4544 Federal Register / Vol. 90, No. 9 / Wednesday, January 15, 2025 / Rules and Regulations 

DEPARTMENT OF COMMERCE 

Bureau of Industry and Security 

15 CFR Parts 732, 734, 740, 742, 744, 

748, 750, 762, 772, and 774 

[Docket No. 250107–0007] 

RIN 0694–AJ90 

Framework for Artificial Intelligence 

Diffusion 

AGENCY: Bureau of Industry and 

Security, Department of Commerce. 

ACTION: Interim final rule; request for 

comments. 

SUMMARY: With this interim final rule, 

the Commerce Department’s Bureau of 

Industry and Security (BIS) revises the 

Export Administration Regulations’ 

(EAR) controls on advanced computing 

integrated circuits (ICs) and adds a new 

control on artificial intelligence (AI) 

model weights for certain advanced 

closed-weight dual-use AI models. In 

conjunction with the expansion of these 

controls, which BIS has determined are 

necessary to protect U.S. national 

security and foreign policy interests, BIS 

is adding new license exceptions and 

updating the Data Center Validated End 

User authorization to facilitate the 

export, reexport, and transfer (incountry) of advanced computing (ICs) to 

end users in destinations that do not 

raise national security or foreign policy 

concerns. Together, these changes will 

cultivate secure ecosystems for the 

responsible diffusion and use of AI and 

advanced computing ICs. 

DATES: 

Effective date: This rule is effective 

January 13. 2025. 

Compliance date: As explained in the 

SUPPLEMENTARY INFORMATION section, 

exporters, reexporters, and transferors 

are not required to comply with the 

changes made in this rule until May 15, 

2025, except that paragraphs 14, 15, and 

18 of supplement no. 10 to part 748 

have a delayed compliance date of 

January 15, 2026. 

Comment due date: Comments on 

revisions and additions in this rule are 

strongly encouraged and must be 

received by BIS no later than May 15, 

2025. 

Saving clause: 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 May 15, 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 June 16, 2025. 

ADDRESSES: Comments on this rule may 

be submitted to the Federal rulemaking 

portal (www.regulations.gov). The 

regulations.gov ID for this rule is: BIS– 

2025–0001. Please refer to RIN 0694– 

AJ90 in all comments. 

All filers using the portal should use 

the name of the person or entity 

submitting the comments as the name of 

their files, in accordance with the 

instructions below. Anyone submitting 

business confidential information 

should clearly identify the business 

confidential portion at the time of 

submission, file a statement justifying 

nondisclosure and referring to the 

specific legal authority claimed, and 

provide a non-confidential version of 

the submission. 

For comments submitted 

electronically containing business 

confidential information, the file name 

of the business confidential version 

should begin with the characters ‘‘BC.’’ 

Any page containing business 

confidential information must be clearly 

marked ‘‘BUSINESS CONFIDENTIAL’’ 

on the top of that page. The 

corresponding non-confidential version 

of those comments must be clearly 

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

non-confidential version should begin 

with the character ‘‘P.’’ Any 

submissions with file names that do not 

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

be assumed to be public and will be 

made publicly available through https:// 

www.regulations.gov. Commenters 

submitting business confidential 

information are encouraged to scan a 

hard copy of the non-confidential 

version to create an image of the file, 

rather than submitting a digital copy 

with redactions applied, to avoid 

inadvertent redaction errors which 

could enable the public to read business 

confidential information. 

FOR FURTHER INFORMATION CONTACT: 

For general questions contact: Hillary 

Hess at 202–482–2440 or RPD2@

bis.doc.gov. 

For technical questions contact: 

Category 2: Sean Ghannadian at 202– 

482–3429 or Sean.Ghannadian@

bis.doc.gov. 

Category 3: Carlos Monroy at 202– 

482–3246 or Carlos.Monroy@

bis.doc.gov. 

Category 4: Aaron Amundson at 202– 

482–0707 or Aaron.Amundson@

bis.doc.gov]. 

SUPPLEMENTARY INFORMATION: 

I. Background 

BIS is amending the EAR to enhance 

and refine its framework for applying 

export controls to regulate the global 

diffusion of the most advanced artificial 

intelligence (AI) models and large 

clusters of advanced computing 

integrated circuits (ICs) to protect U.S. 

national security and foreign policy 

interests. Specifically, BIS is expanding 

existing controls on advanced 

computing ICs controlled under ECCNs 

3A090.a and 4A090.a and the 

corresponding .z items and imposing 

new controls on the model weights of 

certain advanced closed-weight dualuse AI models controlled under newly 

created ECCN 4E091. Background on 

these changes, which follow extensive 

U.S. government consideration of the 

impact of advanced dual-use AI models 

on U.S. national security and foreign 

policy interests, is detailed below. 

The Export Control Reform Act of 

2018 (ECRA), 15 U.S.C. 4801, et seq., 

emphasizes that national security 

‘‘requires that the United States 

maintain its leadership in the science, 

technology, engineering, and 

manufacturing sectors, including 

foundational technology that is essential 

to innovation.’’ ECRA also commands 

that BIS’s rules be ‘‘transparent, 

predictable, and timely,’’ and have ‘‘the 

flexibility to be adapted’’ in light of 

evolving circumstances. Given that this 

rule imposes new global requirements 

on a rapidly developing industry that is 

central to innovation, BIS has 

determined that it can best further the 

United States’s technological 

leadership, and provide transparency 

and predictability to affected 

stakeholders, by delaying the 

compliance date of this rule, as outlined 

in the DATES section. Such delay will 

allow stakeholders time to familiarize 

themselves with the rule, and to provide 

comment on it, before compliance is 

required. 

a. Risks and Benefits of Advanced AI 

Models 

Over the past decade, AI models have 

shown striking performance 

improvements across many domains, 

including reasoning, coding, and image 

and voice recognition and creation. 

These performance improvements create 

numerous direct applications, such as 

text generation and computer codeassistance, and can increasingly support 

AI agents that are able to interact with 

digital and physical systems, increasing 

the ability of laypeople to, for example, 

write code or use scientific tools that 

previously required specialized skills. 


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Performance improvements may 

continue as AI developers increase the 

scale and efficiency of their models. 

Experts from across the U.S. 

government have determined that as the 

capabilities of these models continue to 

improve, they will enable malicious 

actors to engage in activities that pose 

profound risks to U.S. national security 

and foreign policy objectives. As the 

Office of the Director of National 

Intelligence has assessed, AI models 

have the potential to enable advanced 

military and intelligence applications; 

lower the barriers to entry for nonexperts to develop weapons of mass 

destruction (WMD); support powerful 

offensive cyber operations; and assist in 

human rights violations, such as 

through mass surveillance. See Feb 5, 

2024, Office of the Director of National 

Intelligence, Annual Threat Assessment 

of the U.S. Intelligence Community. For 

example, a dual-use AI model trained 

on data describing the functions and 

mechanics of chemical compounds or 

biological sequences could lower 

barriers to the development of chemical 

or biological weapons by providing 

protocols and troubleshooting 

information that would enable nonexperts to design and produce such 

weapons at low cost. Similarly, the 

Department of Homeland Security has 

determined that advancements in AI 

may lower the barriers to entry for WMD 

development for both state and nonstate actors and thus enhance malicious 

actors’ ability to conduct attacks that 

threaten U.S. national security. See 

April 26, 2024, Department of 

Homeland Security Report on Reducing 

the Risks at the Intersection of Artificial 

Intelligence and Chemical, Biological, 

Radiological, and Nuclear Threats. 

At the same time, experts from across 

the U.S. government have determined 

that, in the hands of validated entities 

operating under secure conditions, dualuse AI models have the potential to 

create significant economic and social 

benefits in the United States and across 

the globe. As BIS explained in a 

previous rule, dual-use AI models hold 

the potential to increase access to 

healthcare, education, and food and 

assist with combatting complex 

problems such as climate change. See 

Expansion of Validated End User 

Authorization: Data Center Validated 

End User Authorization, 89 FR 80,080 

(Oct. 2, 2024). For example, under the 

right conditions, advanced AI models 

could be an enabler toward achieving 

Sustainable Development Goals, such as 

by boosting productivity in the 

pharmaceutical industry, strengthening 

climate resilience by improving climate 

modelling, and helping expand access 

to education by providing personalized 

tutors in a wide range of subjects. The 

United States is committed to the full 

implementation of the 2030 Agenda for 

Sustainable Development and 

Sustainable Development Goals. 

In other words, advanced AI models 

both pose unique threats to U.S. 

national security and foreign policy and 

have the potential to unlock unique 

economic and social benefits. As 

President Biden explained in remarks 

made to the United Nations General 

Assembly on September 24, 2024, AI 

will transform ‘‘our ways of life, our 

ways of work, and our ways of war.’’ As 

well as profound benefits, President 

Biden noted, AI brings ‘‘profound 

risks,’’ from ‘‘disinformation to novel 

pathogens to bioweapons.’’ President 

Biden’s National Security Memorandum 

on Advancing the United States’ 

Leadership in Artificial Intelligence; 

Harnessing Artificial Intelligence to 

Fulfill National Security Objectives; and 

Fostering the Safety, Security, and 

Trustworthiness of Artificial 

Intelligence, issued on October 24, 2024, 

similarly explained the promise and 

perils of AI. ‘‘AI,’’ it stated, ‘‘if used 

appropriately and for its intended 

purpose, can offer great benefits. If 

misused, AI could threaten United 

States national security, bolster 

authoritarianism worldwide, undermine 

democratic institutions and processes, 

facilitate human rights abuses, and 

weaken the rules-based international 

order.’’ Importantly, such ‘‘harmful 

outcomes could occur even without 

malicious intent if AI systems and 

processes lack sufficient protections.’’ 

b. AI Diffusion Policy Review 

Recognizing both the benefits and the 

risks of advanced AI models, the 

Department of Commerce (Commerce) 

has engaged in an extensive and 

ongoing policy process with partners 

across the U.S. Government to consider 

strategic, tailored, and effective controls 

on the diffusion of advanced AI 

technology to entities and destinations 

around the world. In October 2022, BIS 

imposed a first set of controls to certain 

destinations with the aim of preventing 

certain foreign military and intelligence 

services from obtaining the ability to 

indigenously develop advanced 

weapons modeling and advanced AI 

capabilities, by imposing restrictions on 

their access to advanced computing ICs 

and certain semiconductor 

manufacturing equipment (SME) used to 

manufacture advanced computing ICs 

and other advanced-node ICs. BIS 

determined that those foreign military 

and intelligence services would use 

advanced AI to improve the speed and 

accuracy of their military decision 

making, planning, and logistics, as well 

as their autonomous military systems, 

such as those used for cognitive 

electronic warfare, radar, signals 

intelligence, and jamming. See 

Implementation of Additional Export 

Controls: Certain Advanced Computing 

and Semiconductor Manufacturing 

Items; Supercomputer and 

Semiconductor End Use; Entity List 

Modification, 87 FR 62,186 (Oct. 13, 

2022). BIS also determined that those 

military and intelligence services would 

use advanced AI surveillance tools, 

enabled by efficient processing of huge 

amounts of data, to monitor, track, and 

surveil citizens, among other purposes, 

without regard for human rights. See id. 

Accordingly, BIS controlled both the 

advanced computing ICs and the SME 

used to manufacture the controlled ICs. 

Since then, BIS has continuously 

evaluated and updated BIS’s controls to 

ensure that they remain as targeted and 

effective as possible to protect U.S. 

national security and foreign policy In 

2023, BIS updated the technological 

parameters on its advanced computing 

controls and broadened the scope of 

destinations to which those controls 

apply to cover countries of concern not 

captured by the 2022 controls. BIS also 

imposed worldwide license 

requirements for advanced computing 

ICs and certain semiconductor end-uses 

when conducted on behalf of entities 

headquartered in Country Group D:5 or 

Macau. In 2024, BIS made clarifications 

to the scope of the AI and SME controls 

and, recognizing the importance of 

facilitating the responsible diffusion of 

advanced AI technology, expanded 

Authorization Validated End User 

(VEU) to enable data centers to receive 

VEU authorizations, which allow 

entities in locations subject to license 

requirements to receive controlled items 

through a streamlined process subject to 

security conditions. BIS’s work in this 

area is consistent with U.S. foreign 

policy to support global development. 

Over the past year, BIS has engaged 

with national security and foreign 

policy experts from across the U.S. 

Government—including interagency 

export control partners in the 

Departments of Defense, Energy, and 

State, as well as the Intelligence 

Community—to study whether and how 

additional controls on advanced AI 

technologies would advance U.S. 

national security and foreign policy. As 

explained below, they began by 

studying the risks and benefits that 

would arise if the most advanced AI 

models or the items necessary for 

developing them were allowed to 

diffuse through destinations across the 


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world. Simultaneously, they engaged 

with technical experts to understand the 

most effective means for controlling the 

diffusion of those items to address the 

risks. This rule details a multi-part 

control structure aiming to both reduce 

the risk that countries of concern 

(Country Group D:5 and Macau) obtain 

the most advanced AI models and 

enable validated entities to access the 

benefits of those models, while 

protecting national security. 

i. Impact of AI Diffusion on National 

Security and Foreign Policy 

The proliferation of advanced AI 

models throughout the world will affect 

U.S. national security and foreign policy 

interests in three fundamental ways. 

First, exporting advanced AI models, 

or the means to produce them, to any 

destination outside the United States 

increases the risk of theft or diversion to 

countries and end users of concern. 

Although the degree of risk varies 

between different destinations and end 

users, there is risk even when the end 

user is a validated entity and the 

destination is a U.S. ally with a robust 

export control system. These risks may 

be most acute at the constantly 

advancing frontier of AI development— 

the largest and most advanced models 

available at any given time. 

Second, it will be impossible to 

realize the full economic and social 

benefits of advanced AI models unless 

validated entities outside the United 

States are able to obtain large quantities 

of advanced computing ICs or advanced 

AI models themselves. Such entities 

may be able to discover beneficial 

applications that U.S. firms alone will 

not, and they may increase the 

likelihood that the benefits of advanced 

AI models reach people across the 

world. The Export Control Reform Act 

of 2018 (ECRA) states that export 

controls should be ‘‘tailored to focus on 

those core technologies . . . capable of 

being used to pose a serious national 

security threat to the United States,’’ so 

BIS considered the need to 

appropriately tailor potential controls to 

address national security concerns 

without unduly burdening the economic 

and social benefits of access by foreign 

entities to advanced AI models and 

advanced computing ICs. 50 U.S.C. 

4811(2)(G) and (5). In cases in which 

such entities are located in destinations 

that present a risk of diversion or 

misuse, BIS and its interagency export 

control partners can account for that 

risk with appropriate mitigation 

measures. 

Third, U.S. national security requires 

that the United States maintain 

technological leadership in the global AI 

industry. Specifically, ECRA notes that 

maintaining technological leadership is 

a core national security interest and that 

the impact of export controls on 

technology leadership must be 

continuously evaluated (50 U.S.C. 

4811(3)). BIS has determined that to 

maintain U.S. leadership in the field of 

AI, U.S. developers of advanced AI 

models may need to build large clusters 

of advanced computing ICs outside the 

United States. They may also need to 

store their models at facilities abroad to 

ensure that they can provide high 

quality services to validated foreign 

customers. 

Therefore, BIS determined that U.S. 

national security and foreign policy 

require the regulation of the global 

diffusion of advanced AI models. 

However, such controls must be tailored 

to enable economically and socially 

beneficial uses of advanced AI models 

and to maintain U.S. technological 

leadership as described above. 

ii. Means for Responsibly Controlling AI 

Diffusion 

AI models are software programs that 

comprise a series of mathematical 

operations. When a user enters data into 

the program, the program executes those 

operations on the input data to produce 

outputs—information, analysis, or 

media. The design of these operations 

and their arrangement (known as the 

model’s architecture) determines the 

nature and quality of the model’s 

outputs. 

The first step in developing an AI 

model is to design the model’s 

architecture and write it into computer 

code. However, the initial structure does 

not transform inputs into meaningful 

outputs. This means that before the 

model has been exposed to a high 

volume of real-world data, its outputs 

will be largely meaningless. 

The next step is to ‘‘train’’ the model. 

Training involves feeding large 

quantities of data into the model while 

using optimization algorithms to 

evaluate the quality of the program’s 

outputs and improve its performance. 

These algorithms systematically adjust 

numerical parameters called ‘‘model 

weights’’ that weight the results of 

certain operations more or less heavily 

than others. As the training progresses, 

these weights are gradually optimized to 

allow the model to produce higher 

quality outputs for its intended tasks. 

The weights that result from the training 

process are valuable intellectual 

property, because basic model 

architectures and supporting code are 

often either publicly documented or 

subject to reverse engineering through a 

process that may be significantly easier 

than training a new set of model 

weights. 

Training today’s most advanced AI 

models, including Large Language 

Models (LLMs), requires large clusters 

of advanced computing ICs capable of 

handling large quantities of data and 

models containing large numbers of 

parameters. Progress in AI models has 

resulted partly from dramatic increases 

in the computing power and training 

data used to develop the largest AI 

models. Leading AI developers have 

increased the computing power and 

data used to produce their largest 

models by many orders of magnitude 

over the last decade and continue to 

increase their scale by several multiples 

each year. By the end of this decade, 

leading AI developers plan to construct 

clusters of advanced ICs many times 

larger than those that exist today to train 

AI models using many times more 

computational operations than the 

largest AI models yet released. 

The structure of AI models and these 

industry trends suggest that export 

controls can effectively regulate the 

global diffusion of advanced AI models 

through: (1) an expansion of existing 

controls on the export, reexport, and 

transfer (in-country) of advanced 

computing ICs that are necessary to 

construct large clusters for training 

advanced AI models; and (2) new 

controls on the export, reexport, and 

transfer (in-country) of the model 

weights of the most advanced AI 

models. 

iii. Framework for the Diffusion of 

Advanced AI Technologies 

This rule details a tailored strategic 

approach to controlling the proliferation 

of advanced AI models. At a high level, 

this strategy aims to ensure that the 

model weights of the most advanced 

U.S. AI models are stored outside the 

United States only under stringent 

security conditions and the large 

clusters of advanced ICs necessary to 

train those models are built in 

destinations that pose comparatively 

low risks of diversion or misuse. 

This rule requires a license to export, 

reexport, or transfer (in-country) 

advanced computing ICs or the model 

weights of the most advanced AI models 

to any end user in any destination. The 

U.S. Government will review 

applications for such exports, reexports, 

and transfers (in-country) based on the 

sensitivity of the destination, the 

quantity of compute power or 

performance of the AI model, and the 

security requirements agreed to by the 

recipient. This global licensing 

requirement is crucial to ensuring that 

these items are not diverted to 


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destinations or end users of concern. 

Credible open-source reporting has 

identified People’s Republic of China 

(PRC) companies that have used foreign 

subsidiaries in a range of uncontrolled 

destinations to buy ICs subject to EAR 

controls. The risk is even greater with 

AI model weights, which, once 

exfiltrated by malicious actors, can be 

copied and sent anywhere in the world 

instantaneously. Accordingly, U.S. 

national security and foreign policy 

require that BIS scrutinize any 

transaction involving a destination or 

end user that presents an elevated risk 

of diversion or misuse. To reinforce this 

general requirement, BIS will set a 

licensing policy of a presumption of 

denial for certain large quantities of 

advanced computing ICs needed to train 

advanced AI models. For destinations 

and end users that present a 

comparatively low risk of diversion or 

misuse, a global licensing requirement 

will enable BIS to impose conditions 

that reduce the overall risk. A global 

licensing requirement is the most 

effective way to ensure that BIS can 

address the various risks associated 

with exporting large quantities of 

advanced computing ICs and the model 

weights of the most advanced AI 

models. 

To help ease the burden on 

destinations and end users that pose a 

comparatively low risk of diversion or 

misuse and to facilitate economically 

beneficial activities, BIS is including 

flexibility within its global licensing 

requirements. For example, BIS will 

provide license exceptions— 

conditioned on compliance with certain 

security measures—for validated end 

users or particularly low-risk 

destinations. BIS will also provide a 

mechanism for other end users in other 

destinations to achieve validated status, 

which will allow them to obtain 

advanced computing ICs more easily. 

Additionally, consistent with its general 

practice, BIS will not require a license 

for the export of the model weights of 

open-weight models (see July 30, 2024, 

Dual-Use Foundation Models with 

Widely Available Model Weights 

Report, National Telecommunications 

and Information Administration). These 

elements of the strategy will ensure that 

BIS’s controls address only the starkest 

risks identified at the frontier of AI 

development and do not affect the vast 

majority of AI technology. This is 

consistent with ECRA’s policy goals, 

which direct BIS to restrict the export of 

items that 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’’ while simultaneously 

maintaining U.S. ‘‘leadership in the 

science, technology, engineering, and 

manufacturing sectors, including 

foundational technology that is essential 

to innovation.’’ 50 U.S.C. 4811(3). 

As a third and final part of the 

strategy, BIS will impose security 

conditions to safeguard the storage of 

the most advanced models in 

destinations that pose heightened risks 

of diversion and to mitigate the risk of 

diversion for advanced ICs. Such 

conditions will protect U.S. national 

security by ensuring that where 

advanced models are stored, and large 

IC clusters are built, outside the United 

States, they are safeguarded from 

diversion or misuse. 

As explained further below, BIS is 

implementing this three-part strategy 

by: 

(1) adding a new control for AI model 

weights under new Export Control 

Classification Number (ECCN) 4E091; 

(2) revising the license requirements 

and review policy for ECCNs 3A090.a, 

4A090.a, and corresponding .z items; 

(3) expanding the country scope of 

License Exception Advanced 

Computing Authorized (ACA); 

(4) adding new License Exceptions 

Artificial Intelligence Authorization 

(AIA), Advanced Compute 

Manufacturing (ACM), and Low 

Processing Performance (LPP) that apply 

to advanced computing integrated 

circuits, AI model weights, and related 

items; 

(5) adding new red flag guidance 

related to AI model weights; 

(6) bifurcating the Data Center 

Validated End-User Authorization into 

Universal and National Validated EndUser Authorizations; and 

(6) updating License Exception 

Notified Advanced Computing (NAC) 

notification procedures to improve its 

efficiency. 

Ultimately, ensuring the staged, 

responsible diffusion of advanced AI in 

these ways has several benefits. First, it 

reduces the risk that countries or end 

users of concern obtain the most 

advanced AI models or the ability to 

develop them. Second, it will allow a 

fuller understanding of the risks posed 

by each generation of AI models and the 

development of safety mitigations before 

the most advanced model weights and 

largest IC clusters diffuse globally. 

Third, a highly focused scope on 

frontier AI will allow commerce in AI 

models and advanced ICs to continue 

largely unimpeded. And finally, a 

strategy that focuses on the physical 

locations of model weights and large 

clusters of advanced ICs will allow 

continued global access to the 

capabilities of even the most advanced 

AI models through structured 

mechanisms, including through user 

applications and application 

programming interfaces (APIs), for 

which this rule imposes no new 

restrictions. 

II. Expanded Advanced Computing 

Integrated Circuit Controls 

As explained above, large clusters of 

advanced computing ICs are essential to 

the development of advanced AI 

models. Accordingly, BIS can reduce 

the risk that malicious state and nonstate actors gain access to advanced AI 

models by imposing controls that allow 

exports, reexports, and transfers (incountry) of large quantities of advanced 

computing ICs only to certain 

destinations and end users. At the same 

time, BIS can ensure that destinations 

and end users that meet robust security 

and safety standards will be able to 

obtain large quantities of advanced 

computing ICs. 

Controls focused on the construction 

of large clusters of advanced computing 

ICs are a logical extension of BIS’s 

previous controls, which have focused 

on the risk to U.S. national security and 

foreign policy from allowing even small 

numbers of advanced ICs, and 

associated SME, to be exported or 

reexported to certain destinations of 

concern. Those previous controls were 

based on BIS’s determination that 

military and intelligence services in 

such destinations could use even small 

quantities of advanced computing ICs to 

further their military capabilities, 

contrary to U.S. national security and 

foreign policy interests. Accordingly, 

BIS imposed controls on these items in 

October 2022 (87 FR 62186, October 13, 

2022), October 2023 (88 FR 73458, 

October 25, 2023 and 88 FR 73424, 

October 25, 2023), and further clarified 

such controls in April 2024 (89 FR 

23876, April 4, 2024). In October 2024, 

BIS expanded the Validated End-User 

(VEU) Authorization in § 748.15 to 

facilitate the export of advanced 

computing ICs and related items to 

qualified data centers (89 FR 80080, 

October 2, 2024). Mostly recently, BIS 

updated these controls in December 

2024 (89 FR 96790, December 5, 2024). 

Specifically, in October 2022, BIS 

published an interim final rule (87 FR 

62186) which made critical changes to 

the EAR in two areas. First, the rule 

imposed additional export controls on 

certain advanced computing ICs, 

computer commodities that contain 

such ICs, and certain SME and parts and 

components needed to produce those 

and other advanced ICs. Specifically, 


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the controls required a license before 

exporting or reexporting those items to 

the PRC or to certain entities on the 

Entity List (supplement no. 4 to part 

744). BIS 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 found 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. Additionally, BIS found 

that the capability to produce advanced 

computing ICs through the use of 

certain SME presented significant 

national security and foreign policy 

concerns. These capabilities could be 

used by the PRC to further its military 

modernization efforts; to improve 

calculations in weapons design and 

testing, including for weapons of mass 

destruction (WMD); and to violate 

human rights through comprehensive 

surveillance programs. 

Thereafter, in October 2023, BIS 

broadened the scope of advanced 

computing controls to cover other 

destinations of concern (Country Groups 

D:1, D:4, and D:5). Similarly, BIS 

imposed worldwide license 

requirements for certain advanced 

computing ICs and specified 

semiconductor manufacturing and 

supercomputing end-uses when 

conducted on behalf of entities 

headquartered in, or with an ultimate 

parent company headquartered in, 

Macau or a destination in Country 

Group D:5. Due to the rapid nature of 

technological change in AI, BIS has 

been closely studying these 

developments and updating its rules 

accordingly to ensure that they remain 

as targeted and effective as possible. 

BIS has also modified its controls to 

facilitate the export of advanced 

computing ICs and related items to 

certain end users who agree to use those 

items in secure ecosystems. Specifically, 

in October 2024, BIS expanded the 

Validated End-User (VEU) 

Authorization in § 748.15 to expand 

Authorization VEU for data centers 89 

FR 80080, October 2, 2024. BIS 

explained that data centers are vital to 

global AI development, and that the 

United States is committed to 

facilitating international AI 

development in a way that minimizes 

risk to U.S. national security. 

Accordingly, BIS expanded 

Authorization VEU to facilitate the 

export or reexport of items necessary for 

a data center to preapproved validated 

end users in destinations (other than D:5 

countries) that require a license for 

items classified under ECCNs 3A090.a, 

4A090.a, and .z items in Categories 3, 4, 

and 5. The Data Center VEU 

Authorization adopted much of the 

framework of the existing Authorization 

VEU, with additional requirements 

appropriate for a data center 

environment. 

Effective December 2, 2024, BIS 

expanded controls on advanced 

computing ICs that could enable AI 

applications of national security 

concern, as well as the SME, software, 

and technology needed to produce such 

ICs. Specifically, BIS imposed new 

controls on certain high-bandwidth 

memory (HBM) commodities, which are 

critical to AI training and inference at 

scale and a key component of advanced 

computing ICs. BIS also imposed 

controls on additional SME capable of 

producing advanced computing ICs 

(e.g., certain etch, deposition, 

lithography tools, etc.) and on software 

that can enhance the capabilities of such 

SME or can be used to design advanced 

computing ICs. 

These previous controls reflect BIS’s 

determination—made in conjunction 

with experts from across the U.S. 

government—that the export of even 

small quantities of advanced computing 

ICs to specific destinations and end 

users of concern pose significant risks to 

U.S. national security and foreign policy 

interests. Having imposed controls that 

address those risks, BIS and its 

interagency partners have evaluated 

how sales of large quantities of 

advanced computing ICs to other 

destinations and end users affect U.S. 

national security and foreign policy. BIS 

has determined that it is necessary to 

restrict the export of quantities of 

advanced ICs sufficient to train such 

models in order to protect U.S. national 

security and foreign policy interests. 

To that end, this rule imposes a global 

license requirement for the export of 

advanced ICs classified under ECCNs 

3A090.a, 4A090.a, and related .z items 

in § 742.6(a)(6)(iii)(A), and then creates 

several exceptions and pathways to 

authorization to facilitate transactions 

that pose a low risk of diversion or 

would otherwise advance U.S. national 

security or foreign policy interests, 

including technological leadership. As 

noted elsewhere in this rule, these 

provisions also are consistent with U.S. 

foreign policy regarding global 

development. 

First, this rule creates an exception in 

new § 740.27 for all transactions 

involving certain types of end users in 

certain low-risk destinations. 

Specifically, these are destinations in 

which: (1) the government has 

implemented measures to prevent 

diversion of advanced technologies, and 

(2) there is an ecosystem that will 

enable and encourage firms to use 

advanced AI models to advance the 

common national security and foreign 

policy interests of the United States and 

its allies and partners. Those 

destinations, which are listed in 

paragraph (a) to Supplement No. 5 to 

Part 740, are Australia, Belgium, 

Canada, Denmark, Finland, France, 

Germany, Ireland, Italy, Japan, the 

Netherlands, New Zealand, Norway, 

Republic of Korea, Spain, Sweden, 

Taiwan, the United Kingdom, and the 

United States. For these destinations, 

this IFR makes minimal changes: 

companies in these destinations 

generally will be able to obtain the most 

advanced ICs without a license as long 

as they certify compliance with specific 

requirements provided in § 740.27. 

Second, BIS makes no changes to the 

strict rules governing provision of these 

items to Country Group D:5 destinations 

and Macau. 

Third, for all other destinations—in 

other words, destinations that are not 

Macau, Country Group D:5, or those 

listed in paragraph (a) to Supplement 

No. 5 to Part 740—this rule creates a 

multi-part framework that takes into 

account the compute power of the 

transaction and, in certain cases, 

security measures agreed to by the 

recipient. To start, BIS is establishing a 

license exception for limited quantities 

of advanced ICs, i.e., quantities well 

below the amount necessary to train the 

most advanced AI models. This license 

exception can ensure that transactions 

not intended to contribute to the 

development of advanced AI models 

can continue unimpeded, so long as the 

exporter provides BIS with notice. 

Transactions involving larger quantities 

of controlled ICs will be subject to a 

new licensing policy that enables the 

export of ICs up to a specified country 

allocation. To provide predictability, 

BIS is specifying this allocation for the 

time period from 2025 to 2027. This 

licensing policy will enable end users in 

these destinations to develop any AI 

models short of the frontier, thereby 

allowing them to access the economic 

benefits of those models while 

simultaneously protecting the United 

States from the most significant threats. 

At the same time, this rule enables 

entities in these destinations to gain 

validated status to obtain significantly 

larger quantities of ICs under 

Authorization VEU. Authorization VEU 

advances U.S. national security and 

foreign policy by allowing entities that 


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have agreed to enact concrete, verifiable, 

and robust security measures to access 

large clusters of advanced ICs. For end 

users in these destinations—not Macau, 

Country Group D:5, or those listed in 

paragraph (a) to supplement no. 5 to 

Part 740—that do not meet eligibility 

criteria for the National VEU 

Authorization, BIS is implementing 

uniform default country allocations of 

advanced ICs. Exports and reexports of 

advanced ICs will be counted against 

these allocations starting on the 

effective date of this rule. These 

allocations will limit the risk of 

diversion of advanced ICs and 

encourage such entities to meet the 

conditions to qualify for VEU 

Authorization. In this way, 

Authorization VEU will also buttress 

U.S. foreign policy to support global 

development. 

A. New Worldwide License 

Requirements 

With this IFR, BIS establishes a 

worldwide license requirement for 

ECCNs 3A090.a, 4A090.a, and 

corresponding .z items in new 

§ 742.6(a)(6)(iii)(A). A worldwide 

license requirement for these items, 

which includes those items subject to 

the EAR’s jurisdiction through the 

advanced computing foreign direct 

product rule (FDPR), will protect U.S. 

national security and foreign policy 

interests by allowing BIS to scrutinize 

any transaction that presents an 

elevated risk of diversion or misuse and 

by providing the U.S. government with 

visibility into the locations, end users, 

and end uses of advanced ICs. Further, 

as discussed below, diffusion of AI 

compute through the Data Center VEU 

Authorization will allow for companies 

around the world to benefit from 

allocations of AI compute in validated, 

protected environments. 

ECCN 3A090.a controls integrated 

circuits with one or more digital 

processing units having either: (1) a 

‘total processing performance’ of 4800 

or more; or (2) a ‘total processing 

performance’ of 1600 or more and a 

‘performance density’ of 5.92 or more. 

ECCN 3A090.b controls integrated 

circuits with one or more digital 

processing units having either: (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 (2) a ‘total processing 

performance’ of 1600 or more and a 

‘performance density’ of 3.2 or more and 

less than 5.92. 

ECCN 4A090.a controls computers, 

‘‘electronic assemblies,’’ and 

‘‘components’’ containing integrated 

circuits, any of which meets or exceeds 

the limits in 3A090.a. ECCN 4A090.b 

controls computers, ‘‘electronic 

assemblies,’’ and ‘‘components’’ 

containing integrated circuits, any of 

which meets or exceeds the limits in 

3A090.b. 

To adopt this new control, BIS is 

revising the Regional Stability control in 

§ 742.6 by amending paragraph (a)(6)(iii) 

and bifurcating it into paragraphs (A) 

and (B). Section (a)(6)(iii)(A) will 

implement a worldwide license 

requirement on 3A090.a, 4A090.a and 

corresponding .z commodities, software, 

and technology. Section (a)(6)(iii)(B) 

implements license requirements on 

3A090.b, 4A090.b, and corresponding .z 

commodities, software, and technology 

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. Imposition 

of this RS control will make License 

Exception GBS unavailable for 

3A001.z.1.a items, because they will be 

subject to a worldwide license 

requirement that is imposed for other 

than national security reasons. GBS will 

still be available for 3A001.z.1.b items 

for destinations in Country Group B that 

are not also listed in Country Groups 

D:1, D:4, or D:5. Additionally, consistent 

with the imposition of expanded RS 

controls for such items, this rule 

removes existing LVS eligibility for all 

3A001.z items to ensure they may not be 

exported or reexported under this 

license exception to destinations in 

Country Group B without being subject 

to the volume restrictions, certification 

requirements, and reporting 

requirements of the new license 

exceptions added for such items in this 

rule. (See also restrictions on license 

exceptions, § 740.2(a)(9)(ii).) 

In addition to expanding the country 

scope of controls on ECCN 3A090.a and 

4A090.a items, BIS is also expanding 

the destination scope of the advanced 

computing foreign direct product rule in 

§ 734.9(h)(2)(i). BIS is replacing 

references to Country Groups D:1, D:4, 

and D:5 and exclusions of A:5 and A:6 

with the word ‘‘worldwide.’’ 

Accordingly, the language now provides 

that a foreign-produced item meets the 

destination scope of this paragraph 

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

foreign-produced item is destined 

worldwide or will be incorporated into 

any ‘‘part,’’ ‘‘component,’’ ‘‘computer,’’ 

or ‘‘equipment’’ not designated EAR99 

to any destination worldwide. 

B. License Exceptions for 3A090, 4A090, 

Corresponding .z Items, and 4E091 

With this rule, BIS is adding three 

new license exceptions to the EAR that 

will be applicable to advanced compute 

ICs: § 740.27 License Exception AIA, 

§ 740.28 License Exception ACM, and 

§ 740.29 License Exception LPP. In 

addition, it is updating the destination 

scope of License Exception Advanced 

Compute Authorization (ACA). BIS also 

is updating the NAC process to facilitate 

more efficient processing. As part of this 

updated process, BIS and the 

interagency are seeking additional 

information from NAC users. 

1. License Exception Artificial 

Intelligence Authorization (AIA) 

This new license exception authorizes 

the export, reexport, or transfer (incountry) of eligible advanced computing 

ICs and associated software and 

technology to entities located in a 

destination listed in paragraph (a) of 

supplement no. 5 to part 740, unless the 

entity either is headquartered outside of 

a destination specified in paragraph (a) 

of the supplement or has an ultimate 

parent company that is headquartered 

outside of a destination specified in 

paragraph (a) of the supplement. See 

§ 740.27(a). 

To use the license exception for 

eligible items (e.g., 3A090.a, 4A090.a, or 

corresponding .z items and 4E091), the 

exporter, reexporter, or transferor must 

furnish the ECCN to the ultimate 

consignee. In addition, for advanced 

computing ICs eligible for this license 

exception, the exporter, reexporter, or 

transferor must also obtain a prior 

certification from the ultimate consignee 

and, for certain large orders, provide the 

certification to BIS pursuant to certain 

reporting requirements. For purposes of 

License Exception AIA, the ultimate 

consignee is the entity that has 

ownership over the eligible items. The 

certification must state that, without BIS 

authorization: (1) the items received 

will not be used to provide 

Infrastructure-as-a-Service (IaaS) access 

sufficient to train an AI model classified 

under ECCN 4E091 to entities 

headquartered or located outside of, or 

whose ultimate parent company is 

headquartered outside of destinations 

listed in paragraph (a) of supplement 

no. 5 to Part 740; (2) the ultimate 

consignee will not export, reexport, or 

transfer the items to any end use or end 

user prohibited pursuant to Part 744 of 

the EAR; and (3) the ultimate consignee 

will not export, reexport, or transfer (incountry) the items to an entity 

headquartered or located outside of, or 

whose ultimate parent company is 

headquartered outside of paragraph(a) of 

supplement no. 5 to Part 740. Once the 

certification is received from the 

ultimate consignee, and prior to the 

initial export, reexport, or transfer, the 

exporter, reexporter, or transferor must 


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submit the certification to EARReports@

bis.doc.gov with the Subject AIA 

Certification. The ultimate consignee 

must also submit the certification to the 

exporter, reexporter, or transferor. The 

certification is a one-time certification 

provided by each ultimate consignee 

that will be using License Exception 

AIA. With each shipment under License 

Exception AIA, the exporter, reexporter, 

or transferor, must notify the ultimate 

consignee in writing that: (1) the 

shipment is being made pursuant to 

License Exception AIA; (2) specify 

which items are subject to License 

Exception AIA or state that the entire 

shipment is made pursuant to License 

Exception AIA; and (3) it has certified 

to the certification in § 740.27(b)(2). 

This reporting requirement is only 

applicable if the ultimate consignee is 

receiving items identified in paragraphs 

(a)(1) with a cumulative total processing 

performance (TPP) of 253,000,000. 

2. License Exception Advanced 

Compute Manufacturing (ACM) 

New License Exception ACM 

authorizes the export, reexport, and 

transfer (in-country) of eligible items 

(ECCNs 3A090, 4A090, and related .z 

commodities, software, and technology) 

to a ‘private sector end user’ that is 

located in a destination not listed in 

Country Group D:5 or Macau, provided 

it is not headquartered in and does not 

have an ultimate parent company 

headquartered in Macau or a destination 

specified in Country Group D:5, if the 

ultimate end use is the ‘‘development,’’ 

‘‘production,’’ or storage (in a 

warehouse or other similar facility) of 

such eligible items. An entity may not 

use this exception if the ultimate end 

use of the items is training an AI model 

or any other activity not related to the 

‘‘development,’’ ‘‘production,’’ or 

storage (in a warehouse or other similar 

facility) of such eligible items. For the 

purposes of this license exception, 

‘private sector end user’ is an individual 

who is not acting on behalf of any 

government (other than the U.S. 

government); or a commercial firm 

(including its subsidiary and parent 

firms, and other subsidiaries of the same 

parent) that is not wholly owned by, or 

otherwise controlled by any government 

(other than the U.S. government). The 

items produced must be ultimately 

destined to customers outside of Macau 

or destinations specified in Country 

Group D:5. Although License Exception 

ACM shipments do not count toward 

country caps, exporters, reexporters, 

and transferors must maintain a system 

of distribution that allows them to 

account for the number of controlled 

items transferred to, and subsequently 

out, of the facility. Such accounting 

should be done for each facility, with 

records updated every six months or 

more frequently. This license exception 

is intended to minimize the impact of 

this rule on supply chains. 

3. License Exception Low Processing 

Performance (LPP) 

New License Exception LPP, set forth 

in new § 740.29, authorizes the export 

and reexport of low amounts of compute 

that do not present significant national 

security risks, up to 26,900,000 Total 

Processing Performance (TPP) of 

advanced computing ICs per-calendar 

year to any individual ultimate 

consignee. For purposes of this license 

exception, ultimate consignee means the 

entity that has ownership over the 

items. This license exception is 

available to exporters or reexporters 

who export or reexport eligible items 

(ECCNs 3A001.z.1.a, z.2.a, z.3.a, z.4.a; 

3A090.a; 4A003.z.1.a, z.2.a; 4A004.z.1; 

4A005.z.1; 4A090.a; 5A004.z.1.a, z.2.a; 

and 5A992.z.1) directly to ultimate 

consignees in eligible destinations. It is 

not available for exports or reexports 

made through distributors or for incountry transfers. Eligible destinations 

are those located outside of destinations 

in Country Group D:5 or Macau, 

provided the ultimate consignee is not 

headquartered in, and does not have an 

ultimate parent company headquartered 

in, Macau or Country Group D:5. In 

addition, the license exception cannot 

be used to export or reexport to 

prohibited end uses or end users in part 

744 of the EAR. 

The license exception provides for an 

annual TPP volume restriction on LPP 

orders set forth in paragraph (d) of the 

new license exception. The total TPP 

volume of exports and reexports per 

calendar year by all exporters and 

reexporters to any individual ultimate 

consignee may not exceed the 

26,900,000 TPP volume limit; however, 

there is no restriction on the number of 

shipments from any exporters or 

reexporters, provided the volume limit 

is not exceeded. This annual TPP limit 

applies to shipments to any individual 

ultimate consignee even if the 

shipments are made by multiple 

exporters or reexporters or through more 

than one intermediate consignee. Before 

using License Exception LPP, under 

paragraph (f) of new § 740.29, the 

exporter or reexporter must obtain a 

certification from the ultimate consignee 

that the ultimate consignee has not 

received a cumulative of 26,900,000 

TPP during the relevant calendar year 

under License Exception LPP from all 

exporters and reexporters and that the 

requested TPP for the specific 

transaction will not result in the 

ultimate consignee exceeding the TPP 

limit. The exporter or reexporter must 

also provide this certificate to BIS 

within 30 days of the date on which the 

export or reexport of eligible items 

occurs. Cumulative TPP is the total 

amount of TPP of the eligible 

commodities in paragraph (b) of 

§ 740.29 that are provided to the 

ultimate consignee in all shipments by 

all exporters and reexporters in a 

calendar year under License Exception 

LPP. Pursuant to paragraph (g), the 

exception also provides that ultimate 

consignees receiving eligible items 

under License Exception LPP must 

notify BIS once they have received a 

cumulative total of 26,900,000 TPP in a 

calendar year. Under paragraph (g), the 

exception also provides that the 

exporter must notify BIS of all 

shipments under the exception with an 

aggregate TPP of more than 3,200,000. 

4. Updates to License Exception 

Notified Advanced Computing and 

Advanced Computing Authorized for 

ECCNs 3A090, 4A090, and 

Corresponding .z Items 

Currently, under § 740.8(a), License 

Exceptions Notified Advanced 

Computing (NAC) and Advanced 

Computing Authorized (ACA) are 

available for items classified in ECCNs 

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

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

5A992.z, 5D002.z, or 5D992.z, except for 

items designed or marketed for use in a 

data center and meeting the parameters 

of 3A090.a. License Exception NAC 

authorizes the export and reexport of 

specified items to Macau and 

destinations specified in Country Group 

D:5 and entities headquartered in, or 

with an ultimate parent headquartered 

in, Macau or a destination specified in 

Country Group D:5 wherever located, 

that require a notification to BIS. 

License Exception ACA authorizes the 

export and reexport of any item 

classified in ECCN 3A090, 4A090, 

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

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

5D992.z (except for items designed or 

marketed for use in a datacenter and 

meeting the parameters of 3A090.a) to or 

within any destination specified in 

Country Groups D:1 and D:4 (except 

Macau, a destination in Country Group 

D:5, or an entity headquartered in, or 

with an ultimate parent headquartered 

in, Macau or a destination specified in 

Country Group D:5, wherever located), 

as well as transfers (in-country) within 

Macau and destinations in Country 

Group D:5. The destination scope of 

License Exception ACA in § 740.8(a) is 

amended by striking to D:1 or D:4 and 


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replacing with ‘‘any destination 

worldwide.’’ Accordingly, the 

regulatory text now states, ‘‘to or within 

any destination worldwide (except 

Macau, a destination specified in 

Country Group D:5, or an entity 

headquartered in, or with an ultimate 

parent headquartered in, Macau or a 

destination specified in Country Group 

D:5, wherever located), as well as 

transfers (in-country) within Macau and 

destinations specified in Country Group 

D:5’’. 

In addition to the changes to License 

Exception ACA, BIS is amending the 

NAC notification procedures by seeking 

additional information as set forth in 

§ 740.8(c). License Exception NAC 

established a notification process for 

exports and reexports to Macau or 

destinations specified in Country Group 

D:5 to provide BIS and interagency 

partners the opportunity to evaluate the 

national security risk posed by ICs that 

fall within this parameter. Since initial 

implementation, BIS and its interagency 

partners have revisited NAC to 

implement a faster internal review 

process. Specifically, during the 

evaluation process, interagency partners 

will be reviewing: (1) whether the 

export is NAC eligible; (2) whether the 

end-user has ties to a military or 

intelligence organization that prompt 

national security or human rights 

concerns; (3) if the technical parameters 

of the ICs are >2800 TPP or if the ICs 

have >1,000 GB/s memory bandwidth; 

(4) whether the ICs will be aggregated 

with other ICs into a datacenter cluster, 

or be used as a sample or in a 

standalone configuration (e.g., 

workstation); (5) if the ICs are going into 

the datacenter, the size of the data 

center; and (6) if the ICs will be used 

internally by a company headquartered 

in the United States or a company 

headquartered in Country Group A:5 or 

A:6. Exporters and reexporters utilizing 

License Exception NAC must provide 

this information to ensure efficient 

processing. BIS believes the use of this 

new review criteria will result in overall 

faster processing of all NAC 

notifications, as well as a greater 

percentage of NAC notifications being 

approved during the initial review 

period. 

Moreover, to deploy this process, BIS 

is amending § 740.8(c) to add the 

following to the existing list of required 

information: (1) all NAC and license 

approvals to the end-user in the past 12 

months under ECCN 3A090, 4A090, 

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

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

5D992.z (except for items designed or 

marketed for use in a datacenter and 

meeting the parameters of 3A090.a); (2) 

memory bandwidth of the item(s) 

requested; and (3) whether the items are 

destined to be aggregated into a 

datacenter or computing cluster, and, if 

so: (i) the computing power of the 

computing cluster, measured in the 

aggregate TPP of all chips used in the 

cluster once the cluster is complete; and 

(ii) whether the cluster will be (a) 

exclusively for internal use by a 

company headquartered in the United 

States or a member of Country Group 

A:5 or A:6, or (b) used by any other 

companies not headquartered in A:5 or 

A:6, or by external parties such as 

through cloud services. 

C. Data Center Validated End-Users (DC 

VEUs): Universal and National VEUs 

In October 2024, BIS amended the 

EAR to expand Authorization VEU to 

include Data Center VEU (DC VEU). As 

noted in that rule, data centers play a 

vital role in global AI development, and 

the United States is committed to 

facilitating international AI 

development in a way that minimizes 

risk to national security. With this rule, 

BIS further expands the DC VEU 

Authorization by bifurcating it into a 

universal VEU (UVEU) and a national 

VEU (NVEU) Authorization. Companies 

headquartered in, or whose ultimate 

parent is headquartered in destinations 

specified in paragraph (a) of supplement 

no. 5 to part 740 may apply for the 

UVEU Authorization. With certain 

limitations, companies headquartered 

in, or whose ultimate parent is 

headquartered in, all destinations 

worldwide except Macau or 

destinations specified in Country Group 

D:5, that would like to qualify for 

exports, reexports, or transfers (incountry) of large amounts of advanced 

computing integrated circuits, may 

apply for the NVEU Authorization. 

BIS recognizes that advanced 

compute data centers (DCs) may involve 

corporate relationships in which 

different parties own the data center, 

provide physical security, own the 

advanced compute assemblies, provide 

logical security, and are able to access 

the compute. To clarify the September 

2024 DC VEU rule, BIS notes that the 

party that has ownership of the 

advanced compute should submit the 

DC VEU application. If such party 

cannot directly certify to all of the 

application information requested in 

§ 748.15, it must inform BIS of the 

identities of other entities involved in 

the DC operations. Applicants may be 

required to obtain written assurances 

from those other entities during the 

application review process. If the 

operator of the advanced compute is 

different from the owner of the 

advanced compute, both the advanced 

compute owner and the advanced 

compute operator must have a VEU 

authorization. 

As specified in paragraph 6 of 

Supplement No. 10 to Part 748, all 

UVEUs will be subject to limitations on 

where they can geographically allocate 

their AI computing power, measured by 

the aggregate TPP of chips that meet or 

exceed the scope of ECCN 3A090.a. 

Specifically, a UVEU headquartered in a 

country listed in paragraph (a) to 

Supplement no. 5 to Part 740 cannot 

transfer or install more than 25% of its 

total AI computing power—i.e., the AI 

computing power owned by the entity 

all its subsidiary and parent entities—to 

or in locations outside of countries 

listed in paragraph (a) to Supplement 

No. 5 to Part 740, and cannot transfer or 

install more than 7% of its total AI 

computing power to or in any single 

country outside of those listed in 

paragraph (a) to Supplement No. 5 to 

Part 740. Additionally, a UVEU 

headquartered in the United States 

cannot transfer or install more than 50% 

of its total AI computing power outside 

of the United States. 

For all NVEUs, as described in new 

paragraph (a)(2)(iii)(B) of § 748.15, a percompany, per-country installed base 

allocation of TPP, as measured by the 

collective computing power of items 

subject to ECCNs 3A090.a, 4A090.a, or 

corresponding .z paragraphs, will apply 

as follows: 

Quarter 

Cumulative TPP 

per-company 

per-country 

allocation 

2025 Q1 ............................ 633,000,000 

2025 Q2 ............................ 949,500,000 

2025 Q3 ............................ 1,266,000,000 

2025 Q4 ............................ 1,582,500,000 

2026 Q1 ............................ 1,899,000,000 

2026 Q2 ............................ 2,690,250,000 

2026 Q3 ............................ 3,481,500,000 

2026 Q4 ............................ 4,272,750,000 

2027 Q1–4 ........................ 5,064,000,000 

These TPP allocations were identified 

through an extensive analysis of the size 

of AI compute clusters necessary to 

train the largest AI models, and the rate 

at which those clusters are likely to 

grow over the next three years. These 

allocations represent clusters 

approximately 12 months, or one 

generation, behind the cluster size BIS 

believes will be needed to train the most 

advanced dual-use AI models. By 

providing a three-year roadmap, BIS 

aims to give predictability to industry 

while reducing the risks posed by the 

unchecked proliferation of the most 

advanced AI models and largest clusters 


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at any given time. These TPP allocations 

represent permitted cumulative 

installed base during a given quarter, 

not newly available TPP in addition to 

previous-quarter installed bases, and do 

not count towards or impact country 

allocations. Additionally, multiple 

NVEUs may operate in a single country, 

with each NVEU subject to the quarterly 

allocations above. Advanced computing 

ICs that suffer attrition due to factors 

such as loss, damage, failure, relocation, 

and resale will no longer count toward 

allocations. BIS is not identifying 

specific TPP allocations for future years 

at this time given the evolving nature of 

national security requirements, the 

geopolitical landscape, and the AI 

industry. 

Together with the Departments of 

State, Energy, and Defense, BIS will 

review allocations for subsequent years 

on an annual basis to determine future 

allocations. 

1. Data Center VEU: Universal Validated 

End User 

The UVEU Authorization is available 

to companies headquartered in the 

countries listed in paragraph (a) to 

supplement no. 5 to Part 740. As 

described in new paragraph (a)(2)(ii)(A) 

of § 748.15, under the UVEU 

Application Overview, the UVEU 

Authorization provides the data centers 

that own their advanced computing 

capacity with a single authorization that 

will allow a UVEU to build DCs around 

the world, except in Macau or 

destinations specified in Country Group 

D:5, provided that the UVEU maintains 

its status by following the guidelines in 

supplement no. 10 to part 748. The 

UVEU is responsible for ensuring it 

complies with the applicable AI TPP 

geographic allocations. To receive 

UVEU status, a DC that owns its 

advanced computing capacity must 

certify that it will follow the guidelines 

outlined in supplement no. 10 to part 

748 and go through an intensive 

application process. As previously 

noted, if the owner of the advanced 

compute cannot directly certify to all of 

the application information requested in 

§ 748.15, it must include in its VEU 

application to BIS the identities of other 

entities involved in the DC operations. 

Through this process, BIS and its 

interagency partners will be able to 

assess whether the UVEU applicant 

meets the guidelines and resolve 

national security concerns. 

Approved applicants for the UVEU 

authorization will be listed in the EAR 

as UVEUs along with each authorized 

address identified in the UVEU 

application. As new DCs are brought 

online by the UVEU, it is required to 

notify BIS 180 days prior to any exports, 

reexports, or transfers (in-country) to the 

new DC so that the EAR may be updated 

to include the new location(s). This 

notification will allow BIS to update 

supplement no. 7 to part 748 with the 

new data center’s address to notify 

exporters and reexporters of the UVEU 

location address that can receive exports 

and reexports under this authorization. 

The UVEU may choose whether to list 

a corporate address or a physical 

address of the new data center location. 

Otherwise, or in the period between 

notification to BIS and EAR 

amendment, UVEUs may furnish their 

BIS authorization letters to exporters 

and reexporters to enable continuity of 

exports and reexports to the new 

country and/or new DC. 

A. Data Center VEU: National Validated 

End-User 

A National Validated End-User 

(NVEU) Authorization is available to all 

entities headquartered in or located in a 

destination in Country Groups A, B, or 

D:1–D:4, except Macau or destinations 

specified in Country Group D:5, as 

described in revised § 748.15(b)(2). New 

paragraph (a)(2)(iii) of § 748.15 

describes the requirements to obtain an 

NVEU. In order to receive NVEU 

Authorization, a data center operator 

that owns its advanced computing 

capacity must apply to BIS and go 

through an intensive application 

process that will be subject to 

interagency review. Information 

required to be submitted to become a 

VEU is described in supplement no. 8 

to part 748, some provisions of which 

are revised by this rule, including an 

update to paragraph (B)(2) of the 

supplement to require information 

about business activities and corporate 

relationships with government or 

military organizations in Macau and 

destinations specified Country Group 

D:5, e.g., direct sales to or contracts with 

such entities. 

Approved applicants for the NVEU 

Authorization will be listed in the EAR 

as NVEUs in supplement no. 7 to part 

748. This listing will serve to notify 

exporters and reexporters that the NVEU 

location can receive exports and 

reexports under this authorization. The 

NVEU may choose whether to list a 

corporate address or a physical address 

of the new data center location. NVEUs 

will be subject to the cumulative TPP 

allocations identified above. 

D. License Applications 

For transactions that do not meet the 

terms and conditions for use of license 

exceptions, and for which the end user 

does not participate in the DC VEU 

Authorization, the traditional license 

application process is available under 

part 748 of the EAR. 

As explained in additional detail 

below, BIS is instituting specific 

country allocations of total processing 

performance (TPP) in new paragraph 

(b)(10) of § 742.6. As with Authorization 

VEU allocations, exports and reexports 

of advanced ICs will be counted against 

the following country allocation 

beginning on the effective date of this 

rule. From 2025 to 2027, countries will 

be subject to a cumulative maximum 

installed base allocation of 790,000,000 

TPP. This TPP allocation represents 

permitted cumulative installed base for 

the entire period to and inclusive of 

2027. Advanced computing ICs that 

suffer attrition due to factors such as 

loss, damage, failure, relocation, and 

resale will no longer count toward the 

allocation. 

Accordingly, license applications for 

3A090.a, 4A090.a, or corresponding .z 

items must be accompanied by a 

purchase order or equivalent firm 

contractual agreement reflecting the 

actual volume amount that the applicant 

seeks to export, reexport, or transfer (incountry). The purchase order 

requirement is found in paragraph (c) of 

supplement no. 2 to part 748. The 

purchase order must be for the 

fulfilment of actual items to be sold, 

although it may be contingent on license 

approval. In addition, licenses for these 

items generally will carry a one-year 

validity period during which the items 

must be exported, re-exported, or 

transferred (in country), pursuant to the 

revision to § 750.7(g) made in this rule. 

Should a lengthier validity period be 

required, such information must be 

provided with the license application or 

a request for extension must be filed in 

accordance with § 750.7(g)(1) or (2). 

BIS is not identifying specific TPP 

allocations for future years at this time 

given the evolving nature of national 

security requirements, the geopolitical 

landscape, and the AI industry. 

Together with the Departments of 

State, Energy, and Defense, BIS will 

review allocations for subsequent years 

on an annual basis. 

1. Revision of License Review Policy 

To implement the new license review 

policy for § 742.6(a)(6)(iii)(A), BIS is 

updating the license review policy in 

§ 742.6(b)(10). Section 

742.6(b)(10)(iii)(A)(1) provides that a 

presumption of denial will apply to 

applications for Macau, destinations 

specified in Country Group D:5, and any 

entity headquartered in, or whose 

ultimate parent is headquartered in, 


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Macau or a destination specified in 

Country Group D:5. 

For end users headquartered or 

located in destinations listed in 

paragraph (a) of supplement no. 5 to 

Part 740, license applications will be 

reviewed under a presumption of 

approval under new 

§ 742.6(b)(10)(iii)(A)(2). 

Under certain circumstances when 

destination governments assure the U.S. 

Government of a commitment to protect 

advanced computing ICs consistent with 

U.S. national security interests, these 

TPP allocations may be increased up to 

100% for a given destination. Once the 

U.S. Government has determined that a 

country has provided appropriate 

national security assurances, BIS will 

list that country in paragraph (b) to 

supplement no. 5 to Part 740. In such 

a case, the licensing policies pursuant to 

new § 742.6(b)(10)(iii)(B), would apply 

with an upward adjustment to country 

TPP allocations. While the U.S. 

Government—led by the Departments of 

State and Commerce—may pursue such 

government-to-government assurances 

independently to advance U.S. national 

security and foreign policy interests, in 

cases where BIS has not applied an 

allocation increase to a particular 

destination, license applicants seeking 

an upward departure from country TPP 

allocations should identify such interest 

in their license applications, along with 

the contact information for appropriate 

foreign government officials with whom 

BIS and interagency partners should 

engage on such assurances. 

For end users headquartered, or 

whose ultimate parent is headquartered, 

outside of destinations listed in 

paragraph (a) or (b) of supplement no. 

5 to Part 740, Macau, and Country 

Group D:5, license applications for 

3A090.a, 4A090.a, and corresponding .z 

items will be subject to a presumption 

of approval up to specific country 

allocations in TPP, as described in new 

§ 742.6(b)(10)(iii)(B)(1). BIS will 

calculate progress toward country 

allocations by totaling the TPP of 

3A090.a, 4A090.a, and corresponding .z 

items licensed to each destination in a 

given calendar year. When country 

allocations have been met for a specific 

country, licenses will be reviewed 

under a policy of denial, consistent with 

new § 742.6(b)(10)(iii)(B)(2). 

Together with the Departments of 

State, Energy, and Defense, BIS will 

review allocations for subsequent years 

on an annual basis. Moreover, absent 

regulatory changes, the licensing 

policies outlined in § 742.6(a)(6)(iii) will 

continue to apply. 

To keep the public informed on 

country allocations, BIS will use 

purchase orders provided in license 

applications to track fulfillment of 

country allocations and will provide 

timely updates to the public on these 

allocations in aggregate at http://

www.bis.gov/advanced-computeresources. 

2. Information Required in License 

Application 

Applicants are required to submit the 

total aggregated TPP volume of each 

export item on their license application. 

This information, consistent with new 

paragraph (c)(4) in supp. no. 2 to Part 

748, should be included in block 22(j) 

in SNAP–R. If applicants are submitting 

a license for items destined to a country 

that is subject to a per-country TPP 

allocation, the applicant must fill out an 

individual license for each country and 

calculate the TPP per individual 

country. Applicants must submit 

relevant purchase orders and are 

encouraged to include additional 

information to support their TPP 

calculation in their Letter of 

Explanation (LOE). Calculate the 

aggregate TPP for each export item by 

adding the TPP for each integrated 

circuit. For additional information on 

calculating TPP, please refer to the 

Technical Notes to 3A090. 

III. Overview of New Controls for AI 

Model Weights 

As of the effective date of this rule on 

January 13, 2025, in addition to 

expanding its controls on advanced 

computing ICs, BIS is imposing new 

controls on the model weights of the 

most advanced AI models. Model 

weights are ‘‘numerical parameter[s] 

within an AI model’’ that ‘‘help 

determine the model’s outputs in 

response to inputs.’’ Executive Order 

14110 on the Safe, Secure, and 

Trustworthy Development and Use of 

Artificial Intelligence. An AI model that 

lacks trained model weights produces 

meaningless outputs. Additionally, the 

developers of the most advanced AI 

models typically incorporate technical 

safeguards that help to prevent 

applications based on the model, such 

as chatbots or those served through 

APIs, from completing certain 

dangerous tasks, such as assisting in the 

development of nuclear, chemical, 

biological, or cyber weapons. With 

access to the model weights, it is easier 

to remove these safeguards. Model 

weights for advanced AI models can, 

moreover, be produced only by training 

the model on vast quantities of data 

using thousands of advanced computing 

ICs over a period of several months or 

more. Accordingly, model weights can 

be the most valuable and closely 

guarded elements of an AI model. 

Given the importance of model 

weights to the functioning of advanced 

AI models, BIS has determined that, in 

order to protect U.S. national security 

and foreign policy interests, it is 

necessary to impose a global licensing 

requirement on the model weights of the 

most advanced AI models. Even if 

countries and end users of concern are 

able to obtain or reverse engineer the 

other elements of an advanced AI 

model—e.g., the architecture or 

ancillary code—those actors will be 

unable to use the model for activities 

that threaten U.S. national security and 

foreign policy unless they have the 

corresponding model weights. And 

crucially, they will not be able to train 

their own model weights unless they 

have access to thousands of advanced 

computing ICs. Thus, by imposing 

global controls on the model weights of 

the most advanced AI models, BIS will 

make it significantly more difficult for 

countries and end users of concern to 

access those models and their functions. 

In conjunction with technical experts 

from across the U.S. government, BIS 

has determined that a reasonable proxy 

for the performance of an AI model is 

the amount of compute—i.e., the 

number of computational operations— 

used to train the model. This 

determination is supported by empirical 

evidence compiled by leading AI 

researchers, which shows that the 

performance of an AI model depends in 

large part on the number of parameters 

in the model, the size of the dataset 

used to train the model, and the amount 

of compute used to train the model. 

Although there is disagreement about 

whether it is more important to 

maximize the number of parameters or 

the size of the dataset, there is a general 

consensus that, given a fixed model 

architecture, the amount of compute 

positively correlates with the 

performance of the model. Accordingly, 

at the outset of the training process, 

developers of advanced AI models set a 

‘‘compute budget,’’ i.e., a fixed number 

of operations on which the model will 

be trained. It is possible, however, that 

better measures of model capabilities 

may become available over time. BIS 

will consider alternative approaches as 

they become available. 

Using this measure, BIS is requiring a 

license to export, reexport, or transfer 

(in-country) the model weights of any 

closed-weight AI model—i.e., a model 

with weights that are not published— 

that has been trained on more than 1026

computational operations. Because the 

model weights of models trained with 

fewer than 1026 computational 


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operations are already stored at 

locations across the globe, and such 

models are available from foreign 

sources, imposing controls on such 

models would be ineffective. These 

models have shown concerning 

capabilities, however, and technical 

experts from across the U.S. government 

agree that the next generation of 

models—i.e., those trained on 1026

computational operations—will 

significantly reduce the barriers to 

enabling activities that threaten U.S. 

national security and foreign policy. To 

ensure that the licensing process 

consistently accounts for the risks 

associated with the most advanced AI 

models, BIS has decided to apply a 

presumption of denial review policy 

(implemented in § 742.6(a)(12)) to every 

license application involving the model 

weights of those models. This policy is 

necessary for two interrelated reasons. 

First, the potential risks to U.S. national 

security from even one case of diversion 

are extreme. For example, if a terrorist 

organization were to obtain the model 

weights of an advanced AI model, it 

could potentially gain permanent access 

to the full range of capabilities of that 

model. Second, because model weights 

can be stored, copied, and transferred 

using basic computer technologies, the 

risk of diversion is elevated. And if a 

particular set of model weights is 

diverted even once, it would be difficult 

to prevent further dissemination across 

the world. Accordingly, BIS must 

scrutinize every license application 

involving model weights to ensure that 

the end user does not present a risk of 

diversion and has adequate security 

measures in place. A presumption of 

denial review policy can ensure this 

consistent level of scrutiny. 

In addition to applying to U.S.-origin 

model weights, this licensing 

requirement applies to the model 

weights of certain closed-weight models 

produced in foreign destinations. As 

discussed, training an AI model on more 

than 1026 computational operations is 

not possible without advanced 

computing ICs and other related 

advanced computing items. BIS has 

found that many foreign entities that are 

training advanced AI models or intend 

to train such models are using advanced 

computing ICs and related items that 

were directly produced with U.S. 

technology. To reduce the risk that such 

U.S. technology contributes to models 

that are diverted to malicious actors and 

used for activities that threaten U.S. 

national security and foreign policy 

interests, this IFR creates a new Foreign 

Direct Product (FDP) rule (implemented 

in new § 734.9(l)) for the model weights 

of closed-weight models trained using 

more than more than 1026

computational operations. 

As with advanced computing ICs, 

however, BIS is providing a license 

exception (License Exception AIA, 

implemented in new § 740.27) for the 

export or reexport of model weights to 

certain end users in certain destinations. 

As discussed, BIS and its interagency 

partners have identified a set of 

destinations where (1) the government 

has implemented measures with a view 

to preventing diversion of advanced AI 

technologies, and (2) there is an 

ecosystem that will enable and 

encourage firms to use advanced AI 

models activities that may have 

significant economic benefits. Those 

destinations, which are listed in 

paragraph (a) to Supplement No. 5 to 

Part 740, are Australia, Belgium, 

Canada, Denmark, Finland, France, 

Germany, Ireland, Italy, Japan, 

Netherlands, New Zealand, Norway, 

Republic of Korea, Spain, Sweden, 

Taiwan, the United Kingdom, and the 

United States. For end users 

headquartered in these destinations, 

listed in paragraph (a) of supplement 

no. 5 to Part 740, BIS is providing a 

license exception for export or reexport 

to entities located in all destinations 

except Macau and those in Country 

Group D:5. However, exporters and 

reexporters may not take advantage of 

this exception unless they ensure that 

the end user has instituted specific 

security measures that will reduce the 

risk of diversion, specified in 

paragraphs 14, 15, and 18 of supplement 

no. 10 to Part 748. 

Additionally, BIS is not imposing 

controls on the model weights of openweight models. At present, there are no 

open-weight models known to have 

been trained on more than 1026

computational operations. Moreover, 

Commerce and its interagency partners 

assess that the most advanced openweight models are currently less 

powerful than the most advanced 

closed-weight models, in part because 

the most advanced open-weight models 

have been trained on less computing 

power and because proprietary 

algorithmic advances have allowed 

closed-weight model developers to 

produce more advanced capabilities 

with the same computational resources. 

BIS has also determined that, for now, 

the economic and social benefits of 

allowing the model weights of openweight models to be published without 

a license currently outweigh the risks 

posed by those models. Specifically, 

making model weights open ensures 

that many actors seeking to use the 

models for economically and socially 

beneficial activities can do so. This 

includes small, independent research 

groups that are seeking to research 

model safety and trustworthiness, as 

well as defenses against AI risk, such as 

cyberattacks. It also includes small 

commercial entities that are pursuing 

applications of AI models that require 

expertise not possessed by leading AI 

developers; for example, many of the 

premier foreign language translation 

applications have been developed by 

small entities using open-weight 

models. Wide availability also allows 

governments and independent 

researchers to assess the risks posed by 

these models and develop mitigations. 

By comparison, the actors that can take 

advantage of the capabilities of ‘‘closed 

weight’’ models—i.e., models with 

weights that have not been made 

publicly available—are the original 

developer, actors who negotiate directly 

with original developers or deployers, 

and malicious actors that have stolen 

the weights. In practice, the most 

advanced closed weight models are, BIS 

assesses, closely held by their 

developers. 

Accordingly, BIS and its interagency 

partners are not today imposing controls 

on open-weight models. BIS also 

recognizes that users of open-weight 

models may need to perform additional 

training operations to fine tune openweight models for beneficial uses. 

Accordingly, this IFR makes clear that 

training an open-weight model with a 

relatively small amount of additional 

computational operations does not 

subject that model to BIS’s controls. But 

as noted in the National 

Telecommunications and Information 

Administration’s report ‘‘Dual-Use 

Foundation Models with Widely 

Available Model Weights’’ published on 

July 30, 2024, the U.S. Government will 

continue to actively monitor risks that 

could arise from open-weight models 

and assess what actions might need to 

be taken if heightened risks emerge. 

To reduce the economic impact on 

developers of closed models, BIS will 

also not require a license for the export, 

reexport, or transfer (in-country) of the 

model weights of closed models that are 

less powerful than the most powerful 

open-weight model (as determined by 

the AI Safety Institute and the U.S. 

Department of Energy). Because the 

model weights of the most powerful 

open-weight model will be available to 

all entities across the world, any entity 

seeking to use advanced AI models for 

activities that threaten U.S. national 

security and foreign policy will have no 

incentive to divert the model weights of 

less powerful closed models. 


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In sum, BIS’s new controls for the 

model weights of the most advanced AI 

models reflects both BIS’s focus on the 

risks posed by the frontier of AI 

development and BIS’s expectation that 

increasingly powerful models will 

continue to be available from foreign 

sources, rendering controls on general 

purpose models behind the frontier 

ineffective. BIS’s controls will assist in 

the responsible management of the risks 

to national security and public safety 

posed by technological development at 

the frontier by ensuring that such 

models are diffused more broadly in a 

structured, staged manner. Additionally, 

restricting the export of model weights, 

while allowing access to the most 

advanced AI models through other 

methods, such as application 

programming interfaces, can unlock the 

beneficial uses of AI for users across the 

world while mitigating the national 

security and public safety risks posed by 

these models. Below, BIS explains its 

controls in more detail. 

A. AI Model Weights Technology 

Controls 

In the Commerce Control List (CCL), 

this rule adds new ECCN 4E091 for 

‘parameters’ for advanced AI models, 

which are defined as having been 

trained utilizing 1026 or more 

‘operations.’ ‘Parameters’ refers to any 

value learned during training (e.g., 

network weights, biases, etc.). 

‘Operations’ include any subsequent 

training, such as fine-tuning the pretrained model, but does not include the 

collection and curation of the input 

training data. 

This ECCN is controlled for regional 

stability (RS) reasons for exports, 

reexports, and transfers (in-country) to 

and within all destinations worldwide 

through new § 742.6(a)(13). The ECCN is 

also controlled for anti-terrorism (AT) 

reasons when destined to a country that 

has an AT:1 license requirement (i.e., 

Iran in § 742.8, Syria in § 742.9, or North 

Korea in § 742.19). See also parts 744 

and 746 of the EAR for additional 

controls. License applications for items 

controlled under this RS control will be 

reviewed under a presumption of denial 

for all destinations other than those 

listed in paragraph (a) of supplement 

no. 5 to part 740, as established in new 

§ 742.6(b)(14) of the EAR. License 

applications for destinations listed in 

paragraph (a) of supplement no. 5 to 

part 740 will be reviewed under a 

presumption of approval. The license 

requirements in § 742.6(a)(13) do not 

apply to deemed exports or deemed 

reexports for persons employed by 

entities headquartered in or with an 

ultimate parent headquartered in the 

United States or a destination specified 

in paragraph (a) of supplement no. 5 to 

Part 740. 

As explained above, ECCN 4E091 

excludes from the control any openweight models. Note 1 to the ECCN 

states that ECCN 4E091 does not control 

the ‘parameters’ of any artificial 

intelligence model that has been 

‘‘published’’ as defined in § 734.7(a), or 

that were subject to additional training 

‘operations’ applied to ‘‘published’’ 

‘parameters,’ such that the additional 

training ‘operations’ constitute no more 

than 2x1025 ‘operations’ or no more than 

25 percent of the training ‘operations’ 

defined in Note 2, whichever is higher. 

ECCN 4E091 also excludes from the 

control models that are less powerful 

than the most powerful open-weight 

model (as determined by the AI Safety 

Institute and the U.S. Department of 

Energy). Note 2 to the ECCN states that 

ECCN 4E091 does not control the 

‘parameters’ of any artificial intelligence 

model trained utilizing fewer 

‘operations’ than the number needed to 

train an artificial intelligence model as 

capable, according to an aggregate of 

widely used benchmarks, as the most 

advanced artificial intelligence model 

that has been ‘‘published’’ as defined in 

§ 734.7(a) of the EAR. 

As described in Note 2 to ECCN 

4E091, to determine if an AI model is 

excluded from ECCN 4E091, an exporter 

may either self-classify its model or 

obtain guidance from BIS. Selfclassification may rely on guidance 

published on BIS’s website http://

www.bis.gov/advanced-computeresources or a technical opinion issued 

by the U.S. AI Safety Institute and the 

Department of Energy. For a BIS 

classification, exporters should submit a 

classification request in accordance 

with the procedures in §§ 748.1 and 

748.3 of the EAR. 

B. Foreign-Direct Product Rule for AI 

Model Weights 

As described above, access to the 

model weights of advanced AI models 

may enable malicious actors to advance 

military end uses, develop WMD, the 

deploy offensive cyber operations, and 

carry out human right abuses. Direct 

access to the model weights may, for 

example, enable malicious actors to use 

the model to provide step-by-step 

instructions for the creation of chemical 

or biological weapons, or to develop AI 

agents capable of conducting advanced 

cyberattacks. This risk applies with 

equal force to model weights produced 

outside the United States using U.S. 

technology as it does to model weights 

produced inside the United States. To 

address the national security and 

foreign policy risk associated with the 

production of AI model weights outside 

of the United States, this rule applies a 

new Foreign Direct Product Rule (FDPR) 

in § 734.9(l). Under this new AI model 

weights FDPR, an item classified under 

new ECCN 4E091 is subject to the EAR 

based on product scope criteria to any 

location, worldwide. License 

requirements and license review policy 

are the same as those for ECCN 4E091, 

meaning that a license is not necessarily 

required just because this new FDPR 

establishes jurisdiction over the model. 

The applicable license requirements 

depend on the license requirements for 

4E091 items, as well as end use and end 

user license requirements described in 

part 744 of the EAR. 

To meet the new FDPR’s product 

scope, the 4E091 item must be produced 

by a 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, is subject to 

the EAR and specified in ECCN 

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

4A005.z, 4A090, 5A002.z, 5A004.z, or 

5A992.z. The ICs, servers, and other 

electronic equipment described in those 

ECCNs, which would be considered 

‘major components’ of a plant under this 

FDPR, are critical to producing model 

weights specified in 4E091. The FDPR 

also includes a note specifying that 

ECCN 4E091 includes any foreignproduced item that is further trained, 

including through techniques that 

follow on initial training, such as finetuning and quantization. Thus, the use 

of items not specified in ECCN 3A001.z, 

3A090, 4A003.z, 4A004.z, 4A005.z, 

4A090, 5A002.z, 5A004.z, or 5A992.z to 

conduct further training of a foreignproduced 4E091 item would not impact 

whether the 4E091 item is subject to the 

EAR. 

C. License Exception Eligibility for AI 

Model Weights 

The only license exception available 

for new ECCN 4E091 is newly-created 

License Exception AIA in § 740.27. 

License Exception AIA authorizes the 

export, reexport, and transfer (incountry) of ECCN 4E091 to entities 

located within the destinations listed in 

paragraph (a) of supplement no. 5 to 

Part 740. This license exception also 

authorizes the export, reexport, and 

transfer (in-country) of AI model 

weights, including the most advanced 

AI models specified in ECCN 4E091, to 

entities headquartered in, or whose 

ultimate parent company is 

headquartered in, the destinations listed 

in paragraph (a) of supplement no. 5 to 


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4556 Federal Register / Vol. 90, No. 9 / Wednesday, January 15, 2025 / Rules and Regulations 

Part 740 and located in any destination 

other than Macau or destinations listed 

in Country Group D:5. As discussed 

below, License Exception AIA also is 

available for certain eligible 

commodities, software, and technology. 

License Exception AIA cannot be used 

to export, reexport or transfer (incountry) ECCN 4E091 or other specified 

ECCNs to an entity headquartered 

outside of, or whose ultimate parent 

company is headquartered outside of, a 

destination specified in paragraph (a) of 

supplement no. 5 to Part 740. 

D. Red Flag Guidance on AI Model 

Weights 

In supplement no. 3 to part 732— 

BIS’s ‘‘Know Your Customer’’ Guidance 

and Red Flags—this IFR adds a new red 

flag to provide compliance guidance to 

assist exporters, re-exporters, and 

transferors of AI model weights in 

complying with BIS’s controls. New red 

flag 28 will help U.S. Infrastructure as 

a Service (IaaS) cloud computing 

providers located in the United States 

identify when training an advanced AI 

model for a customer that is a U.S. 

subsidiary of a foreign entity—and 

transferring the resulting model weights 

to that customer—creates a potential 

diversion concern. Under some 

circumstances, there is a substantial risk 

that the model weights will be exported 

from the United States in violation of 

BIS’s controls. New red flag 28 specifies 

that in scenarios where a U.S. 

subsidiary of an entity headquartered in 

destinations other than those listed in 

paragraph (a) of supplement no. 5 to 

Part 740 uses a U.S. IaaS provider’s 

products or services to train an AI 

model that falls within ECCN 4E091 

raises a red flag under the EAR that the 

model weights may be exported to the 

connected entity without the necessary 

authorization. For example, if a U.S. 

IaaS provider provides infrastructure, in 

the form of clusters of advanced ICs, to 

train an AI model for a separate AI 

development organization, once the 

training run is complete, the model 

weights of the resulting AI model are 

transferred to the AI development 

organization. If a U.S. IaaS provider 

performs this service for a U.S. 

subsidiary of a foreign corporation 

headquartered in a destination to which 

a license requirement for ECCN 4E091 

applies, the performance of the training 

run and the transfer of model weights 

creates a substantial risk that the model 

weights will be diverted to the entity’s 

ultimate parent in violation of the EAR 

and that the IaaS provider may have 

aided and abetted a violation of the 

EAR. 

BIS encourages exporters, reexporters, 

and transferors, as well as IaaS 

providers serving domestic customers, 

to take additional steps as part of their 

compliance programs to determine 

whether the model weights in question 

will be exported, reexported, or 

transferred to a destination subject to a 

license requirement and, if so, either to 

apply for a license or inform their 

customers of the obligation to do so 

prior to export. 

IV. New Definition 

Section 772.1 is amended by adding 

a definition for ‘‘model weights.’’ This 

term is added to § 772.1 to assist the 

public to easily find the definition, 

because it is used in multiple parts of 

the EAR. 

Export Control Reform Act of 2018 

On August 13, 2018, the President 

signed into law the John S. McCain 

National Defense Authorization Act for 

Fiscal Year 2019, which included the 

Export Control Reform Act of 2018 

(ECRA) (codified, as amended, at 50 

U.S.C. 4801–4852). ECRA provides the 

legal basis for BIS’s principal authorities 

and serves as the authority under which 

BIS issues this rule. 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. 

Rulemaking Requirements 

1. Executive Orders 12866, 13563, and 

14094 direct agencies to assess all costs 

and benefits of available regulatory 

alternatives and, if regulation is 

necessary, to select regulatory 

approaches that maximize net benefits 

(including potential economic, 

environmental, public health and safety 

effects and distributive impacts and 

equity). Executive Order 13563 

emphasizes the importance of 

quantifying both costs and benefits and 

of reducing costs, harmonizing rules, 

and promoting flexibility. 

This interim final rule has been 

designated a ‘‘significant regulatory 

action’’ under section 3(f) of Executive 

Order 12866, as amended by Executive 

Order 14094. 

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. Although this 

rule makes important changes to the 

EAR for items controlled for national 

security reasons, BIS believes that the 

overall increases in burdens and costs 

associated with the following 

information collections due to this rule 

are estimated to increase the number of 

submissions by 800 which is not 

expected to exceed the current approved 

estimates. 

• 0694–0088, ‘‘Simplified Network 

Application Processing System,’’ which 

carries a burden-hour estimate of 29.6 

minutes for a manual or electronic 

submission; 

• 0694–0137 ‘‘License Exceptions and 

Exclusions,’’ which carries a burdenhour estimate average of 1.5 hours per 

submission (Note: submissions for 

License Exceptions are rarely required); 

• 0694–0096 ‘‘Five Year Records 

Retention Period,’’ which carries a 

burden-hour estimate of less than 1 

minute; and 

• 0607–0152 ‘‘Automated Export 

System (AES) Program,’’ which carries a 

burden-hour estimate of 3 minutes per 

electronic submission. 

Additional information regarding 

these collections of information— 

including all background materials—can 

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

public/do/PRAMain and 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. 

5. Because a notice of proposed 

rulemaking and an opportunity for 

public comment are not required to be 

given for this rule by 5 U.S.C. 553, or 


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Federal Register / Vol. 90, No. 9 / Wednesday, January 15, 2025 / Rules and Regulations 4557 

by any other law, the analytical 

requirements of the Regulatory 

Flexibility Act, 5 U.S.C. 601, et seq., are 

not applicable. Accordingly, no 

regulatory flexibility analysis is 

required, and none has been prepared. 

List of Subjects 

15 CFR Parts 732 and 750 

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 

Administrative practice and 

procedure, Exports, Reporting and 

recordkeeping. 

15 CFR Part 742 

Exports, Terrorism. 

15 CFR Part 744 

Exports, Reporting and recordkeeping 

requirements, Terrorism. 

15 CFR Part 748 

Administrative practice and 

procedure, Exports, Reporting and 

recordkeeping requirements, Terrorism. 

15 CFR Part 762 

Administrative practice and 

procedure, Business and industry, 

Confidential business information, 

Exports, Reporting and recordkeeping 

requirements. 

15 CFR Part 772 

Exports. 

15 CFR Part 774 

Exports, Reporting and Recordkeeping 

Requirements. 

Accordingly, parts 732, 734, 740, 742, 

744, 748, 750, 762, 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. Supplement No. 3 to part 732 is 

amended by adding paragraph 28 under 

‘‘Red Flags’’ to read as follows: 

Supplement No. 3 to Part 732—BIS’s 

‘‘Know Your Customer’’ Guidance and 

Red Flags 

* * * * * 

Red Flags 

* * * * * 

28. You will be providing Infrastructure-asa-Service (IaaS) products or services, or other 

computing products or services, to assist in 

training an AI model with model weights 

captured by ECCN 4E091 for an entity 

headquartered, or whose ultimate parent is 

headquartered, in any destination other than 

those listed in paragraph (a) of supplement 

no. 5 to part 740 of the EAR. Such assistance 

creates a substantial risk that such AI model 

weights, due to their digital nature, will be 

exported or reexported to a destination for 

which a license is required and, if a license 

is not obtained, that the IaaS provider will 

have aided and abetted in a violation of the 

EAR. In such cases, the IaaS provider should 

inquire if the customer intends to export the 

model and if so, apply for a license as 

required or inform the customer of their 

obligation to do so prior to export. 

PART 734—SCOPE OF THE EXPORT 

ADMINISTRATION REGULATIONS 

■ 3. The authority citation for part 734 

continues to read as follows: 

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

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

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

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

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

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

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

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

223; Notice of November 7, 2024, 89 FR 

88867 (November 8, 2024); Pub. L. 118–50. 

■ 4. Section 734.9 is amended by: 

■ a. Revising paragraph (h); and 

■ b. Adding paragraph (l). 

The addition and revision read as 

follows: 

§ 734.9 Foreign-Direct Product (FDP) 

Rules. 

* * * * * 

(h) Advanced computing FDP rule. A 

foreign-produced item is subject to the 

EAR if it meets both the product scope 

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

the destination scope in paragraph (h)(2) 

of this section. See § 742.6(a)(6) of the 

EAR for license requirements and 

license exceptions and § 742.6(b)(10) for 

license review policy applicable to 

foreign-produced items that are subject 

to the EAR under this paragraph (h). 

(1) Product scope of advanced 

computing FDP rule. The product scope 

applies if a foreign-produced item meets 

the conditions of either paragraph 

(h)(1)(i) or (ii) of this section. 

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

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

meets the product scope of this 

paragraph (h) if it meets both of the 

following conditions: 

(A) The foreign-produced item is the 

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

‘‘software’’ subject to the EAR and 

specified in 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 

(B) The foreign-produced item is: 

(1) Specified in ECCN 3A090, 3E001 

(for 3A090), 4A090, or 4E001 (for 

4A090) of the CCL; or 

(2) An integrated circuit, computer, 

‘‘electronic assembly,’’ or ‘‘component’’ 

specified in ECCN 3A001.z, 4A003.z, 

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

5A992.z. 

(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 (h) if it meets both of the 

following conditions: 

(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 

(B) The foreign-produced item is: 

(1) Specified in ECCN 3A090, 3E001 

(for 3A090), 4A090, or 4E001 (for 

4A090) of the CCL; or 

(2) An integrated circuit, computer, 

‘‘electronic assembly,’’ or ‘‘component’’ 

specified in ECCN 3A001.z, 4A003.z, 

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

5A992.z. 

(2) Destination or end use scope of the 

advanced computing FDP rule. A 

foreign-produced item meets the 

destination scope of this paragraph 

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

foreign-produced item is: 

(i) Destined to any location 

worldwide or will be incorporated into 

any ‘‘part,’’ ‘‘component,’’ ‘‘computer,’’ 

or ‘‘equipment’’ not designated EAR99 

destined to any location worldwide; or 

(ii) ‘‘Technology’’ ‘‘developed’’ by an 

entity headquartered in, or whose 

ultimate parent company is 

headquartered in, either Macau or a 

destination specified in Country Group 


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D:5, for the ‘‘production’’ of a mask or 

an integrated circuit wafer or die. 

Note to 5 paragraph (h)(2)(ii): These enduse requirements under paragraph (h) apply 

when any entity headquartered in, or whose 

ultimate parent company is headquartered 

in, either Macau or a destination specified in 

Country Group D:5, is a party to any 

transaction involving the foreign-produced 

item, e.g., as a ‘‘purchaser,’’ ‘‘intermediate 

consignee,’’ ‘‘ultimate consignee,’’ or ‘‘enduser.’’ 

* * * * * 

(l) AI Model weights FDP rule. A 

foreign-produced item is subject to the 

EAR if it meets both the product scope 

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

the destination scope in paragraph (l)(2) 

of this section. See § 742.6(a)(13) of the 

EAR for license requirements and 

§ 742.6(b)(10) for license review policy 

applicable to foreign-produced items 

that are subject to the EAR under this 

paragraph (l). 

(1) Product scope. The product scope 

applies if a foreign-produced item is 

specified in ECCN 4E091 and is 

produced by a 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, is subject to 

the EAR and specified in ECCN 

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

4A005.z, 4A090, 5A002.z, 5A004.z, or 

5A992.z. 

Note 7 to paragraph (l)(1): A foreignproduced item specified in ECCN 4E091 

includes any foreign produced item that is 

further trained or modified via post-training 

techniques such as fine-tuning, quantization, 

or other techniques. 

(2) Destination scope. A foreignproduced 4E091 item meets the 

destination scope of this paragraph (l)(2) 

if the foreign-produced item is destined 

to any location worldwide. 

* * * * * 

PART 740—LICENSE EXCEPTIONS 

■ 5. 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. 

■ 6. Section 740.2 is amended by 

revising paragraph (a)(9)(ii) introductory 

text and paragraph (a)(9)(ii)(A) to read 

as follows: 

§ 740.2 Restrictions on all License 

Exceptions. 

* * * * * 

(a) * * * 

(9) * * * 

(ii) The item is identified in paragraph 

(a)(9)(ii)(A) or (B) of this section and 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 is 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); HBM under the 

provisions of § 740.25; AIA under the 

provisions of § 740.27 (for ECCN 4E091 

to entities headquartered in countries 

listed in paragraph (a) of supplement 

no. 5 to part 740 and located in 

destinations other than Macau or 

Country Group D:5); or ACM under the 

provisions of § 740.28. Items restricted 

to eligibility only for the foregoing 

license exceptions are: 

(A) Controlled under ECCNs 3A090, 

4A090, 4E091, or associated software 

and technology in 3D001, 3E001, 4D090, 

and 4E001; 

* * * * * 

■ 7. Section 740.8 is amended by 

revising the introductory text of 

paragraph (a) and paragraph (c)(1) 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 is 

headquartered in, Macau or a 

destination specified in Country Group 

D:5, wherever located. License 

Exception ACA authorizes the export, 

reexport, and transfer (in-country) of 

any item classified in ECCN 3A090 

(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 worldwide (except Macau, a 

destination specified in Country Group 

D:5, or an entity headquartered in, or 

whose ultimate parent is headquartered 

in, Macau or a destination specified in 

Country Group D:5, wherever located), 

as well as transfers (in-country) within 

Macau and destinations specified 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. 

* * * * * 

(c) * * * 

(1) Procedures. At least twenty-five 

calendar days prior to exports or 

reexports using License Exception NAC, 

you must provide prior notification 

under License Exception NAC by 

submitting a completed application in 

SNAP–R in accordance with § 748.1 of 

the EAR. The following blocks must be 

completed, as appropriate: Blocks 1, 2, 

3, 4, 5 (by marking box 5 export license 

or reexport license), 9, 14, 16, 17, 18, 19, 

21, 22(a), (d), (e), (f), (g), (h), (i), (j), 23, 

24, and 25 according to the instructions 

described in supplement no. 1 to part 

748 of the EAR. Box 9 under special 

purpose must include NAC. The 

application must include certain 

information to allow for BIS to 

determine if the item in question 

otherwise meets the criteria for an item 

eligible for License Exception NAC. 

Required information to include in the 

NAC submission is as follows: 

(i) Total Processing Performance of 

the item, as defined in ECCN 3A090; 

(ii) Performance density of the item, 

as defined in ECCN 3A090; 

(iii) Data sheet or other 

documentation showing how the item is 

designed and marketed (in particular, 

whether it is designed or marketed for 

datacenter use); 

(iv) All NAC and license approvals to 

the end-user in the past 12 months; 

(v) Memory bandwidth of the item(s); 

and 

(vi) Whether the items are destined 

for use in a computing cluster, and, if 

so: 

(A) The computing power of the 

computing cluster, measured in the 

aggregate TPP of all chips used in the 

cluster once the cluster is complete; and 

(B) Whether the cluster will be: 

(1) Exclusively for internal use by a 

company headquartered in the United 

States or a destination specified in 

Country Group A:5 or A:6, or 

(2) Used by any other companies not 

headquartered in A:5 or A:6, or by 

external parties such as through cloud 

services. 

* * * * * 


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■ 8. Add §§ 740.27, 740.28, and 740.29 

to read as follows: 

§ 740.27 License Exception Artificial 

Intelligence Authorization (AIA). 

(a) Scope. This license exception 

authorizes the export, reexport, and 

transfer (in-country) of the items 

identified in paragraphs (a)(1) and 

(a)(2)(i) of this section to entities located 

within destinations listed in paragraph 

(a) of supplement no. 5 to this part, 

unless the entity is headquartered 

outside of, or has an ultimate parent 

company headquartered outside of, a 

destination specified in paragraph (a) of 

supplement no. 5 to this part, with an 

additional authorization for certain 

model weights in paragraph (a)(3) of this 

section, subject to additional conditions. 

This license exception cannot be used to 

provide items identified in paragraph 

(a)(1) of this section to entities 

headquartered outside of or located 

outside of paragraph (a) in supplement 

no. 5 to this part for training AI models 

specified in ECCN 4E091. Prior to 

export, reexport, or transfer (in-country) 

of eligible items in paragraph (a)(1) of 

this section, the exporter, reexporter, or 

transferor must obtain the certification 

described in (b)(2) of this section and 

submit it to BIS. 

(1) Eligible commodities for this 

exception are: ECCNs 3A001.z.1.a, z.2.a, 

z.3.a, z.4.a; 3A090.a; 4A003.z.1.a, z.2.a; 

4A004.z.1; 4A005.z.1; 4A090.a; 

5A002.z.1.a, z.2.a, z.3.a, z.4.a, z.5.a; 

5A004.z.1.a, z.2.a; 5A992.z.1; 

5A004.z.1.a, z.2.a; and 5A992.z.1. 

(2) Eligible software and technology 

for this exception are: 

(i) Advanced Integrated Circuits: 

3D001 (for ‘‘software’’ for commodities 

controlled by 3A001.z.1.a, z.2.a, z.3.a, 

z.4.a and 3A090.a); 4D001 (for 

‘‘software’’ for commodities controlled 

by 4A003.z.1.a, z.2.a, 4A004.z.1, and 

4A005.z.1); 4D090 (for ‘‘software’’ for 

commodities controlled by 4A090.a); 

4E001 (for ‘‘technology’’ for 

commodities controlled by 4A003.z.1.a, 

z.2.a, 4A004.z.1, 4A005.z.1, 4A090.a or 

‘‘software’’ specified by 4D001 (for 

4A003.z.1.a, z.2.a 4A004.z.1, and 

4A005.z.1) or 4D090.a); ; 5D002.z.1.a 

z.2.a, z.3.a, z.4.a, z.5.a, z.6.a, z.7.a, z.8.a, 

and z.9.a, or 5D992.z.1; 5E002 (for 

‘‘technology’’ for commodities 

controlled by 5A002.z.1.a, z.2.a, z.3.a, 

z.4.a, z.5.a or 5A004.z.1.a, z.2.a or 

‘‘software’’ specified by 5D002 (for 

5A002. z.1.a, z.2.a, z.3.a, z.4.a, z.5.a or 

5A004.z.1.a, z.2.a commodities)); and 

5E992 (for ‘‘technology’’ for 

commodities controlled by 5A992.z.1 or 

‘‘software’’ controlled by 5D992.z.1.) 

(ii) AI Model Weights specified by 

ECCN 4E091, subject to the additional 

requirements in paragraph (a)(3) of this 

section. 

(3) Additional authorization for AI 

model weights. For items identified in 

paragraph (a)(2)(ii) of this section only, 

this license exception also authorizes 

the export, reexport, and transfer (incountry) to entities headquartered, or 

whose ultimate parent company is 

headquartered, in the destinations listed 

in paragraph (a) of supplement no. 5 to 

this part 740, as long as: 

(i) The entities obtaining the items are 

located outside Macau or destinations 

specified in Country Group D:5, and 

(ii) These items will be stored in a 

facility that complies with paragraphs 

14, 15 and 18 of the guidelines outlined 

in supplement no. 10 to part 748 

(regardless of whether the facility is 

designated as a VEU). 

(b) Requirements prior to use of this 

license exception for eligible 

commodities, software, and technology 

identified in paragraphs (a)(1) and 

(a)(2)(i) of this section—(1) Furnish 

ECCN. The exporter, reexporter, or 

transferor must furnish to the ultimate 

consignee the ECCN of each item to be 

exported, reexported, or transferred (incountry) pursuant to this section. Once 

furnished to a particular ultimate 

consignee, the ECCN need not be 

refurnished to that same ultimate 

consignee at the time the same exporter, 

reexporter, or transferor makes an 

additional export, reexport, or transfer 

(in-country) of the same item, if the 

ECCN(s) remains accurate at the time of 

the additional export, reexport, or 

transfer (in-country). For purposes of 

this license exception, the ultimate 

consignee is the entity that has 

ownership over the eligible item(s) in 

paragraph (a)(1) or (a)(2)(ii). 

(2) Ultimate consignee certification. 

Prior to use of this license exception for 

items identified in (a)(1) only, the 

exporter, reexporter, or transferor must 

obtain a certification from the ultimate 

consignee. The certification is a onetime certification provided by each 

ultimate consignee that will be receiving 

items through the use of this license 

exception. The certification should 

provide that: [INSERT NAME(S) OF 

ULTIMATE CONSIGNEE(S)]: 

(i) Is aware that [INSERT GENERAL 

DESCRIPTION AND APPLICABLE 

ECCN(S) OF ITEMS TO BE SHIPPED 

(e.g., Boards classified under ECCN 

4A090.a)) will be shipped pursuant to 

License Exception Artificial Intelligence 

Authorization (AIA) of the Export 

Administration Regulations (EAR), 15 

CFR parts 730–774; 

(ii) Agrees not to export, reexport, or 

transfer (in-country) these items to any 

end use or end user prohibited pursuant 

to Part 744 of the EAR without BIS 

authorization; 

(iii) Agrees items received under this 

license exception are not, without prior 

authorization from the U.S. Department 

of Commerce’s Bureau of Industry and 

Security (BIS), to be used to provide 

Infrastructure-as-a-Service (IaaS) access 

for training AI models specified in 

ECCN 4E091 for entities headquartered 

or located outside of, or whose ultimate 

parent company is headquartered 

outside of destinations listed in 

paragraph (a) of Supplement No. 5 to 

part 740; 

(iv) Agrees that the items received 

under this license exception will not be 

exported, reexported, or transferred (incountry) to an entity headquartered or 

located outside of, or whose ultimate 

parent company is headquartered 

outside of paragraph (a) of Supplement 

No. 5 to Part 740 without prior 

authorization from BIS; and 

(v) Inserts [NAME(S), SIGNATURE(S), 

AND TITLE(S) OF PERSON(S) 

AUTHORIZED TO SIGN THIS 

DOCUMENT ON BEHALF OF THE 

ULTIMATE CONSIGNEE, AND 

DATE(S) DOCUMENT IS SIGNED]. 

(3) Notification to ultimate consignee 

of AIA shipment. With each shipment 

under License Exception AIA, the 

exporter (or reexporter or transferor as 

applicable), must notify the ultimate 

consignee in writing that the shipment 

is made pursuant to License Exception 

AIA. The notice must either specify 

which items are subject to License 

Exception AIA or state that the entire 

shipment is made pursuant to License 

Exception AIA. The notice must clearly 

identify the shipment to which it 

applies. The written notice may be 

conveyed by paper documents or by 

electronic methods such as facsimile or 

email. 

(c) Reporting requirement. Once the 

exporter, reexporter, or transferor 

obtains the certification from the 

ultimate consignee for items identified 

in paragraph (a)(1) only, prior to the 

initial export, reexport or transfer (incountry), the exporter, reexporter, or 

transferor must submit the certification 

to EARReports@bis.doc.gov, with the 

subject line: AIA Certification. 

Following submission of the 

certification, exporters, reexporters and 

in-country transferors are not required 

to sign or provide a subsequent 

certification if the notification described 

in (b)(4) is provided to the ultimate 

consignee. This reporting requirement is 

only applicable if the ultimate 

consignee is receiving items identified 

in paragraph (a)(1) with a cumulative 

total processing performance (TPP) of 

253,000,000. 


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§ 740.28 License Exception Advanced 

Compute Manufacturing (ACM). 

(a) Scope. License Exception ACM 

authorizes the export, reexport, and 

transfer (in-country) of eligible items 

specified in paragraph (b) to ‘private 

sector end users’ for the ‘‘development,’’ 

‘‘production,’’ or storage (in a 

warehouse or other similar facility) 

prior to export, reexport, or transfer (in 

country) to the ultimate end user of 

eligible items specified in paragraph (b) 

for items that are ultimately destined to 

customers outside of Macau or 

destinations specified in Country Group 

D:5, unless otherwise authorized. 

(b) Eligible commodities, software, 

and technology. Items controlled by 

ECCNs 3A001.z; 3A090; 3D001 (for 

‘‘software’’ for commodities controlled 

by 3A001.z or 3A090); 3E001 (for 

‘‘technology’’ for commodities 

controlled by 3A001.z or 3A090); 

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 commodities controlled by 

4A003.z, 4A004.z, 4A005.z, 4A090 or 

‘‘software’’ specified by 4D001 (for 

4A003.z, 4A004.z, or 4A005.z), or 

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). 

(c) Ineligible destinations. License 

Exception ACM does not authorize the 

export, reexport, or transfer (in-country) 

to Macau or any destination specified in 

Country Group D:5, or to any consignee 

wherever located when the ultimate 

consignee is headquartered in, or the 

ultimate consignee’s ultimate parent 

company is headquartered in, Macau or 

a destination specified in Country 

Group D:5. 

(d) Private sector end user. A ‘private 

sector end user’ is either an individual 

who is not acting on behalf of any 

government (other than the U.S. 

Government), or a commercial firm 

(including its subsidiary and parent 

firms, and other subsidiaries of the same 

parent) that is not wholly owned by, or 

otherwise controlled by any government 

(other than the U.S. Government). 

(e) Accounting. Exporters, 

reexporters, and transferors must 

maintain a system of distribution that 

allows them to account for the number 

of controlled items transferred to, and 

subsequently out, of the facility. Such 

accounting should be done for each 

facility, with records updated every six 

months or more frequently. 

§ 740.29 License Exception Low 

Processing Performance (LPP). 

(a) Scope. License Exception LPP 

authorizes the export and reexport of up 

to 26,900,000 cumulative total 

processing performance (TPP) of 

advanced computing integrated circuits 

per-calendar year directly to a single 

ultimate consignee. If the ultimate 

consignee is headquartered in a 

destination specified in paragraph (a) of 

supplement no. 5 to part 740, then the 

ultimate consignee may apply the 

cumulative TPP of exports and 

reexports of eligible commodities under 

this license exception toward the 

cumulative TPP limit of a different 

entity that will operate the items in 

paragraph (b). This license exception 

does not authorize transfers (incountry). 

(b) Eligible commodities. Eligible 

commodities are those under ECCNs 

3A001.z.1.a, z.2.a, z.3.a, z.4.a; 3A090.a; 

4A003.z.1.a, z.2.a; 4A004.z.1; 4A005.z.1; 

4A090.a; 5A004.z.1.a, z.2.a; and 

5A992.z.1. 

(c) Eligible destinations. This License 

Exception is available except: 

(1) To destinations specified in 

Country Group D:5 or Macau, or 

(2) To any destination when the 

ultimate consignee is headquartered in 

or has an ultimate parent company 

headquartered in Macau or a destination 

specified in Country Group D:5. 

(d) Restriction on annual processing 

power volume of LPP. The total TPP 

volume of all exports and reexports of 

eligible commodities under this license 

exception made by all exporters and 

reexporters to a single ultimate 

consignee per calendar year may not 

exceed 26,900,000 TPP; however, there 

is no restriction on the number of 

shipments or the number of exporters 

and reexporters, provided that TPP 

volume is not exceeded. This annual 

TPP limit applies to shipments by all 

exporters and reexporters to the same 

ultimate consignee even though the 

shipments are made through more than 

one intermediate consignee. 

(e) Prohibited end use and end user. 

This license exception cannot be used to 

export or reexport items to any end use 

or end user prohibited under Part 744. 

(f) Ultimate Consignee Statement. 

Prior to use of this license exception the 

exporter or reexporter must obtain a 

certification from the ultimate consignee 

that: [INSERT NAME(S) OF ULTIMATE 

CONSIGNEE(S)]: 

(i) Is aware that [INSERT GENERAL 

DESCRIPTION AND APPLICABLE 

ECCN(S) OF ITEMS TO BE SHIPPED 

(e.g., Boards classified under ECCN 

4A090.a)] will be shipped pursuant to 

License Exception Low Processing 

Performance; 

(ii) Agrees not to export, reexport, or 

transfer these items to any use or user 

prohibited under Part 744 of the Export 

Administration Regulations; 

(iii) Certifies that they have not 

received a ‘cumulative TPP’ of 

26,900,000 of ECCNs 3A001.z.1.a, z.2.a, 

z.3.a, z.4.a; 3A090.a; 4A003.z.1.a, z.2.a; 

4A004.z.1; 4A005.z.1; 4A090.a; 

5A002.z.1.a, z.2.a, z.3.a, z.4.a, z.5.a; 

5A004.z.1.a, z.2.a; 5A992.z.1, 

5A004.z.1.a, z.2.a; and 5A992.z.1 items 

in the relevant calendar year under 

License Exception LPP. 

(iv) Inserts [NAME(S), 

SIGNATURE(S), AND TITLE(S) OF 

PERSON(S) AUTHORIZED TO SIGN 

THIS DOCUMENT ON BEHALF OF 

THE ULTIMATE CONSIGNEE, AND 

DATE(S) DOCUMENT IS SIGNED]. 

(g) Reporting requirement. (1) 

Exporters and reexporters, having 

obtained the required certification in 

paragraph (f) prior to exporting or 

reexporting eligible items, must provide 

a copy of that certification to BIS by 

email to EARReports@bis.doc.gov with 

subject line ‘‘LPP Shipment’’ within 30 

days of the date on which the export or 

reexport takes place. 

(2) Ultimate consignees receiving 

eligible commodities under this License 

Exception TPP must notify BIS by email 

to EARReports@bis.doc.gov with subject 

line ‘‘LPP TPP Limit Reached’’ 

whenever they have received the 

maximum allowable 26,900,000 TPP 

under this license exception in a 

calendar year in all shipments from all 

exporters and reexporters. Notification 

to BIS should be made as soon as the 

ultimate consignee actually receives the 

final shipment of eligible commodities 

that exhausts the consignee’s annual 

TPP volume limit. 

(3) Exporters and reexporters, prior to 

exporting or reexporting the eligible 

items, must notify BIS by email to 

EARReports@bis.doc.gov with the 

subject line ‘‘LPP Shipment’’ of any 

shipment with an aggregate TPP of 

3,200,000. 

(h) Definitions—(1) Ultimate 

consignee. For purposes of this license 

exception, the ultimate consignee is the 

ultimate parent entity that has ultimate 

ownership over the items in paragraph 

(b). 

(2) Cumulative TPP. The ‘cumulative 

TPP’ is the total amount of TPP, as 

defined in the Technical Notes to 

3A090, of all eligible commodities in 


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paragraph (b) that are received by a 

single ultimate consignee in all 

shipments from all exporters and 

reexporters in a calendar year. 

Cumulative TPP should be calculated by 

adding the individual TPP for any items 

specified in 3A090.a and 4A090.a and 

any items specified in 3A001.z, 

4A003.z, 4A004.z, 4A005.z, 5A002.z, 

5A004.z, or 5A992.z that meet or exceed 

the parameters of 3A090.a or 4A090.a. 

■ 9. Part 740 is amended by adding 

Supplement No. 5 to read as follows: 

Supplement No. 5 to Part 740— 

Artificial Intelligence Authorization 

Countries 

(a) Destinations eligible: 

Australia 

Belgium 

Canada 

Denmark 

Finland 

France 

Germany 

Ireland 

Italy 

Japan 

Netherlands 

New Zealand 

Norway 

Republic of Korea 

Spain 

Sweden 

Taiwan 

United Kingdom 

United States 

(b) Destinations that have provided 

government assurances to the U.S. 

Government and therefore are subject to a 

higher country allocation. 

PART 742—CONTROL POLICY—CCL 

BASED CONTROLS 

■ 10. 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). 

■ 11. Section 742.6 is amended by 

■ a. Revising paragraph (a)(6)(iii); 

■ b. Adding paragraph (a)(13); 

■ c. Revising paragraph (b)(10)(iii); and 

■ d. Adding (b)(14). 

The revisions and additions read as 

follows: 

§ 742.6 Regional stability. 

* * * * * 

(a) * * * 

(6) * * * 

(iii)(A) Worldwide license 

requirement. A license is required to 

export, reexport, or transfer (in-country) 

items specified in ECCNs 3A001.z.1.a, 

z.2.a, z.3.a, z.4.a; 3A090.a; 3D001 (for 

‘‘software’’ for commodities controlled 

by 3A001.z.1.a, z.2.a, z.3.a, z.4.a, or 

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

commodities controlled by 3A001.z.1.a, 

z.2.a, z.3.a, z.4.a, or 3A090.a); 

4A003.z.1.a, z.2.a; 4A004.z.1; 4A005.z.1; 

4A090.a; 4D001 (for ‘‘software’’ for 

commodities controlled by 4A003.z.1.a, 

z.2.a, 4A004.z.1, and 4A005.z.1); 4D090 

(for ‘‘software’’ for commodities 

controlled by 4A090.a); 4E001 (for 

commodities controlled by 4A003.z.1.a, 

z.2.a, 4A004.z.1, 4A005.z.1, 4A090.a or 

‘‘software’’ specified by 4D001 (for 

4A003.z.1.a, z.2.a, 4A004.z.1, or 

4A005.z.1), or 4D090 (for ‘‘software’’ for 

commodities controlled by 4A090.a)); 

5A002.z.1.a, z.2.a, z.3.a, z.4.a, z.5.a; 

5A004.z.1.a, z.2.a; 5A992.z.1; 

5D002.z.1.a, z.2.a, z.3.a, z.4.a, z.5.a, 

z.6.a, z.7.a, z.8.a, and z.9.a; 5D992.z.1; 

5E002 (for ‘‘technology’’ for 

commodities controlled by 5A002.z.1.a, 

z.2.a, z.3.a, z.4.a, z.5.a or 5A004.z.1.a, 

z.2.a or ‘‘software’’ specified by 5D002 

(for 5A002.z.1.a, z.2.a, z.3.a, z.4.a, z.5.a 

or 5A004.z.1.a, z.2.a commodities)); or 

5E992 (for ‘‘technology’’ for 

commodities controlled by 5A992.z.1 or 

‘‘software’’ controlled by 5D992.z.1.) to 

or within any destination worldwide. 

(B) Country Groups D:1, D:4, or D:5 

license requirement excluding 

destination also specified in Country 

Groups A:5 or A:6. A license is required 

to export, reexport, or transfer (incountry) items specified in ECCNs 

3A001.z.1.b, z.2.b, z.3.b, z.4.b; 3A090.b; 

3D001 (for ‘‘software’’ for commodities 

controlled by 3A001.z.1.b, z.2.b, z.3.b, 

z.4.b; 3A090.b); 3E001 (for ‘‘technology’’ 

for commodities controlled by 

3A001.z.1.b, z.2.b, z.3.b, z.4.b, or 

3A090.b); 4A003.z.1.b, z.2.b; 4A004.z.2; 

4A005.z.2; 4A090.b; 4D001 (for 

‘‘software’’ for commodities controlled 

by 4A003.z.1.b, z.2.b, 4A004.z.2, and 

4A005.z.2); 4D090 (for ‘‘software’’ for 

commodities controlled by 4A090.b); 

4E001 (for commodities controlled by 

4A003.z.1.b, z.2.b, 4A004.z.2, 

4A005.z.2, 4A090.b or ‘‘software’’ 

specified by 4D001 (for 4A003.z.1.b, 

z.2.b, 4A004.z.2, or 4A005.z.2), or 

4D090 (for ‘‘software’’ for commodities 

controlled by 4A090.b)); 5A002.z.1.b, 

z.2.b, z.3.b, z.4.b, z.5.b; 5A004.z.1.b, 

z.2.b; 5A992.z.2; 5D002.z.1.b, z.2.b, 

z.3.b, z.4.b, z.5.b, z.6.b, z.7.b, z.8.b, and 

z.9.b; 5D992.z.2; 5E002 (for 

‘‘technology’’ for commodities 

controlled by 5A002.z.1.b, z.2.b, z.3.b, 

z.4.b, z.5.b or 5A004.z.1.b, z.2.b or 

‘‘software’’ specified by 5D002 (for 

5A002. z.1.b, z.2.b, z.3.b, z.4.b, z.5.b or 

5A004.z.1.b, z.2.b commodities)); or 

5E992 (for ‘‘technology’’ for 

commodities controlled by 5A992.z.2 or 

‘‘software’’ controlled by 5D992.z.2.) to 

or within a destination in Country 

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

destinations also specified in Country 

Groups A:5 or A:6. 

* * * * * 

(13) RS requirement that applies to 

artificial intelligence model weights. A 

license is required for the export, 

reexport, and transfer (in-country) of 

items specified in ECCN 4E091 to all 

destinations worldwide. The license 

requirements in this paragraph (a)(13) 

do not apply to deemed exports or 

deemed reexports for ‘permanent 

regular employees,’ as that term is 

defined § 734.20(d)(2), employed by 

entities headquartered in or with an 

ultimate parent headquartered in a 

destination specified in paragraph (a) of 

Supplement No. 5 to Part 740. 

* * * * * 

(b) * * * 

(10) * * * 

(iii) License review policy for 

paragraph (a)(6)(iii)(A)—(A)(1) Policy 

for Country Group D:5 and Macau. For 

items specified in paragraph 

(a)(6)(iii)(A) of this section, applications 

for exports, reexports, or transfers (incountry) to or within Macau or 

destinations specified in Country Group 

D:5 or to an entity headquartered in, or 

whose ultimate parent company is 

headquartered in, either Macau or a 

destination specified in Country Group 

D:5 will be reviewed under a 

presumption of denial. 

(2) Policy for countries in paragraph 

(a)of supplement no. 5 to part 740. For 

items specified in paragraph 

(a)(6)(iii)(A) of this section, applications 

for exports, reexports, or transfers (incountry) to or within destinations listed 

in paragraph (a) to supplement no. 5 of 

Part 740, or to entities headquartered in, 

or whose ultimate parent company is 

headquartered in, a destination listed in 

paragraph (a) to supplement no. 5 of 

Part 740 will be reviewed under a 

presumption of approval. 

(B) Country Allocations and licensing 

policy for all other destinations. For 

items specified in paragraph 

(a)(6)(iii)(A) of this section, applications 

for exports, reexports, or transfers (incountry) to or within a destination or to 

entities headquartered, or whose 

ultimate parent is headquartered, in a 

destination not listed in either 

paragraph (a) or (b) of supplement no. 

5 of Part 740: 


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4562 Federal Register / Vol. 90, No. 9 / Wednesday, January 15, 2025 / Rules and Regulations 

(1) Not exceeding the country 

allocation. Applications for exports, 

reexports, or transfers (in-country) will 

be reviewed under a presumption of 

approval, up to a per-country allocation 

of 790,000,000 TPP for the period from 

2025 to 2027, 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. These 

TPP allocations represent permitted 

cumulative installed base, not newly 

available TPP in addition to previousyear installed bases. BIS will calculate 

progress toward country allocations by 

totaling the TPP of 3A090.a, 4A090.a, 

and corresponding .z items licensed to 

each destination cumulatively 

beginning in 2025. Items exported, reexported, or transferred (in-country) 

before 2025 will not count toward 

country allocations. Please visit 

www.bis.gov/advanced-computeresources for an update on whether the 

country allocations have been met. 

(2) Exceeding the country allocation. 

After the country allocations above are 

met, applications will be reviewed 

under a policy of denial. Together with 

the Departments of State, Energy, and 

Defense, BIS will review allocations for 

subsequent years on an annual basis. 

(C) For items specified in paragraph 

(a)(6)(iii)(A) of this section, applications 

for exports, reexports, or transfers (incountry) to or within destinations listed 

in paragraph (b) of supplement no. 5 to 

Part 740, TPP allocations may be 

increased up to 100% for that 

destination pursuant to government-togovernment assurances, as applicable. 

Accordingly, the licensing policy in 

paragraph (b)(10)(iii)(B) will apply, up 

to the adjusted country allocations. 

(iv) For items specified in paragraph 

(a)(6)(iii)(B) of this section: 

(A) Presumption of approval. 

Applications for exports, reexports, or 

transfers (in-country) will be reviewed 

with a presumption of approval to or 

within destinations not specified in 

Country Group D:5 or Macau or to an 

entity not headquartered in, and whose 

ultimate parent company is not 

headquartered in, either Macau or a 

destination specified in Country Group 

D:5. 

(B) Presumption of denial. 

Applications for exports, reexports, or 

transfers (in-country) will be reviewed 

under a presumption of denial to or 

within Macau or destinations specified 

in Country Group D:5 or to an entity 

headquartered in, or whose ultimate 

parent company is headquartered in, 

either Macau or a destination specified 

in Country Group D:5. 

* * * * * 

(14) License Review Policy for AI 

Model Weights in (a)(13) of this section. 

Applications to export, reexport, or 

transfer (in-country) items classified 

under ECCN 4E091 will be reviewed 

under a presumption of denial for end 

users headquartered, or with an ultimate 

parent headquartered, outside of 

destinations listed in paragraph (a) to 

supplement No. 5 to part 740. 

Note to paragraph (b)(14): Note 2 to ECCN 

4E091 explains that 4E091 does not control 

the ‘parameters’ of any artificial intelligence 

model trained utilizing fewer ‘operations’ 

than the number needed to train an artificial 

intelligence model as capable, according to 

an aggregate of widely used benchmarks, as 

the most advanced artificial intelligence 

model that has been ‘‘published’’ as defined 

in § 734.7(a) of the EAR. 

* * * * * 

PART 744—CONTROL POLICY: ENDUSER AND END-USE BASED 

■ 12. 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). 

■ 13. Revise § 744.23(a)(3)(i) to read as 

follows: 

§ 744.23 ‘‘Supercomputer,’’ ‘‘advancednode integrated circuits,’’ and 

semiconductor manufacturing equipment 

end use controls. 

* * * * * 

(a) * * * 

(3) * * * 

(i)(A) Any item subject to the EAR 

and specified in ECCN 3A001.z.1.b, 

z.2.b, z.3.b, z.4.b; 3A090.b; 4A003.z.1.b, 

z.2.b; 4A004.z.2; 4A005.z.2; 4A090.b; 

5A002.z.1.b, z.2.b, z.3.b, z.4.b, z.5.b; 

5A004.z.1.b, z.2.b; 5A992.z.2, 

5D002.z.1.b, z.2.b, z.3.b, z.4.b, z.5.b, 

z.6.b, z.7.b, z.8.b, and z.9.b; 5D992.z.2 

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)). 

(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. 

PART 748—APPLICATIONS 

(CLASSIFICATION, ADVISORY, AND 

LICENSE) AND DOCUMENTATION 

■ 14. The authority citation for part 748 

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. 

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

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

Comp., p. 783; Notice of August 13, 2024, 8 

FR 66187 (August 15, 2024). 

■ 15. Section 748.3 is amended by 

adding paragraph (f) to read as follows: 

§ 748.3 Classification requests and 

advisory opinions. 

* * * * * 

(f) Classification requests for artificial 

intelligence models. Classification 

requests may be submitted to confirm 

that technology is not controlled under 

ECCN 4E091 because the artificial 

intelligence model has been trained 

utilizing fewer computational 

‘operations’ than the number needed to 

train a model as capable, according to 

an average of widely used benchmarks, 

as the most advanced artificial 

intelligence model that has been 

‘‘published’’ as defined in § 734.7(a) of 

the EAR. Refer to the technical notes to 

ECCN 4E091 for instructions regarding 

self-classifications of artificial 

intelligence models. 

■ 16. Section 748.15 is amended by 

revising the introductory text and 

paragraphs (a)(1), (a)(2), (b), (d)(2), and 

(f) to read as follows: 

§ 748.15 Authorization Validated End-User 

(VEU). 

Validated end-users (VEU) are those 

who have been previously approved by 

BIS pursuant to the requirements of this 

section. To be eligible for authorization 

VEU, exporters, reexporters, and 

validated end-user applicants must 

adhere to the conditions and restrictions 

set forth in paragraphs (a) through (f) of 

this section. If a request for VEU 


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Authorization for a particular end-user 

is not granted, no new license 

requirement is triggered. In addition, 

such a result does not render the end 

user ineligible for license approvals 

from BIS. There are two types of VEU 

authorization: General VEU 

Authorization and Data Center VEU 

Authorization. General VEU 

Authorizations permit the export, 

reexport, and transfer to validated endusers of any eligible items that will be 

used in a specific eligible destination. 

Data Center VEU Authorizations permit 

the export and reexport to validated 

end-users of any eligible items that will 

be used in specific data centers. A data 

center is a facility or ‘‘facilities’’ that 

house a multi-racked, networked 

computer system that include servers, 

storage devices, and networking 

equipment. Data Center VEU 

Authorizations may be either universal 

or national authorizations. 

(a)(1) Eligible end-users for General 

VEU Authorizations and Data Center 

VEU Authorizations. The only end users 

to whom eligible items may be exported, 

reexported, or transferred under a 

General VEU Authorization or a Data 

Center VEU Authorization are those 

validated end-users identified in 

Supplement No. 7 to this part. Those 

entities were added as VEUs according 

to the provisions in this Section and 

Supplement Nos. 8 and 9 to this part. 

(2) Requests for authorizations—(i) 

Advisory opinion. To apply for a 

General VEU Authorization or Data 

Center VEU Authorization, requests for 

authorization must be submitted in the 

form of an advisory opinion request, as 

described in § 748.3(c), and must 

include a list of items (except as 

excluded by paragraph (c) of this 

section), identified by ECCN, intended 

for export, reexport, or transfer (incountry) to an eligible end-user, once 

approved. 

(ii) Applications for Universal VEU 

(UVEU) Authorization—(A) Application 

Overview. A UVEU authorization should 

be submitted by the owner of the 

advanced computing ICs. To qualify for 

UVEU authorization, the owner of the 

advanced computing ICs must certify 

that it will follow the guidelines in 

Supplement No. 10 to this part. The 

owner of the advanced compute must 

certify that it will follow the guidelines 

in paragraphs 14, 15, and 18 of 

Supplement No. 10 to this part on or 

before January 15, 2026. If the owner of 

the advanced computing ICs cannot 

certify to all of the guidelines in 

Supplement No. 10 to this part, it must 

notify BIS in its application of the other 

entities involved in its operations. The 

applicant must also provide signed 

certifications from such entities as set 

forth in Supplement No. 10 to this part. 

For UVEUs, if the operator of the 

advanced compute is different from the 

owner of the advanced compute, the 

operator must itself have an 

Authorization UVEU. As appropriate, 

BIS will adjudicate complete UVEU 

applications within 30 days of receipt. 

A UVEU will need to file a notification 

with BIS when building a datacenter in 

a new location 180 days before any 

exports, reexports, or transfers (incountry) to the new datacenter. The 

notification should include the physical 

address of the new data center location. 

BIS will use this information to update 

the eligible destination column in the 

validated end user list in Supplement 

No. 7 to this part. The UVEU may 

choose whether to list a corporate 

address or a physical address of the new 

data center location. The UVEU may 

furnish its BIS authorization letter as 

proof of its authorization to receive 

exports, reexports, or transfers (incountry) prior to the publication of an 

amendment to Supplement No. 7 to this 

part that includes a physical address, or 

where Supplement No. 7 includes a 

corporate address but not a physical 

address. No other requirements may be 

placed on the UVEU beyond those 

described in Supplement No. 10 to this 

part as a condition for granting the 

original UVEU application. 

(B) UVEU Compute Geographic 

Allocations. UVEUs will be subject to 

the geographic allocations identified in 

paragraph 6 or Supplement No. 10 to 

this part. 

(iii) Applications for National VEU 

(NVEU) Authorization—(A) Application 

Overview. The NVEU Authorization will 

allow an entity to receive exports and 

reexports in a specific country as 

specified in their NVEU authorization. 

For every additional country in which 

the NVEU wants to operate, the owner 

of the advanced compute must obtain a 

separate NVEU authorization. To qualify 

for NVEU authorization, the owner of 

the advanced computing ICs must 

adhere to guidelines provided in 

Supplement No. 10 to this part but, 

depending on its location and the 

national security and foreign policy 

risks associated with that location, may 

be subject to other requirements. The 

owner of the advanced compute must 

certify that it will follow the guidelines 

in paragraphs 14, 15, and 18 of 

Supplement No. 10 to this part on or 

before January 15, 2026. If the owner of 

the advanced computing ICs cannot 

certify to all of the guidelines in 

Supplement No. 10 to this part, it must 

notify BIS in its application of the other 

entities involved in its operations. 

Applicants must provide written 

assurances from those other entities 

consistent with Supplement No. 10 to 

this part during the application review 

process. Government-to-Government 

assurances between the United States 

and the government of the country in 

which the NVEU wishes to operate may 

be sought before a NVEU is granted. 

Where multiple entities will own and 

operate the NVEU they should submit a 

joint application. For NVEUs, if the 

operator of the advanced compute is 

different from the owner of the 

advanced compute, the operator must 

itself have its own Authorization NVEU. 

After receiving NVEU Authorization, 

the NVEU will be listed as such in 

Supplement No. 7 to this part. The 

NVEU may inform BIS if it prefers that 

Supplement No. 7 list a corporate 

address or a physical address of the new 

data center location. Once approved for 

Authorization NVEU by BIS, the NVEU 

may furnish its BIS authorization letter 

that includes physical addresses as 

proof of its authorization to receive 

exports, reexports, or transfers (incountry) prior to the publication of an 

amendment to Supplement No. 7 that 

includes a physical address, or where 

Supplement No. 7 includes a corporate 

address but not a physical address. 

(B) NVEU TPP Allocation. NVEUs 

will be subject to a per-NVEU percountry installed base allocation of total 

processing performance (TPP), as 

measured by the collective computing 

power of items subject to ECCNs 

3A090.a, 4A090.a, or corresponding .z 

paragraphs, as provided below: 

TABLE 1 TO PARAGRAPH (a)(2)(iii)(B) 

Quarter 

Cumulative 

per-company 

per-country 

allocation 

in TPP 

2025 Q1 ............................ 633,000,000 

2025 Q2 ............................ 949,500,000 

2025 Q3 ............................ 1,266,000,000 

2025 Q4 ............................ 1,582,500,000 

2026 Q1 ............................ 1,899,000,000 

2026 Q2 ............................ 2,690,250,000 

2026 Q3 ............................ 3,481,500,000 

2026 Q4 ............................ 4,272,750,000 

2027 Q1–4 ........................ 5,064,000,000 

These TPP allocations represent 

permitted cumulative installed base 

during a given quarter, not newly 

available TPP in addition to previousquarter installed bases, and do not count 

towards or impact country allocations. 

Advanced computing ICs that suffer 

attrition due to factors such as loss, 

damage, failure, relocation, and resale 

do not count toward allocations. 


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(iv) Information to include and 

address for submissions. To ensure a 

thorough review, applications for 

Authorization VEU must include the 

information described in Supplement 

No. 8 to this part. Applications for 

UVEU and NVEU should also include 

information demonstrating that the 

applicant can adhere to the guidelines 

described in Supplement No. 10 to this 

part. Requests for authorization will be 

accepted from exporters, reexporters, or 

end users. Submit the request to: The 

Office of Exporter Services, Bureau of 

Industry and Security, U.S. Department 

of Commerce, 14th Street and 

Pennsylvania Avenue NW, Room 

2099B, Washington, DC 20230. Mark the 

package ‘‘Request for [insert ‘‘General,’’ 

‘‘Data Center—Universal,’’ or ‘‘Data 

Center—National’’ as appropriate] 

Authorization Validated End-user.’’ 

* * * * * 

(b) Eligible destinations—(1) General 

VEU Authorizations. General VEU 

Authorizations may be used for the 

following destinations: 

(i) The People’s Republic of China. 

(ii) India. 

(2) Data Center VEU Authorizations. 

(i) UVEU must be headquartered in, or 

have their ultimate parent company 

headquartered in, destinations listed in 

paragraph (a) of Supplement No. 5 to 

Part 740, and UVEU data centers may be 

located anywhere, except in Macau or 

destinations specified in Country Group 

D:5. 

(ii) NVEU may be headquartered, have 

an ultimate parent headquartered, or 

located in a destination specified in 

Country Groups A, B, or D:1–D:4, except 

Macau or destinations specified in 

Country Group D:5. NVEU data centers 

can be built around the world, except in 

Macau or destinations specified in 

Country Group D:5. 

* * * * * 

(d) * * * 

(2) Data Center VEU Authorizations. 

Items obtained under Data Center VEU 

Authorizations may not be used for any 

activities described in part 744 of the 

EAR. Eligible validated end users who 

obtain items under VEU may only: 

(i) Use such items at the end user’s 

own facility located in an authorized 

destination; 

(ii) Consume such items during use; 

or 

(iii) In-country transfers and reexports 

are not permitted under Data Center 

VEU Authorization unless the transfer 

(in-country) or reexport is to a VEU 

authorized location by the same VEU or 

a separate authorization is obtained. 

Note 1 to paragraph (d): Authorizations set 

forth in supplement no. 7 to this part for 

General VEUs and Data Center NVEUs are 

country-specific. Authorization as a validated 

end-user for one country specified in 

paragraph (b) of this section does not 

constitute authorization as a validated enduser for any other country specified in that 

paragraph for those types of VEUs. 

* * * * * 

(f) Reporting and review 

requirements—(1) Reports—(i) Reexport 

Information Required for both types of 

VEU authorizations. Reexporters who 

make use of General VEU 

Authorizations are required to submit 

annual reports to BIS. Reexporters who 

make use of Data Center VEU 

Authorizations are required to submit 

semi-annual reports to BIS. For either 

authorization, reexporters must include, 

for each validated end user to whom the 

exporter or reexporter exported or 

reexported eligible items: 

(A) The name and address of each 

validated end-user to whom eligible 

items were reexported; 

(B) The eligible destination to which 

the items were reexported; 

(C) The quantity of such items; 

(D) The value of such items; and 

(E) The ECCN(s) of such items. 

(ii) End user reports for Data Center 

VEU Authorizations. End users who 

make use of Data Center VEU 

Authorizations must submit reports to 

BIS semi-annually. End users must 

submit the following information, 

including, as appropriate: 

(A) A record of current inventory of 

eligible items received; 

(B) Dates of when eligible items were 

received; and 

(C) For NVEUs, a list of current 

customers. 

(iii) Deadlines. For reexporters 

making use of General VEU 

Authorization, reports are due by 

February 15 of each year, and must 

cover the period from January 1 through 

December 31 of the prior year. For 

reexporters and end users making use of 

Data Center VEU Authorization, reports 

are due semiannually: 

(A) The first report is due July 15 of 

each year and must cover the period 

from January 1 through June 30; 

(B) The second report is due January 

15 of each year and must cover the 

period from July 1 to December 31 of the 

previous year. 

(iv) Addresses. Reports must be sent 

to: Office of Exporter Services, Bureau 

of Industry and Security, U.S. 

Department of Commerce, 14th Street 

and Constitution Avenue NW, Room 

2099B, Washington, DC 20230. Mark the 

package ‘‘General Authorization 

Validated End-User Report’’ or ‘‘Data 

Center Authorization Validated Enduser Report.’’ 

(2) Reviews. Records related to 

activities covered by General or Data 

Center VEU Authorizations that are 

maintained by exporters, reexporters, 

transferors, and VEU will be reviewed 

on a periodic basis. Upon request by 

BIS, exporters, reexporters, transferors, 

and validated end-users must allow 

review of records, including on-site 

reviews covering the information set 

forth in paragraphs (e) and (f)(1) of this 

section. 

* * * * * 

■ 17. Amend supplement No. 2 to part 

748 by adding paragraphs (c)(3) and (4) 

to read as follows: 

Supplement No. 2 to Part 748—Unique 

Application and Submission 

Requirements 

* * * * * 

(c) * * * 

(3) Purchase orders for Artificial 

Intelligence commodities. License 

applications for items controlled under 

ECCNs 3A090.a, 4A090.a, 3A001.z, 4A003.z, 

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

5A992.z require the submission of a purchase 

order or equivalent contractual agreement 

with the submission of the license 

application. The purchase order may be 

contingent on approval of the license. Upon 

approving a license for these items, BIS will 

generally limit the licensed quantity to the 

quantity specified on the purchase order. 

(4) License applications for Artificial 

Intelligence commodities. Applicants are 

required to submit the total aggregated TPP 

value of each export item on their license 

application. This information should be 

included in block 22(j) in SNAP–R. If 

applicants are submitting a license for items 

destined to a country that is subject to a percountry TPP allocation, the applicant must 

fill out an individual license for each country 

and calculate the TPP per individual country. 

Applicants are encouraged to include 

information to support their TPP calculation 

in their Letter of Explanation (LOE). 

Calculate the aggregate TPP for each export 

item by adding the TPP for each integrated 

circuit. For additional information on 

calculating TPP, please refer to the Technical 

Notes to 3A090. 

* * * * * 

■ 18. Amend supplement No. 8 to part 

748 by revising paragraphs B(2), (6), (9), 

and (10), and adding B(11) to read as 

follows: 

Supplement No. 8 to Part 748— 

Information Required in Requests for 

VEU Authorization 

* * * * * 

B * * * 

(2) An overview of any business activity or 

corporate relationship that the candidate has 

with either government or military 

organizations of Macau or a destination 

specified in Country Group D:5; 

* * * * * 


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(6) For NVEUs, absent a legal prohibition 

or other such exceptional circumstances, a 

list of current and potential customers of the 

data center; 

* * * * * 

(9) An overview of the applicant’s supply 

chain risk management plan to limit PRCorigin equipment specified in paragraph 3 of 

Supplement No. 10 to Part 748 from entering 

the data-center environment and supply 

chain; 

(10) An overview of the applicant’s export 

control training program and compliance 

program procedures; and 

(11) (NVEU applicants only) An overview 

of the applicant’s ability to verify that items 

subject to the license requirement in 

§ 742.6(a)(6)(iii) have not been moved from 

the specific country authorized for export or 

reexport by the NVEU (e.g. from the ping 

times to nearby secure servers); 

* * * * * 

■ 19. Supplement No. 10 to part 748 is 

added to read as follows: 

Supplement No. 10 to Part 748—Data 

Center VEU Authorization Guidelines 

I. Certification and Policy Requirements 

Relating to National and Universal 

Validated End Users (VEU) 

Vetting Requirements 

1. General Compliance and Proven Track 

Record. The VEU must have a credible plan 

to meet or demonstrated track record of 

meeting established physical, cyber, and 

personnel security standards for large-scale 

data center operations and of complying with 

U.S. export control laws, a credible plan to 

or demonstrated track record of respecting 

human rights, as well as a clear and feasible 

plan for doing so in a destination that is not 

Macau, specified in Country Group D:5, or 

listed in paragraph (a) to Supplement No. 5 

to Part 740. 

2. Foreign Military and Intelligence Ties. 

a. The VEU, to include all subsidiary and 

parent entities (as well as their personnel in 

their professional capacities), must be free of 

ties to any ‘military end users’ (as that term 

is defined in § 744.21(g)) or ‘militaryintelligence end users’ (as that term is 

defined in § 744.22(f)(2)). 

b. Ties include research and development 

agreements and joint activities. 

3. Foreign Technology Ties. The VEU, to 

include all subsidiary and parent entities (as 

well as their personnel in their professional 

capacities), must adhere to the U.S. rules on 

outbound investment at 31 CFR part 850 as 

applied to U.S. persons regardless of whether 

such VEU, entity, or individual is a U.S. 

person, without giving effect to any 

exception under 31 CFR 850.501(g), except 

that non-U.S. persons must submit materials 

to BIS, not the Department of the Treasury. 

Any notifications or other information that, 

because of this paragraph, would be required 

to be submitted in order to adhere to 31 CFR 

part 850 should be submitted to BIS as part 

of the VEU application. (For the avoidance of 

doubt, any notification or other information 

that would be required to be submitted 

pursuant to 31 CFR part 850 should continue 

to be submitted to the Department of the 

Treasury). The VEU must also adhere to 

determinations, including any prohibitions 

and mitigations, made under Commerce’s 

Information Communication Technology 

Services program at 15 CFR part 791, and the 

VEU must demonstrate that it has eliminated 

supply chain dependencies on advanced 

semiconductors specified in ECCN 3A090.a, 

4A090.a, or .z derivatives meeting or 

exceeding the parameters of ECCN 3A090.a 

or 4A090.a and advanced networking 

equipment specified in ECCN 4A003.g, 

5A001, 5A002.a, or 5A992.a. produced by 

any entities headquartered in Macau or 

destinations specified in Country Group D:5. 

The VEU must also demonstrate that it has 

eliminated supply chain dependencies on 

equipment and services listed by the Federal 

Communications Commission as covered by 

Section 2 of the Secure and Trusted 

Communications Networks Act of 2019. The 

VEU must also notify the U.S. Government, 

through the VEU program, of all cooperative 

activities, such as joint ventures, with any 

entities headquartered in Macau or a 

destination specified in Country Group D:5 

or any individuals or entities that are on the 

EAR’s Entity List or OFAC’s SpeciallyDesignated Nationals and Blocked Persons 

List. The VEU must report to BIS all equity 

interests (including contingent equity 

interests) or ownership stakes in the VEU by, 

or debt or obligations of the VEU from similar 

financial arrangements to, any entity. 

headquartered in Macau or a destination 

specified in Country Group D:5 or any 

individual or entities that are on the EAR’s 

Entity List or OFAC’s Specially-Designated 

Nationals and Blocked Persons List, with the 

exception of investments under 1 percent or 

$1 million, whichever is lower, individually 

or as aggregated across (a) entities that are 

affiliated or have formal or informal 

arrangements to act in concert, or (b) 

departments, agencies, or instrumentalities 

of, or that are controlled by, the national or 

subnational governments of Macau or a 

destination specified in Country Group D:5, 

in a VEU whose equity securities are 

primarily traded on an exchange in a country 

listed in paragraph (a) to Supplement No. 5 

to Part 740. 

Export Restrictions 

4. Transfer of Chips. The VEU may not, 

without authorization from BIS, transfer 

chips, assemblies, or computers that meet or 

exceed the scope of ECCN 3A090.a, 4A090.a, 

or .z items meeting or exceeding the 

parameters of ECCN 3A090.a or 4A090.a to 

any of the following: 

a. Any entity located in, or headquartered 

in, Macau or a destination specified in 

Country Group D:5; 

b. Persons of any nationality working for or 

on behalf of a party on the EAR’s Entity List, 

ISN’s nonproliferation sanctions lists, or 

OFAC’s Specially Designated Nationals and 

Blocked Persons List; 

c. Persons of any nationality employed by 

a government entity of Macau or a 

government entity of a destination specified 

in Country Group D:5 or presenting a high 

risk of facilitating diversion to Macau or a 

destination specified in Country Group D:5. 

These requirements should not be read as 

allowing any transfers that otherwise require 

a license. 

5. Intra-company Transfer Notification. 

[Only for VEUs accredited via a UVEU] The 

UVEU must notify the BIS 60 days in 

advance of its intention to transfer any chips 

between countries in which the UVEU is 

using the UVEU authorization for such 

transfer, as well as any planned construction 

or installations of data centers in countries 

not previously included in prior notifications 

to BIS. BIS retains the right to impose 

licensing requirements for transfers of chips 

and/or to require additional conditions for 

entry into these countries. 

6. Geographic allocations. Only for entities 

headquartered in countries listed in 

paragraph (a) to Supplement no. 5 to Part 

740 with UVEU status: The UVEU cannot 

transfer or install more than 25% of its total 

AI computing power, measured as the 

aggregate Total Processing Power (TPP) of 

chips that meet or exceed the scope of ECCN 

3A090.a and are owned by the entity and all 

its subsidiary and parent entities, to or in 

locations outside of countries listed in 

paragraph (a) to Supplement No. 5 to Part 

740, and cannot transfer or install more than 

7% of its total AI computing power to or in 

any single country outside of those listed in 

paragraph (a) to Supplement No. 5 to Part 

740). Only for U.S.-headquartered entities 

with UVEU status: The UVEU cannot transfer 

or install more than 50% of its total AI 

computing power outside of the United 

States, as measured on the reporting dates 

outlined in Section 10. 

Acceptable Use Policies 

7. Advanced AI Training. The VEU, to 

include all subsidiary and parent entities, 

may not, without authorization from BIS, 

train an AI model specified in ECCN 4E091, 

in whole or in part, in a location outside of, 

or as Infrastructure-as-a-Service (IaaS) for an 

entity headquartered outside of, countries 

listed in paragraph (a) to Supplement No. 5 

to Part 740. Fine-tuning an AI model 

specified in ECCN 4E091 is permitted if such 

fine-tuning constitutes no more than 25 

percent of the training operations of the 

original AI model specified in ECCN 4E091. 

Provision of application programming 

interface (API) access to AI models or 

infrastructure-as-a-service (IaaS) access for AI 

inference are not prohibited, and would only 

become prohibited if equivalent restrictions 

are put in place for U.S.-based computing 

resources. 

8. Model Weight Storage. The VEU may 

only store or transfer the model weights of an 

advanced AI model specified in ECCN 4E091 

to facilities located in countries listed in 

paragraph (a) to Supplement No. 5 to Part 

740, or to facilities located in jurisdictions 

other than Macau or those specified in 

Country Group D:5, provided such facilities 

are owned or operated by entities 

headquartered in, or with an ultimate parent 

headquartered in countries listed in 

paragraph (a) to Supplement No. 5 to Part 

740, and provided the facility complies with 

the provisions of paragraphs 14, 15, and 18 

of Supplement No. 10 to this part by January 

15, 2026. 


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9. Prohibited Uses and Human Rights 

Safeguards. The VEU is responsible for 

ensuring that no items subject to the EAR are 

used to support any of the following: 

a. Activities described in part 744 and all 

relevant supplemental notices; 

b. Military and intelligence entities 

headquartered, or located in, Macau, 

destinations specified in Country Group D:5, 

and military and intelligence entities whose 

activities BIS informs the VEU could pose an 

unacceptable risk to U.S. national security or 

could enable human rights abuses or 

repression of democracy; or 

c. Activities that enable human rights 

abuses and/or repression of democracy 

including through censorship; arbitrary or 

unlawful surveillance; and abusive genetic 

collection and analysis schemes. 

Documentation, Auditing, and Reporting 

Requirements 

10. Reporting of Chip Installations. The 

VEU will report to BIS and other agencies on 

a semi-annual basis (each February 1 and 

August 1), a complete facility-specific chip 

accounting for itself and all parent and 

subsidiary entities, including: 

a. The quantities and types of chips that 

meet or exceed the parameters of 3A090.a, 

purchased, approved for export to facilities 

in given countries, reexported, transferred to 

relevant destinations and entities to which 

transfers have occurred, and installed in all 

data center facilities in destinations except 

Macau, destinations specified in Country 

Group D:5, and countries not listed in 

paragraph (a) to Supplement No. 5 to Part 

740. 

b. A breakdown of the VEU’s total 

aggregate compute for chips, assemblies, and 

computers specified in 3A090.a, 4A090.a, or 

.z derivatives meeting or exceeding the 

parameters of ECCN 3A090.a or 4A090.a, in 

destinations except Macau and destinations 

specified in Country Group D:5 (including 

chips transferred but not yet installed). This 

accounting must also include information 

about chip attrition due to factors such as 

loss, damage, failure, relocation, and resale. 

11. Monitoring, Recordkeeping, and 

Reporting. The VEU must perform ongoing 

monitoring, evaluation, and end user due 

diligence of all the vetting requirements, 

export restrictions, acceptable use policies, 

and security requirements herein. The VEU 

must further notify BIS if, at any time, any 

requirements have not been met and it must 

maintain for five years all records in 

conjunction with these conditions. These 

records must be made available pursuant to 

a request from BIS, whether through an end 

use check or otherwise. The VEU must also 

cooperate with BIS’s auditing of records and 

facilities described in this document. Failure 

to comply with BIS may result in revocation 

of VEU status. 

12. Certification as VEU. An entity is 

certified as a VEU through the process 

described in Supplement No. 9 to this part. 

Entities headquartered in countries listed in 

paragraph (a) to Supplement No. 5 to Part 

740 are eligible if they meet the standards 

provided in Section I and II. Entities in 

destinations except Macau, destinations 

specified in Country Group D:5, or those 

listed in paragraph (a) to Supplement No. 5 

to Part 740 are eligible if they meet the 

appropriate standards outlined in 

Supplement No. 10 to part 748 and, for 

NVEUs, if there is a government-togovernment arrangement between their 

government and the United States. If a 

government-to-government arrangement is 

rescinded by either party, the NVEU status of 

NVEUs and, as appropriate, the ability of a 

UVEU to operate in that country may be 

revoked. 

II. Security Requirements 

Ownership Security 

13. Ownership Security of VEUs: The VEU, 

to include all subsidiary and parent entities, 

must meet ownership security standards to 

ensure there are no Foreign Ownership, 

Control, or Influence (FOCI) factors related to 

Macau or a destination specified in Country 

Group D:5. Factors relating to the entity, its 

relevant foreign interest, and the government 

of such foreign interest shall be assessed 

against the requirements outlined in National 

Industrial Security Program Operating 

Manual (NISPOM) 32 CFR 117.11(b) and 

additional factors to include: 

a. The VEU’s financial viability; 

b. Counterintelligence concerns, especially 

regarding key management or leadership 

personnel and company owners with regard 

to the government of Macau or the 

government of a destination specified in 

Country Group D:5, or to entities 

headquartered in, or nationals of, Macau or 

a destination specified in Country Group D:5; 

c. Record of enforcement and/or 

engagement in unauthorized technology 

transfer; 

d. The nature of any relevant bilateral and 

multilateral security agreement and 

information exchange agreements; and 

e. Any other factor that demonstrates a 

capability on the part of foreign interests to 

control or influence the operations or 

management of the VEU of concern. 

Baseline Security 

14. Baseline Security of Chips and Data. 

The VEU’s datacenters must be compliant 

with NIST 800–53 in a fashion certified as 

appropriate for compliance with these 

conditions and consistent with the security 

requirements associated with FedRAMP 

High, as well as with controls AC–3(7), AT– 

2(1), CA–8(3), CM–7(4), CM–11(2), IR–4(14), 

PE–3(3), PM–3, and PS–7 from NIST 800–53. 

This includes: 

a. Advanced AI model weights and 

proprietary techniques used for advanced AI 

training must be treated as an information 

type with FIPS–199 security category 

{(confidentiality, HIGH), (integrity, HIGH), 

(availability, HIGH)}. 

b. Certification of compliance with the 

above NIST 800–53 requirements must be 

attested annually by a Third-Party 

Assessment Organization (3PAO) and made 

available to BIS. 3PAOs must be accredited 

and recognized by the FedRAMP Program 

Management Office, and have successfully 

completed the certification of a FedRAMPhigh Cloud Service Provider; 

c. The VEU must have procedures in place 

to address and prevent seizure of chips; 

d. The VEU must put in place software and 

hardware mechanisms to detect and defeat 

tampering, such as illicit modification; 

e. Plans for the secure operation of data 

centers supporting a VEU shall be 

implemented in accordance with a security 

management defense-in-depth framework 

that includes a review of the following 

factors: 

i. Threat analysis. Assess the capabilities, 

intentions, and opportunity of an adversary 

to exploit or damage assets or information. 

ii. Vulnerability analysis. Assess the 

inherent susceptibility to attack of a 

procedure, facility, information system, 

equipment, or policy. 

iii. Probability analysis. Assess the 

probability of an adverse action, incident, or 

attack occurring. 

iv. Consequence analysis. Assess the 

consequences of such an action (expressed as 

a measure of loss, such as cost in dollars, 

resources, programmatic effect/mission 

impact, etc.) 

f. The following physical and technical 

security requirements are required for all 

VEU data centers: 

i. Compliance with Department of Defense 

Unified Facilities Criteria 4–010–05, Sections 

3–4.4.1, 3–4.6.10, and 3–4.17.3; 

ii. No windows permitted in server core 

areas; and 

iii. 24/7/365 roving guard patrol or 

Perimeter Intrusion Detection System (PIDS) 

with a 15-minute response time; 

Software and Network Security 

15. AI-Specific Cybersecurity. The VEU 

will establish and bear responsibility for the 

following additional practices for AI security: 

a. Ensure compliance with all best 

practices in the NSA cybersecurity 

information sheet ‘‘Deploying AI Systems 

Securely,’’ and the recommended actions for 

every CISA CPG 1.0 goal cross-referenced 

therein. 

b. Establish accountability for usage; 

generate logs and other records of usage, to 

include logging and monitoring usage of 

third-party APIs and fine-tuning 

mechanisms; 

c. Comply with the following requirements 

on model weights specified in ECCN 4E091, 

in addition to complying with the best 

practices listed in (a): 

i. Model weights must be stored on 

dedicated devices not used by, or hosting the 

data of, other organizations. 

ii. Every interface by which model weights 

can be accessed, directly or indirectly, must 

be reviewed to determine the appropriate 

output rate of information necessary for its 

legitimate functionality. The output rate must 

be monitored, and rate limitations must be 

implemented to ensure the output rate is 

unable to exceed the rate established for the 

interface’s legitimate functionality. 

iii. Every interface, for which the 

established output rate is such that the model 

weights may be extracted in six months or 

less, must provide access only through a 

narrow, well-defined API, such as for 

inference or fine-tuning. The API must be 

thoroughly reviewed and secured to prevent 

model extraction attacks. 


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Supply Chain Security 

16. Transit Security. The VEU must work 

with the chip provider to develop, 

implement, and maintain a shipment security 

plan, to include working with validated 

shipping providers, establishing a positive 

chain of custody, employing anti-theft and 

anti-tampering measures, conducting 

inspection/inventory upon receipt, and 

reporting any theft, loss, or tampering 

incidents to BIS within 30 days. The VEU 

will bear responsibility for tracking and 

security of chips and other items subject to 

export control while in transit and shall 

report any anomalies to BIS, as outlined in 

Section 11. 

17. Sanitization and Disposal Procedures. 

The VEU must incorporate appropriate endof-life procedures for chip sanitization and 

disposal that are verifiable and that ensure 

such chips do not enable prohibited 

activities, including by exceeding relevant 

caps. 

Personnel Security 

18. Personnel Security Standards and 

Practices. In addition to the personnel 

security requirements in Section 13, the VEU 

must follow the below practices: 

a. The VEU must develop a plan to 

implement a personnel vetting model 

covering all individuals granted access to the 

VEU data center facility or corresponding 

systems. 

b. Personnel granted unescorted access to 

the VEU data center must be vetted under the 

following categories: 

i. Individuals specifically named on the 

U.S. Department of Treasury, Office of 

Foreign Assets Control (OFAC) Specially 

Designated Nationals List (SDN) or other 

OFAC sanctions lists; and 

ii. Individuals with employment history by 

a government, intelligence service, or 

military based in Macau or a destination 

specified in Country Group D:5, or with any 

parties on the EAR’s Entity List or OFAC’s 

SDN, Blocked Persons List, or other sanctions 

lists should be excluded from consideration. 

Individuals with employment history with 

entities headquartered in Macau or a 

destination specified in Country Group D:5 

require additional vetting of their continuing 

ties, relationships, obligations, or other 

factors that could incentivize them to act on 

behalf of an entity headquartered in Macau 

or a destination specified in Country Group 

D:5. 

c. The VEU must establish and maintain a 

comprehensive program for detecting, 

assessing, disclosing, and managing insider 

threats, in accordance with the Cybersecurity 

and Infrastructure Security Agency Insider 

Threat Mitigation Guide, with particular 

consideration for insider threats that could 

enable access or prohibited uses by 

individuals or any other entities. 

Adherence to This Agreement 

19. Enforcement. Failure to adhere to this 

agreement may result in the revocation of 

VEU status on a national or global basis, 

denial of chip allocations or export licenses, 

as well as other penalties as appropriate 

under U.S. laws and regulations. 

Exemption for Intentional Publication 

None of the provisions of this document 

shall be interpreted as to apply to or prevent 

intentional publication of model weights, 

data, or code. 

PART 750—APPLICATION 

PROCESSING, ISSUANCE, AND 

DENIAL 

■ 19. The authority citation for part 750 

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.; Sec. 

1503, Pub. L. 108–11, 117 Stat. 559; 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, 2013 Comp., p. 223; Presidential 

Determination 2003–23, 68 FR 26459, 3 CFR, 

2004 Comp., p. 320. 

■ 20. Section 750.7 is amended by 

revising paragraph (g) introductory text 

to read as follows: 

§ 750.7 Issuance of licenses. 

* * * * * 

(g) License validity period. Licenses 

involving the export or reexport of items 

will generally have a four-year validity 

period, unless a different validity period 

has been requested and specifically 

approved by BIS or is otherwise 

specified on the license at the time that 

it is issued. Exceptions from the fouryear validity period include: license 

applications for items controlled for 

short supply reasons, which will be 

limited to a one-year validity period 

during which the items must be 

exported, re-exported, or transferred (in 

country) and license applications 

reviewed and approved as an 

‘‘emergency’’ (see § 748.4(h) of the 

EAR); and items controlled under 

ECCNs 0A501, 0A502, 0A504, 0A505, 

0A506, 0A507, 0A508, 0A509, or listed 

in § 742.6(a)(6)(iii)(A) of the EAR, which 

will generally be limited to a one-year 

validity period during which the items 

must be exported, re-exported, or 

transferred (in country). Emergency 

licenses will expire no later than the last 

day of the calendar month following the 

month in which the emergency license 

is issued. The expiration date will be 

clearly stated on the face of the license. 

If the expiration date falls on a legal 

holiday (Federal or State), the validity 

period is automatically extended to 

midnight of the first business day 

following the expiration date. 

* * * * * 

PART 762—RECORDKEEPING 

■ 21. 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. 

■ 22. Section 762.2 is amended by 

adding paragraphs (b)(58), (59), and (60) 

to read as follows: 

§ 762.2 Records to be retained. 

* * * * * 

(b) * * * 

(58) § 740.27, License Exception AIA. 

(59) § 740.28, License Exception 

ACM. 

(60) § 740.29, License Exception LPP. 

PART 772—DEFINITIONS OF TERMS 

■ 23. 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. 

■ 24. Section 772.1 is amended by 

adding, in alphabetical order, the 

definition for ‘‘Model Weights’’ to read 

as follows: 

§ 772.1 Definitions of terms as used in the 

Export Administration Regulations (EAR). 

* * * * * 

Model Weights. See ECCN 4E091 

(Supplement No. 1 to part 774). 

* * * * * 

PART 774—THE COMMERCE 

CONTROL LIST 

■ 25. 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. 

■ 26. Supplement no. 1 to part 774 is 

amended by: 

■ a. Revising ECCNs 3A001, 3A090, 

3D001, 3E001, 4A003, 4A004, 4A005, 

4A090, 4D001, 4D090, and 4E001; 

■ b. Adding, in numerical order, ECCN 

4E091; 

■ c. Revising, 5A002, 5A992, 5A004, 

5D002, 5D992, 5E002, and 5E992. 

The revisions and addition read as 

follows: 

Supplement No. 1 to Part 774—The 

Commerce Control List 

* * * * * 

3A001 Electronic items as follows (see List 

of Items Controlled). 

Reason for Control: NS, RS, MT, NP, AT 


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Control(s) 

Country chart 

(see Supp. No. 1 

to part 738) 

NS applies to ‘‘Monolithic 

Microwave Integrated 

Circuit’’ (‘‘MMIC’’) amplifiers in 3A001.b.2 

and discrete microwave transistors in 

3A001.b.3, except 

those 3A001.b.2 and 

b.3 items being exported or reexported 

for use in civil telecommunications applications.

NS Column 1. 

NS applies to entire 

entry.

NS Column 2. 

RS applies ‘‘Monolithic 

Microwave Integrated 

Circuit’’ (‘‘MMIC’’) amplifiers in 3A001.b.2 

and discrete microwave transistors in 

3A001.b.3, except 

those 3A001.b.2 and 

b.3 items being exported or reexported 

for use in civil telecommunications applications.

RS Column 1. 

RS applies to 

3A001.z.1.a, z.2.a, 

z.3.a, z.4.a.

To or within any destination worldwide. See 

§ 742.6(a)(6)(iii)(A) of 

the EAR. 

RS applies to 

3A001.z.1.b, z.2.b, 

z.3.b, z.4.b.

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)(B) of 

the EAR. 

MT applies to 

3A001.a.1.a when usable in ‘‘missiles’’; and 

to 3A001.a.5.a when 

‘‘designed or modified’’ 

for military use, hermetically sealed and 

rated for operation in 

the temperature range 

from below ¥54 °C to 

above +125 °C; and 

3A001.z.2.

MT Column 1. 

NP applies to pulse discharge capacitors in 

3A001.e.2 and superconducting solenoidal 

electromagnets in 

3A001.e.3 that meet or 

exceed the technical 

parameters in 3A201.a 

and 3A201.b, respectively; and 3A001.z.3.

NP Column 1. 

AT applies to entire entry AT Column 1. 

Reporting Requirements: See § 743.1 of the 

EAR for reporting requirements for exports 

under 3A001.b.2 or b.3 under License 

Exceptions, and Validated End-User 

authorizations. 

License Requirements: See § 744.17 of the 

EAR for additional license requirements for 

microprocessors having a processing speed 

of 5 GFLOPS or more and an arithmetic 

logic unit with an access width of 32 bit 

or more, including those incorporating 

‘‘information security’’ functionality, and 

associated ‘‘software’’ and ‘‘technology’’ for 

the ‘‘production’’ or ‘‘development’’ of 

such microprocessors. 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

LVS: N/A for MT, NP; N/A for ‘‘Monolithic 

Microwave Integrated Circuit’’ (‘‘MMIC’’) 

amplifiers in 3A001.b.2, discrete 

microwave transistors in 3A001.b.3, except 

those that are being exported or reexported 

for use in civil telecommunications 

applications; N/A for and 3A001.z. 

Yes for: 

$1500: 3A001.c. 

$3000: 3A001.b.1, b.2 (exported or 

reexported for use in civil 

telecommunications applications), b.3 

(exported or reexported for use in civil 

telecommunications applications), b.9, .d, .e, 

.f, and .g. 

$5000: 3A001.a (except a.1.a and a.5.a 

when controlled for MT), b.4 to b.7, and b.12. 

GBS: Yes for 3A001.a.1.b, a.2 to a.14 (except 

.a.5.a when controlled for MT), b.2 

(exported or reexported for use in civil 

telecommunications applications), b.8 

(except for ‘‘vacuum electronic devices’’ 

exceeding 18 GHz), b.9., b.10, .g, .h, .i, and 

z.1.b (exported or reexported for use in 

civil telecommunications applications). 

NAC/ACA: Yes, for 3A001.z. 

AIA: Yes for 3A001.z.1.a, z.2.a, z.3.a, z.4.a 

ACM: Yes for 3A001.z 

LPP: Yes for 3A001.z.1.a, z.2.a, z.3.a, z.4.a 

Note: See § 740.2(a)(9)(ii) of the EAR for 

license exception restrictions for ECCN 

3A001.z. 

Special Conditions for STA 

STA: License Exception STA may not be 

used to ship any item in 3A001.b.2 or b.3, 

except those that are being exported or 

reexported for use in civil 

telecommunications applications, or 

3A001.z to any of the destinations listed in 

Country Group A:5 or A:6 (See Supplement 

No. 1 to part 740 of the EAR). 

List of Items Controlled 

Related Controls: (1) See Category XV of the 

USML for certain ‘‘space-qualified’’ 

electronics and Category XI of the USML 

for certain ASICs, ’transmit/receive 

modules,’ ’transmit modules,’ or ’MMICs’ 

‘‘subject to the ITAR.’’ (2) See also 3A090, 

3A101, 3A201, 3A611, 3A901 for cryogenic 

CMOS integrated circuits and parametric 

signal amplifiers or quantum limited 

amplifiers not controlled by 3A001, 3A991, 

and 9A515. 

Related Definitions: ’Microcircuit’ means a 

device in which a number of passive or 

active elements are considered as 

indivisibly associated on or within a 

continuous structure to perform the 

function of a circuit. For the purposes of 

integrated circuits in 3A001.a.1, 5 × 103

Gy(Si) = 5 × 105 Rads (Si); 5 × 106 Gy (Si)/ 

s = 5 × 108 Rads (Si)/s. 

Items: 

a. General purpose integrated circuits, as 

follows: 

Note 1: Integrated circuits include the 

following types: 

—‘‘Monolithic integrated circuits’’; 

—‘‘Hybrid integrated circuits’’; 

—‘‘Multichip integrated circuits’’; 

—‘‘Film type integrated circuits’’, including 

silicon-on-sapphire integrated circuits; 

—‘‘Optical integrated circuits’’; 

—‘‘Three dimensional integrated circuits’’; 

—‘‘Monolithic Microwave Integrated 

Circuits’’ (‘‘MMICs’’). 

a.1. Integrated circuits designed or rated as 

radiation hardened to withstand any of the 

following: 

a.1.a. A total dose of 5 × 103 Gy (Si), or 

higher; 

a.1.b. A dose rate upset of 5 × 106 Gy (Si)/ 

s, or higher; or 

a.1.c. A fluence (integrated flux) of 

neutrons (1 MeV equivalent) of 5 × 1013 n/ 

cm2 or higher on silicon, or its equivalent for 

other materials; 

Note: 3A001.a.1.c does not apply to Metal 

Insulator Semiconductors (MIS). 

a.2. ‘‘Microprocessor microcircuits,’’ 

‘‘microcomputer microcircuits,’’ 

microcontroller microcircuits, storage 

integrated circuits manufactured from a 

compound semiconductor, analog-to-digital 

converters, integrated circuits that contain 

analog-to-digital converters and store or 

process the digitized data, digital-to-analog 

converters, electro-optical or ‘‘optical 

integrated circuits’’ designed for ‘‘signal 

processing’’, field programmable logic 

devices, custom integrated circuits for which 

either the function is unknown or the control 

status of the equipment in which the 

integrated circuit will be used in unknown, 

Fast Fourier Transform (FFT) processors, 

Static Random-Access Memories (SRAMs), or 

’non-volatile memories,’ having any of the 

following: 

Technical Note: For the purposes of 

3A001.a.2, ’non-volatile memories’ are 

memories with data retention over a period 

of time after a power shutdown. 

a.2.a. Rated for operation at an ambient 

temperature above 398 K (+125 °C); 

a.2.b. Rated for operation at an ambient 

temperature below 218 K (¥55 °C); or 

a.2.c. Rated for operation over the entire 

ambient temperature range from 218 K (¥55 

°C) to 398 K (+125 °C); 

N.B.: For cryogenic CMOS integrated 

circuits not specified by 3A001.a.2, see 

3A901.a. 

Note: 3A001.a.2 does not apply to 

integrated circuits designed for civil 

automobile or railway train applications. 

a.3. ‘‘Microprocessor microcircuits’’, 

‘‘microcomputer microcircuits’’ and 

microcontroller microcircuits, manufactured 

from a compound semiconductor and 

operating at a clock frequency exceeding 40 

MHz; 

Note: 3A001.a.3 includes digital signal 

processors, digital array processors and 

digital coprocessors. 

a.4. [Reserved] 

a.5. Analog-to-Digital Converter (ADC) and 

Digital-to-Analog Converter (DAC) integrated 

circuits, as follows: 

a.5.a. ADCs having any of the following: 

a.5.a.1. A resolution of 8 bit or more, but 

less than 10 bit, with a ‘‘sample rate’’ greater 

than 1.3 Giga Samples Per Second (GSPS); 


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a.5.a.2. A resolution of 10 bit or more, but 

less than 12 bit, with a ‘‘sample rate’’ greater 

than 600 Mega Samples Per Second (MSPS); 

a.5.a.3. A resolution of 12 bit or more, but 

less than 14 bit, with a ‘‘sample rate’’ greater 

than 400 MSPS; 

a.5.a.4. A resolution of 14 bit or more, but 

less than 16 bit, with a ‘‘sample rate’’ greater 

than 250 MSPS; or 

a.5.a.5. A resolution of 16 bit or more with 

a ‘‘sample rate’’ greater than 65 MSPS; 

N.B.: For integrated circuits that contain 

analog-to-digital converters and store or 

process the digitized data see 3A001.a.14. 

Technical Notes: For the purposes of 

3A001.a.5.a: 

1. A resolution of n bit corresponds to a 

quantization of 2n levels. 

2. The resolution of the ADC is the number 

of bits of the digital output that represents 

the measured analog input. Effective Number 

of Bits (ENOB) is not used to determine the 

resolution of the ADC. 

3. For ‘‘multiple channel ADCs’’, the 

‘‘sample rate’’ is not aggregated and the 

‘‘sample rate’’ is the maximum rate of any 

single channel. 

4. For ‘‘interleaved ADCs’’ or for ‘‘multiple 

channel ADCs’’ that are specified to have an 

interleaved mode of operation, the ‘‘sample 

rates’’ are aggregated and the ‘‘sample rate’’ 

is the maximum combined total rate of all of 

the interleaved channels. 

a.5.b. Digital-to-Analog Converters (DAC) 

having any of the following: 

a.5.b.1. A resolution of 10-bit or more but 

less than 12-bit, with an ’adjusted update 

rate’ of exceeding 3,500 MSPS; or 

a.5.b.2. A resolution of 12-bit or more and 

having any of the following: 

a.5.b.2.a. An ’adjusted update rate’ 

exceeding 1,250 MSPS but not exceeding 

3,500 MSPS, and having any of the following: 

a.5.b.2.a.1. A settling time less than 9 ns to 

arrive at or within 0.024% of full scale from 

a full scale step; or 

a.5.b.2.a.2. A ’Spurious Free Dynamic 

Range’ (SFDR) greater than 68 dBc (carrier) 

when synthesizing a full scale analog signal 

of 100 MHz or the highest full scale analog 

signal frequency specified below 100 MHz; or 

a.5.b.2.b. An ’adjusted update rate’ 

exceeding 3,500 MSPS; 

Technical Notes: For the purposes of 

3A001.a.5.b: 

1. ’Spurious Free Dynamic Range’ (SFDR) 

is defined as the ratio of the RMS value of 

the carrier frequency (maximum signal 

component) at the input of the DAC to the 

RMS value of the next largest noise or 

harmonic distortion component at its output. 

2. SFDR is determined directly from the 

specification table or from the 

characterization plots of SFDR versus 

frequency. 

3. A signal is defined to be full scale when 

its amplitude is greater than ¥3 dBfs (full 

scale). 

4. ’Adjusted update rate’ for DACs is: 

a. For conventional (non-interpolating) 

DACs, the ’adjusted update rate’ is the rate 

at which the digital signal is converted to an 

analog signal and the output analog values 

are changed by the DAC. For DACs where the 

interpolation mode may be bypassed 

(interpolation factor of one), the DAC should 

be considered as a conventional (noninterpolating) DAC. 

b. For interpolating DACs (oversampling 

DACs), the ’adjusted update rate’ is defined 

as the DAC update rate divided by the 

smallest interpolating factor. For 

interpolating DACs, the ’adjusted update 

rate’ may be referred to by different terms 

including: 

• input data rate 

• input word rate 

• input sample rate 

• maximum total input bus rate 

• maximum DAC clock rate for DAC clock 

input 

a.6. Electro-optical and ‘‘optical integrated 

circuits’’, designed for ‘‘signal processing’’ 

and having all of the following: 

a.6.a. One or more than one internal 

‘‘laser’’ diode; 

a.6.b. One or more than one internal light 

detecting element; and 

a.6.c. Optical waveguides; 

a.7. ’Field programmable logic devices’ 

having any of the following: 

a.7.a. A maximum number of single-ended 

digital input/outputs of greater than 700; or 

a.7.b. An ’aggregate one-way peak serial 

transceiver data rate’ of 500 Gb/s or greater; 

Note: 3A001.a.7 includes: 

—Complex Programmable Logic Devices 

(CPLDs); 

—Field Programmable Gate Arrays (FPGAs); 

—Field Programmable Logic Arrays (FPLAs); 

—Field Programmable Interconnects (FPICs). 

N.B.: For integrated circuits having field 

programmable logic devices that are 

combined with an analog-to-digital converter, 

see 3A001.a.14. 

Technical Notes: For the purposes of 

3A001.a.7: 

1. Maximum number of digital input/ 

outputs in 3A001.a.7.a is also referred to as 

maximum user input/outputs or maximum 

available input/outputs, whether the 

integrated circuit is packaged or bare die. 

2. ’Aggregate one-way peak serial 

transceiver data rate’ is the product of the 

peak serial one-way transceiver data rate 

times the number of transceivers on the 

FPGA. 

a.8. [Reserved] 

a.9. [Reserved] 

a.10. Custom integrated circuits for which 

the function is unknown, or the control 

status of the equipment in which the 

integrated circuits will be used is unknown 

to the manufacturer, having any of the 

following: 

a.10.a. More than 1,500 terminals; 

a.10.b. A typical ‘‘basic gate propagation 

delay time’’ of less than 0.02 ns; or 

a.10.c. An operating frequency exceeding 3 

GHz; 

a.11. Digital integrated circuits, other than 

those described in 3A001.a.3 to 3A001.a.10 

and 3A001.a.12, based upon any compound 

semiconductor and having any of the 

following: 

a.11.a. An equivalent gate count of more 

than 3,000 (2 input gates); or 

a.11.b. A toggle frequency exceeding 1.2 

GHz; 

a.12. Fast Fourier Transform (FFT) 

processors having a rated execution time for 

an N-point complex FFT of less than (N log2

N)/20,480 ms, where N is the number of 

points; 

Technical Note: For the purposes of 

3A001.a.12, when N is equal to 1,024 points, 

the formula in 3A001.a.12 gives an execution 

time of 500 ms. 

a.13. Direct Digital Synthesizer (DDS) 

integrated circuits having any of the 

following: 

a.13.a. A Digital-to-Analog Converter 

(DAC) clock frequency of 3.5 GHz or more 

and a DAC resolution of 10 bit or more, but 

less than 12 bit; or 

a.13.b. A DAC clock frequency of 1.25 GHz 

or more and a DAC resolution of 12 bit or 

more; 

Technical Note: For the purposes of 

3A001.a.13, the DAC clock frequency may be 

specified as the master clock frequency or the 

input clock frequency. 

a.14. Integrated circuits that perform or are 

programmable to perform all of the following: 

a.14.a. Analog-to-digital conversions 

meeting any of the following: 

a.14.a.1. A resolution of 8 bit or more, but 

less than 10 bit, with a ‘‘sample rate’’ greater 

than 1.3 Giga Samples Per Second (GSPS); 

a.14.a.2. A resolution of 10 bit or more, but 

less than 12 bit, with a ‘‘sample rate’’ greater 

than 1.0 GSPS; 

a.14.a.3. A resolution of 12 bit or more, but 

less than 14 bit, with a ‘‘sample rate’’ greater 

than 1.0 GSPS; 

a.14.a.4. A resolution of 14 bit or more, but 

less than 16 bit, with a ‘‘sample rate’’ greater 

than 400 Mega Samples Per Second (MSPS); 

or 

a.14.a.5. A resolution of 16 bit or more 

with a ‘‘sample rate’’ greater than 180 MSPS; 

and 

a.14.b. Any of the following: 

a.14.b.1. Storage of digitized data; or 

a.14.b.2. Processing of digitized data; 

N.B. 1: For analog-to-digital converter 

integrated circuits see 3A001.a.5.a. 

N.B. 2: For field programmable logic 

devices see 3A001.a.7. 

Technical Notes: For the purposes of 

3A001.a.14: 

1. A resolution of n bit corresponds to a 

quantization of 2n levels. 

2. The resolution of the ADC is the number 

of bits of the digital output of the ADC that 

represents the measured analog input. 

Effective Number of Bits (ENOB) is not used 

to determine the resolution of the ADC. 

3. For integrated circuits with noninterleaving ‘‘multiple channel ADCs’’, the 

‘‘sample rate’’ is not aggregated and the 

‘‘sample rate’’ is the maximum rate of any 

single channel. 

4. For integrated circuits with ‘‘interleaved 

ADCs’’ or with ‘‘multiple channel ADCs’’ that 

are specified to have an interleaved mode of 

operation, the ‘‘sample rates’’ are aggregated 

and the ‘‘sample rate’’ is the maximum 

combined total rate of all of the interleaved 

channels. 

b. Microwave or millimeter wave items, as 

follows: 

Technical Note: For the purposes of 

3A001.b, the parameter peak saturated 

power output may also be referred to on 

product data sheets as output power, 

saturated power output, maximum power 

output, peak power output, or peak envelope 

power output. 


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N.B.: For parametric signal amplifiers or 

Quantum-limited amplifiers (QLAs) not 

specified by 3A001.b, see ECCN 3A901.b. 

b.1. ‘‘Vacuum electronic devices’’ and 

cathodes, as follows: 

Note 1: 3A001.b.1 does not control 

‘‘vacuum electronic devices’’ designed or 

rated for operation in any frequency band 

and having all of the following: 

a. Does not exceed 31.8 GHz; and 

b. Is ‘‘allocated by the ITU’’ for radiocommunications services, but not for radiodetermination. 

Note 2: 3A001.b.1 does not control non- 

‘‘space-qualified’’ ‘‘vacuum electronic 

devices’’ having all the following: 

a. An average output power equal to or less 

than 50 W; and 

b. Designed or rated for operation in any 

frequency band and having all of the 

following: 

1. Exceeds 31.8 GHz but does not exceed 

43.5 GHz; and 

2. Is ‘‘allocated by the ITU’’ for radiocommunications services, but not for radiodetermination. 

b.1.a. Traveling-wave ‘‘vacuum electronic 

devices,’’ pulsed or continuous wave, as 

follows: 

b.1.a.1. Devices operating at frequencies 

exceeding 31.8 GHz; 

b.1.a.2. Devices having a cathode heater 

with a turn on time to rated RF power of less 

than 3 seconds; 

b.1.a.3. Coupled cavity devices, or 

derivatives thereof, with a ‘‘fractional 

bandwidth’’ of more than 7% or a peak 

power exceeding 2.5 kW; 

b.1.a.4. Devices based on helix, folded 

waveguide, or serpentine waveguide circuits, 

or derivatives thereof, having any of the 

following: 

b.1.a.4.a. An ‘‘instantaneous bandwidth’’ of 

more than one octave, and average power 

(expressed in kW) times frequency 

(expressed in GHz) of more than 0.5; 

b.1.a.4.b. An ‘‘instantaneous bandwidth’’ of 

one octave or less, and average power 

(expressed in kW) times frequency 

(expressed in GHz) of more than 1; 

b.1.a.4.c. Being ‘‘space-qualified’’; or 

b.1.a.4.d. Having a gridded electron gun; 

b.1.a.5. Devices with a ‘‘fractional 

bandwidth’’ greater than or equal to 10%, 

with any of the following: 

b.1.a.5.a. An annular electron beam; 

b.1.a.5.b. A non-axisymmetric electron 

beam; or 

b.1.a.5.c. Multiple electron beams; 

b.1.b. Crossed-field amplifier ‘‘vacuum 

electronic devices’’ with a gain of more than 

17 dB; 

b.1.c. Thermionic cathodes, designed for 

‘‘vacuum electronic devices,’’ producing an 

emission current density at rated operating 

conditions exceeding 5 A/cm2 or a pulsed 

(non-continuous) current density at rated 

operating conditions exceeding 10 A/cm2; 

b.1.d. ‘‘Vacuum electronic devices’’ with 

the capability to operate in a ’dual mode.’ 

Technical Note: For the purposes of 

3A001.b.1.d, ’dual mode’ means the 

‘‘vacuum electronic device’’ beam current 

can be intentionally changed between 

continuous-wave and pulsed mode operation 

by use of a grid and produces a peak pulse 

output power greater than the continuouswave output power. 

b.2. ‘‘Monolithic Microwave Integrated 

Circuit’’ (‘‘MMIC’’) amplifiers that any of the 

following: 

N.B.: For ‘‘MMIC’’ amplifiers that have an 

integrated phase shifter see 3A001.b.12. 

b.2.a. Rated for operation at frequencies 

exceeding 2.7 GHz up to and including 6.8 

GHz with a ‘‘fractional bandwidth’’ greater 

than 15%, and having any of the following: 

b.2.a.1. A peak saturated power output 

greater than 75 W (48.75 dBm) at any 

frequency exceeding 2.7 GHz up to and 

including 2.9 GHz; 

b.2.a.2. A peak saturated power output 

greater than 55 W (47.4 dBm) at any 

frequency exceeding 2.9 GHz up to and 

including 3.2 GHz; 

b.2.a.3. A peak saturated power output 

greater than 40 W (46 dBm) at any frequency 

exceeding 3.2 GHz up to and including 3.7 

GHz; or 

b.2.a.4. A peak saturated power output 

greater than 20 W (43 dBm) at any frequency 

exceeding 3.7 GHz up to and including 6.8 

GHz; 

b.2.b. Rated for operation at frequencies 

exceeding 6.8 GHz up to and including 16 

GHz with a ‘‘fractional bandwidth’’ greater 

than 10%, and having any of the following: 

b.2.b.1. A peak saturated power output 

greater than 10 W (40 dBm) at any frequency 

exceeding 6.8 GHz up to and including 8.5 

GHz; or 

b.2.b.2. A peak saturated power output 

greater than 5 W (37 dBm) at any frequency 

exceeding 8.5 GHz up to and including 16 

GHz; 

b.2.c. Rated for operation with a peak 

saturated power output greater than 3 W 

(34.77 dBm) at any frequency exceeding 16 

GHz up to and including 31.8 GHz, and with 

a ‘‘fractional bandwidth’’ of greater than 

10%; 

b.2.d. Rated for operation with a peak 

saturated power output greater than 0.1 nW 

(¥70 dBm) at any frequency exceeding 31.8 

GHz up to and including 37 GHz; 

b.2.e. Rated for operation with a peak 

saturated power output greater than 1 W (30 

dBm) at any frequency exceeding 37 GHz up 

to and including 43.5 GHz, and with a 

‘‘fractional bandwidth’’ of greater than 10%; 

b.2.f. Rated for operation with a peak 

saturated power output greater than 31.62 

mW (15 dBm) at any frequency exceeding 

43.5 GHz up to and including 75 GHz, and 

with a ‘‘fractional bandwidth’’ of greater than 

10%; 

b.2.g. Rated for operation with a peak 

saturated power output greater than 10 mW 

(10 dBm) at any frequency exceeding 75 GHz 

up to and including 90 GHz, and with a 

‘‘fractional bandwidth’’ of greater than 5%; or 

b.2.h. Rated for operation with a peak 

saturated power output greater than 0.1 nW 

(¥70 dBm) at any frequency exceeding 90 

GHz; 

Note 1: [Reserved] 

Note 2: The control status of the ‘‘MMIC’’ 

whose rated operating frequency includes 

frequencies listed in more than one frequency 

range, as defined by 3A001.b.2.a through 

3A001.b.2.h, is determined by the lowest 

peak saturated power output control 

threshold. 

Note 3: Notes 1 and 2 following the 

Category 3 heading for product group A. 

Systems, Equipment, and Components mean 

that 3A001.b.2 does not control ‘‘MMICs’’ if 

they are ‘‘specially designed’’ for other 

applications, e.g., telecommunications, 

radar, automobiles. 

b.3. Discrete microwave transistors that are 

any of the following: 

b.3.a. Rated for operation at frequencies 

exceeding 2.7 GHz up to and including 6.8 

GHz and having any of the following: 

b.3.a.1. A peak saturated power output 

greater than 400 W (56 dBm) at any 

frequency exceeding 2.7 GHz up to and 

including 2.9 GHz; 

b.3.a.2. A peak saturated power output 

greater than 205 W (53.12 dBm) at any 

frequency exceeding 2.9 GHz up to and 

including 3.2 GHz; 

b.3.a.3. A peak saturated power output 

greater than 115 W (50.61 dBm) at any 

frequency exceeding 3.2 GHz up to and 

including 3.7 GHz; or 

b.3.a.4. A peak saturated power output 

greater than 60 W (47.78 dBm) at any 

frequency exceeding 3.7 GHz up to and 

including 6.8 GHz; 

b.3.b. Rated for operation at frequencies 

exceeding 6.8 GHz up to and including 31.8 

GHz and having any of the following: 

b.3.b.1. A peak saturated power output 

greater than 50 W (47 dBm) at any frequency 

exceeding 6.8 GHz up to and including 8.5 

GHz; 

b.3.b.2. A peak saturated power output 

greater than 15 W (41.76 dBm) at any 

frequency exceeding 8.5 GHz up to and 

including 12 GHz; 

b.3.b.3. A peak saturated power output 

greater than 40 W (46 dBm) at any frequency 

exceeding 12 GHz up to and including 16 

GHz; or 

b.3.b.4. A peak saturated power output 

greater than 7 W (38.45 dBm) at any 

frequency exceeding 16 GHz up to and 

including 31.8 GHz; 

b.3.c. Rated for operation with a peak 

saturated power output greater than 0.5 W 

(27 dBm) at any frequency exceeding 31.8 

GHz up to and including 37 GHz; 

b.3.d. Rated for operation with a peak 

saturated power output greater than 1 W (30 

dBm) at any frequency exceeding 37 GHz up 

to and including 43.5 GHz; 

b.3.e. Rated for operation with a peak 

saturated power output greater than 0.1 nW 

(¥70 dBm) at any frequency exceeding 43.5 

GHz; or 

b.3.f. Other than those specified by 

3A001.b.3.a to 3A001.b.3.e and rated for 

operation with a peak saturated power output 

greater than 5 W (37.0 dBm) at all frequencies 

exceeding 8.5 GHz up to and including 31.8 

GHz; 

Note 1: The control status of a transistor 

in 3A001.b.3.a through 3A001.b.3.e, whose 

rated operating frequency includes 

frequencies listed in more than one frequency 

range, as defined by 3A001.b.3.a through 

3A001.b.3.e, is determined by the lowest 

peak saturated power output control 

threshold. 

Note 2: 3A001.b.3 includes bare dice, dice 

mounted on carriers, or dice mounted in 

packages. Some discrete transistors may also 


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Federal Register / Vol. 90, No. 9 / Wednesday, January 15, 2025 / Rules and Regulations 4571 

be referred to as power amplifiers, but the 

status of these discrete transistors is 

determined by 3A001.b.3. 

b.4. Microwave solid state amplifiers and 

microwave assemblies/modules containing 

microwave solid state amplifiers, that are any 

of the following: 

b.4.a. Rated for operation at frequencies 

exceeding 2.7 GHz up to and including 6.8 

GHz with a ‘‘fractional bandwidth’’ greater 

than 15%, and having any of the following: 

b.4.a.1. A peak saturated power output 

greater than 500 W (57 dBm) at any 

frequency exceeding 2.7 GHz up to and 

including 2.9 GHz; 

b.4.a.2. A peak saturated power output 

greater than 270 W (54.3 dBm) at any 

frequency exceeding 2.9 GHz up to and 

including 3.2 GHz; 

b.4.a.3. A peak saturated power output 

greater than 200 W (53 dBm) at any 

frequency exceeding 3.2 GHz up to and 

including 3.7 GHz; or 

b.4.a.4. A peak saturated power output 

greater than 90 W (49.54 dBm) at any 

frequency exceeding 3.7 GHz up to and 

including 6.8 GHz; 

b.4.b. Rated for operation at frequencies 

exceeding 6.8 GHz up to and including 31.8 

GHz with a ‘‘fractional bandwidth’’ greater 

than 10%, and having any of the following: 

b.4.b.1. A peak saturated power output 

greater than 70 W (48.45 dBm) at any 

frequency exceeding 6.8 GHz up to and 

including 8.5 GHz; 

b.4.b.2. A peak saturated power output 

greater than 50 W (47 dBm) at any frequency 

exceeding 8.5 GHz up to and including 12 

GHz; 

b.4.b.3. A peak saturated power output 

greater than 30 W (44.77 dBm) at any 

frequency exceeding 12 GHz up to and 

including 16 GHz; or 

b.4.b.4. A peak saturated power output 

greater than 20 W (43 dBm) at any frequency 

exceeding 16 GHz up to and including 31.8 

GHz; 

b.4.c. Rated for operation with a peak 

saturated power output greater than 0.5 W 

(27 dBm) at any frequency exceeding 31.8 

GHz up to and including 37 GHz; 

b.4.d. Rated for operation with a peak 

saturated power output greater than 2 W (33 

dBm) at any frequency exceeding 37 GHz up 

to and including 43.5 GHz, and with a 

‘‘fractional bandwidth’’ of greater than 10%; 

b.4.e. Rated for operation at frequencies 

exceeding 43.5 GHz and having any of the 

following: 

b.4.e.1. A peak saturated power output 

greater than 0.2 W (23 dBm) at any frequency 

exceeding 43.5 GHz up to and including 75 

GHz, and with a ‘‘fractional bandwidth’’ of 

greater than 10%; 

b.4.e.2. A peak saturated power output 

greater than 20 mW (13 dBm) at any 

frequency exceeding 75 GHz up to and 

including 90 GHz, and with a ‘‘fractional 

bandwidth’’ of greater than 5%; or 

b.4.e.3. A peak saturated power output 

greater than 0.1 nW (¥70 dBm) at any 

frequency exceeding 90 GHz; or 

b.4.f. [Reserved] 

N.B.: 

1. For ‘‘MMIC’’ amplifiers see 3A001.b.2. 

2. For ‘transmit/receive modules’ and 

‘transmit modules’ see 3A001.b.12. 

3. For converters and harmonic mixers, 

designed to extend the operating or 

frequency range of signal analyzers, signal 

generators, network analyzers or microwave 

test receivers, see 3A001.b.7. 

Note 1: [Reserved] 

Note 2: The control status of an item whose 

rated operating frequency includes 

frequencies listed in more than one frequency 

range, as defined by 3A001.b.4.a through 

3A001.b.4.e, is determined by the lowest 

peak saturated power output control 

threshold. 

b.5. Electronically or magnetically tunable 

band-pass or band-stop filters, having more 

than 5 tunable resonators capable of tuning 

across a 1.5:1 frequency band (fmax/fmin) in 

less than 10 ms and having any of the 

following: 

b.5.a. A band-pass bandwidth of more than 

0.5% of center frequency; or 

b.5.b. A band-stop bandwidth of less than 

0.5% of center frequency; 

b.6. [Reserved] 

b.7. Converters and harmonic mixers, that 

are any of the following: 

b.7.a. Designed to extend the frequency 

range of ‘‘signal analyzers’’ beyond 90 GHz; 

b.7.b. Designed to extend the operating 

range of signal generators as follows: 

b.7.b.1. Beyond 90 GHz; 

b.7.b.2. To an output power greater than 

100 mW (20 dBm) anywhere within the 

frequency range exceeding 43.5 GHz but not 

exceeding 90 GHz; 

b.7.c. Designed to extend the operating 

range of network analyzers as follows: 

b.7.c.1. Beyond 110 GHz; 

b.7.c.2. To an output power greater than 

31.62 mW (15 dBm) anywhere within the 

frequency range exceeding 43.5 GHz but not 

exceeding 90 GHz; 

b.7.c.3. To an output power greater than 1 

mW (0 dBm) anywhere within the frequency 

range exceeding 90 GHz but not exceeding 

110 GHz; or 

b.7.d. Designed to extend the frequency 

range of microwave test receivers beyond 110 

GHz; 

b.8. Microwave power amplifiers 

containing ‘‘vacuum electronic devices’’ 

controlled by 3A001.b.1 and having all of the 

following: 

b.8.a. Operating frequencies above 3 GHz; 

b.8.b. An average output power to mass 

ratio exceeding 80 W/kg; and 

b.8.c. A volume of less than 400 cm3; 

Note: 3A001.b.8 does not control 

equipment designed or rated for operation in 

any frequency band which is ‘‘allocated by 

the ITU’’ for radio-communications services, 

but not for radio-determination. 

b.9. Microwave Power Modules (MPM) 

consisting of, at least, a traveling-wave 

‘‘vacuum electronic device,’’ a ‘‘Monolithic 

Microwave Integrated Circuit’’ (‘‘MMIC’’) and 

an integrated electronic power conditioner 

and having all of the following: 

b.9.a. A ’turn-on time’ from off to fully 

operational in less than 10 seconds; 

b.9.b. A volume less than the maximum 

rated power in Watts multiplied by 10 cm3/ 

W; and 

b.9.c. An ‘‘instantaneous bandwidth’’ 

greater than 1 octave (fmax > 2fmin) and having 

any of the following: 

b.9.c.1. For frequencies equal to or less 

than 18 GHz, an RF output power greater 

than 100 W; or 

b.9.c.2. A frequency greater than 18 GHz; 

Technical Notes: For the purposes of 

3A001.b.9: 

1. To calculate the volume in 3A001.b.9.b, 

the following example is provided: for a 

maximum rated power of 20 W, the volume 

would be: 20 W × 10 cm3/W = 200 cm3. 

2. The ’turn-on time’ in 3A001.b.9.a refers 

to the time from fully-off to fully operational, 

i.e., it includes the warm-up time of the 

MPM. 

b.10. Oscillators or oscillator assemblies, 

specified to operate with a single sideband 

(SSB) phase noise, in dBc/Hz, less (better) 

than ¥ (126 + 20log10F ¥ 20log10f) anywhere 

within the range of 10 Hz ≤ F ≤ 10 kHz; 

Technical Note: For the purposes of 

3A001.b.10, F is the offset from the operating 

frequency in Hz and f is the operating 

frequency in MHz. 

b.11. ‘Frequency synthesizer’ ‘‘electronic 

assemblies’’ having a ‘‘frequency switching 

time’’ as specified by any of the following: 

b.11.a. Less than 143 ps; 

b.11.b. Less than 100 ms for any frequency 

change exceeding 2.2 GHz within the 

synthesized frequency range exceeding 4.8 

GHz but not exceeding 31.8 GHz; 

b.11.c. [Reserved] 

b.11.d. Less than 500 ms for any frequency 

change exceeding 550 MHz within the 

synthesized frequency range exceeding 31.8 

GHz but not exceeding 37 GHz; 

b.11.e. Less than 100 ms for any frequency 

change exceeding 2.2 GHz within the 

synthesized frequency range exceeding 37 

GHz but not exceeding 75 GHz; 

b.11.f. Less than 100 ms for any frequency 

change exceeding 5.0 GHz within the 

synthesized frequency range exceeding 75 

GHz but not exceeding 90 GHz; or 

b.11.g. Less than 1 ms within the 

synthesized frequency range exceeding 90 

GHz; 

Technical Note: For the purposes of 

3A001.b.11, a ‘frequency synthesizer’ is any 

kind of frequency source, regardless of the 

actual technique used, providing a 

multiplicity of simultaneous or alternative 

output frequencies, from one or more 

outputs, controlled by, derived from or 

disciplined by a lesser number of standard 

(or master) frequencies. 

N.B.: For general purpose ‘‘signal 

analyzers’’, signal generators, network 

analyzers and microwave test receivers, see 

3A002.c, 3A002.d, 3A002.e and 3A002.f, 

respectively. 

b.12. ’Transmit/receive modules, ‘transmit/ 

receive MMICs, ‘transmit modules,’ and 

‘transmit MMICs,’ rated for operation at 

frequencies above 2.7 GHz and having all of 

the following: 

b.12.a. A peak saturated power output (in 

watts), Psat, greater than 505.62 divided by 

the maximum operating frequency (in GHz) 

squared [Psat>505.62 W*GHz2/fGHz2] for any 

channel; 

b.12.b. A ‘‘fractional bandwidth’’ of 5% or 

greater for any channel; 

b.12.c. Any planar side with length d (in 

cm) equal to or less than 15 divided by the 

lowest operating frequency in GHz [d ≤ 


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4572 Federal Register / Vol. 90, No. 9 / Wednesday, January 15, 2025 / Rules and Regulations 

15cm*GHz*N/fGHz] where N is the number of 

transmit or transmit/receive channels; and 

b.12.d. An electronically variable phase 

shifter per channel; 

Technical Notes: For the purposes of 

3A001.b.12: 

1. A ‘transmit/receive module’ is a 

multifunction ‘‘electronic assembly’’ that 

provides bi-directional amplitude and phase 

control for transmission and reception of 

signals. 

2. A ‘transmit module’ is an ‘‘electronic 

assembly’’ that provides amplitude and 

phase control for transmission of signals. 

3. A ‘transmit/receive MMIC’ is a 

multifunction ‘‘MMIC’’ that provides bidirectional amplitude and phase control for 

transmission and reception of signals. 

4. A ‘transmit MMIC’ is a ‘‘MMIC’’ that 

provides amplitude and phase control for 

transmission of signals. 

5. 2.7 GHz should be used as the lowest 

operating frequency (fGHz) in the formula in 

3A001.b.12.c for transmit/receive or transmit 

modules that have a rated operation range 

extending downward to 2.7 GHz and below 

[d≤15cm*GHz*N/2.7 GHz]. 

6. 3A001.b.12 applies to ‘transmit/receive 

modules’ or ‘transmit modules’ with or 

without a heat sink. The value of d in 

3A001.b.12.c does not include any portion of 

the ‘transmit/receive module’ or ‘transmit 

module’ that functions as a heat sink. 

7. ‘Transmit/receive modules’ or ‘transmit 

modules,’ ‘transmit/receive MMICs’ or 

‘transmit MMICs’ may or may not have N 

integrated radiating antenna elements where 

N is the number of transmit or transmit/ 

receive channels. 

c. Acoustic wave devices as follows and 

‘‘specially designed’’ ‘‘components’’ therefor: 

c.1. Surface acoustic wave and surface 

skimming (shallow bulk) acoustic wave 

devices, having any of the following: 

c.1.a. A carrier frequency exceeding 6 GHz; 

c.1.b. A carrier frequency exceeding 1 GHz, 

but not exceeding 6 GHz and having any of 

the following: 

c.1.b.1. A ‘frequency side-lobe rejection’ 

exceeding 65 dB; 

c.1.b.2. A product of the maximum delay 

time and the bandwidth (time in ms and 

bandwidth in MHz) of more than 100; 

c.1.b.3. A bandwidth greater than 250 

MHz; or 

c.1.b.4. A dispersive delay of more than 10 

ms; or 

c.1.c. A carrier frequency of 1 GHz or less 

and having any of the following: 

c.1.c.1. A product of the maximum delay 

time and the bandwidth (time in ms and 

bandwidth in MHz) of more than 100; 

c.1.c.2. A dispersive delay of more than 10 

ms; or 

c.1.c.3. A ‘frequency side-lobe rejection’ 

exceeding 65 dB and a bandwidth greater 

than 100 MHz; 

Technical Note: For the purposes of 

3A001.c.1, ‘frequency side-lobe rejection’ is 

the maximum rejection value specified in 

data sheet. 

c.2. Bulk (volume) acoustic wave devices 

that permit the direct processing of signals at 

frequencies exceeding 6 GHz; 

c.3. Acoustic-optic ‘‘signal processing’’ 

devices employing interaction between 

acoustic waves (bulk wave or surface wave) 

and light waves that permit the direct 

processing of signals or images, including 

spectral analysis, correlation or convolution; 

Note: 3A001.c does not control acoustic 

wave devices that are limited to a single band 

pass, low pass, high pass or notch filtering, 

or resonating function. 

d. Electronic devices and circuits 

containing ‘‘components,’’ manufactured 

from ‘‘superconductive’’ materials, ‘‘specially 

designed’’ for operation at temperatures 

below the ‘‘critical temperature’’ of at least 

one of the ‘‘superconductive’’ constituents 

and having any of the following: 

d.1. Current switching for digital circuits 

using ‘‘superconductive’’ gates with a 

product of delay time per gate (in seconds) 

and power dissipation per gate (in watts) of 

less than 10¥14 J; or 

d.2. Frequency selection at all frequencies 

using resonant circuits with Q-values 

exceeding 10,000; 

e. High energy devices as follows: 

e.1. ‘Cells’ as follows: 

e.1.a ‘Primary cells’ having any of the 

following at 20 °C: 

e.1.a.1. ‘Energy density’ exceeding 550 Wh/ 

kg and a ‘continuous power density’ 

exceeding 50 W/kg; or 

e.1.a.2. ‘Energy density’ exceeding 50 Wh/ 

kg and a ’continuous power density’ 

exceeding 350 W/kg; 

e.1.b. ‘Secondary cells’ having an ‘energy 

density’ exceeding 350 Wh/kg at 20 °C; 

Technical Notes: 1. For the purposes of 

3A001.e.1, ‘energy density’ (Wh/kg) is 

calculated from the nominal voltage 

multiplied by the nominal capacity in 

ampere-hours (Ah) divided by the mass in 

kilograms. If the nominal capacity is not 

stated, energy density is calculated from the 

nominal voltage squared then multiplied by 

the discharge duration in hours divided by 

the discharge load in Ohms and the mass in 

kilograms. 

2. For the purposes of 3A001.e.1, a ‘cell’ is 

defined as an electrochemical device, which 

has positive and negative electrodes, an 

electrolyte, and is a source of electrical 

energy. It is the basic building block of a 

battery. 

3. For the purposes of 3A001.e.1.a, a 

‘primary cell’ is a ‘cell’ that is not designed 

to be charged by any other source. 

4. For the purposes of 3A001.e.1.b, a 

‘secondary cell’ is a ‘cell’ that is designed to 

be charged by an external electrical source. 

5. For the purposes of 3A001.e.1.a, 

‘continuous power density’ (W/kg) is 

calculated from the nominal voltage 

multiplied by the specified maximum 

continuous discharge current in ampere (A) 

divided by the mass in kilograms. 

‘Continuous power density’ is also referred to 

as specific power. 

Note: 3A001.e does not control batteries, 

including single-cell batteries. 

e.2. High energy storage capacitors as 

follows: 

e.2.a. Capacitors with a repetition rate of 

less than 10 Hz (single shot capacitors) and 

having all of the following: 

e.2.a.1. A voltage rating equal to or more 

than 5 kV; 

e.2.a.2. An energy density equal to or more 

than 250 J/kg; and 

e.2.a.3. A total energy equal to or more 

than 25 kJ; 

e.2.b. Capacitors with a repetition rate of 

10 Hz or more (repetition rated capacitors) 

and having all of the following: 

e.2.b.1. A voltage rating equal to or more 

than 5 kV; 

e.2.b.2. An energy density equal to or more 

than 50 J/kg; 

e.2.b.3. A total energy equal to or more 

than 100 J; and 

e.2.b.4. A charge/discharge cycle life equal 

to or more than 10,000; 

e.3. ‘‘Superconductive’’ electromagnets and 

solenoids, ‘‘specially designed’’ to be fully 

charged or discharged in less than one 

second and having all of the following: 

Note: 3A001.e.3 does not control 

‘‘superconductive’’ electromagnets or 

solenoids ‘‘specially designed’’ for Magnetic 

Resonance Imaging (MRI) medical 

equipment. 

e.3.a. Energy delivered during the 

discharge exceeding 10 kJ in the first second; 

e.3.b. Inner diameter of the current 

carrying windings of more than 250 mm; and 

e.3.c. Rated for a magnetic induction of 

more than 8 T or ‘‘overall current density’’ 

in the winding of more than 300 A/mm2; 

e.4. Solar cells, cell-interconnectcoverglass (CIC) assemblies, solar panels, and 

solar arrays, which are ‘‘space-qualified,’’ 

having a minimum average efficiency 

exceeding 20% at an operating temperature 

of 301 K (28 °C) under simulated ‘AM0’ 

illumination with an irradiance of 1,367 

Watts per square meter (W/m2); 

Technical Note: For the purposes of 

3A001.e.4, ‘AM0’, or ‘Air Mass Zero’, refers 

to the spectral irradiance of sun light in the 

earth’s outer atmosphere when the distance 

between the earth and sun is one 

astronomical unit (AU). 

f. Rotary input type absolute position 

encoders having an ‘‘accuracy’’ equal to or 

less (better) than 1.0 second of arc and 

‘‘specially designed’’ encoder rings, discs or 

scales therefor; 

g. Solid-state pulsed power switching 

thyristor devices and ‘thyristor modules’, 

using either electrically, optically, or electron 

radiation controlled switch methods and 

having any of the following: 

g.1. A maximum turn-on current rate of 

rise (di/dt) greater than 30,000 A/ms and offstate voltage greater than 1,100 V; or 

g.2. A maximum turn-on current rate of 

rise (di/dt) greater than 2,000 A/ms and 

having all of the following: 

g.2.a. An off-state peak voltage equal to or 

greater than 3,000 V; and 

g.2.b. A peak (surge) current equal to or 

greater than 3,000 A; 

Note 1: 3A001.g. includes: 

—Silicon Controlled Rectifiers (SCRs) 

—Electrical Triggering Thyristors (ETTs) 

—Light Triggering Thyristors (LTTs) 

—Integrated Gate Commutated Thyristors 

(IGCTs) 

—Gate Turn-off Thyristors (GTOs) 

—MOS Controlled Thyristors (MCTs) 

—Solidtrons 

Note 2: 3A001.g does not control thyristor 

devices and ‘thyristor modules’ incorporated 

into equipment designed for civil railway or 

‘‘civil aircraft’’ applications. 


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Technical Note: For the purposes of 

3A001.g, a ‘thyristor module’ contains one or 

more thyristor devices. 

h. Solid-state power semiconductor 

switches, diodes, or ‘modules’, having all of 

the following: 

h.1. Rated for a maximum operating 

junction temperature greater than 488 K 

(215 °C); 

h.2. Repetitive peak off-state voltage 

(blocking voltage) exceeding 300 V; and 

h.3. Continuous current greater than 1 A. 

Technical Note: For the purposes of 

3A001.h, ‘modules’ contain one or more 

solid-state power semiconductor switches or 

diodes. 

Note 1: Repetitive peak off-state voltage in 

3A001.h includes drain to source voltage, 

collector to emitter voltage, repetitive peak 

reverse voltage and peak repetitive off-state 

blocking voltage. 

Note 2: 3A001.h includes: 

—Junction Field Effect Transistors (JFETs) 

—Vertical Junction Field Effect Transistors 

(VJFETs) 

—Metal Oxide Semiconductor Field Effect 

Transistors (MOSFETs) 

—Double Diffused Metal Oxide 

Semiconductor Field Effect Transistor 

(DMOSFET) 

—Insulated Gate Bipolar Transistor (IGBT) 

—High Electron Mobility Transistors 

(HEMTs) 

—Bipolar Junction Transistors (BJTs) 

—Thyristors and Silicon Controlled Rectifiers 

(SCRs) 

—Gate Turn-Off Thyristors (GTOs) 

—Emitter Turn-Off Thyristors (ETOs) 

—PiN Diodes 

—Schottky Diodes 

Note 3: 3A001.h does not apply to 

switches, diodes, or ‘modules’, incorporated 

into equipment designed for civil automobile, 

civil railway, or ‘‘civil aircraft’’ applications. 

i. Intensity, amplitude, or phase electrooptic modulators, designed for analog signals 

and having any of the following: 

i.1. A maximum operating frequency of 

more than 10 GHz but less than 20 GHz, an 

optical insertion loss equal to or less than 3 

dB and having any of the following: 

i.1.a. A ‘half-wave voltage’ (‘Vp’) less than 

2.7 V when measured at a frequency of 1 GHz 

or below; or 

i.1.b. A ‘Vp’ of less than 4 V when 

measured at a frequency of more than 1 GHz; 

or 

i.2. A maximum operating frequency equal 

to or greater than 20 GHz, an optical insertion 

loss equal to or less than 3 dB and having 

any of the following: 

i.2.a. A ‘Vp’ less than 3.3 V when measured 

at a frequency of 1 GHz or below; or 

i.2.b. A ‘Vp’ less than 5 V when measured 

at a frequency of more than 1 GHz. 

Note: 3A001.i includes electro-optic 

modulators having optical input and output 

connectors (e.g., fiber-optic pigtails). 

Technical Note: For the purposes of 

3A001.i, a ‘half-wave voltage’ (‘Vp’) is the 

applied voltage necessary to make a phase 

change of 180 degrees in the wavelength of 

light propagating through the optical 

modulator. 

j. through y. [Reserved] 

z. Any commodity described in 3A001 that 

meets or exceeds the performance parameters 

in 3A090, as follows: 

z.1.a ‘‘Monolithic Microwave Integrated 

Circuit’’ (‘‘MMIC’’) amplifiers described in 

3A001.b.2 and discrete microwave transistors 

in 3A001.b.3 that also meet or exceed the 

performance parameters in ECCN 3A090.a, 

except those 3A001.b.2 and b.3 items being 

exported or reexported for use in civil 

telecommunications applications; 

z.1.b ‘‘Monolithic Microwave Integrated 

Circuit’’ (‘‘MMIC’’) amplifiers described in 

3A001.b.2 and discrete microwave transistors 

in 3A001.b.3 that also meet or exceed the 

performance parameters in ECCN 3A090.b, 

except those 3A001.b.2 and b.3 items being 

exported or reexported for use in civil 

telecommunications applications; 

z.2.a Commodities that are described in 

3A001.a.1.a when usable in ‘‘missiles’’ that 

also meet or exceed the performance 

parameters in ECCN 3A090.a; and to 

3A001.a.5.a when ‘‘designed or modified’’ for 

military use, hermetically sealed and rated 

for operation in the temperature range from 

below ¥54 °C to above +125 °C and that also 

meet or exceed the performance parameters 

in ECCN 3A090.a; 

z.2.b Commodities that are described in 

3A001.a.1.a when usable in ‘‘missiles’’ that 

also meet or exceed the performance 

parameters in ECCN 3A090.b; and to 

3A001.a.5.a when ‘‘designed or modified’’ for 

military use, hermetically sealed and rated 

for operation in the temperature range from 

below ¥54 °C to above +125 °C and that also 

meet or exceed the performance parameters 

in ECCN 3A090.b; 

z.3.a. Pulse discharge capacitors described 

in 3A001.e.2 and superconducting solenoidal 

electromagnets in 3A001.e.3 that meet or 

exceed the technical parameters in 3A201.a 

and 3A201.b, respectively and that also meet 

or exceed the performance parameters in 

ECCN 3A090.a; 

z.3.b Pulse discharge capacitors described 

in 3A001.e.2 and superconducting solenoidal 

electromagnets in 3A001.e.3 that meet or 

exceed the technical parameters in 3A201.a 

and 3A201.b, respectively and that also meet 

or exceed the performance parameters in 

ECCN 3A090.b; 

z.4.a. All other commodities specified in 

this ECCN that meet or exceed the 

performance parameters of ECCN 3A090.a; or 

z.4.b All other commodities specified in 

this ECCN that meet or exceed the 

performance parameters of ECCN 3A090.b. 

* * * * * 

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 3A090.a ... To or within any destination worldwide. See 

§ 742.6(a)(6)(iii)(A) of 

the EAR. 

Control(s) 

Country chart 

(see Supp. No. 1 

to part 738) 

RS applies to 3A090.b ... 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)(B) 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. 

AIA: Yes for 3A090.a 

ACM: Yes 

LPP: Yes for 3A090.a 

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 

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 


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4574 Federal Register / Vol. 90, No. 9 / Wednesday, January 15, 2025 / Rules and Regulations 

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 ICs 

that are excluded from ECCN 3A090 under 

Note 2 or 3 to 3A090, those ICs are also not 

applicable for classifications made under 

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

4A090, 5A002.z, 5A004.z, 5A992.z, 5D002.z, 

or 5D992.z because those other CCL 

classifications are based on the incorporation 

of an IC that meets the control parameters 

under ECCN 3A090 or otherwise meets or 

exceeds the control parameters or ECCNs 

3A090 or 4A090. See the Related Controls 

paragraphs of 3A001.z, 4A003.z, 4A004.z, 

4A005.z, 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 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 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 

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 co-packaged 

integrated circuits with both high bandwidth 

memory and logic integrated circuit where 

the dominant function of the co-packaged 

integrated circuit is processing. It does 

include high bandwidth memory 

permanently affixed to a logic integrated 

circuit designed as a control interface and 

incorporating a physical layer (PHY) 

function. 

* * * * * 

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.1.a, 

z.2.a, z.3.a, z.4.a and 

3A090.a.

To or within any destination worldwide. See 

§ 742.6(a)(6)(iii)(A) of 

the EAR. 

RS applies to ‘‘software’’ 

for commodities controlled by 3A001.z. 1.b, 

z.2.b, z.3.b, z.4.b and 

3A090.b.

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)(B) 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. 

AIA: Yes for ‘‘software’’ for commodities 

controlled by 3A001.z.1.a, z.2.a, z.3.a, 

z.4.a, and 3A090.a 

ACM: Yes for ‘‘software’’ for commodities 

controlled by 3A001.z 

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 3A090.a or 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.b 

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. 

* * * * * 

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. 

NP applies to ‘‘technology’’ for commodities controlled by 

3A001, 3A201, or 

3A225 to 3A234 for 

NP reasons.

NP Column 1. 


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Federal Register / Vol. 90, No. 9 / Wednesday, January 15, 2025 / Rules and Regulations 4575 

Control(s) 

Country chart 

(see Supp. No. 1 

to part 738) 

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.1.a, z.2.a, 

z.3.a, z.4.a, and 

3A090.a.

To or within any destination worldwide. See 

§ 742.6(a)(6)(iii)(A) of 

the EAR. 

RS applies to ‘‘technology’’ for commodities controlled by 

3A001.z.1.b, z.2.b, 

z.3.b, z.4.b and 

3A090.b.

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)(B) 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, 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; and (d) 

discrete microwave transistors in 

3A001.b.3; and (e) commodities described 

in 3A090. 

AIA: Yes for ‘‘technology’’ for commodities 

controlled by 3A001.z.1.a, z.2.a, z.3.a, 

z.4.a, and 3A090.a 

ACM: Yes for ‘‘technology’’ for commodities 

controlled by 3A001.z and 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, or 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 3E101, 3E201 and 9E515. (2) 

‘‘Technology’’ for ‘‘development’’ or 

‘‘production’’ of ‘‘Microwave Monolithic 

Integrated Circuits’’ (‘‘MMIC’’) amplifiers 

in 3A001.b.2 is controlled in this ECCN 

3E001; 5E001.d refers only to that 

additional ‘‘technology’’ ‘‘required’’ for 

telecommunications. 

Related Definition: N/A 

Items: The list of items controlled is 

contained in the ECCN heading. 

Note 1: 3E001 does not control 

‘‘technology’’ for equipment or 

‘‘components’’ controlled by 3A003. 

Note 2: 3E001 does not control 

‘‘technology’’ for integrated circuits 

controlled by 3A001.a.3 to a.14 or .z, having 

all of the following: 

(a) Using ‘‘technology’’ at or above 0.130 

μm; and 

(b) Incorporating multi-layer structures 

with three or fewer metal layers. 

* * * * * 

4A003 ‘‘Digital computers’’, ‘‘electronic 

assemblies’’, and related equipment 

therefor, as follows (see List of Items 

Controlled) and ‘‘specially designed’’ 

‘‘components’’ therefor. 

License Requirements 

Reason for Control: NS, RS, CC, AT 

Control(s) 

Country chart 

(see Supp. No. 1 

to part 738) 

NS applies to 4A003.b, 

.c, and .z.1.

NS Column 1. 

NS applies to 4A003.g 

and z.2.

NS Column 2. 

Control(s) 

Country chart 

(see Supp. No. 1 

to part 738) 

RS applies to 

4A003.z.1.a, z.2.a.

To or within any destination worldwide. See 

§ 742.6(a)(6)(iii)(A) of 

the EAR. 

RS applies to 

4A003.z.1.b, z.2.b.

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)(B) of 

the EAR. 

CC applies to ‘‘digital 

computers’’ for computerized finger-print 

equipment.

CC Column 1. 

AT applies to entire entry 

(refer to 4A994 for 

controls on ‘‘digital 

computers’’ with an 

APP >0.0128 but ≤70 

WT).

AT Column 1. 

Note: For all destinations, except those 

countries in Country Group E:1 or E:2 of 

Supplement No. 1 to part 740 of the EAR, no 

license is required (NLR) for computers with 

an ‘‘Adjusted Peak Performance’’ (‘‘APP’’) 

not exceeding 70 Weighted TeraFLOPS (WT) 

and for ‘‘electronic assemblies’’ described in 

4A003.c that are not capable of exceeding an 

‘‘Adjusted Peak Performance’’ (‘‘APP’’) 

exceeding 70 Weighted TeraFLOPS (WT) in 

aggregation, except certain transfers as set 

forth in § 746.3 (Iraq). 

Reporting Requirements 

Special Post Shipment Verification 

reporting and recordkeeping requirements for 

exports of computers to destinations in 

Computer Tier 3 may be found in § 743.2 of 

the EAR. 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

LVS: $5000; N/A for 4A003.b, c, and z. 

GBS: Yes, for 4A003.g and ‘‘specially 

designed’’ ‘‘parts’’ and ‘‘components’’ 

therefor, exported separately or as part of 

a system. 

APP: Yes, for computers controlled by 

4A003.b, and ‘‘electronic assemblies’’ 

controlled by 4A003.c, to the exclusion of 

other technical parameters. See § 740.7 of 

the EAR. 

NAC/ACA: Yes, for 4A003.z. 

AIA: Yes for 4A003.z.1.a, z.2.a 

ACM: Yes for 4A003.z 

LPP: Yes for 4A003.z.1.a, z.2.a 

Note to List Based License Exceptions: See 

§ 740.2(a)(9)(ii) of the EAR for license 

exception restrictions for ECCN 4A003.z. 

List of Items Controlled 

Related Controls: See also ECCNs 4A090, 

4A994 and 4A980. 

Related Definitions: N/A 

Items: 

Note 1: 4A003 includes the following: 

—‘Vector processors’ (as defined in Note 7 of 

the ‘‘Technical Note on ‘‘Adjusted Peak 

Performance’’ (‘‘APP’’)’’); 

—Array processors; 


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—Digital signal processors; 

—Logic processors; 

—Equipment designed for ‘‘image 

enhancement.’’ 

Note 2: The control status of the ‘‘digital 

computers’’ and related equipment described 

in 4A003 is determined by the control status 

of other equipment or systems provided: 

a. The ‘‘digital computers’’ or related 

equipment are essential for the operation of 

the other equipment or systems; 

b. The ‘‘digital computers’’ or related 

equipment are not a ‘‘principal element’’ of 

the other equipment or systems; and 

N.B. 1: The control status of ‘‘signal 

processing’’ or ‘‘image enhancement’’ 

equipment ‘‘specially designed’’ for other 

equipment with functions limited to those 

required for the other equipment is 

determined by the control status of the other 

equipment even if it exceeds the ‘‘principal 

element’’ criterion. 

N.B. 2: For the control status of ‘‘digital 

computers’’ or related equipment for 

telecommunications equipment, see Category 

5, Part 1 (Telecommunications). 

c. The ‘‘technology’’ for the ‘‘digital 

computers’’ and related equipment is 

determined by 4E. 

a. [Reserved] 

b. ‘‘Digital computers’’ having an 

‘‘Adjusted Peak Performance’’ (‘‘APP’’) 

exceeding 70 Weighted TeraFLOPS (WT); 

c. ‘‘Electronic assemblies’’ ‘‘specially 

designed’’ or modified to be capable of 

enhancing performance by aggregation of 

processors so that the ‘‘APP’’ of the 

aggregation exceeds the limit in 4A003.b.; 

Note 1: 4A003.c applies only to ‘‘electronic 

assemblies’’ and programmable 

interconnections not exceeding the limit in 

4A003.b when shipped as unintegrated 

‘‘electronic assemblies.’’ 

Note 2: 4A003.c does not control 

‘‘electronic assemblies’’ ‘‘specially designed’’ 

for a product or family of products whose 

maximum configuration does not exceed the 

limit of 4A003.b. 

d. to f. [Reserved] 

N.B.: For ‘‘electronic assemblies,’’ modules 

or equipment, performing analog-to-digital 

conversions, see 3A002.h. 

g. Equipment ‘‘specially designed’’ for 

aggregating the performance of ‘‘digital 

computers’’ by providing external 

interconnections which allow 

communications at unidirectional data rates 

exceeding 2.0 Gbyte/s per link. 

Note: 4A003.g does not control internal 

interconnection equipment (e.g., backplanes, 

buses) passive interconnection equipment, 

‘‘network access controllers’’ or 

‘‘communication channel controllers’’. 

h. through y. [Reserved] 

z. Commodities specified in this ECCN 

4A003 that also meet or exceed the 

performance parameters in 4A090. 

z.1.a. Commodities specified in 4A003.b or 

.c that also meet or exceed the performance 

parameters in ECCN 4A090.a; 

z.1.b Commodities specified in 4A003.b or 

.c that also meet or exceed the performance 

parameters in ECCN 4A090.b; 

z.2.a. Commodities specified in 4A003.g 

that also meet or exceed the performance 

parameters in ECCN 4A090a; or 

z.2.b Commodities specified in 4A003.g 

that also meet or exceed the performance 

parameters in ECCN 4A090.b. 

4A004 Computers as follows (see List of 

Items Controlled) and ‘‘specially 

designed’’ related equipment, 

‘‘electronic assemblies’’ and 

‘‘components’’ therefor. 

License Requirements 

Reason for Control: NS, RS, AT 

Control(s) 

Country chart 

(see Supp. No. 1 

to part 738) 

NS applies to entire 

entry.

NS Column 2. 

RS applies to 4A004.z.1 To or within any destination worldwide. See 

§ 742.6(a)(6)(iii)(A) of 

the EAR. 

RS applies to 4A004.z.2 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)(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: $5000, N/A for 4A004.z 

GBS: N/A 

NAC/ACA: Yes, for 4A004.z. 

AIA: Yes for 4A004.z.1 

LPP: Yes for 4A004.z.1 

Note: See § 740.2(a)(9)(ii) of the EAR for 

license exception restrictions for ECCN 

4A004.z. 

List of Items Controlled 

Related Controls: See also ECCN 4A090. 

Related Definitions: N/A 

Items: 

a. ‘Systolic array computers’; 

b. ‘Neural computers’; 

c. ‘Optical computers’. 

Technical Notes: 

1. For the purposes of 4A004.a, ‘systolic 

array computers’ are computers where the 

flow and modification of the data is 

dynamically controllable at the logic gate 

level by the user. 

2. For the purposes of 4A004.b, ‘neural 

computers’ are computational devices 

designed or modified to mimic the behavior 

of a neuron or a collection of neurons, i.e., 

computational devices which are 

distinguished by their hardware capability to 

modulate the weights and numbers of the 

interconnections of a multiplicity of 

computational components based on 

previous data. 

3. For the purposes of 4A004.c, ‘optical 

computers’ are computers designed or 

modified to use light to represent data and 

whose computational logic elements are 

based on directly coupled optical devices. 

d. through y. [Reserved] 

z.1. Commodities that are described in 

4A004 and that also meet or exceed the 

performance parameters in 4A090.a; or 

z.2 Commodities that are described in 

4A004 and that also meet or exceed the 

performance parameters in 4A090.b. 

4A005 ‘‘Systems,’’ ‘‘equipment,’’ and 

‘‘components’’ therefor, ‘‘specially 

designed’’ or modified for the 

generation, command and control, or 

delivery of ‘‘intrusion software’’ (see List 

of Items Controlled). 

License Requirements 

Reason for Control: NS, RS, AT 

Control(s) 

Country chart 

(see Supp. No. 1 

to part 738) 

NS applies to entire 

entry.

NS Column 1. 

RS applies to items controlled by 4A005.z.1.To or within any destination worldwide. See 

§ 742.6(a)(6)(iii)(A) of 

the EAR. 

RS applies to items controlled by 4A005.z.2.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)(B) 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) 

LVS: N/A 

GBS: N/A 

APP: N/A 

ACE: Yes, except to Country Group E:1 or 

E:2. See § 740.22 of the EAR for eligibility 

criteria. 

NAC/ACA: Yes, for 4A005.z. 

AIA: Yes for 4A005.z.1 

ACM: Yes for 4A005.z 

LPP: Yes for 4A005.z.1 

Note: See § 740.2(a)(9)(ii) of the EAR for 

license exception restrictions for ECCN 

4A005.z. 

Special Conditions for STA 

STA: License Exception STA may not be 

used to ship items specified by ECCN 

4A005. 

List of Items Controlled 

Related Controls: (1) Defense articles 

described in USML Category XI(b), and 

software directly related to a defense 

article, are ‘‘subject to the ITAR’’ (see 22 

CFR parts 120 through 130). (2) See also 

ECCN 4A090. 

Related Definitions: N/A 

Items: The list of items controlled is 

contained in the ECCN heading, except for 

the commodities controlled under 4A005.z. 

a. through y. [Reserved] 

z.1. Commodities that are specified in 

4A005 that also meet or exceed the 

performance parameters in 4A090.a. 


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z.2 Commodities that are specified in 

4A005 that also meet or exceed the 

performance parameters in 4A090.b. 

4A090 Computers as follows (see List of 

Items Controlled) and related 

equipment, ‘‘electronic assemblies,’’ and 

‘‘components’’ therefor. 

License Requirements 

Reason for Control: RS, AT 

Control(s) 

Country chart 

(see Supp. No. 1 

to part 738) 

RS applies to 4A090.a ... To or within any destination worldwide. See 

§ 742.6(a)(6)(iii)(A) of 

the EAR. 

RS applies to 4A090.b ... 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)(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 

AIA: Yes for 4A090.a 

ACM: Yes 

LPP: Yes for 4A090.a 

List of Items Controlled 

Related Controls: (1) For associated 

‘‘software’’ for commodities in this ECCN, 

see 4D090, 5D002.z, and 5D992.z and for 

associated ‘‘technology’’ for commodities 

in this ECCN, see 4E001. (2) Also ECCNs 

4A003.z, 4A004.z, 4A005.z, 5A002.z, 

5A004.z, and 5A992.z. 

Related Definitions: N/A 

Items: 

a. Computers, ‘‘electronic assemblies,’’ and 

‘‘components’’ containing integrated circuits, 

any of which meets or exceeds the limits in 

3A090.a. 

b. Computers, ‘‘electronic assemblies,’’ and 

‘‘components’’ containing integrated circuits, 

any of which meets or exceeds the limits in 

3A090.b. 

Technical Note: For purposes of 4A090.a 

and .b, computers include ‘‘digital 

computers,’’ ‘‘hybrid computers,’’ and analog 

computers. 

* * * * * 

4D001 ‘‘Software’’ as follows (see List of 

Items Controlled). 

License Requirements 

Reason for Control: NS, RS, CC, AT 

Control(s) 

Country chart 

(see Supp. No. 1 

to part 738) 

NS applies to entire 

entry.

NS Column 1. 

RS applies to ‘‘software’’ 

for commodities controlled by 4A003.z.1.a, 

z.2.a, 4A004.z.1, and 

4A005.z.1.

To or within any destination worldwide. See 

§ 742.6(a)(6)(iii)(A) of 

the EAR. 

Control(s) 

Country chart 

(see Supp. No. 1 

to part 738) 

RS applies to ‘‘software’’ 

for commodities controlled by 4A003.z.1.b, 

z.2.b, 4A004.z.2, and 

4A005.z.2.

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)(B) of 

the EAR. 

CC applies to ‘‘software’’ 

for computerized finger-print equipment 

controlled by 4A003 

for CC reasons.

CC Column 1. 

AT applies to entire entry AT Column 1. 

Reporting Requirements 

See § 743.1 of the EAR for reporting 

requirements for exports under License 

Exceptions, and Validated End-User 

authorizations. 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

TSR: Yes, except for ‘‘software’’ for the 

following: 

(1) The ‘‘development’’ or ‘‘production’’ of 

commodities with an ‘‘Adjusted Peak 

Performance’’ (‘‘APP’’) exceeding 29 WT; 

(2) The ‘‘development’’ or ‘‘production’’ of 

commodities controlled by 4A005 or 

‘‘software’’ controlled by 4D004; or 

(3) Commodities controlled by 4A003.z, 

4A004.z, and 4A005.z 

APP: Yes to specific countries (see § 740.7 of 

the EAR for eligibility criteria). 

ACE: Yes for 4D001.a (for the 

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

equipment or ‘‘software’’ specified in 

ECCN 4A005 or 4D004), except to Country 

Group E:1 or E:2. See § 740.22 of the EAR 

for eligibility criteria. 

AIA: Yes for ‘‘software’’ for commodities 

controlled by 4A003.z.1.a, z.2.a, 4A004.z.1, 

and 4A005.z.1 

ACM: Yes for ‘‘software’’ for commodities 

controlled by 4A003.z 

Note: See § 740.2(a)(9)(ii) for license 

exception restrictions for ‘‘software’’ for 

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

and 4A005.z. 

Special Conditions for STA 

STA: License Exception STA may not be 

used to ship or transmit ‘‘software’’ 

‘‘specially designed’’ or modified for the 

‘‘development’’ or ‘‘production’’ of 

equipment specified by ECCN 4A001.a.2 or 

for the ‘‘development’’ or ‘‘production’’ of 

‘‘digital computers’’ having an ‘Adjusted 

Peak Performance’ (‘APP’) exceeding 29 

Weighted TeraFLOPS (WT) to any of the 

destinations listed in Country Group A:6 

(See Supplement No.1 to part 740 of the 

EAR); may not be used to ship or transmit 

‘‘software’’ specified in 4D001.a ‘‘specially 

designed’’ for the ‘‘development’’ or 

‘‘production’’ of equipment specified by 

ECCN 4A005; and may not be used to ship 

or transmit ‘‘software’’ for commodities 

controlled by 4A003.z.1.a, z.2.a, 4A004.z.1, 

and 4A005.z.1 to any of the destinations 

listed in Country Group A:5 or A:6. 

List of Items Controlled 

Related Controls: N/A 

Related Definitions: N/A 

Items: 

a. ‘‘Software’’ ‘‘specially designed’’ or 

modified for the ‘‘development’’ or 

‘‘production’’, of equipment or ‘‘software’’ 

controlled by 4A001, 4A003, 4A004, 4A005 

or 4D (except 4D090, 4D906, 4D980, 4D993 

or 4D994). 

b. ‘‘Software’’, other than that controlled by 

4D001.a, ‘‘specially designed’’ or modified 

for the ‘‘development’’ or ‘‘production’’ of 

equipment as follows: 

b.1. ‘‘Digital computers’’ having an 

‘‘Adjusted Peak Performance’’ (‘‘APP’’) 

exceeding 24 Weighted TeraFLOPS (WT); 

b.2. ‘‘Electronic assemblies’’ ‘‘specially 

designed’’ or modified for enhancing 

performance by aggregation of processors so 

that the ‘‘APP’’ of the aggregation exceeds the 

limit in 4D001.b.1. 

* * * * * 

4D090 ‘‘Software’’ ‘‘specially designed’’ or 

modified for the ‘‘development’’ or 

‘‘production,’’ of computers and related 

equipment, ‘‘electronic assemblies,’’ and 

‘‘components’’ therefor specified in 

ECCN 4A090. 

License Requirements 

Reason for Control: RS, AT 

Control(s) 

Country chart 

(see Supp. No. 1 

to part 738) 

RS applies to ‘‘software’’ 

for commodities controlled by 4A090.a.

To or within any destination worldwide. See 

§ 742.6(a)(6)(iii)(A) of 

the EAR. 

RS applies to ‘‘software’’ 

for commodities controlled by 4A090.b.

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)(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) 

TSR: N/A 

AIA: Yes for commodities controlled by 

4A090.a 

ACM: Yes 

List of Items Controlled 

Related Controls: For associated 

‘‘technology’’ for software in this ECCN, 

see 4E001. 

Related Definitions: N/A 

Items: The list of items controlled is 

contained in the ECCN heading. 

* * * * * 

4E001 ‘‘Technology’’ as follows (see List of 

Items Controlled). 

License Requirements 

Reason for Control: NS, MT, RS, CC, AT 


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Control(s) 

Country chart 

(see Supp. No. 1 

to part 738) 

NS applies to entire 

entry, except for 

‘‘technology’’ for 

4A090 or ‘‘software’’ 

specified by 4D090.

NS Column 1. 

MT applies to ‘‘technology’’ for items controlled by 4A001.a and 

4A101 for MT reasons.

MT Column 1. 

RS applies to ‘‘technology’’ for commodities controlled by 

4A003.z.1.a, z.2.a, 

4A004.z.1, 4A005.z.1, 

4A090.a or ‘‘software’’ 

specified by 4D001 

(for 4A003.z.1.a, z.2.a, 

4A004.z.1 and 

4A005.z.1), or 

4D090.a.

To or within any destination worldwide. See 

§ 742.6(a)(6)(iii)(A) of 

the EAR. 

RS applies to ‘‘technology’’ for commodities controlled by 

4A003.z.1.b, z.2.b, 

4A004.z.2, 4A005.z.2, 

4A090.b or ‘‘software’’ 

specified by 4D001 

(for 4A003.z.1.b, z.2.b, 

4A004.z.2, and 

4A005.z.2), or 

4D090.b.

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)(B) of 

the EAR. 

CC applies to ‘‘technology’’ for computerized finger-print equipment controlled by 

4A003 for CC reasons.

CC Column 1. 

AT applies to entire entry AT Column 1. 

Reporting Requirements 

See § 743.1 of the EAR for reporting 

requirements for exports under License 

Exceptions, and Validated End-User 

authorizations. 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

TSR: Yes, except for the following: 

(1) ‘‘Technology’’ for the ‘‘development’’ or 

‘‘production’’ of commodities with an 

‘‘Adjusted Peak Performance’’ (‘‘APP’’) 

exceeding 70 WT or for the ‘‘development’’ 

or ‘‘production’’ of commodities controlled 

by 4A005 or ‘‘software’’ controlled by 4D004; 

(2) ‘‘Technology’’ for the ‘‘development’’ of 

‘‘intrusion software’’; or 

(3) ‘‘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), or 4D090 

APP: Yes, to specific countries (see § 740.7 of 

the EAR for eligibility criteria). 

ACE: Yes for 4E001.a (for the ‘‘development’’, 

‘‘production’’ or ‘‘use’’ of equipment or 

‘‘software’’ specified in ECCN 4A005 or 

4D004); and for 4E001.c, except to Country 

Group E:1 or E:2. See § 740.22 of the EAR 

for eligibility criteria. 

AIA: Yes for ‘‘technology’’ for commodities 

controlled by 4A003.z.1.a, z.2.a, 4A004.z.1, 

4A005.z.1, 4A090.a or ‘‘software’’ specified 

by 4D001 (for 4A003.z.1.a, z.2.a, 4A004.z.1 

and 4A005.z.1), or 4D090.a 

ACM: Yes 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), or 

4D090. 

Note: See § 740.2(a)(9)(ii) of the EAR for 

license exception restrictions for technology 

for .z paragraphs under ECCNs 4A003, 

4A004, 4A005 or 4A090, or ‘‘software’’ 

specified by 4D001 (for 4A003.z, 4A004.z, 

4A005.z, and 4A090). 

Special Conditions for STA 

STA: License Exception STA may not be 

used to ship or transmit ‘‘technology’’ 

according to the General Technology Note 

for the ‘‘development’’ or ‘‘production’’ of 

any of the following equipment or 

‘‘software’’: a. Equipment specified by 

ECCN 4A001.a.2; b. ‘‘Digital computers’’ 

having an ‘Adjusted Peak Performance’ 

(‘APP’) exceeding 70 Weighted TeraFLOPS 

(WT); c. ‘‘software’’ specified in the 

License Exception STA paragraph found in 

the License Exception section of ECCN 

4D001; or ‘‘technology’’ for commodities 

controlled by 4A003.z.1.b, z.2.b, 4A004.z.2, 

4A005.z.2, 4A090.b or ‘‘software’’ specified 

by 4D001 (for 4A003.z.1.b, z.2.b, 

4A004.z.2, and 4A005.z.2), or 4D090.b 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’’ for commodities controlled 

by 4A003.z.1.a, z.2.a, 4A004.z.1, 

4A005.z.1, 4A090.a or ‘‘software’’ specified 

by 4D001 (for 4A003.z.1.a, z.2.a, 4A004.z.1 

and 4A005.z.1), or 4D090.a to any of the 

destinations listed in Country Group A:5 or 

A:6 (See Supplement No. 1 to part 740 of 

the EAR). 

List of Items Controlled 

Related Controls: N/A 

Related Definitions: N/A 

Items: 

a. ‘‘Technology’’ according to the General 

Technology Note, for the ‘‘development’’, 

‘‘production’’, or ‘‘use’’ of equipment or 

‘‘software’’ controlled by 4A (except 4A906, 

4A980 or 4A994 and ‘‘use’’ of equipment 

controlled under 4A090) or 4D (except 

4D906, 4D980, 4D993, 4D994 and ‘‘use’’ of 

software controlled under 4D090). 

b. ‘‘Technology’’ according to the General 

Technology Note, other than that controlled 

by 4E001.a, for the ‘‘development’’ or 

‘‘production’’ of equipment as follows: 

b.1. ‘‘Digital computers’’ having an 

‘‘Adjusted Peak Performance’’ (‘‘APP’’) 

exceeding 24 Weighted TeraFLOPS (WT); 

b.2. ‘‘Electronic assemblies’’ ‘‘specially 

designed’’ or modified for enhancing 

performance by aggregation of processors so 

that the ‘‘APP’’ of the aggregation exceeds the 

limit in 4E001.b.1. 

c. ‘‘Technology’’ for the ‘‘development’’ of 

‘‘intrusion software.’’ 

Note 1: 4E001.a and .c do not apply to 

‘‘vulnerability disclosure’’ or ‘‘cyber incident 

response’’. 

Note 2: Note 1 does not diminish national 

authorities’ rights to ascertain compliance 

with 4E001.a and .c. 

4E091 ‘Parameters’ for an artificial 

intelligence model trained utilizing 1026

or more ‘operations.’ 

License Requirements 

Reason for Control: RS, AT 

Control(s) 

Country chart 

(see Supp. No. 1 

to part 738) 

RS applies entire entry .. To or within any destination worldwide. See 

§ 742.6(a)(13). 

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 

AIA: Yes 

ACM: No 

Special Conditions for STA 

STA: License Exception STA may not be 

used to ship or transmit ‘‘technology’’ 

specified by ECCN 4E091 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 Definition: N/A 

Items: The list of items controlled is 

contained in the ECCN heading. 

Technical Notes: For the purposes of 

4E091: 

1. ‘Parameters’ refers to any value learned 

during training (e.g., network weights, biases, 

etc.). ‘Parameters’ for an artificial intelligence 

model are also known as model weights. 

2. ‘Operations’ refers to mathematical 

operations used for pre-training and any 

subsequent training, such as fine-tuning the 

pre-trained model, but does not include the 

collection and curation of the input training 

data. Training ‘operations’ should account 

for operations required to perform all steps 

in the pre-training and subsequent training 

process, including those for forward and 

backward propagation for all relevant layers, 

pooling, and convolutions, regardless of the 

implementation and hardware limitations, 

and applied to all relevant operations. For 

example, consider a model composed of a 

single densely connected layer with I input 

neurons, O output neurons, and no biases 

being trained with backpropagation. Such a 

model would have a total of N = I * O learned 

parameters. Each forward pass would require 

N multiply accumulate operations, or 

(assuming floating point arithmetic) 2N 

FLOP. Each backward pass would require 2N 

multiply accumulate operations, or 4N FLOP. 

Then, in total, each training data point 

would require 6N FLOP. Training on a data 

set of size D would require 6ND total FLOP. 

3. If more than ten percent of the 

‘operations’ involve training on data that was 

not ‘‘published’’ as defined in § 734.7(a) and 

was generated by a single data-generation 

model, then ‘operations’ the data-generation 

model used to generate the data should be 

counted, and if the data-generation model’s 

‘parameters’ were not ‘‘published,’’ then the 

training ‘operations’ used to train the datagenerating model should be counted as well. 

A single data-generation model includes 

variants of the same model, such as different 

checkpoints or fine-tuned variants. If 

multiple models with ‘parameters’ that were 

not ‘‘published’’ were used to generate data 

used for more than ten percent of the training 

‘operations,’ then only the training 


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‘operations’ of the data-generation model 

using the most training ‘operations’ should 

be counted. No actual training ‘operation’ 

should be counted more than once, so if 

data-generation model A is used to train 

data-generation model B and data-generation 

model C, and models B and C are used to 

train model D, then the operations to train A 

are only added to the number of operations 

for model D once. 

Notes: 1. In accordance with § 734.7 of the 

EAR, 4E091 does not control the ‘parameters’ 

of any artificial intelligence model that have 

been ‘‘published’’ as defined in § 734.7(a). 

4E091 also does not control the ‘parameters’ 

of any artificial intelligence model derived 

from a model whose parameters have been 

‘published,’ except where the model has been 

derived using additional training ‘operations’ 

that constitute more than 2.5 × 1025

‘operations’ or more than 25 percent of the 

training ‘operations’ defined in Note 2, 

whichever is higher. 

2. 4E091 does not control the ‘parameters’ 

of any artificial intelligence model trained 

utilizing fewer ‘operations’ than the number 

needed, based on the most efficient 

‘‘published’’ methods to train artificial 

intelligence models, to train an artificial 

intelligence model as capable, according to 

an aggregate of widely used benchmarks, as 

the most advanced artificial intelligence 

model that has been ‘‘published’’ as defined 

in § 734.7(a) of the EAR. To provide certainty 

for this exclusion, the number of ‘operations’ 

needed should not decrease with algorithmic 

improvements. 

2.a. An exporter may determine whether an 

AI model falls within this exclusion by either: 

2.a.1. Self classifying by relying on 

guidance published by BIS or technical 

opinions issued by the U.S. AI Safety 

Institute and the Department of Energy, 

should such opinions have been published, 

or 

2.a.2. A classification request to BIS in 

accordance with the procedures in §§ 748.1 

and 748.3 of the EAR. 

* * * * * 

5A002 ‘‘Information security’’ systems, 

equipment and ‘‘components,’’ as 

follows (see List of Items Controlled). 

License Requirements 

Reason for Control: NS, RS, AT, EI 

Control(s) 

Country chart 

(see Supp. No. 1 

to part 738) 

NS applies to entire 

entry.

NS Column 1. 

RS applies to items controlled by 5A002.z.1.a, 

z.2.a, z.3.a, z.4.a, 

z.5.a.

To or within any destination worldwide. See 

§ 742.6(a)(6)(iii)(A) of 

the EAR. 

RS applies to items controlled by 5A002.z.1.b, 

z.2.b, z.3.b, z.4.b, 

z.5.b.

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)(B) of 

the EAR. 

AT applies to entire entry AT Column 1. 

Control(s) 

Country chart 

(see Supp. No. 1 

to part 738) 

EI applies to entire entry Refer to § 742.15 of the 

EAR. 

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) 

LVS: Yes: $500 for ‘‘components,’’ 

N/A for systems and equipment. N/A for 

5A002.z. 

GBS: N/A 

ENC: Yes for certain EI controlled 

commodities, see § 740.17 of the EAR for 

eligibility. 

NAC/ACA: Yes, for 5A002.z.1.b, z.2.b 

AIA: Yes 5A002.z.1.a, z.2.a, z.3.a, z.4.a, z.5.a 

ACM: Yes for 5A002.z 

LPP: Yes for 5A002.z.1.a, z.2.a, z.3.a, z.4.a, 

z.5.a 

Note: See § 740.2(a)(9)(ii) of the EAR for 

license exception restrictions for ECCN 

5A002.z. 

List of Items Controlled 

Related Controls: (1) ECCN 5A002.a 

controls ‘‘components’’ providing the means 

or functions necessary for ‘‘information 

security.’’ All such ‘‘components’’ are 

presumptively ‘‘specially designed’’ and 

controlled by 5A002.a. (2) See USML 

Categories XI (including XI(b)) and XIII(b) 

(including XIII(b)(2)) for controls on systems, 

equipment, and components described in 

5A002.d or .e that are ‘‘subject to the ITAR’’ 

(see 22 CFR parts 120 through 130). (3) For 

‘‘satellite navigation system’’ receiving 

equipment containing or employing 

decryption see 7A005, and for related 

decryption ‘‘software’’ and ‘‘technology’’ see 

7D005 and 7E001. (4) Noting that items may 

be controlled elsewhere on the CCL, 

examples of items not controlled by ECCN 

5A002.a.4 include the following: (a) An 

automobile where the only ‘cryptography for 

data confidentiality’ having a ‘described 

security algorithm’ is performed by a 

Category 5—Part 2 Note 3 eligible mobile 

telephone that is built into the car. In this 

case, secure phone communications support 

a non-primary function of the automobile but 

the mobile telephone (equipment), as a 

standalone item, is not controlled by ECCN 

5A002 because it is excluded by the 

Cryptography Note (Note 3) (See ECCN 

5A992.c). (b) An exercise bike with an 

embedded Category 5—Part 2 Note 3 eligible 

web browser, where the only controlled 

cryptography is performed by the web 

browser. In this case, secure web browsing 

supports a non-primary function of the 

exercise bike but the web browser 

(‘‘software’’), as a standalone item, is not 

controlled by ECCN 5D002 because it is 

excluded by the Cryptography Note (Note 3) 

(See ECCN 5D992.c). (5) After classification 

or self-classification in accordance with 

§ 740.17(b) of the EAR, mass market 

encryption commodities that meet eligibility 

requirements are released from ‘‘EI’’ and 

‘‘NS’’ controls. These commodities are 

designated 5A992.c. (6) See also ECCNs 

3A090 and 4A090. 

Related Definitions: N/A 

Items: 

a. Designed or modified to use 

‘cryptography for data confidentiality’ having 

a ‘described security algorithm’, where that 

cryptographic capability is usable, has been 

activated, or can be activated by any means 

other than secure ‘‘cryptographic activation’’, 

as follows: 

a.1. Items having ‘‘information security’’ as 

a primary function; 

a.2. Digital communication or networking 

systems, equipment or components, not 

specified in paragraph 5A002.a.1; 

a.3. Computers, other items having 

information storage or processing as a 

primary function, and components therefor, 

not specified in paragraphs 5A002.a.1 or .a.2; 

N.B.: For operating systems see also 

5D002.a.1 and .c.1. 

a.4. Items, not specified in paragraphs 

5A002.a.1 to a.3, where the ‘cryptography for 

data confidentiality’ having a ‘described 

security algorithm’ meets all of the following: 

a.4.a. It supports a non-primary function of 

the item; and 

a.4.b. It is performed by incorporated 

equipment or ‘‘software’’ that would, as a 

standalone item, be specified by ECCNs 

5A002, 5A003, 5A004, 5B002 or 5D002. 

N.B. to paragraph a.4: See Related Control 

Paragraph (4) of this ECCN 5A002 for 

examples of items not controlled by 

5A002.a.4. 

Technical Notes: 

1. For the purposes of 5A002.a, 

‘cryptography for data confidentiality’ means 

‘‘cryptography’’ that employs digital 

techniques and performs any cryptographic 

function other than any of the following: 

1.a. ‘‘Authentication;’’ 

1.b. Digital signature; 

1.c. Data integrity; 

1.d. Non-repudiation; 

1.e. Digital rights management, including 

the execution of copy-protected ‘‘software;’’ 

1.f. Encryption or decryption in support of 

entertainment, mass commercial broadcasts 

or medical records management; or 

1.g. Key management in support of any 

function described in paragraphs 1.a to 1.f of 

this Technical Note paragraph 1. 

2. For the purposes of 5A002.a, ‘described 

security algorithm’ means any of the 

following: 

2.a. A ‘‘symmetric algorithm’’ employing a 

key length in excess of 56 bits, not including 

parity bits; 

2.b. An ‘‘asymmetric algorithm’’ where the 

security of the algorithm is based on any of 

the following: 

2.b.1. Factorization of integers in excess of 

512 bits (e.g., RSA); 

2.b.2. Computation of discrete logarithms 

in a multiplicative group of a finite field of 

size greater than 512 bits (e.g., Diffie-Hellman 

over Z/pZ); or 

2.b.3. Discrete logarithms in a group other 

than mentioned in paragraph 2.b.2 of this 


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Technical Note in excess of 112 bits (e.g., 

Diffie-Hellman over an elliptic curve); or 

2.c. An ‘‘asymmetric algorithm’’ where the 

security of the algorithm is based on any of 

the following: 

2.c.1. Shortest vector or closest vector 

problems associated with lattices (e.g., 

NewHope, Frodo, NTRUEncrypt, Kyber, 

Titanium); 

2.c.2. Finding isogenies between 

Supersingular elliptic curves (e.g., 

Supersingular Isogeny Key Encapsulation); or 

2.c.3. Decoding random codes (e.g., 

McEliece, Niederreiter). 

Technical Note: An algorithm described by 

Technical Note 2.c. may be referred to as 

being post-quantum, quantum-safe or 

quantum-resistant. 

Note 1: Details of items must be accessible 

and provided upon request, in order to 

establish any of the following: 

a. Whether the item meets the criteria of 

5A002.a.1 to a.4; or 

b. Whether the cryptographic capability for 

data confidentiality specified by 5A002.a is 

usable without ‘‘cryptographic activation.’’ 

Note 2: 5A002.a does not control any of the 

following items, or specially designed 

‘‘information security’’ components therefor: 

a. Smart cards and smart card ‘readers/ 

writers’ as follows: 

a.1. A smart card or an electronically 

readable personal document (e.g., token coin, 

e-passport) that meets any of the following: 

a.1.a. The cryptographic capability meets 

all of the following: 

a.1.a.1. It is restricted for use in any of the 

following: 

a.1.a.1.a. Equipment or systems, not 

described by 5A002.a.1 to a.4; 

a.1.a.1.b. Equipment or systems, not using 

‘cryptography for data confidentiality’ having 

a ‘described security algorithm’; or 

a.1.a.1.c. Equipment or systems, excluded 

from 5A002.a by entries b. to f. of this Note; 

and 

a.1.a.2. It cannot be reprogrammed for any 

other use; or 

a.1.b. Having all of the following: 

a.1.b.1. It is specially designed and limited 

to allow protection of ‘personal data’ stored 

within; 

a.1.b.2. Has been, or can only be, 

personalized for public or commercial 

transactions or individual identification; and 

a.1.b.3. Where the cryptographic capability 

is not user-accessible; 

Technical Note to paragraph a.1.b.1 of 

Note 2: For the purposes of 5A002.a Note 2.– 

a.1.b.1, ‘personal data’ includes any data 

specific to a particular person or entity, such 

as the amount of money stored and data 

necessary for ‘‘authentication.’’ 

a.2. ‘Readers/writers’ specially designed or 

modified, and limited, for items specified by 

paragraph a.1 of this Note; 

Technical Note to paragraph a.2 of Note 2: 

’For the purposes of 5A002.a Note 2.a.2, 

‘readers/writers’ include equipment that 

communicates with smart cards or 

electronically readable documents through a 

network. 

b. Cryptographic equipment specially 

designed and limited for banking use or 

‘money transactions’; 

Technical Note to paragraph b. of Note 2: 

For the purposes of 5A002.a Note 2.b, ‘money 

transactions’ in 5A002 Note 2 paragraph b. 

includes the collection and settlement of 

fares or credit functions. 

c. Portable or mobile radiotelephones for 

civil use (e.g., for use with commercial civil 

cellular radio communication systems) that 

are not capable of transmitting encrypted 

data directly to another radiotelephone or 

equipment (other than Radio Access Network 

(RAN) equipment), nor of passing encrypted 

data through RAN equipment (e.g., Radio 

Network Controller (RNC) or Base Station 

Controller (BSC)); 

d. Cordless telephone equipment not 

capable of end-to-end encryption where the 

maximum effective range of unboosted 

cordless operation (i.e., a single, unrelayed 

hop between terminal and home base station) 

is less than 400 meters according to the 

manufacturer’s specifications; 

e. Portable or mobile radiotelephones and 

similar client wireless devices for civil use, 

that implement only published or 

commercial cryptographic standards (except 

for anti-piracy functions, which may be nonpublished) and also meet the provisions of 

paragraphs a.2 to a.4 of the Cryptography 

Note (Note 3 in Category 5—Part 2), that have 

been customized for a specific civil industry 

application with features that do not affect 

the cryptographic functionality of these 

original non-customized devices; 

f. Items, where the ‘‘information security’’ 

functionality is limited to wireless ‘‘personal 

area network ’’ functionality implementing 

only published or commercial cryptographic 

standards; 

g. Mobile telecommunications Radio 

Access Network (RAN) equipment designed 

for civil use, which also meet the provisions 

of paragraphs a.2 to a.4 of the Cryptography 

Note (Note 3 in Category 5—Part 2), having 

an RF output power limited to 0.1W (20 dBm) 

or less, and supporting 16 or fewer 

concurrent users; 

h. Routers, switches, gateways or relays, 

where the ‘‘information security’’ 

functionality is limited to the tasks of 

‘‘Operations, Administration or 

Maintenance’’ (‘‘OAM’’) implementing only 

published or commercial cryptographic 

standards; 

i. General purpose computing equipment 

or servers, where the ‘‘information security’’ 

functionality meets all of the following: 

i.1. Uses only published or commercial 

cryptographic standards; and 

i.2. Is any of the following: 

i.2.a. Integral to a CPU that meets the 

provisions of Note 3 in Category 5—Part 2; 

i.2.b. Integral to an operating system that 

is not specified by 5D002; or 

i.2.c. Limited to ‘‘OAM’’ of the equipment; 

or 

j. Items specially designed for a ‘connected 

civil industry application’, meeting all of the 

following: 

j.1. Being any of the following: 

j.1.a. A network-capable endpoint device 

meeting any of the following: 

j.1.a.1. The ‘‘information security’’ 

functionality is limited to securing ‘nonarbitrary data’ or the tasks of ‘‘Operations, 

Administration or Maintenance’’ (‘‘OAM’’); 

or 

j.1.a.2. The device is limited to a specific 

‘connected civil industry application’; or 

j.1.b. Networking equipment meeting all of 

the following: 

j.1.b.1. Being specially designed to 

communicate with the devices specified by 

paragraph j.1.a. above; and 

j.1.b.2. The ‘‘information security’’ 

functionality is limited to supporting the 

‘connected civil industry application’ of 

devices specified by paragraph j.1.a. above, 

or the tasks of ‘‘OAM’’ of this networking 

equipment or of other items specified by 

paragraph j. of this Note; and 

j.2. Where the ‘‘information security’’ 

functionality implements only published or 

commercial cryptographic standards, and the 

cryptographic functionality cannot easily be 

changed by the user. 

Technical Notes: 

1. For the purposes of 5A002.a Note 2.j, 

‘connected civil industry application’ means 

a network-connected consumer or civil 

industry application other than ‘‘information 

security’’, digital communication, general 

purpose networking or computing. 

2. For the purposes of 5A002.a Note 

2.j.1.a.1, ‘non-arbitrary data’ means sensor or 

metering data directly related to the stability, 

performance or physical measurement of a 

system (e.g., temperature, pressure, flow rate, 

mass, volume, voltage, physical location, 

etc.), that cannot be changed by the user of 

the device. 

b. Being a ‘cryptographic activation token’; 

Technical Note: For the purposes of 

5A002.b, a ‘cryptographic activation token’ is 

an item designed or modified for any of the 

following: 

1. Converting, by means of ‘‘cryptographic 

activation’’, an item not specified by Category 

5—Part 2 into an item specified by 5A002.a 

or 5D002.c.1, and not released by the 

Cryptography Note (Note 3 in Category 5— 

Part 2); or 

2. Enabling by means of ‘‘cryptographic 

activation’’, additional functionality 

specified by 5A002.a of an item already 

specified by Category 5—Part 2; 

c. Designed or modified to use or perform 

‘‘quantum cryptography’’; 

Technical Note: For the purposes of 

5A002.c,’’quantum cryptography’’ is also 

known as Quantum Key Distribution (QKD). 

d. Designed or modified to use 

cryptographic techniques to generate 

channelizing codes, scrambling codes or 

network identification codes, for systems 

using ultra-wideband modulation techniques 

and having any of the following: 

d.1. A bandwidth exceeding 500 MHz; or 

d.2. A ‘‘fractional bandwidth’’ of 20% or 

more; 

e. Designed or modified to use 

cryptographic techniques to generate the 

spreading code for ‘‘spread spectrum’’ 

systems, not specified by 5A002.d, including 

the hopping code for ‘‘frequency hopping’’ 

systems. 

f. through y. [Reserved] 

z. Other commodities, as follows: 

z.1.a. Commodities that are described in 

5A002.a and that also meet or exceed the 

performance parameters in 3A090.a or 

4A090.a; 

z.1.b Commodities that are described in 

5A002.a and that also meet or exceed the 

performance parameters in 3A090.b or 

4A090.b; 


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z.2.a Commodities that are described in 

5A002.b and that also meet or exceed the 

performance parameters in 3A090.a or 

4A090.a; 

z.2.b Commodities that are described in 

5A002.b and that also meet or exceed the 

performance parameters in 3A090.b or 

4A090.b; 

z.3.a Commodities that are described in 

5A002.c and that also meet or exceed the 

performance parameters in 3A090.a or 

4A090.a; 

z.3.b Commodities that are described in 

5A002.c and that also meet or exceed the 

performance parameters in 3A090.b or 

4A090.b; 

z.4.a Commodities that are described in 

5A002.d and that also meet or exceed the 

performance parameters in 3A090.a or 

4A090.a; 

z.4.b Commodities that are described in 

5A002.d and that also meet or exceed the 

performance parameters in 3A090.b or 

4A090.b; 

z.5.a Commodities that are described in 

5A002.e and that also meet or exceed the 

performance parameters in 3A090.a or 

4A090.a; or 

z.5.b Commodities that are described in 

5A002.e and that also meet or exceed the 

performance parameters in 3A090.b or 

4A090.b. 

5A992 Equipment not controlled by 5A002 

(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 items controlled by 5A992.z.1.To or within any destination worldwide. See 

§ 742.6(a)(6)(iii)(A) of 

the EAR. 

RS applies to items controlled by 5A992.z.2.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)(B) 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) 

LVS: N/A 

GBS: N/A 

NAC/ACA: Yes, for 5A992.z.2; N/A for all 

other 5A992 commodities. 

AIA: Yes for 5A992.z.1 

ACM: Yes for 5A992.z 

LPP: Yes for 5A992.z.1 

Note: See § 740.2(a)(9)(ii) of the EAR for 

license exception restrictions for ECCN 

5A992.z. 

List of Items Controlled 

Related Controls: See also ECCNs 3A090 and 

4A090. 

Related Definitions: N/A 

Items: 

a. [Reserved] 

b. [Reserved] 

c. Commodities classified as mass market 

encryption commodities in accordance with 

§ 740.17(b) of the EAR. 

d. through y. [Reserved] 

z.1. Commodities that are described in 

5A992.c and that also meet or exceed the 

performance parameters in 3A090.a or 

4A090.a; or 

z.2 Commodities that are described in 

5A992.c and that also meet or exceed the 

performance parameters in 3A090.b or 

4A090.b. 

* * * * * 

5A004 ‘‘Systems,’’ ‘‘equipment’’ and 

‘‘components’’ for defeating, weakening 

or bypassing ‘‘information security,’’ as 

follows (see List of Items Controlled). 

License Requirements 

Reason for Control: NS, RS, AT, EI 

Control(s) 

Country chart 

(see Supp. No. 1 

to part 738) 

NS applies to entire 

entry.

NS Column 1. 

RS applies to items controlled by 5A004.z.1.a, 

z.2.a.

To or within any destination worldwide. See 

§ 742.6(a)(6)(iii)(A) of 

the EAR. 

RS applies to items controlled by 5A004.z.1.b, 

z.2.b.

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)(B) of 

the EAR. 

AT applies to entire entry AT Column 1. 

EI applies to entire entry Refer to § 742.15 of the 

EAR. 

License Requirements 

See § 744.17 of the EAR for additional 

license requirements for microprocessors 

having a processing speed of 5 GFLOPS or 

more and an arithmetic logic unit with an 

access width of 32 bit or more, including 

those incorporating ‘‘information security’’ 

functionality, and associated ‘‘software’’ and 

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

‘‘development’’ of such microprocessors. 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

LVS: Yes: $500 for ‘‘components’’; N/A for 

5A004.z. N/A for systems and equipment. 

GBS: N/A 

ENC: Yes for certain EI controlled 

commodities. See § 740.17 of the EAR for 

eligibility. 

NAC/ACA: Yes, for 5A004.z.1.b, z.2.b 

AIA: Yes for 5A004.z.1.a, z.2.a 

ACM: Yes for 5A004.z 

LPP: Yes for 5A004.z.1.a, z.2.a 

Note: See § 740.2(a)(9)(ii) of the EAR for 

license exception restrictions for ECCN 

5A004.z. 

List of Items Controlled 

Related Controls: (1) ECCN 5A004.a controls 

‘‘components’’ providing the means or 

functions necessary for ‘‘information 

security.’’ All such ‘‘components’’ are 

presumptively ‘‘specially designed’’ and 

controlled by 5A004.a. (2) See also ECCNs 

3A090 and 4A090. 

Related Definitions: N/A 

Items: 

a. Designed or modified to perform 

‘cryptanalytic functions.’ 

Note: 5A004.a includes systems or 

equipment, designed or modified to perform 

‘cryptanalytic functions’ by means of reverse 

engineering. 

Technical Note: For the purposes of 

5A004.a, ‘cryptanalytic functions’ are 

functions designed to defeat cryptographic 

mechanisms in order to derive confidential 

variables or sensitive data, including clear 

text, passwords or cryptographic keys. 

b. Items, not specified by ECCNs 4A005 or 

5A004.a, designed to perform all of the 

following: 

b.1. ‘Extract raw data’ from a computing or 

communications device; and 

b.2. Circumvent ‘‘authentication’’ or 

authorization controls of the device, in order 

to perform the function described in 

5A004.b.1. 

Technical Note: For the purposes of 

5A004.b.1, ‘extract raw data’ from a 

computing or communications device means 

to retrieve binary data from a storage 

medium, e.g., RAM, flash or hard disk, of the 

device without interpretation by the device’s 

operating system or filesystem. 

Note 1: 5A004.b does not apply to systems 

or equipment specially designed for the 

‘‘development’’ or ‘‘production’’ of a 

computing or communications device. 

Note 2: 5A004.b does not include: 

a. Debuggers, hypervisors; 

b. Items limited to logical data extraction; 

c. Data extraction items using chip-off or 

JTAG; or 

d. Items specially designed and limited to 

jail-breaking or rooting. 

c. through y. [Reserved] 

z. Other commodities, as follows: 

z.1.a Commodities that are described in 

5A004.a and that also meet or exceed the 

performance parameters in 3A090.a or 

4A090.a; 

z.1.b Commodities that are described in 

5A004.a and that also meet or exceed the 

performance parameters in 3A090.b or 

4A090.b; 

z.2.a Commodities that are described in 

5A004.b and that also meet or exceed the 

performance parameters in 3A090.a or 

4A090.a; or 

z.2.b Commodities that are described in 

5A004.b and that also meet or exceed the 

performance parameters in 3A090.b or 

4A090.b. 

* * * * * 

5D002 ‘‘Software’’ as follows (see List of 

Items Controlled). 


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4582 Federal Register / Vol. 90, No. 9 / Wednesday, January 15, 2025 / Rules and Regulations 

License Requirements 

Reason for Control: NS, RS, AT, EI 

Control(s) 

Country chart 

(see Supp. No. 1 

to part 738) 

NS applies to entire 

entry.

NS Column 1. 

RS applies to ‘‘software’’ 

controlled by 

5D002.z.1.a, z.2.a, 

z.3.a, z.4.a, z.5.a, 

z.6.a, z.7.a, z.8.a, and 

z.9.a.

To or within any destination worldwide. See 

§ 742.6(a)(6)(iii)(A) of 

the EAR. 

RS applies to ‘‘software’’ 

controlled by 

5D002.z.1.b, z.2.b, 

z.3.b, z.4.b, z.5.b, 

z.6.b, z.7.b, z.8.b, and 

z.9.b.

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)(B) of 

the EAR. 

AT applies to entire entry AT Column 1. 

EI applies to ‘‘software’’ 

in 5D002.a.1, a.3, .b, 

c.1 and c.3, for commodities or ‘‘software’’ 

controlled for EI reasons in ECCN 5A002, 

5A004 or 5D002.

Refer to § 742.15 of the 

EAR. 

Note: Encryption software is controlled because of its functional 

capacity, and not because of any informational value of such 

software; such software is not accorded 

the same treatment 

under the EAR as 

other ‘‘software’; and 

for export licensing 

purposes, encryption 

software is treated 

under the EAR in the 

same manner as a 

commodity included in 

ECCN 5A002. 

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: N/A 

ENC: Yes for certain EI controlled software. 

See § 740.17 of the EAR for eligibility. 

NAC/ACA: Yes, for 5D002.z. 

AIA: Yes for 5D002.z.1.a, z.2.a, z.3.a, z.4.a, 

z.5.a, z.6.a, z.7.a, z.8.a, and z.9.a 

ACM: Yes for 5D002.z 

Note: See § 740.2(a)(9)(ii) of the EAR for 

license exception restrictions for ECCN 

5D002.z. 

List of Items Controlled 

Related Controls: (1) After classification or 

self-classification in accordance with 

§ 740.17(b) of the EAR, mass market 

encryption software that meets eligibility 

requirements is released from ‘‘EI’’ and 

‘‘NS’’ controls. This software is designated 

as 5D992.c. (2) See also ECCNs 3D001 as 

it applies to ‘‘software’’ for commodities 

controlled by 3A001.z and 3A090, and 

4D001 as it applies to ‘‘software’’ for 

commodities controlled by 4A003.z, 

4A004.z, and 4A005.z. 

Related Definitions: 5D002.a controls 

‘‘software’’ designed or modified to use 

‘‘cryptography’’ employing digital or 

analog techniques to ensure ‘‘information 

security.’’ 

Items: 

a. ‘‘Software’’ ‘‘specially designed’’ or 

modified for the ‘‘development,’’ 

‘‘production’’ or ‘‘use’’ of any of the 

following: 

a.1. Equipment specified by 5A002 or 

‘‘software’’ specified by 5D002.c.1; 

a.2. Equipment specified by 5A003 or 

‘‘software’’ specified by 5D002.c.2; or 

a.3. Equipment or ‘‘software’’, as follows: 

a.3.a. Equipment specified by 5A004.a or 

‘‘software’’ specified by 5D002.c.3.a; 

a.3.b. Equipment specified by 5A004.b or 

‘‘software’’ specified by 5D002.c.3.b; 

b. ‘‘Software’’ having the characteristics of 

a ‘cryptographic activation token’ specified 

by 5A002.b; 

c. ‘‘Software’’ having the characteristics of, 

or performing or simulating the functions of, 

any of the following: 

c.1. Equipment specified by 5A002.a, .c, .d 

or .e; 

Note: 5D002.c.1 does not apply to 

‘‘software’’ limited to the tasks of ‘‘OAM’’ 

implementing only published or commercial 

cryptographic standards. 

c.2. Equipment specified by 5A003; or 

c.3. Equipment, as follows: 

c.3.a. Equipment specified by 5A004.a; 

c.3.b. Equipment specified by 5A004.b. 

Note: 5D002.c.3.b does not apply to 

‘‘intrusion software’’. 

d. [Reserved] 

N.B.: See 5D002.b for items formerly 

specified in 5D002.d. 

e. through y. [Reserved] 

z. Other software, as follows: 

z.1.a Software that is described in 

5D002.a.1, and that also meet or exceed the 

performance parameters in 3D001 for 

3A090.a or 4D001 for 4A090.a; 

z.1.b Software that is described in 

5D002.a.1, and that also meet or exceed the 

performance parameters in 3D001 for 

3A090.b or 4D001 for 4A090.b; 

z.2.a Software that is described in 

5D002.a.2, and that also meet or exceed the 

performance parameters in 3D001 for 

3A090.a or 4D001 for 4A090.a; 

z.2.b Software that is described in 

5D002.a.2, and that also meet or exceed the 

performance parameters in 3D001 for 

3A090.b or 4D001 for 4A090.b; 

z.3.a Software that is described in 

5D002.a.3a, and that also meet or exceed the 

performance parameters in 3D001 for 

3A090.a or 4D001 for 4A090.a; 

z.3.b Software that is described in 

5D002.a.3a, and that also meet or exceed the 

performance parameters in 3D001 for 

3A090.b or 4D001 for 4A090.b; 

z.4.a Software that is described in 

5D002.a.3.b, and that also meet or exceed the 

performance parameters in 3D001 for 

3A090.a or 4D001 for 4A090.a; 

z.4.b Software that is described in 

5D002.a.3.b, and that also meet or exceed the 

performance parameters in 3D001 for 

3A090.b or 4D001 for 4A090.b; 

z.5.a Software that is described in 

5D002.b and that also meet or exceed the 

performance parameters in 3D001 for 

3A090.a or 4D001 for 4A090.a; 

z.5.b Software that is described in 

5D002.b and that also meet or exceed the 

performance parameters in 3D001 for 

3A090.b or 4D001 for 4A090.b; 

z.6.a Software that is described in 

5D002.c.1 and that also meet or exceed the 

performance parameters in 3D001 for 

3A090.a or 4D001 for 4A090.a; 

z.6.b Software that is described in 

5D002.c.1 and that also meet or exceed the 

performance parameters in 3D001 for 

3A090.b or 4D001 for 4A090.b; 

z.7.a Software that is described in 

5D002.c.2 and that also meet or exceed the 

performance parameters in 3D001 for 

3A090.a or 4D001 for 4A090.a; 

z.7.b Software that is described in 

5D002.c.2 and that also meet or exceed the 

performance parameters in 3D001 for 

3A090.b or 4D001 for 4A090.b; 

z.8.a Software that is described in 

5D002.c.3.a and that also meet or exceed the 

performance parameters in 3D001 for 

3A090.a or 4D001 for 4A090.a; 

z.8.b Software that is described in 

5D002.c.3.a and that also meet or exceed the 

performance parameters in 3D001 for 

3A090.b or 4D001 for 4A090.b; 

z.9.a Software that is described in 

5D002.c.3.b and that also meet or exceed the 

performance parameters in 3D001 for 

3A090.a or 4D001 for 4A090.a; or 

z.9.b Software that is described in 

5D002.c.3.b and that also meet or exceed the 

performance parameters in 3D001 for 

3A090.b or 4D001 for 4A090.b. 

* * * * * 

5D992 ‘‘Information Security’’ ‘‘software,’’ 

not controlled by 5D002, 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 ‘‘software’’ 

controlled by 

5D992.z.1.

To or within any destination worldwide. See 

§ 742.6(a)(6)(iii)(A) of 

the EAR. 

RS applies to ‘‘software’’ 

controlled by 

5D992.z.2.

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)(B) 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. 


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Federal Register / Vol. 90, No. 9 / Wednesday, January 15, 2025 / Rules and Regulations 4583 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

TSR: N/A 

NAC/ACA: Yes, for 5D992.z. 

AIA: Yes for 5D992.z.1 

ACM: Yes for 5D992.z 

Note: See § 740.2(a)(9)(ii) of the EAR for 

license exception restrictions for ECCN 

5D992.z. 

List of Items Controlled 

Related Controls: (1) This entry does not 

control ‘‘software’’ designed or modified to 

protect against malicious computer damage, 

e.g., viruses, where the use of ‘‘cryptography’’ 

is limited to authentication, digital signature 

and/or the decryption of data or files. (2) See 

also ECCNs 3D001 as it applies to ‘‘software’’ 

for commodities controlled by 3A001.z and 

3A090, and 4D001 as it applies to ‘‘software’’ 

for commodities controlled by 4A003.z, 

4A004.z, and 4A005.z. 

Related Definitions: N/A 

Items: 

a. [Reserved] 

b. [Reserved] 

c. ‘‘Software’’ classified as mass market 

encryption software in accordance with 

§ 740.17(b) of the EAR. 

d. through y. [Reserved] 

z.1 Other software that is described in 

5D992 and that also meet or exceed the 

performance parameters in 3D001 for 

3A090.a or 4D001 for 4A090.a; or 

z.2 Other software that is described in 

5D992 and that also meet or exceed the 

performance parameters in 3D001 for 

3A090.b or 4D001 for 4A090.b. 

* * * * * 

5E002 ‘‘Technology’’ as follows (see List of 

Items Controlled). 

License Requirements 

Reason for Control: NS, RS, AT, EI 

Control(s) 

Country chart 

(see Supp. No. 1 

to part 738) 

NS applies to entire 

entry.

NS Column 1. 

RS applies to ‘‘technology’’ for commodities controlled by 

5A002.z.1.a, z.2.a, 

z.3.a, z.4.a, z.5.a or 

5A004.z.1.a, z.2.a or 

‘‘software’’ specified by 

5D002 (for 

5A002.z.1.a, z.2.a, 

z.3.a, z.4.a, z.5.a or 

5A004.z.1.a, z.2.a 

commodities).

To or within any destination worldwide. See 

§ 742.6(a)(6)(iii)(A) of 

the EAR. 

RS applies to ‘‘technology’’ for commodities controlled by 

5A002.z.1.b, z.2.b, 

z.3.b, z.4.b, z.5.b or 

5A004.z.1.b, z.2.b or 

‘‘software’’ specified by 

5D002 (for 

5A002.z.1.b, z.2.b, 

z.3.b, z.4.b, z.5.b or 

5A004.z.1.b, z.2.b 

commodities).

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)(B) of 

the EAR. 

AT applies to entire entry AT Column 1. 

Control(s) 

Country chart 

(see Supp. No. 1 

to part 738) 

EI applies to ‘‘technology’’ in 5E002.a for 

commodities or ‘‘software’’ controlled for EI 

reasons in ECCNs 

5A002, 5A004 or 

5D002, and to ‘‘technology’’ in 5E002.b.

Refer to § 742.15 of the 

EAR. 

License Requirements Notes: 

(1) 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. 

(2) When a person performs or provides 

technical assistance that incorporates, or 

otherwise draws upon, ‘‘technology’’ that was 

either obtained in the United States or is of 

U.S.-origin, then a release of the 

‘‘technology’’ takes place. Such technical 

assistance, when rendered with the intent to 

aid in the ‘‘development’’ or ‘‘production’’ of 

encryption commodities or software that 

would be controlled for ‘‘EI’’ reasons under 

ECCN 5A002, 5A004 or 5D002, may require 

authorization under the EAR even if the 

underlying encryption algorithm to be 

implemented is from the public domain or is 

not of U.S.-origin. 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

TSR: N/A 

ENC: Yes for certain EI controlled 

technology. See § 740.17 of the EAR for 

eligibility. 

AIA: Yes for ‘‘technology’’ for commodities 

controlled by 5A002.z.1.a, z.2.a, z.3.a, 

z.4.a, z.5.a or 5A004.z.1.a, z.2.a or 

‘‘software’’ specified by 5D002 (for 

5A002.z.1.a, z.2.a, z.3.a, z.4.a, z.5.a or 

5A004.z.1.a, z.2.a commodities) 

ACM: Yes for ‘‘technology’’ for commodities 

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

‘‘software’’ specified by 5D002 (for 5A002.z 

or 5A004.z commodities 

Note: See § 740.2(a)(9)(ii) of the EAR for 

license exception restrictions for technology 

for .z paragraphs under ECCNs 5A002, 

5A004 or ‘‘software’’ specified by 5D002 (for 

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

List of Items Controlled 

Related Controls: See also 5E992. This entry 

does not control ‘‘technology’’ ‘‘required’’ 

for the ‘‘use’’ of equipment excluded from 

control under the Related Controls 

paragraph or the Technical Notes in ECCN 

5A002 or ‘‘technology’’ related to 

equipment excluded from control under 

ECCN 5A002. 

Related Definitions: N/A 

Items: 

a. ‘‘Technology’’ according to the General 

Technology Note for the ‘‘development,’’ 

‘‘production’’ or ‘‘use’’ of equipment 

controlled by 5A002, 5A003, 5A004 or 

5B002, or of ‘‘software’’ controlled by 

5D002.a, z.1 through z.3, or 5D002.c, z.6 

through z.8. 

Note: 5E002.a does not apply to 

‘‘technology’’ for items specified by 5A004.b, 

z.3 or z.4, 5D002.a.3.b, z.4, or 5D002.c.3.b. 

b. ‘‘Technology’’ having the characteristics 

of a ‘cryptographic activation token’ specified 

by 5A002.b, z.2. 

Note: 5E002 includes ‘‘information 

security’’ technical data resulting from 

procedures carried out to evaluate or 

determine the implementation of functions, 

features or techniques specified in Category 

5—Part 2. 

5E992 ‘‘Information Security’’ 

‘‘technology’’ according to the General 

Technology Note, not controlled by 

5E002, 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 ‘‘technology’’ for commodities controlled by 

5A992.z.1 or ‘‘software’’ controlled by 

5D992.z.1.

To or within any destination worldwide. See 

§ 742.6(a)(6)(iii)(A) of 

the EAR. 

RS applies to ‘‘technology’’ for commodities controlled by 

5A992.z.2 or ‘‘software’’ controlled by 

5D992.z.2.

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)(B) 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: N/A 

NAC/ACA: N/A 

AIA: Yes for ‘‘technology’’ for commodities 

controlled by 5A992.z.1 or ‘‘software’’ 

controlled by 5D992.z.1 

ACM: Yes for ‘‘technology’’ for commodities 

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

controlled by 5D992.z 

Note: See § 740.2(a)(9)(ii) of the EAR for 

license exception restrictions for technology 

for .z paragraphs under ‘‘technology’’ for 

commodities controlled by 5A992.z or 

‘‘software’’ controlled by 5D992.z. 


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4584 Federal Register / Vol. 90, No. 9 / Wednesday, January 15, 2025 / Rules and Regulations 

List of Items Controlled 

Related Controls: N/A 

Related Definitions: N/A 

Items: 

a. [Reserved] 

b. ‘‘Technology’’, n.e.s., for the ‘‘use’’ of 

mass market commodities controlled by 

5A992 or mass market ‘‘software’’ controlled 

by 5D992. 

* * * * * 

Thea D. Rozman Kendler, 

Assistant Secretary for Export 

Administration. 

[FR Doc. 2025–00636 Filed 1–13–25; 8:45 am] 

BILLING CODE 3510–33–P 


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