia 

Slovenia 

Spain 

Sweden 

Switzerland 

United Kingdom 

* * * * * 

PART 744—CONTROL POLICY: ENDUSER AND END-USE BASED 

■ 18. The authority citation for part 744 

is revised to read as follows: 

Authority: 50 U.S.C. 4801–4852; 50 U.S.C. 

4601 et seq.; 50 U.S.C. 1701 et seq.; 22 U.S.C. 

3201 et seq.; 42 U.S.C. 2139a; 22 U.S.C. 7201 

et seq.; 22 U.S.C. 7210; E.O. 12058, 43 FR 

20947, 3 CFR, 1978 Comp., p. 179; E.O. 

12851, 58 FR 33181, 3 CFR, 1993 Comp., p. 

608; E.O. 12938, 59 FR 59099, 3 CFR, 1994 

Comp., p. 950; E.O. 13026, 61 FR 58767, 3 

CFR, 1996 Comp., p. 228; E.O. 13099, 63 FR 

45167, 3 CFR, 1998 Comp., p. 208; E.O. 

13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 

783; E.O. 13224, 66 FR 49079, 3 CFR, 2001 

Comp., p. 786; Notice of September 18, 2024, 

89 FR 77011 (September 20, 2024); Notice of 

November 7, 2024, 89 FR 88867 (November 

8, 2024). 

■ 19. Section 744.6 is amended by 

revising paragraph (c)(2)(iii) to read as 

follows: 

§ 744.6 Restrictions on specific activities 

of ‘‘U.S. persons.’’ 

* * * * * 

(c) * * * 

(2) * * * 

(iii) Semiconductor manufacturing 

equipment. To or within either Macau 

or a destination specified in Country 

Group D:5, any item not subject to the 

EAR and meeting the parameters of 

ECCNs 3B001.a.4, c, d, f.1, f.5, k to n, 

p.2, p.4, r, 3B002.c, 3D992, or 3E992 

regardless of end use or end user. 

* * * * * 

■ 20. Section 744.11 is amended by 

adding paragraph (a)(2)(v), to read as 

follows: 

§ 744.11 License requirements that apply 

to entities acting or at significant risk of 

acting contrary to the national security or 

foreign policy interests of the United States. 

* * * * * 

(a) * * * 

(2) * * * 

(v) Footnote 5 entities—(A) License 

requirement. You may not, without a 

license, reexport, export from abroad, or 

transfer (in-country) to or within any 

destination or to any end user or party 

any foreign-produced item subject to the 

EAR pursuant to §§ 734.4(a)(9) or 

734.9(e)(3), for each of the following 

paragraphs (A)(1) through (A)(4): 

(1) Exports from abroad or reexports 

from all countries. A license is required 

for commodities specified in ECCN 

3B993 when exported from abroad or 

reexported by an entity headquartered 

in, or whose ultimate parent company is 

headquartered in, Macau or a 

destination specified in Country Group 

D:5. 

(2) Exports from abroad or reexports 

from countries in Country Group A:5 

that are not in supplement no. 4 to part 

742. A license is required for the export 

from abroad or reexport from countries 

specified in Country Group A:5 that are 

not in supplement no. 4 to part 742 of 

commodities specified in ECCN 3B993 

if the commodity is not subject to 

equivalent controls by the relevant 

country. 

(3) Exports from abroad or reexports 

from all countries not listed in Country 

Group A:5. Exports from abroad or 

reexports from all countries not listed in 

Country Group A:5, as follows: 

(i) A license is required for 

commodities specified in ECCNs 3B001 

(except 3B001.a.4, c, d, f.1, f.5, g, h, k 

to n, p.2, p.4, r), 3B002 (except 3B002.c), 

3B611, 3B903, 3B991 (except 

3B991.b.2.a through 3B991.b.2.b), 

3B992, 3B993, or 3B994 by an entity 

that is headquartered or whose ultimate 

parent company is headquartered in a 

country not specified in supplement no. 

4 to part 742. 

(ii) A license is required for 

commodities specified in ECCN 3B993 

by an entity headquartered or whose 

ultimate parent company is 

headquartered in a country specified in 

supplement no. 4 to part 742 of this 

section. 

(4) Transfers (in-country). The 

commodity is to be transferred within 

the country of the entity specified by 

§ 734.9(e)(3)(ii): 

(i) By an entity whose ultimate parent 

company is headquartered in a country 

not described in supplement no. 4 to 

part 742 and the entity is transferring a 

commodity specified in ECCNs 3B001 

(except 3B001.a.4, c, d, f.1, f.5, g, h, k 

to n, p.2, p.4, or r), 3B002 (except 

3B002.c), 3B611, 3B903, 3B991 (except 

3B991.b.2.a through 3B991.b.2.b), 

3B992, 3B993, or 3B994; or 

(ii) By an entity whose ultimate parent 

company is headquartered in a country 

described in supplement no. 4 to part 

742 destination and the entity is 

transferring a commodity specified in 

ECCN 3B993. 

(B) License review policy. The license 

review policy is set forth in the entry of 


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the Entity List in supplement no. 4 to 

this part for each entity with a Footnote 

5 designation. Unless otherwise stated 

in the license review policy column of 

the specific entity, there is a case-bycase license review policy for items 

subject to the license requirements of 

this section where there is a foreignmade item that is not subject to the 

license requirements of this section and 

performs the same function as an item 

subject to the EAR license requirements 

of this section. 

* * * * * 

■ 21. Section 744.23 is amended by: 

■ a. Adding paragraph (a)(2)(iii) and 

(iv); and 

■ b. Revising paragraphs (a)(3)(i), 

(a)(3)(ii) introductory text, (a)(3)(ii)(D). 

and (a)(4). 

The additions and revisions read as 

follows: 

§ 744.23 ‘‘Supercomputer,’’ ‘‘advancednode integrated circuits,’’ and 

semiconductor manufacturing equipment 

end use controls. 

* * * * * 

(a) * * * 

(2) * * * 

(iii) Design of ‘‘advanced-node ICs’’. 

Any Electronic Computer Aided Design 

(ECAD) or Technology Computer Aided 

Design (TCAD) ‘‘software’’ and 

‘‘technology’’ subject to the EAR when 

you ‘‘know’’ it will be used in the 

design of an ‘‘advanced-node integrated 

circuit’’ that will be ‘‘produced’’ in 

Macau or a destination specified in 

Country Group D:5 in supplement no. 1 

to part 740 of the EAR. 

(iv) ‘‘Advanced Node IC’’ exclusion. 

Items specified in paragraphs (a)(2)(i) 

and (ii) destined to entities designated 

with a Footnote 5 are not subject to the 

license requirements in this section. 

(3) * * * 

(i) ECCNs 3A090, 4A090, and .z items 

destined to entities headquartered in, or 

whose ultimate parent company is 

headquartered in, either Macau or a 

destination specified in Country Group 

D:5 in certain destinations. 

(A) Any item subject to the EAR and 

specified in ECCNs 3A001.z, 3A090 

(except for 3A090.c), 4A003.z, 4A004.z, 

4A005.z, 4A090, 5A002.z, 5A004.z, 

5A992.z, 5D002.z, or 5D992.z destined 

to any destination other than those 

specified in Country Groups D:1, D:4, or 

D:5 (excluding any destination also 

specified in Country Groups A:5 or A:6) 

for an entity that is headquartered in, or 

whose ultimate parent company is 

headquartered in, either Macau or a 

destination specified in Country Group 

D:5 (e.g., a PRC-headquartered cloud or 

data server provider located outside of 

Country Groups D:1, D:4, or D:5 

(excluding any destination also 

specified in Country Groups A:5 or 

A:6)), or 

(B) Any item subject to the EAR and 

specified in ECCN 3A090.c destined to 

any destination other than Macau or 

those specified in Country Group D:5, 

for an entity that is headquartered in, or 

whose ultimate parent company is 

headquartered in, either Macau or a 

destination specified in Country Group 

D:5. 

(ii) ECCN 3E001 (for 3A090, except 

for 3A090.c) ‘‘technology’’ when it 

meets all of the following: 

* * * * * 

(D) The ‘‘technology’’ is for the 

‘‘production’’ of commodities or 

software specified in ECCN 3A001.z, 

3A090 (except for 3A090.c), 4A003.z, 

4A004.z, 4A005.z, 4A090, 5A002.z, 

5A004.z, or 5A992.z. 

(4) Semiconductor manufacturing 

equipment (SME) and ‘‘components,’’ 

‘‘assemblies,’’ and ‘‘accessories.’’ A 

license is required for export, reexport, 

or transfer (in-country) if paragraph 

(a)(4)(i) or (ii) of this section applies. 

(i) Directly destined to Macau and 

Country Group D:5. Any item subject to 

the EAR and specified on the CCL when 

destined to or within either Macau or a 

destination specified in Country Group 

D:5 for the ‘‘development’’ or 

‘‘production’’ of ‘‘equipment,’’ 

‘‘components,’’ ‘‘assemblies,’’ or 

‘‘accessories’’ specified in ECCNs 3B001 

(except 3B001.g and .h), 3B002, 3B611, 

3B903, 3B991 (except 3B991.b.2.a 

through 3B991.b.2.b), 3B992, 3B993, 

3B994 or associated ‘‘software’’ and 

‘‘technology’’ in 3D or 3E of the CCL. 

(ii) Indirect exports, reexports, or 

transfers (in-country). Any item subject 

to the EAR and specified on the CCL for 

export, reexport, or transfer (in-country), 

if all of the following apply: 

(A) The item (either in its original 

form or as subsequently incorporated 

into a foreign-made item) is for 

‘‘development’’ or ‘‘production’’ of a 

foreign-made item, whether subject to 

the EAR or not, that is specified in an 

ECCN listed in paragraph (a)(4)(i) of this 

section (and not excepted by that 

paragraph); and 

(B) The ‘‘development’’ or 

‘‘production’’ is by an entity 

headquartered in, or whose ultimate 

parent is headquartered in, Macau or a 

destination specified in Country Group 

D:5. 

Note 1 to paragraph (a)(4): For transactions 

involving ‘‘development’’ or ‘‘production’’ in 

Macau or a destination specified in Country 

Group D:5 by an entity that is headquartered 

in Macau or a destination specified in 

Country Group D:5, but the ‘‘development’’ 

or ‘‘production’’ is undertaken at the 

direction of an entity headquartered in the 

United States or a destination specified in 

Country Group A:5 or A:6, refer to General 

Order No. 4 in supp. no. 1 to part 736 

(Temporary General License—Less restricted 

SME ‘‘parts,’’ ‘‘components,’’ or 

‘‘equipment’’). 

* * * * * 

PART 758—EXPORT CLEARANCE 

REQUIREMENTS 

■ 22. The authority citation for part 758 

continues to read as follows: 

Authority: 50 U.S.C. 4801–4852; 50 U.S.C. 

4601 et seq.; 50 U.S.C. 1701 et seq.; E.O. 

13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 

783. 

■ 23. Section 758.6 is amended by 

revising paragraph (a)(2) to read as 

follows: 

§ 758.6 Destination control statement and 

other information furnished to consignees. 

(a) * * * 

(2) The ECCN(s) for any 3A001.z, 

3A090, 4A003.z, 4A004.z, 4A005.z, 

4A090, 5A002.z, 5A004.z, 5A992.z, 

9x515 or ‘‘600 series’’ ‘‘items’’ being 

shipped (i.e., exported in tangible form). 

For the seven ECCNs with a .z 

paragraph, the requirement to include 

the classification only applies to 

commodities specified under the .z 

paragraphs. If the commodity is 

specified under any other paragraph in 

one of those seven ECCNs, then the 

requirement under this paragraph is not 

applicable. For ECCN 3A090, identify 

the commodity as either 3A090.a, .b, or 

.c. 

* * * * * 

PART 762—RECORDKEEPING 

■ 24. The authority citation for part 762 

continues to read as follows: 

Authority: 50 U.S.C. 4801–4852; 50 U.S.C. 

4601 et seq.; 50 U.S.C. 1701 et seq.; E.O. 

13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 

783. 

■ 25. Section 762.2 is amended by 

adding paragraph (b)(56) and (57) to 

read as follows: 

§ 762.2 Records to be retained. 

* * * * * 

(b) * * * 

(56) § 740.25, License Exception 

HBM. 

(57) § 740.26, License Exception RFF. 

* * * * * 

PART 770—INTERPRETATIONS 

■ 26. The authority citation for part 770 

continues to read as follows: 

Authority: 50 U.S.C. 4801–4852; 50 U.S.C. 

4601 et seq.; 50 U.S.C. 1701 et seq.; E.O. 


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13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 

783. 

■ 27. Section 770.2 is amended by 

revising paragraph (o)(2)(i) to read as 

follows: 

§ 770.2 Item interpretations. 

* * * * * 

(o) * * * 

(2) * * * 

(i) Any utilized existing commercial 

‘‘software’’ or ‘‘technology’’ specified 

under ECCNs 3D991, 3D992, 3D993, 

3E001, 3E991, 3E992, 3E993, 9D515.d, 

9D515.e, 9E515.d or 9E515.e does not 

meet the ‘‘required’’ standard (as 

defined in part 772 of the EAR) of any 

other ECCN on the CCL; and 

Note 1 to paragraph (o)(2)(i): The use of 

existing commercial ‘‘software’’ or 

‘‘technology’’ by or for the USG for the 

purposes described in paragraph (o)(1) of this 

section does not, in and of itself, establish the 

‘‘required’’ standard to meet the 

specifications of any ECCN on the CCL. 

* * * * * 

PART 772—DEFINITIONS OF TERMS 

■ 28. The authority citation for part 772 

continues to read as follows: 

Authority: 50 U.S.C. 4801–4852; 50 U.S.C. 

4601 et seq.; 50 U.S.C. 1701 et seq.; E.O. 

13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 

783. 

■ 29. Section 772.1 is amended by 

revising the definitions for ‘‘access 

information’’ and ‘‘Advanced-Node 

Integrated Circuit’’ to read as follows: 

§ 772.1 Definitions of terms as used in the 

Export Administration Regulations (EAR). 

* * * * * 

Access information. For purposes of 

§ 734.19(a), information that allows 

access to encrypted technology or 

encrypted software in an unencrypted 

form. Examples include decryption 

keys, network access codes, and 

passwords. 

* * * * * 

Advanced-Node Integrated Circuits 

(Advanced-Node IC). For parts 734 and 

744 of the EAR, ‘‘advanced-node 

integrated circuits’’ include integrated 

circuits that meet any of the following 

criteria: 

(1) Logic integrated circuits using a 

non-planar transistor architecture or 

with a ‘‘production’’ ‘technology node’ 

of 16/14 nanometers or less; 

(2) NOT AND (NAND) memory 

integrated circuits with 128 layers or 

more; or 

(3) Dynamic random-access memory 

(DRAM) integrated circuits having: 

(i) A memory cell area of less than 

0.0019 mm2; or 

(ii) A memory density greater than 

0.288 gigabits per square millimeter. 

Note 1 to definition of ‘‘Advanced-Node 

Integrated Circuits’’: For the purposes of 

paragraph (1) of this definition, the term 

technology node refers to the Logic Industry 

‘‘Node Range’’ figure described in the 

International Roadmap for Devices and 

Systems, 2016 edition (‘‘More Moore’’ White 

Paper), available at: https://irds.ieee.org/ 

images/files/pdf/2016_MM.pdf. 

Note 2 to definition of ‘‘Advanced-Node 

Integrated Circuits’’: For the purposes of 

paragraph (3) of this definition, the term 

memory density refers to the capacity of the 

package or stack comprising the DRAM 

integrated circuit measured in gigabytes 

divided by the footprint of the package or 

stack measured in square millimeters. In the 

case where a stack is contained in a package, 

use the area of the package. Cell area is 

defined as Wordline*Bitline (which takes into 

consideration both transistor and capacitor 

dimensions). 

* * * * * 

PART 774—THE COMMERCE 

CONTROL LIST 

■ 30. The authority citation for part 774 

continues to read as follows: 

Authority: 50 U.S.C. 4801–4852; 50 U.S.C. 

4601 et seq.; 50 U.S.C. 1701 et seq.; 10 U.S.C. 

8720; 10 U.S.C. 8730(e); 22 U.S.C. 287c, 22 

U.S.C. 3201 et seq.; 22 U.S.C. 6004; 42 U.S.C. 

2139a; 15 U.S.C. 1824; 50 U.S.C. 4305; 22 

U.S.C. 7201 et seq.; 22 U.S.C. 7210; E.O. 

13026, 61 FR 58767, 3 CFR, 1996 Comp., p. 

228; E.O. 13222, 66 FR 44025, 3 CFR, 2001 

Comp., p. 783. 

■ 31. Supplement no. 1 to part 774 is 

amended by: 

■ a. Revising ECCNs 3A090, 3B001, 

3B002, 3B991, and 3B992; 

■ b. Adding ECCNs 3B993 and 3B994; 

■ c. Revising ECCNs 3D001 and 3D002; 

■ d. Adding ECCNs 3D992, 3D993, 

3D994; 

■ e. Revising ECCN 3E001; and 

■ b. Adding ECCNs 3E992, 3E993, and 

3E994. 

The additions and revisions read as 

follows: 

Supplement No. 1 to Part 774—the 

Commerce Control List 

* * * * * 

3A090 Integrated circuits as follows (see 

List of Items Controlled). 

License Requirements 

Reason for Control: RS, AT 

Control(s) 

Country chart 

(see Supp. No. 1 

to part 738) 

RS applies to entire 

entry, except 

3A090.c.

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 

3A090.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)(i)(B) 

of the EAR. 

AT applies to entire 

entry.

AT Column 1. 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

LVS: N/A 

GBS: N/A 

NAC/ACA: Yes, for 3A090.a, if the item is not 

designed or marketed for use in datacenters 

and has a ’total processing performance’ of 

4800 or more; yes, for 3A090.b, if the item 

is designed or marketed for use in 

datacenters. N/A for 3A090.c. 

HBM: Yes, for 3A090.c. See § 740.25 of the 

EAR. 

List of Items Controlled 

Related Controls: (1) See ECCNs 3D001, 

3E001, 5D002.z, and 5D992.z for associated 

technology and software controls. (2) See 

ECCNs 3A001.z, 5A002.z, 5A004.z, and 

5A992.z. 

Related Definitions: N/A 

Items: 

a. Integrated circuits having one or more 

digital processing units having either of the 

following: 

a.1. A ‘total processing performance’ of 

4800 or more, or 

a.2. A ‘total processing performance’ of 

1600 or more and a ‘performance density’ of 

5.92 or more. 

b. Integrated circuits having one or more 

digital processing units having either of the 

following: 

b.1. A ’total processing performance’ of 

2400 or more and less than 4800 and a 

’performance density’ of 1.6 or more and less 

than 5.92, or 

b.2. A ‘total processing performance’ of 

1600 or more and a ‘performance density’ of 

3.2 or more and less than 5.92. 

Note 1 to 3A090.a and 3A090.b: 3A090.a 

and 3A090.b do not apply to items that are 

not designed or marketed for use in 

datacenters and do not have a ‘total 

processing performance’ of 4800 or more. For 

3A090.a and 3A090.b items that are not 

designed or marketed for use in datacenters 

and that have a ‘total processing 


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performance’ of 4800 or more, see license 

exceptions NAC and ACA. 

Note 2 to 3A090.a and 3A090.b: Integrated 

circuits specified by 3A090 include graphical 

processing units (GPUs), tensor processing 

units (TPUs), neural processors, in-memory 

processors, vision processors, text processors, 

co-processors/accelerators, adaptive 

processors, field-programmable logic devices 

(FPLDs), and application-specific integrated 

circuits (ASICs). Examples of integrated 

circuits are in the Note to 3A001.a. 

Note 3 to 3A090.a and 3A090.b: For 

integrated circuits (ICs) that are excluded 

from ECCN 3A090 under Note 2 or 3 to 

3A090, those ICs are also not applicable for 

classifications made under ECCNs 3A001.z, 

4A003.z, 4A004.z, 4A005.z, 4A090, 5A002.z, 

5A004.z, 5A992.z, 5D002.z, or 5D992.z 

because those other CCL classifications are 

based on the incorporation of an integrated 

circuit (IC) that meets the control parameters 

under ECCN 3A090 or otherwise meets or 

exceeds the control parameters or ECCNs 

3A090 or 4A090. The performance 

parameters under ECCN 3A090.c are not 

used for determining whether an item is 

classified in a .z ECCN. See the Related 

Controls paragraphs of ECCNs 3A001.z, 

4A003.z, 4A004.z, 4A005.z, 4A090, 5A002.z, 

5A004.z, 5A992.z, 5D002.z, or 5D992.z. 

Technical Notes to 3A090.a and 3A090.b: 

1. ‘Total processing performance’ (‘TPP’) is 2 

× ‘MacTOPS’ × ‘bit length of the operation’, 

aggregated over all processing units on the 

integrated circuit. 

a. For purposes of 3A090, ‘MacTOPS’ is the 

theoretical peak number of Tera (1012) 

operations per second for multiplyaccumulate computation (D = A × B + C). 

b. The 2 in the ‘TPP’ formula is based on 

industry convention of counting one 

multiply-accumulate computation, D = A × B 

+ C, as 2 operations for purpose of 

datasheets. Therefore, 2 × MacTOPS may 

correspond to the reported TOPS or FLOPS 

on a datasheet. 

c. For purposes of 3A090, ‘bit length of the 

operation’ for a multiply-accumulate 

computation is the largest bit-length of the 

inputs to the multiply operation. 

d. Aggregate the TPPs for each processing 

unit on the integrated circuit to arrive at a 

total. ’TPP’ = TPP1 + TPP2 + . . . . + TPPn 

(where n is the number or processing units 

on the integrated circuit). 

2. The rate of ‘MacTOPS’ is to be 

calculated at its maximum value theoretically 

possible. The rate of ‘MacTOPS’ is assumed 

to be the highest value the manufacturer 

claims in annual or brochure for the 

integrated circuit. For example, the ‘TPP’ 

threshold of 4800 can be met with 600 tera 

integer operations (or 2 × 300 ‘MacTOPS’) at 

8 bits or 300 tera FLOPS (or 2 × 150 

‘MacTOPS’) at 16 bits. If the integrated 

circuit (IC) is designed for MAC computation 

with multiple bit lengths that achieve 

different ‘TPP’ values, the highest ‘TPP’ value 

should be evaluated against parameters in 

3A090. 

3. For integrated circuits specified by 

3A090 that provide processing of both sparse 

and dense matrices, the ‘TPP’ values are the 

values for processing of dense matrices (e.g., 

without sparsity). 

4. ‘Performance density’ is ‘TPP’ divided by 

‘applicable die area’. For purposes of 3A090, 

‘applicable die area’ is measured in 

millimeters squared and includes all die area 

of logic dies manufactured with a process 

node that uses a non-planar transistor 

architecture. 

c. High bandwidth memory (HBM) having 

a ‘memory bandwidth density’ greater than 2 

gigabytes per second per square millimeter. 

Technical note to 3A090.c: ‘Memory 

bandwidth density’ is the memory bandwidth 

measured in gigabytes per second divided by 

the area of the package or stack measured in 

square millimeters. In the case where a stack 

is contained in a package, use the memory 

bandwidth of the packaged device and the 

area of the package. High bandwidth memory 

(HBM) includes dynamic random access 

memory integrated circuits, regardless of 

whether they conform to the JEDEC standards 

for high bandwidth memory, provided they 

have a ‘memory bandwidth density’ greater 

than 2 gigabytes per second per square 

millimeter. This control does not cover copackaged integrated circuits with both HBM 

and logic integrated circuit where the 

dominant function of the co-packaged 

integrated circuit is processing. It does 

include HBM permanently affixed to a logic 

integrated circuit designed as a control 

interface and incorporating a physical layer 

(PHY) function. 

* * * * * 

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.2 to f.4, g to 

j.

NS Column 2. 

NS applies to 

3B001.a.4, c, d, f.1, 

f.5, k to n, p.2, p.4, 

r.

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. 

Control(s) 

Country chart 

(see Supp. No. 1 

to part 738) 

RS applies to 

3B001.a.4, c, d, f.1, 

f.5, k to n, p.2, p.4, 

r.

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, f.5, k to n, p.2, p.4, r. 

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, and .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. 

See ECCNs 3D001, 3D992, 3E001, and 

3E992 for related ‘‘software’’ and 

‘‘technology’’ controls. 

Related Definitions: N/A 

Items: 

a. Equipment designed for epitaxial growth 

as follows: 

a.1. Equipment designed or modified to 

produce a layer of any material other than 

silicon with a thickness uniform to less than 

±2.5% across a distance of 75 mm or more; 

Note: 3B001.a.1 includes atomic layer 

epitaxy (ALE) equipment. 

a.2. Metal Organic Chemical Vapor 

Deposition (MOCVD) reactors designed for 

compound semiconductor epitaxial growth of 

material having two or more of the following 

elements: aluminum, gallium, indium, 

arsenic, phosphorus, antimony, oxygen, or 

nitrogen; 

a.3. Molecular beam epitaxial growth 

equipment using gas or solid sources; 

a.4. Equipment designed for epitaxial 

growth of silicon (Si) or silicon germanium 

(SiGe), and having all of the following: 

a.4.a. At least one preclean chamber 

designed to provide a surface preparation 

means to clean the surface of the wafer; and 


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a.4.b. An epitaxial deposition chamber 

designed to operate at a temperature equal to 

or below 958 K (685 °C). 

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. [Reserved] 

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; 

c.3. Equipment designed for anisotropic 

dry etching having all of following: 

c.3.a Two or more RF independent sources; 

c.3.b Two or more independent gas 

sources; 

c.3.c ‘Process uniformity tuning’ for wafer 

thickness variation compensation; and 

c.3.d Through Silicon Via (TSV) reveal 

Endpoint Detection (EPD); 

c.4. Equipment designed for Through 

Silicon Via (TSV) etch having all of the 

following: 

c.4.a. Silicon etch rate greater than 7 

microns per minute; 

c.4.b. Within wafer (WIW) etch depth nonuniformity of less than or equal 2 percent; 

and 

c.4.c. A Through Silicon Via (TSV) aspect 

ratio greater than or equal to 10:1. 

Note 1: 3B001.c includes etching by 

‘radicals’, ions, sequential reactions, or nonsequential reaction. 

Note 2: 3B001.c.1.c includes etching using 

RF pulse excited plasma, pulsed duty cycle 

excited plasma, pulsed voltage on electrodes 

modified plasma, cyclic injection and 

purging of gases combined with a plasma, 

plasma atomic layer etching, or plasma 

quasi-atomic layer etching. 

Technical Notes: 

1. For the purposes of 3B001.c, ‘silicon 

germanium-to-silicon (SiGe:Si) etch 

selectivity’ is measured for a Ge 

concentration of greater than or equal to 30% 

(Si0.70Ge0.30). 

2. For the purposes of 3B001.c Note 1 and 

3B001.d.14, ‘radical’ is defined as an atom, 

molecule, or ion that has an unpaired 

electron in an open electron shell 

configuration. 

3. For the purposes of 3B001.c.3, ‘process 

uniformity tuning’ is the process of 

compensating for incoming wafer thickness 

variations after grinding. 

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. Semiconductor manufacturing 

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. Surface treatment plasma process 

using hydrogen (H2), hydrogen and nitrogen 

(H2+N2), or ammonia (NH3). 

d.4. Equipment or systems designed for 

multistep processing in multiple chambers or 

stations, as follows: 

d.4.a. Equipment designed to fabricate a 

metal contact by performing all of 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 (W) 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 all of the 

following processes: 

d.4.b.1 Surface treatment process using a 

remote plasma generator and an ion filter; 

and 

d.4.b.2. Deposition of a cobalt (Co) layer 

selectively onto copper (Cu) using an 

organometallic compound; 

Note: This control does not apply to 

equipment that is non-selective. 

d.4.c. Equipment designed to fabricate a 

metal contact by performing all the following 

processes: 

d.4.c.1. Deposition of a titanium nitride 

(TiN) or tungsten carbide (WC) layer, using 

an organometallic compound, while 

maintaining the wafer substrate at a 

temperature greater than 20 °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 2 um thick and 

with density of greater than 1.7g/cc; 

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: 

d.8.c.1. Deposition of titanium-aluminum 

carbide (TiAlC); and 

d.8.c.2. Enabling a work function greater 

than 4.0 eV; 

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: 


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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. [Reserved] 

d.12. Equipment designed for depositing a 

metal layer, 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 

4.4; 

d.14.b. In features with an aspect ratio 

greater than 5:1 with lateral openings of less 

than 35 nm; and 

d.14.c. A feature-to-feature pitch of less 

than 45 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. [Reserved] 

d.17. Equipment designed for plasma 

enhanced chemical vapor deposition 

(PECVD) or radical assisted chemical vapor 

deposition and UV curing in a single 

platform of a dielectric film, while 

maintaining a substrate temperature below 

500 °C, having all of the following: 

d.17.a. A thickness of more than 6 nm and 

less than 20 nm on metal features having less 

than 24 nm pitch and having an aspect ratio 

equal to or greater than 1:1.8; and 

d.17.b. A dielectric constant less than 3.0; 

d.18. Equipment designed or modified for 

Atomic Layer Deposition (ALD) of 

molybdenum (Mo), ruthenium (Ru), or 

combinations Mo or Ru, and having all of the 

following: 

d.18.a. A metal precursor source designed 

or modified to operate at a temperature 

greater 75 °C; and 

d.18.b. A process chamber (module) using 

a reducing agent containing hydrogen (H) at 

a pressure greater than or equal to 30 Torr (4 

kPa). 

Note: For the purposes of paragraph 

d.18.a, the metal precursor source need not 

be integrated with the equipment. The metal 

precursor could be delivered by an on-tool 

source or from a sub-fab source. 

d.19. Deposition equipment having directliquid injection of more than two metal 

precursors, designed or modified to deposit 

a conformal dielectric film with a dielectric 

constant (K) greater than 40 in features with 

aspect ratio greater than 200:1 in a single 

deposition chamber. 

d.20. Physical vapor deposition equipment 

having electromagnets for ion flux guidance, 

and ‘‘specially designed’’ to deposit tungsten 

(W) metal into features having an aspect ratio 

of 3:1 or greater. 

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, .b., .c, and .d 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. A maximum ’dedicated chuck 

overlay’ value of less than or equal to 1.50 

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 3B001.f.1.b, the K 

factor = 0.25 ‘MRF’ is also known as 

resolution. 

2. ‘Dedicated chuck overlay’ is the 

alignment accuracy of a new pattern to an 

existing pattern printed on a wafer by the 

same lithographic system. ‘Dedicated chuck 

overlay’ is also known as single machine 

overlay. 

f.2. Imprint lithography equipment capable 

of production features of 45 nm or less; 

Note: 3B001.f.2 includes: 

—Micro contact printing tools 

—Hot embossing tools 

—Nano-imprint lithography tools 

—Step and flash imprint lithography (S–FIL) 

tools 

f.3. Equipment ‘‘specially designed’’ for 

mask making having all of the following: 

f.3.a. A deflected focused electron beam, 

ion beam or ‘‘laser’’ beam; and 

f.3.b. Having any of the following: 

f.3.b.1. A Full-Width Half-Maximum 

(FWHM) spot size smaller than 65 nm and an 

image placement less than 17 nm (mean + 3 

sigma); or 

f.3.b.2. [Reserved] 

f.3.b.3. A second-layer overlay error of less 

than 23 nm (mean + 3 sigma) on the mask; 

f.4. Equipment designed for device 

processing using direct writing methods, 

having all of the following: 

f.4.a. A deflected focused electron beam; 

and 

f.4.b. Having any of the following: 

f.4.b.1. A minimum beam size equal to or 

smaller than 15 nm; or 

f.4.b.2. An overlay error less than 27 nm 

(mean + 3 sigma); 

f.5. Imprint lithography equipment having 

an overlay accuracy less (better) than 1.5; 

g. Masks and reticles, designed for 

integrated circuits controlled by 3A001; 

h. Multi-layer masks with a phase shift 

layer not specified by 3B001.g and designed 

to be used by lithography equipment having 

a light source wavelength less than 245 nm; 

Note: 3B001.h does not control multi-layer 

masks with a phase shift layer designed for 

the fabrication of memory devices not 

controlled by 3A001. 

N.B.: For masks and reticles, ‘‘specially 

designed’’ for optical sensors, see 6B002. 


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Federal Register / Vol. 89, No. 234 / Thursday, December 5, 2024 / Rules and Regulations 96823 

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. [Reserved] 

p. Removal and cleaning equipment as 

follows: 

p.1. [Reserved] 

p.2. Single wafer wet cleaning equipment 

with surface modification drying; or 

p.3. [Reserved] 

p.4. Equipment designed for single wafer 

cleaning using supercritical CO2 or 

sublimation drying; 

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; or 

Technical Notes: For the purposes of 

3B001.q, masks or reticles with a mounted 

pellicle are considered masks and reticles. 

r. Equipment designed for EUV ‘pattern 

shaping.’ 

Technical Note: For the purposes of 

3B001.r, ‘pattern shaping’ is a deposition or 

removal process used to improve overall 

patterning by reshaping or trimming patterns 

produced using EUV lithography with nonvertical directed particles including ions, 

neutral particles, clusters, radicals, or light. 

3B002 Test or inspection equipment 

‘‘specially designed’’ for testing or 

inspecting finished or unfinished 

semiconductor devices 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 

3B002.a and b.

NS Column 2. 

NS applies to 

3B002.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. 

Control(s) 

Country chart 

(see Supp. No. 1 

to part 738) 

RS applies to 

3B002.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. 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

LVS: $500, except semiconductor 

manufacturing equipment specified in 

3B002.c. 

GBS: Yes 

List of Items Controlled 

Related Controls: See also 3A999.a, 3B992, 

and 3B993. 

Related Definitions: N/A 

Items: 

a. For testing S-parameters of items 

specified by 3A001.b.3. 

b. For testing microwave integrated circuits 

controlled by 3A001.b.2. 

c. Inspection equipment designed for 

‘‘EUV’’ mask blanks or ‘‘EUV’’ patterned 

masks. 

* * * * * 

3B991 Equipment not controlled by 3B001, 

3B993, or 3B994, for the manufacture of 

electronic ‘‘parts,’’ ‘‘components,’’ and 

materials, and ‘‘specially designed’’ 

‘‘parts,’’ ‘‘components,’’ and 

‘‘accessories’’ therefor. 

License Requirements 

Reason for Control: AT 

Control(s) 

Country chart 

(see Supp. No. 1 

to part 738) 

AT applies to entire 

entry.

AT Column 1. 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

LVS: N/A 

GBS: N/A 

List of Items Controlled 

Related Controls: N/A 

Related Definitions: ‘Sputtering’ is an overlay 

coating process wherein positively charged 

ions are accelerated by an electric field 

towards the surface of a target (coating 

material). The kinetic energy of the 

impacting ions is sufficient to cause target 

surface atoms to be released and deposited 

on the substrate. Note: Triode, magnetron 

or radio frequency sputtering to increase 

adhesion of coating and rate of deposition 

are ordinary modifications of the process. 

Items: 

a. Equipment ‘‘specially designed’’ for the 

manufacture of electron tubes, optical 

elements, and ‘‘specially designed’’ ‘‘parts’’ 

and ‘‘components’’ therefor controlled by 

3A001 or 3A991; 

b. Equipment ‘‘specially designed’’ for the 

manufacture of semiconductor devices, 

integrated circuits and ‘‘electronic 

assemblies,’’ as follows, and systems 

incorporating or having the characteristics of 

such equipment: 

Note: 3B991.b also controls equipment 

used or modified for use in the manufacture 

of other devices, such as imaging devices, 

electro-optical devices, acoustic-wave 

devices. 

b.1. Equipment for the processing of 

materials for the manufacture of devices, 

‘‘parts,’’ and ‘‘components’’ as specified in 

the heading of 3B991.b, as follows: 

Note: 3B991 does not control quartz 

furnace tubes, furnace liners, paddles, boats 

(except ‘‘specially designed’’ caged boats), 

bubblers, cassettes or crucibles ‘‘specially 

designed’’ for the processing equipment 

controlled by 3B991.b.1. 

b.1.a. Equipment for producing 

polycrystalline silicon and materials 

controlled by 3C001; 

b.1.b. Equipment ‘‘specially designed’’ for 

purifying or processing III/V and II/VI 

semiconductor materials controlled by 

ECCNs 3C001, 3C002, 3C003, 3C004, or 

3C005 except crystal pullers, for which see 

3B991.b.1.c below; 

b.1.c. Crystal pullers and furnaces, as 

follows: 

Note: 3B991.b.1.c does not control 

diffusion and oxidation furnaces. 

b.1.c.1. Annealing or recrystallizing 

equipment other than constant temperature 

furnaces employing high rates of energy 

transfer capable of processing wafers at a rate 

exceeding 0.005 m2 per minute; 

b.1.c.2. ‘‘Stored program controlled’’ 

crystal pullers having any of the following 

characteristics: 

b.1.c.2.a. Rechargeable without replacing 

the crucible container; 

b.1.c.2.b. Capable of operation at pressures 

above 2.5 × 105 Pa; or 

b.1.c.2.c. Capable of pulling crystals of a 

diameter exceeding 100 mm; 

b.1.d. ‘‘Stored program controlled’’ 

equipment for epitaxial growth having any of 

the following characteristics: 

b.1.d.1. Capable of producing silicon layer 

with a thickness uniform to less than ±2.5% 

across a distance of 200 mm or more; 

b.1.d.2. Capable of producing a layer of any 

material other than silicon with a thickness 

uniformity across the wafer of equal to or 

better than ±3.5%; or 

b.1.d.3. Rotation of individual wafers 

during processing; 

b.1.e. Molecular beam epitaxial growth 

equipment; 

b.1.f. Magnetically enhanced ’sputtering’ 

equipment with ‘‘specially designed’’ integral 

load locks capable of transferring wafers in 

an isolated vacuum environment; 

b.1.g. Equipment ‘‘specially designed’’ for 

ion implantation, ion-enhanced, or photoenhanced diffusion, having any of the 

following characteristics: 

b.1.g.1. Patterning capability; 

b.1.g.2. Beam energy (accelerating voltage) 

exceeding 200 keV; 

b.1.g.3 Optimized to operate at a beam 

energy (accelerating voltage) of less than 10 

keV; or 


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b.1.g.4. Capable of high energy oxygen 

implant into a heated ‘‘substrate’’; 

b.1.h. ‘‘Stored program controlled’’ 

equipment for the selective removal (i.e., 

etching) by means of anisotropic dry methods 

(e.g., plasma), as follows: 

b.1.h.1. Batch types having either of the 

following: 

b.1.h.1.a. End-point detection, other than 

optical emission spectroscopy types; or 

b.1.h.1.b. Reactor operational (etching) 

pressure of 26.66 Pa or less; 

b.1.h.2. Single wafer types having any of 

the following: 

b.1.h.2.a. End-point detection, other than 

optical emission spectroscopy types; 

b.1.h.2.b. Reactor operational (etching) 

pressure of 26.66 Pa or less; or 

b.1.h.2.c. Cassette-to-cassette and load 

locks wafer handling; 

Note 1: ‘‘Batch types’’ refers to machines 

not ‘‘specially designed’’ for production 

processing of single wafers. Such machines 

can process two or more wafers 

simultaneously with common process 

parameters (e.g., RF power, temperature, etch 

gas species, flow rates). 

Note 2: ‘‘Single wafer types’’ refers to 

machines ‘‘specially designed’’ for 

production processing of single wafers. These 

machines may use automatic wafer handling 

techniques to load a single wafer into the 

equipment for processing. The definition 

includes equipment that can load and 

process several wafers but where the etching 

parameters (e.g., RF power or end point) can 

be independently determined for each 

individual wafer. 

b.1.i. ‘‘Chemical vapor deposition’’ (CVD) 

equipment (e.g., plasma-enhanced CVD 

(PECVD) or photo-enhanced CVD) for 

semiconductor device manufacturing, having 

either of the following capabilities, for 

deposition of oxides, nitrides, metals, or 

polysilicon: 

b.1.i.1. ‘‘Chemical vapor deposition’’ 

equipment operating below 105 Pa; or 

b.1.i.2. PECVD equipment operating either 

below 60 Pa (450 millitorr) or having 

automatic cassette-to-cassette and load lock 

wafer handling; 

Note: 3B991.b.1.i does not control low 

pressure ‘‘chemical vapor deposition’’ 

(LPCVD) systems or reactive ‘‘sputtering’’ 

equipment. 

b.1.j. Electron beam systems ‘‘specially 

designed’’ or modified for mask making or 

semiconductor device processing having any 

of the following characteristics: 

b.1.j.1. Electrostatic beam deflection; 

b.1.j.2. Shaped, non-Gaussian beam profile; 

b.1.j.3. Digital-to-analog conversion rate 

exceeding 3 MHz; 

b.1.j.4. Digital-to-analog conversion 

accuracy exceeding 12 bit; or 

b.1.j.5. Target-to-beam position feedback 

control precision of 1 micrometer or finer; 

Note: 3B991.b.1.j does not control electron 

beam deposition systems or general purpose 

scanning electron microscopes. 

b.1.k. Surface finishing equipment for the 

processing of semiconductor wafers as 

follows: 

b.1.k.1. ‘‘Specially designed’’ equipment 

for backside processing of wafers thinner 

than 100 micrometer and the subsequent 

separation thereof; or 

b.1.k.2. ‘‘Specially designed’’ equipment 

for achieving a surface roughness of the 

active surface of a processed wafer with a 

two-sigma value of 2 micrometer or less, total 

indicator reading (TIR); 

Note: 3B991.b.1.k does not control singleside lapping and polishing equipment for 

wafer surface finishing. 

b.1.l. Interconnection equipment which 

includes common single or multiple vacuum 

chambers ‘‘specially designed’’ to permit the 

integration of any equipment controlled by 

3B991 into a complete system; 

b.1.m. ‘‘Stored program controlled’’ 

equipment using ‘‘lasers’’ for the repair or 

trimming of ‘‘monolithic integrated circuits’’ 

with either of the following characteristics: 

b.1.m.1. Positioning accuracy less than ±1 

micrometer; or 

b.1.m.2. Spot size (kerf width) less than 3 

micrometer. 

b.2. Masks, mask ‘‘substrates,’’ maskmaking equipment and image transfer 

equipment for the manufacture of devices, 

‘‘parts’’ and ‘‘components’’ as specified in the 

heading of 3B991, as follows: 

Note: The term ‘‘masks’’ refers to those 

used in electron beam lithography, X-ray 

lithography, and ultraviolet lithography, as 

well as the usual ultraviolet and visible 

photo-lithography. 

b.2.a. Finished masks, reticles and designs 

therefor, except: 

b.2.a.1. Finished masks or reticles for the 

production of unembargoed integrated 

circuits; or 

b.2.a.2. Masks or reticles, having both of 

the following characteristics: 

b.2.a.2.a. Their design is based on 

geometries of 2.5 micrometer or more; and 

b.2.a.2.b. The design does not include 

special features to alter the intended use by 

means of production equipment or 

‘‘software’’; 

b.2.b. Mask ‘‘substrates’’ as follows: 

b.2.b.1. Hard surface (e.g., chromium, 

silicon, molybdenum) coated ‘‘substrates’’ 

(e.g., glass, quartz, sapphire) for the 

preparation of masks having dimensions 

exceeding 125 mm x 125 mm; or 

b.2.b.2. ‘‘Substrates’’ ‘‘specially designed’’ 

for X-ray masks; 

b.2.c. Equipment, other than general 

purpose computers, ‘‘specially designed’’ for 

computer aided design (CAD) of 

semiconductor devices or integrated circuits; 

b.2.d. Equipment or machines, as follows, 

for mask or reticle fabrication: 

b.2.d.1. Photo-optical step and repeat 

cameras capable of producing arrays larger 

than 100 mm x 100 mm, or capable of 

producing a single exposure larger than 6 

mm x 6 mm in the image (i.e., focal) plane, 

or capable of producing line widths of less 

than 2.5 micrometer in the photoresist on the 

‘‘substrate’’; 

b.2.d.2. Mask or reticle fabrication 

equipment using ion or ‘‘laser’’ beam 

lithography capable of producing line widths 

of less than 2.5 micrometer; or 

b.2.d.3. Equipment or holders for altering 

masks or reticles or adding pellicles to 

remove defects; 

Note: 3B991.b.2.d.1 and b.2.d.2 do not 

control mask fabrication equipment using 

photo-optical methods which was either 

commercially available before the 1st of 

January, 1980, or has a performance no better 

than such equipment. 

b.2.e. ‘‘Stored program controlled’’ 

equipment for the inspection of masks, 

reticles or pellicles with: 

b.2.e.1. A resolution of 0.25 micrometer or 

finer; and 

b.2.e.2. A precision of 0.75 micrometer or 

finer over a distance in one or two 

coordinates of 63.5 mm or more; 

Note: 3B991.b.2.e does not control general 

purpose scanning electron microscopes 

except when ‘‘specially designed’’ and 

instrumented for automatic pattern 

inspection. 

b.2.f. Align and expose equipment for 

wafer production using photo-optical or Xray methods (e.g., lithography equipment) 

including both projection image transfer 

equipment and step and repeat (i.e., direct 

step on wafer) or step and scan (scanner) 

equipment, capable of performing any of the 

following functions: 

Note: 3B991.b.2.f does not control photooptical contact and proximity mask align and 

expose equipment or contact image transfer 

equipment. 

b.2.f.1. Production of a pattern size of less 

than 2.5 micrometer; 

b.2.f.2. Alignment with a precision finer 

than ±0.25 micrometer (3 sigma); 

b.2.f.3. Machine-to-machine overlay no 

better than ±0.3 micrometer; or 

b.2.f.4. A light source wavelength shorter 

than 400 nm; 

b.2.g. Electron beam, ion beam or X-ray 

equipment for projection image transfer 

capable of producing patterns less than 2.5 

micrometer; 

Note: For focused, deflected-beam 

systems(direct write systems), see 3B991.b.1.j 

or b.10. 

b.2.h. Equipment using ‘‘lasers’’ for direct 

write on wafers capable of producing 

patterns less than 2.5 micrometer. 

b.3. Equipment for the assembly of 

integrated circuits, as follows: 

b.3.a. ‘‘Stored program controlled’’ die 

bonders having all of the following 

characteristics: 

b.3.a.1. ‘‘Specially designed’’ for ‘‘hybrid 

integrated circuits’’; 

b.3.a.2. X–Y stage positioning travel 

exceeding 37.5 × 37.5 mm; and 

b.3.a.3. Placement accuracy in the X–Y 

plane of finer than ±10 micrometer; 

b.3.b. ‘‘Stored program controlled’’ 

equipment for producing multiple bonds in 

a single operation (e.g., beam lead bonders, 

chip carrier bonders, tape bonders); 

b.3.c. Semi-automatic or automatic hot cap 

sealers, in which the cap is heated locally to 

a higher temperature than the body of the 

package, ‘‘specially designed’’ for ceramic 

microcircuit packages controlled by 3A001 

and that have a throughput equal to or more 

than one package per minute. 

Note: 3B991.b.3 does not control general 

purpose resistance type spot welders. 

b.4. Filters for clean rooms capable of 

providing an air environment of 10 or less 


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particles of 0.3 micrometer or smaller per 

0.02832 m3 and filter materials therefor. 

3B992 Equipment not controlled by 3B002, 

3B993, or 3B994, for the inspection or 

testing of electronic ‘‘components’’ and 

materials, (see List of Items Controlled) 

and ‘‘specially designed’’ ‘‘parts,’’ 

‘‘components’’ and ‘‘accessories’’ 

therefor. 

License Requirements 

Reason for Control: AT 

Control(s) 

Country chart 

(see Supp. No. 1 

to part 738) 

AT applies to entire 

entry.

AT Column 1. 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

LVS: N/A 

GBS: N/A 

List of Items Controlled 

Related Controls: See also 3A992.a. 

Related Definitions: N/A 

Items: 

a. Equipment ‘‘specially designed’’ for the 

inspection or testing of electron tubes, optical 

elements and ‘‘specially designed’’ ‘‘parts’’ 

and ‘‘components’’ therefor controlled by 

3A001 or 3A991; 

b. Equipment ‘‘specially designed’’ for the 

inspection or testing of semiconductor 

devices, integrated circuits and ‘‘electronic 

assemblies’’, as follows, and systems 

incorporating or having the characteristics of 

such equipment: 

Note: 3B992.b also controls equipment 

used or modified for use in the inspection or 

testing of other devices, such as imaging 

devices, electro-optical devices, acousticwave devices. 

b.1. ‘‘Stored program controlled’’ 

inspection equipment for the automatic 

detection of defects, errors or contaminants 

of 0.6 micrometer or less in or on processed 

wafers, ‘‘substrates’’, other than printed 

circuit boards or chips, using optical image 

acquisition techniques for pattern 

comparison; 

Note: 3B992.b.1 does not control general 

purpose scanning electron microscopes, 

except when ‘‘specially designed’’ and 

instrumented for automatic pattern 

inspection. 

b.2. ‘‘specially designed’’ ‘‘stored program 

controlled’’ measuring and analysis 

equipment, as follows: 

b.2.a. ‘‘specially designed’’ for the 

measurement of oxygen (O) or carbon (C) 

content in semiconductor materials; 

b.2.b. Equipment for line width 

measurement with a resolution of 1 

micrometer or finer; 

b.2.c. ‘‘specially designed’’ flatness 

measurement instruments capable of 

measuring deviations from flatness of 10 

micrometer or less with a resolution of 1 

micrometer or finer. 

b.3. ‘‘Stored program controlled’’ wafer 

probing equipment having any of the 

following characteristics: 

b.3.a. Positioning accuracy finer than 3.5 

micrometer; 

b.3.b. Capable of testing devices having 

more than 68 terminals; or 

b.3.c. Capable of testing at a frequency 

exceeding 1 GHz; 

b.4. Test equipment as follows: 

b.4.a. ‘‘Stored program controlled’’ 

equipment ‘‘specially designed’’ for testing 

discrete semiconductor devices and 

unencapsulated dice, capable of testing at 

frequencies exceeding 18 GHz; 

Technical Note: Discrete semiconductor 

devices include photocells and solar cells. 

b.4.b. ‘‘Stored program controlled’’ 

equipment ‘‘specially designed’’ for testing 

integrated circuits and ‘‘electronic 

assemblies’’ thereof, capable of functional 

testing: 

b.4.b.1. At a ‘pattern rate’ exceeding 20 

MHz; or 

b.4.b.2. At a ‘pattern rate’ exceeding 10 

MHz but not exceeding 20 MHz and capable 

of testing packages of more than 68 terminals. 

Note: 3B992.b.4.b does not control test 

equipment ‘‘specially designed’’ for testing: 

1. memories; 

2. ‘‘Assemblies’’ or a class of ‘‘electronic 

assemblies’’ for home and entertainment 

applications; and 

3. Electronic ‘‘parts,’’ ‘‘components,’’ 

‘‘assemblies’’ and integrated circuits not 

controlled by 3A001 or 3A991 provided such 

test equipment does not incorporate 

computing facilities with ‘‘user accessible 

programmability.’’ 

Technical Note: For purposes of 

3B992.b.4.b, ‘pattern rate’ is defined as the 

maximum frequency of digital operation of a 

tester. It is therefore equivalent to the highest 

data rate that a tester can provide in nonmultiplexed mode. It is also referred to as test 

speed, maximum digital frequency or 

maximum digital speed. 

b.4.c. Equipment ‘‘specially designed’’ for 

determining the performance of focal-plane 

arrays at wavelengths of more than 1,200 nm, 

using ‘‘stored program controlled’’ 

measurements or computer aided evaluation 

and having any of the following 

characteristics: 

b.4.c.1. Using scanning light spot diameters 

of less than 0.12 mm; 

b.4.c.2. Designed for measuring 

photosensitive performance parameters and 

for evaluating frequency response, 

modulation transfer function, uniformity of 

responsivity or noise; or 

b.4.c.3. Designed for evaluating arrays 

capable of creating images with more than 32 

× 32 line elements; 

b.5. Electron beam test systems designed 

for operation at 3 keV or below, or ‘‘laser’’ 

beam systems, for non-contactive probing of 

powered-up semiconductor devices having 

any of the following: 

b.5.a. Stroboscopic capability with either 

beam blanking or detector strobing; 

b.5.b. An electron spectrometer for voltage 

measurements with a resolution of less than 

0.5 V; or 

b.5.c. Electrical tests fixtures for 

performance analysis of integrated circuits; 

Note: 3B992.b.5 does not control scanning 

electron microscopes, except when ‘‘specially 

designed’’ and instrumented for noncontactive probing of a powered-up 

semiconductor device. 

b.6. ‘‘Stored program controlled’’ 

multifunctional focused ion beam systems 

‘‘specially designed’’ for manufacturing, 

repairing, physical layout analysis and 

testing of masks or semiconductor devices 

and having either of the following 

characteristics: 

b.6.a. Target-to-beam position feedback 

control precision of 1 micrometer or finer; or 

b.6.b. Digital-to-analog conversion 

accuracy exceeding 12 bit; 

b.7. Particle measuring systems employing 

‘‘lasers’’ designed for measuring particle size 

and concentration in air having both of the 

following characteristics: 

b.7.a. Capable of measuring particle sizes 

of 0.2 micrometer or less at a flow rate of 

0.02832 m3 per minute or more; and 

b.7.b. Capable of characterizing Class 10 

clean air or better. 

* * * * * 

3B993 Specified semiconductor 

manufacturing equipment as follows 

(see list of items controls). 

License Requirements 

Reason for Control: RS, AT 

Control(s) 

Country chart 

(see Supp. No. 1 

to part 738) 

RS applies to entire 

entry.

See § 742.6(a)(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 

List of Items Controlled 

Related Controls: (1) See ECCNs 3D993 and 

3E993 for associated ‘‘software’’ and 

‘‘technology’’ controls. (2) For additional 

controls that apply to this ECCN, see also 

§ 744.11(a)(2)(v) and § 744.23(a)(4) of the 

EAR. 

Related Definitions: N/A 

Items: 

a. [Reserved] 

b. Semiconductor wafer fabrication 

equipment for 300 mm wafers designed for 

ion implantation and having any of the 

following: 

b.1. Equipment designed for plasma 

doping, having all of the following: 

b.1.a. One or more Radio Frequency (RF) 

power source(s); 

b.1.b. One or more pulsed DC Power 

Source; and 

b.1.c. One or more n-type or p-type dopant 

implants. 

b.2 [Reserved] 

c. Etch equipment as follows: 

c.1. 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: 


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c.1.a. Radio Frequency (RF) power 

source(s) with at least one pulsed RF output; 

and 

c.1.b. One or more fast gas switching 

valve(s) with switching time less than 300 

milliseconds. 

Note: 3B993.c.1 includes etching by 

’radicals’, ions, sequential reactions, or nonsequential reaction. 

Technical Note: For the purposes of the 

Note to 3B993.c.1, ’radical’ is defined as an 

atom, molecule, or ion that has an unpaired 

electron in an open electron shell 

configuration. 

c.2. Equipment, not specified by 3B993.c.1, 

designed for anisotropic etching of dielectric 

material and enabling the fabrication of high 

aspect ratio features having all of the 

following: 

c.2.a. An aspect ratio greater than 30:1; and 

c.2.b. A lateral dimension on the top 

surface of less than 40 nm. 

Note: 3B993.c.2 does not apply to 

equipment designed for wafer diameters less 

than 300 mm. 

c.3. Equipment, not specified by 

3B001.c.1.c, designed or modified for 

anisotropic dry etching, having all of the 

following: 

c.3.a. Radio Frequency (RF) power 

source(s) with at least one pulsed RF output; 

c.3.b. One or more fast gas switching 

valve(s) with switching time less than 500 

milliseconds; and 

c.3.c. Electrostatic chuck with greater than 

or equal to 10 individually controllable 

variable temperature elements. 

d. Semiconductor manufacturing 

deposition equipment as follows: 

d.1. Equipment designed, not specified by 

3B001.d.14, 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.1.a. A dielectric constant (k) of less than 

5.3; 

d.1.b. In features with an aspect ratio 

greater than 5:1 with lateral openings of less 

than 70 nm; and 

d.1.c. A feature-to-feature pitch of less than 

100 nm. 

d.2. 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.2.a. Boat designed to hold multiple 

vertically stacked wafers; 

d.2.b. Two or more vertical injectors; and 

d.2.c. A silicon source and propene are 

introduced to a different injector than a 

nitrogen source or an oxygen source. 

d.3. Equipment designed for chemical 

vapor deposition of a carbon material layer 

with a density more than 1.6 g/cm3. 

d.4. Deposition equipment, not specified 

by 3B001.d.19, having direct-liquid injection 

of more than two metal precursors, designed 

or modified to deposit a conformal dielectric 

film with a dielectric constant (K) greater 

than 35 in features with aspect ratio greater 

than 50:1 in a single deposition chamber. 

e. [Reserved] 

f. Lithography equipment as follows: 

f.1. Align and expose step and repeat 

(direct step on wafer) or step and scan 

(scanner) lithography equipment for wafer 

processing using photo-optical or X-ray 

methods and having all of the following: 

f.1.a. [Reserved] 

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. A maximum ‘dedicated chuck 

overlay’ value greater than 1.50 nm and less 

than or equal to 2.40 nm. 

Technical Notes for paragraph 3B993.f.1: 

1. The ’Minimum Resolvable Feature size’ 

(‘MRF’) is calculated by the following 

formula: 

where, for the purposes of 3B993.f.1, 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 having 

an overlay accuracy above 1.5 nm and less 

(better) than or equal to 4.0 nm. 

f.3. Commodities designed or modified to 

increase the number of wafers processed per 

hour, averaged over any time interval, by 

greater than 1%, of equipment specified in 

3B001.f.1 or 3B993.f.1. 

g. through n. [Reserved] 

o. Annealing equipment designed for 300 

mm wafers as follows: 

o.1 Annealing equipment, operating in a 

vacuum (equal to or less than 0.01 Pa) 

environment, performing any of the 

following: 

o.1.a. Reflow of copper (Cu) to minimize or 

eliminate voids or seams in copper (Cu) 

metal interconnects; or 

o.1.b. Reflow of cobalt (Co) or tungsten (W) 

fill metal to minimize or eliminate voids or 

seams; 

o.2. Equipment designed to heat a 

semiconductor wafer to a temperature greater 

than 1000 °C (1832 °F) for a ‘duration’ less 

than 2 ms. 

Technical Note: For the purposes of 

3B993.o.2, ‘duration’ is the period above 

stated temperature. 

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. [Reserved] 

p.3. Equipment designed for dry surface 

oxide removal preclean or dry surface 

decontamination. 

Note to 3B993.p.1 and p.3: These controls 

do not apply to deposition equipment. 

q. Inspection and metrology equipment as 

follows: 

q.1. Patterned wafer defect metrology or 

patterned wafer defect inspection equipment, 

designed or modified to accept wafers greater 

than or equal to 300 mm in diameter, and 

having all of the following: 

q.1.a. Designed or modified to detect 

defects having a size equal to or less than 21 

nm; and 

q.1.b. Having any of the following: 

q.1.b.1. A light source with an optical 

wavelength less than 400 nm; 

q.1.b.2. An electron-beam source with a 

resolution less (better) than or equal to 1.65 

nm; 

q.1.b.3. A Cold Field Emission (CFE) 

electron-beam source; or 

q.1.b.4. Two or more electron-beam 

sources. 

q.2. Metrology equipment as follows: 

q.2.a. Stand-alone equipment designed to 

measure wafer shape parameters prior to 

lithography exposure and utilize 

measurements to improve overlay or focus of 

a deep ultraviolet (DUV) lithography system 

having an immersion lens having a numerical 

aperture more than 1.3 or an Extreme 

Ultraviolet lithography (EUV) system; or 

q.2.b. Metrology equipment designed to 

measure focus or overlay after resist 

development or after etch on product wafers 

using image-based overlay or diffractionbased measurements techniques, with an 

overlay measurement accuracy less (better) 

than or equal to 0.5 nm having any of the 

following: 


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q.2.b.1 designed for integration to a ‘track’; 

or 

q.2.b.2 ‘fast wavelength switching 

functionality’; 

Technical Notes: 

1. For the purposes of 3B993.q.2, a ‘track’ 

is equipment designed for coating and 

developing photoresist formulated for 

lithography. 

2. For the purposes of 3B993.q.2, ‘fast 

wavelength switching functionality’ is 

defined as having the ability the change the 

measurement wavelength and acquire a 

measurement in less than 25 ms. 

* * * * * 

3B994 Semiconductor manufacturing 

equipment that enables ‘‘advanced-node 

integrated circuit’’ production, as 

follows (see list of items controls). 

License Requirements 

Reason for Control: RS, AT 

Control(s) 

Country chart 

(see Supp. No. 1 

to part 738) 

RS applies to entire 

entry.

See § 742.6(a)(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 

Special Conditions for STA 

STA: License Exception STA may not be 

used to ship or transmit commodities 

specified 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: (1) See ECCNs 3D994 and 

3E994 for associated software and 

technology controls. (2) For additional 

controls that apply to this ECCN, see also 

§ 744.11(a)(2)(v) and § 744.23(a)(4) of the 

EAR. 

Related Definitions: N/A 

Items: 

Note for 3B994: Equipment specified in 

this ECCN 3B994 are limited to equipment 

designed for volume production, such as 

equipment designed to accept a SEMI 

standard wafer carrier such as a 200 mm or 

larger Front Opening Unified Pod or be 

connected to a multi-chamber wafer handling 

system. 

a. [Reserved] 

b. Semiconductor wafer fabrication 

equipment designed for ion implantation of 

300mm wafers as follows: 

b.1. [Reserved] 

b.2. Ion implantation equipment as 

follows: 

b.2.a. Having all of the following: 

b.2.a.1. Beam current greater than 1uA and 

less than 5mA; and 

b.2.a.2. Beam energy greater than 5 keV 

and less than 300 keV; or 

b.2.b. Having all of the following: 

b.2.b.1. Beam current greater than 5 mA; 

and 

b.2.b.2. Beam energy less than 5 keV; or 

b.2.c. Having angular accuracy equal to or 

less (better) than 0.1 degrees. 

c. through p. [Reserved] 

q. Inspection and metrology equipment as 

follows: 

q.1. and q.2. [Reserved] 

q.3. Optical thin film metrology equipment 

or optical critical dimension metrology 

equipment designed for 300mm wafers and 

containing software designed for measuring 

non-planar transistors. 

* * * * * 

3D001 ‘‘Software’’ ‘‘specially designed’’ for 

the ‘‘development’’ or ‘‘production’’ of 

commodities controlled by 3A001.b to 

3A002.h, 3A090, or 3B (except 

3B001.a.4, c, d, f.1, f.5, k to n, p.2, p.4, 

r, 3B002.c, 3B903, 3B904, 3B991, 3B992, 

3B993, or 3B994). 

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.q.

Worldwide control. 

See § 742.4(a)(5) and 

(b)(10) of the EAR. 

RS applies to ‘‘software’’ for equipment controlled by 

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 as 

specified in the 

heading).

NS Column 1. 

RS applies to ‘‘software’’ for commodities controlled by 

3A001.z and 

3A090 (except for 

3A090.c).

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 ‘‘software’’ for commodities controlled by 

3A090.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)(i) 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, 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. 

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.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.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, or 3A002.g.1 

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. 

3D002 ‘‘Software’’ ‘‘specially designed’’ for 

the ‘‘use’’ of equipment controlled by 

3B001.a to .f, 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.

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. 

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. 


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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. 

* * * * * 

3D992 ‘‘Software’’ for the ‘‘development’’ 

or ‘‘production’’ of commodities 

specified in 3B001.a.4, c, d, f.1, f.5, k to 

n, p.2, p.4, r, or 3B002.c and ‘‘software’’ 

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 the entire entry.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 the entire entry.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)(i) of 

the EAR. 

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. 

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, 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’’ 

specified 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 additional controls that 

apply to this ECCN, see also 

§ 744.11(a)(2)(v) and (a)(3) and 

§ 744.23(a)(4)(iii) of the EAR. 

Related Definitions: N/A 

Items: 

a. ‘‘Software’’ for the ‘‘development’’ or 

‘‘production,’’ of commodities specified in 

3B001.a.4, c, d, f.1, f.5, k to n, p.2, p.4, r, or 

3B002.c; and 

b. ‘Electronic Computer-Aided Design’ 

(‘ECAD’) ‘‘software’’ designed for the 

integration of multiple dies into a ‘multichip’ integrated circuit, and having all of the 

following: 

b.1. Floor planning; and 

b.2. Co-design or co-simulation of die and 

package. 

Technical Note: For the purposes of 

3D992.b, ‘multi-chip’ includes multi-die and 

multi-chiplet. 

3D993 ‘‘Software’’ for the ‘‘development’’ 

or ‘‘production’’ of commodities 

specified in 3B993 and ‘‘software’’ as 

follows (see List of Items Controlled). 

License Requirements 

Reason for Control: RS, AT 

Control(s) 

Country chart 

(see Supp. No. 1 

to part 738) 

RS applies to entire 

entry.

See § 742.6(a)(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 

Special Conditions for STA 

STA: License Exception STA may not be 

used to ship or transmit ‘‘software’’ 

specified 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 additional controls that 

apply to this ECCN, see also 

§ 744.11(a)(2)(v) and (a)(3) and 

§ 744.23(a)(4)(iii) of the EAR. 

Related Definitions: N/A 

Items: 

a. ‘‘Software’’ for the ‘‘development’’ or 

‘‘production’’ of commodities specified in 

3B993. 

b. ‘Electronic Computer-Aided Design’ 

(‘ECAD’) ‘‘software’’ designed or modified for 

the ‘‘development’’ or ‘‘production’’ of 

integrated circuits using multipatterning. 

c. ‘Computational lithography’ ‘‘software’’ 

designed or modified for the ‘‘development’’ 

or ‘‘production’’ of patterns on DUV 

lithography masks or reticles. 

d. ‘‘Software’’ designed or modified to 

increase the number of wafers processed per 

hour, averaged over any time interval, by 

greater than 1%, of equipment specified in 

3B001.f.1 or 3B993.f.1. 

Technical Note: For the purposes of 3D993, 

‘computational lithography’ is the use of 

computer modelling to predict, correct, 

optimize and verify imaging performance of 

the lithography process over a range of 

patterns, processes, and system conditions. 

* * * * * 

3D994 ‘‘Software’’ for the ‘‘development’’ 

or ‘‘production’’ of commodities 

specified in 3B994 and ‘‘software’’ as 

follows (see List of Items Controlled). 

License Requirements 

Reason for Control: RS, AT 

Control(s) 

Country chart 

(see Supp. No. 1 

to part 738) 

RS applies to entire 

entry.

See § 742.6(a)(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 

Special Conditions for STA 

STA: License Exception STA may not be 

used to ship or transmit ‘‘software’’ 

specified 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 additional controls that 

apply to this ECCN, see also 

§ 744.11(a)(2)(v) and (a)(3) and 

§ 744.23(a)(4)(iii) of the EAR. 

Related Definitions: N/A 

Items: The list of items controlled is 

contained in the ECCN heading. 

* * * * * 

3E001 ‘‘Technology’’ according to the 

General Technology Note for the 

‘‘development’’ or ‘‘production’’ of 

commodities controlled by 3A (except 

3A901, 3A904, 3A980, 3A981, 3A991, 

3A992, or 3A999), 3B (except 3B001.a.4, 

c, d, f.1, f.5, k to n, p.2, p.4, r, 3B002.c, 

3B903, 3B904, 3B991, 3B992, 3B993, or 

3B994) 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 as noted in 

the heading), 

3B002 (except 

3B002.c), or 3C001 

to 3C006.

NS Column 1. 

MT applies to ‘‘technology’’ for commodities controlled 

by 3A001 or 3A101 

for MT Reasons.

MT Column 1. 


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Federal Register / Vol. 89, No. 234 / Thursday, December 5, 2024 / Rules and Regulations 96829 

Control(s) 

Country chart 

(see Supp. No. 1 

to part 738) 

NP applies to ‘‘technology’’ for commodities controlled 

by 3A001, 3A201, 

or 3A225 to 3A234 

for NP reasons.

NP Column 1. 

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 

(except for 

3A090.c).

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 3A090.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)(i)(B) 

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, coverglassinterconnect-cells or covered-interconnectcells (CIC) ‘‘assemblies,’’ solar arrays and/ 

or solar panels described in 3A001.e.4; (c) 

‘‘Monolithic Microwave Integrated Circuit’’ 

(‘‘MMIC’’) amplifiers in 3A001.b.2; (d) 

discrete microwave transistors in 

3A001.b.3; and (e) commodities described 

in 3A090. 

Note: See § 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.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, 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 ECCNs 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 

mm; and 

(b) Incorporating multi-layer structures 

with three or fewer metal layers. 

* * * * * 

3E992 ‘‘Technology’’ for the ‘‘production’’ 

or ‘‘development’’ of commodities 

specified in 3B001.a.4, c, d, f.1, f.5, k to 

n, p.2, p.4, r; and 3B002.c. 

License Requirements 

Reason for Control: NS, RS, AT 

Control(s) 

Country chart 

(see Supp. No. 1 

to part 738) 

NS applies to the entire entry.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 the entire entry.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)(i) of 

the EAR. 

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. 

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, for ‘‘technology’’ 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 ‘‘technology’’ 

specified 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. 

3E993 ‘‘Technology’’ for the 

‘‘development’’ or ‘‘production’’ of 

commodities specified in 3B993 as 

follows. 

License Requirements 

Reason for Control: RS, AT 

Control(s) 

Country chart 

(see Supp. No. 1 

to part 738) 

RS applies to entire 

entry.

See § 742.6(a)(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 


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96830 Federal Register / Vol. 89, No. 234 / Thursday, December 5, 2024 / Rules and Regulations 

Special Conditions for STA 

STA: License Exception STA may not be 

used to ship or transmit ‘‘technology’’ 

specified 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 additional controls that 

apply to this ECCN, see also 

§ 744.11(a)(2)(v) and (a)(3) and 

§ 744.23(a)(4)(iii) of the EAR. 

Related Definitions: N/A 

Items: 

a. ‘‘Technology’’ for the ‘‘development’’ or 

‘‘production’’ of commodities specified by 

3B993. 

b. ‘‘Technology’’ designed or modified to 

increase the number of wafers processed per 

hour, averaged over any time interval, by 

greater than 1%, of equipment specified in 

3B001.f.1 or 3B993.f.1. 

* * * * * 

3E994 ‘‘Technology’’ for the 

‘‘development’’ or ‘‘production’’ of 

commodities specified in 3B994 and 

‘‘technology’’ as follows (see List of 

Items Controlled). 

License Requirements 

Reason for Control: RS, AT 

Control(s) 

Country chart 

(see Supp. No. 1 

to part 738) 

RS applies to entire 

entry.

See § 742.6(a)(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 

Special Conditions for STA 

STA: License Exception STA may not be 

used to ship or transmit ‘‘technology’’ 

specified 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 additional controls that 

apply to this ECCN, see also 

§ 744.11(a)(2)(v) and (a)(3) and 

§ 744.23(a)(4)(iii) of the EAR. 

Related Definitions: N/A 

Items: The list of items controlled is 

contained in the ECCN heading. 

* * * * * 

Matthew S. Borman, 

Principal Deputy Assistant Secretary for 

Strategic Trade and Technology Security. 

[FR Doc. 2024–28270 Filed 12–2–24; 8:45 am] 

BILLING CODE 3510–33–P 

DEPARTMENT OF COMMERCE 

Bureau of Industry and Security 

15 CFR Parts 744 and 748 

[Docket No. 241126–0303] 

RIN 0694–AJ77 

Additions and Modifications to the 

Entity List; Removals From the 

Validated End-User (VEU) Program 

AGENCY: Bureau of Industry and 

Security, Commerce. 

ACTION: Final rule. 

SUMMARY: In this final rule, the Bureau 

of Industry and Security (BIS) amends 

the Export Administration Regulations 

(EAR) by adding 140 entities to the 

Entity List. These entries are listed on 

the Entity List under the destinations of 

China, People’s Republic of (China), 

Japan, South Korea, and Singapore and 

have been determined by the U.S. 

Government to be acting contrary to the 

national security and foreign policy 

interests of the United States. This final 

rule also modifies 14 existing entries on 

the Entity List, consisting of revisions to 

14 entries under China. This final rule 

publishes concurrently with BIS’s 

interim final rule, ‘‘Foreign-Produced 

Direct Product Rule Additions, and 

Refinements to Controls for Advanced 

Computing and Semiconductor 

Manufacturing Items’’ (0694–AJ74), 

which makes additional changes to the 

EAR controls on advanced computing 

items and semiconductor manufacturing 

items. This final rule is part of this 

larger effort to ensure that appropriate 

EAR controls are in place on these 

items, including in connection with 

transactions destined to or otherwise 

involving the entities being added to the 

Entity List, as well as for existing entries 

on the Entity List that are being 

modified. All of these entities (those 

newly added and those being modified) 

are involved with the development and 

production of ‘‘advanced-node 

integrated circuits’’ (‘‘advanced-node 

ICs’’) and/or semiconductor 

manufacturing items, and/or have 

supported the Chinese government’s 

Military-Civil Fusion (MCF) 

Development Strategy. Additionally, 

this final rule designates nine of these 

entities being added and seven of the 

entries being modified as entities for 

which entity-specific restrictions 

involving foreign-produced items apply. 

This final rule also amends the EAR by 

removing three entities from the 

Validated End-User (VEU) Program. 

DATES: 

Effective date: This rule is effective 

December 2, 2024. 

Compliance date: The changes being 

made in this final rule that pertain to 

Entity List license requirements and 

other Entity List-related requirements 

linked to Footnote 5 designations have 

a compliance date of December 31, 

2024. 

FOR FURTHER INFORMATION CONTACT: For 

questions on the Entity List and VEU 

Program changes in this final rule, 

contact Chair, End-User Review 

Committee, Office of the Assistant 

Secretary for Export Administration, 

Bureau of Industry and Security, 

Department of Commerce, Phone: (202) 

482–5991, Email: ERC@bis.doc.gov. 

SUPPLEMENTARY INFORMATION: 

I. Background 

A. Entity List and End-User Review 

Committee (ERC) 

The Entity List (supplement no. 4 to 

part 744 of the EAR (15 CFR parts 730 

through 774)) identifies entities for 

which there is reasonable cause to 

believe, based on specific and 

articulable facts, that the entities have 

been involved, are involved, or pose a 

significant risk of being or becoming 

involved in activities contrary to the 

national security or foreign policy 

interests of the United States, pursuant 

to § 744.11(b). The EAR imposes 

additional license requirements on, and 

limit the availability of, most license 

exceptions for exports, reexports, and 

transfers (in-country) when an entity 

listed on the Entity List is a party to the 

transaction. The license review policy 

for each listed entity is identified in the 

‘‘License Review Policy’’ column on the 

Entity List, and the impact on the 

availability of license exceptions is 

described in the relevant Federal 

Register document that added the entity 

to the Entity List. BIS places entities on 

the Entity List pursuant to parts 744 

(Control Policy: End-User and End-Use 

Based) and 746 (Embargoes and Other 

Special Controls) of the EAR. 

The ERC, composed of representatives 

of the Departments of Commerce 

(Chair), State, Defense, Energy and, 

where appropriate, the Treasury, makes 

all decisions regarding additions to, 

removals from, or other modifications to 

the Entity List. The ERC makes all 

decisions to add an entry to the Entity 

List by majority vote and makes all 

decisions to remove or modify an entry 

by unanimous vote. 


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