blanks or ``EUV'' patterned masks. Semiconductor inspection tools
increase production throughputs by optimizing processes and improving
quality and yields, and specialized versions of these tools are
required for inspection at advanced technology nodes enabled by EUV,
and therefore warrant NS and RS controls for EUV (high-end) masks. The
definition for ``Extreme Ultraviolet'' (``EUV'') that this rule adds to
Sec.  772.1, as described below in section C.12, applies to that term
as it is used in ECCN 3B002.c.
3. Removal of ECCN 3B090 and Conforming Changes
    BIS added ECCN 3B090 to the CCL in the October 7 IFR. This rule
removes ECCN 3B090 because it was determined that controls on SME
should be placed with similar equipment specified in previously
existing ECCNs, e.g., 3B001, for ease of compliance, enforcement, and
because BIS anticipates that these items will be the subject of future
formal

multilateral controls, as discussed above.
    Licenses issued by BIS for equipment that was classified under ECCN
3B090, but is now under ECCN 3B001, remain valid until expiration,
unless suspended or revoked. For export clearance purposes for licenses
involving ECCN 3B090 items, exporters must use the new 3B001,
consistent with Sec.  750.7(c)(1)(viii). This concept also applies to
all other ECCN redesignations that occur as a result of this SME IFR.
Exporters must list the new ECCN classification on any export clearance
documentation filed after the effective date of this rule.
4. Revisions to ECCNs 3D001, 3D002, 3D003, and 3E001
    The license requirement tables of ECCNs 3D001, 3D002, and 3E001 are
revised following the same pattern as the table revisions for ECCNs
3B001 and 3B002, described above. For all three ECCNs, new NS and RS
license requirements rows are added for software and technology related
to newly added SME in ECCN 3B001.a.4, c, d, f.1.b and k to p when
destined to or within Macau or destinations specified in Country Group
D:5 of supplement no. 1 to part 740 of the EAR. The related changes to
Sec. Sec.  742.4(a)(4) and 742.6(a)(6) of the EAR are discussed in
section C.8 and C.9, respectively. All items in these ECCNs, including
these newly listed SME, are also controlled for AT reasons and subject
to an AT:1 license requirement. The License Requirement table is
revised to identify these reasons for control.
    Because of the addition of RS controls, in ECCNs 3D001 and 3D002,
License Exception TSR eligibility is revised to include ``N/A for RS,''
as TSR eligibility is for items that require a license for NS reasons
only. For ECCN 3E001, TSR eligibility is also revised for the same
reasons, but adds N/A for NP and RS.
    In addition to the changes described above, the heading of ECCN
3D002 is revised by expanding the scope to include newly added SME in
ECCN 3B001.k to p. In addition, the reporting requirement is removed,
as ECCN 3D002 does not appear in supplement no. 2 to part 774--
Sensitive List.
    The heading of ECCN 3D003 is revised by adding double quotes around
the newly defined term ``EUV,'' because that term is defined now
defined in Sec.  772.1 of the EAR.
    This rule also makes an additional clarification to ECCN 3E001. In
ECCN 3E001, this rule revises the Regional Stability control in the
License Requirements section Control(s) column to remove the phrase
``or ``software'' specified by ECCN 3D001 (for ECCN 3A090 or 3B090
commodities)'' because it is no longer needed. This rule is removing
technology controls for ECCN 3D001 software (for ECCNs 3A090 and 3B090
commodities) because the technology related to software is simply
source code, which is generally classified as software, so there is no
need for a separate technology control under ECCN 3E001 for ECCN 3D001
software.
    Only license exceptions found in Sec.  740.2(a)(9) of the EAR may
be used for technology or software for specified semiconductor
manufacturing equipment.
5. Addition of Sec.  734.4(a)(3) 0% De Minimis Rule for ECCN
3B001.f.1.b.2.b Items
    This rule revises Sec.  734.4 by adding a new paragraph (a)(3) to
specify that there is no de minimis level for lithography equipment and
``specially designed'' items therefor meeting the parameters in ECCN
3B001.f.1.b.2.b when destined for use in the ``development'' or
``production'' of ``advanced-node integrated circuits,'' except when
the country from which the foreign-made item was originally exported or
reexported has the item listed on its export control list. In other
words, if the other country maintains an equivalent export control for
equipment meeting the parameters of ECCN 3B001.f.1.b.2.b, BIS does not
need to impose additional controls on the export from abroad, or the
reexport or transfer (in-country) of these foreign-made items. BIS is
adding a footnote with information concerning any countries that
maintain an equivalent export control.
Retention of BIS Jurisdiction
    For exports from abroad from any other country, and subsequent
reexports or transfers to or within any other country of items that
were exported from abroad from a country that does not maintain
equivalent controls, BIS retains jurisdiction over such foreign-made
equipment to protect U.S. national security and foreign policy
interests.
6. Revisions to the Temporary General License in Supplement no. 1 to
Part 736--General Orders
    Effective November 17, 2023, this rule revises paragraph (d) of
(General Order No. 4) under supplement no. 1 to part 736 by removing
the October 7 IFR TGL and adding a new TGL.
    This SME IFR adds a new TGL under paragraph (d)(1) for companies
headquartered in the United States or a destination specified in
Country Group A:5 or A:6 that send CCL items to manufacturing
facilities in a Country Group D:5 country or Macau for the
``development'' or ``production'' of ``parts,'' ``components,'' or
``equipment'' of certain Category 3B ECCNs specified in Sec.
744.23(a)(4). The TGL overcomes the license requirements described in
Sec.  744.23(a)(4) (former Sec.  744.23(a)(2)(v)) when (1) the items
exported, reexported, or transferred (in-country) are subject to the
EAR, specified on the CCL, and controlled only for AT reasons, and (2)
the items are exported, reexported, or transferred (in-country) at the
direction of a company that is headquartered in the United States or a
destination specified in Country Groups A:5 or A:6, and not majority-
owned by a company headquartered in either Macau or a destination
specified in Country Group D:5. The purpose of this TGL is to provide
SME producers in the United States and Country Groups A:5 and A:6
countries additional time to identify alternative sources of supply
outside of arms-embargoed countries, or to acquire individually
validated licenses to continue manufacturing `front-end integrated
circuit ``production'' equipment' and related ``parts'' and
``components'' in such countries. In keeping with that goal, this TGL
is valid from November 17, 2023, through December 31, 2025.
    As noted below in section C.11, the overarching purpose of Sec.
744.23(a)(4) (former Sec.  744.23(a)(2)(v)) is to inhibit the
indigenization of `front-end integrated circuit ``production''
equipment' and related ``parts'' and ``components'' that would render
the end-use controls in Sec.  744.23(a)(2) obsolete. BIS has narrowed
the scope of Sec.  744.23(a)(4) to focus on the types of equipment
(i.e., front-end) that are most likely relevant to the ``production''
of ``advanced-node integrated circuits,'' which may include node-
agnostic tools specified in ECCNs controlled for only AT reasons. As
noted in section C.11, BIS welcomes comment on whether there are ECCNs
that should be excluded from the end-use scope because they are
exclusively used in the ``production'' of legacy-node integrated
circuits.
    In keeping with that goal, new paragraph (d)(4) (End-use and end-
user restrictions) states that the TGL cannot be used for the
indigenous ``development'' or ``production'' of Category 3B tools in
either Macau or a destination specified in Country Group D:5, i.e.,
where the ``part,'' ``component,'' or ``equipment'' is ``developed'' or
``produced'' at the

direction of an entity that is headquartered in either Macau or a
destination specified in Country Group D:5. Paragraph (d)(4)(i) also
specifies that the TGL does not overcome the license requirements of
Sec.  744.11 or Sec.  744.21 of the EAR when an entity listed in
supplements no. 4 or 7 to part 744 is a party to the transaction as
described in Sec.  748.5(c) through (f) of the EAR, or when there is
knowledge of any other prohibited end use or end user.
    Lastly, new paragraph (d)(5) (Recordkeeping requirements) specifies
that all exports, reexports, transfers (in-country), and exports from
abroad shipped under the authorization of the TGL are subject to the
recordkeeping requirements of part 762. Paragraph (d)(5) states that
the records subject to this recordkeeping requirement include but are
not limited to directives to the parties that are eligible to use this
TGL and a list of the parties that have received directives. Each party
that issues or acts upon a directive is responsible for keeping a
record of that directive.
7. Revisions to Sec.  740.2 License Exception Restrictions
    This rule also restructures Sec.  740.2(a)(9) by addressing SME in
paragraph (a)(9)(i) and advanced computing and supercomputer items in
paragraph (a)(9)(ii). This rule also revises Sec.  740.2(a)(9) by
replacing references to 3B090 with references to new ECCNs 3B001.a.4,
c, d, f.1.b, k to p, 3B002.b and c, or associated software and
technology in ECCN 3D001, 3D002, 3D003, or 3E001. As a result, these
items remain ineligible for all license exceptions other than License
Exception GOV. This SME IFR expands the availability of License
Exception GOV for both SME and advanced computing and supercomputer
items to all of the United States Government under Sec.  740.11(b),
consistent with policy that GOV should be available for U.S. Government
use or for those acting for or on behalf of the U.S. Government.
    In addition, for ECCNs 3A090 and 4A090 items, as requested in
public comments on the October 7 IFR, this SME IFR also amends Sec.
740.2(a)(9)(ii) to add eligibility for License Exception TMP under
Sec.  740.9(a)(6), so that eligible companies may temporarily send
foreign-produced advanced computing items for inspection, test,
calibration, and repair to Macau or destinations specified in Country
Group D:5, as well as transfer within those destinations for
inspection, test, calibration, and repair. Not including License
Exception TMP for Sec.  740.9(a)(6) in the October 7 IFR was an
inadvertent oversight, which as the commenters correctly noted would
undermine the usefulness of License Exception RPL, which was included
in the October 7 IFR for these items.
8. Addition and Reformatting of Sec.  742.4 National Security Controls
    This rule amends Sec.  742.4 by reformatting paragraph (a) for
easier navigation and readability, as well adding a new paragraph
(b)(2) and paragraph (d) for license exception guidance. Specifically,
a sentence is added to the introductory text of paragraph (a) to
explain the basis for most of the items controlled for National
Security reasons on the CCL. Paragraph (a) is now cascaded into
separate paragraphs for ease of reading and navigation. Paragraph
(a)(1) describes NS:1 license requirements, paragraph (a)(2) describes
NS:2 license requirements, paragraph (a)(3) describes NS-related
license requirements for ECCN 6A003.b.4.b, and paragraph (a)(4) is
added to describe NS related license requirements for certain SME and
associated software and technology, which is for the newly added SME in
ECCNs 3B001 and 3B002, associated software in ECCNs 3D001 and 3D002,
and associated technology in 3E001. A license is required for exports
and reexports to either Macau or destinations specified in Country
Group D:5 of commodities specified in ECCNs 3B001.a.4, c, d, f.1.b, k
to p, and 3B002.b and c and their associated software and technology.
    Paragraph (b) is amended by adding an introductory sentence that
includes former paragraph (b)(3) and explains that if a license
application meets the criteria of more than one of the paragraphs in
(b), then the most restrictive license policy will be applied. This
rule also adds subject headings to each license policy paragraph to
assist with navigation within paragraph (b). This rule moves the text
from paragraph (b)(2) to the end of paragraph (b)(1)(i), because this
further explains license review policy for exports and reexports to
destinations in Country Group D:1. The license policy in former
paragraph (b)(1)(iii) for 9x515 to China and destinations in Country
Group E:1 is combined with the license policy for ``600 series'' items
in former paragraph (b)(1)(ii), because these destinations are also in
Country Group D:5 and the corresponding licensing policy, consistent
with Sec.  126.1 of the International Traffic in Arms Regulations
(ITAR) (22 CFR chapter I, subchapter M) for such destinations, would be
a policy of denial. The combined license policy is now in paragraph
(b)(1)(ii).
    This rule adds a new paragraph (b)(2) indicating license
applications will be reviewed consistent with license review policies
in Sec.  744.23(d) of the EAR, except applications will be reviewed on
a case-by-case basis if no license would be required under part 744 of
the EAR. License applications for items specified in paragraph (a)(4)
will be reviewed consistent with license review policies in Sec.
744.23(d) of the EAR, except applications will be reviewed on a case-
by-case basis if no license would be required under part 744 of the
EAR.
    Paragraph (c), regarding the applicability of contract sanctity,
has been revised to note that contract sanctity will be available as a
factor for consideration for license applications involving the new SME
items identified in paragraph (a)(4) of this section.
    The previously reserved paragraph (d) is now a paragraph for
license exceptions guidance. This paragraph is added to provide
references to specific license exceptions that are for national
security-controlled items, as well as other useful license exceptions
for national security items. It also cross-references the restrictions
that apply to all license exceptions in Sec.  740.2 of the EAR.
9. Revision of Sec.  742.6 Regional Stability
    Section 742.6(a)(6)(i) is revised to remove references to ECCN
3B090 and associated software and technology to conform to the removal
of that ECCN from the CCL. See section C.3 of this rule for the
description of the removal of 3B090 and addition of items to 3B001,
3B002, and associated software and technology ECCNs. This SME IFR
separates from paragraph (a)(6)(i) sentences about exports from abroad
from China or Macau and adds them to a new paragraph (a)(6)(ii). In
addition, the deemed export/reexport paragraph in former paragraph
(a)(6)(ii) is now redesignated as paragraph (a)(6)(iii).
    BIS specifically seeks public comment on the applicability of
deemed exports and deemed reexports in paragraph (a)(6)(iii).
Commenters are asked to provide feedback regarding the impact of this
provision on their business and operations, in particular, what if any
impact companies would experience if the deemed export and deemed
reexport provision was removed and a license were to be required.
Commenters are also asked to provide guidance on what if any practices
are utilized to safeguard technology and intellectual property and the
role of foreign person employees in obtaining and maintaining U.S.
technology leadership.
    Lastly, this rule revises the license review policy under paragraph
(b)(10) to

harmonize the destination scope to Macau and destinations specified in
Country Group D:5 and state that the license review will be consistent
with Sec.  744.23(d) of the EAR, except applications will be reviewed
on a case-by-case basis if no license would be required under part 744
of the EAR.
10. Revision of Sec.  744.6 Activities of ``U.S. Persons''
    Paragraph (c) is restructured by consolidating the nine former
paragraphs (c)(2)(i) through (ix), which included redundant text, into
three paragraphs (c)(2)(i) through (iii). Paragraph (c)(2) now captures
the types of prohibited activities, i.e., shipping, transmitting, or
transferring (in-country), applicable to the destinations and end uses
described in three paragraphs (c)(2)(i) through (iii). A commenter
asked whether knowledge of a violation is a requirement to trigger the
license requirements under Sec.  744.6, and in response to this
comment, BIS is clarifying this by adding ``if you know your export,
reexport, or transfer (in-country) meets any of the specified
activities described in paragraphs (c)(2)(i) through (iii) of this
section, then'' to the paragraph (c)(2) introductory text to make this
point.
    Other paragraph specific changes are described below.
    a. Revisions related to former paragraphs (c)(2)(i) through (iii)
regarding semiconductor ``development'' and ``production'' activities
and related exclusions in paragraph (d).
    Section 744.6(c)(2)(i) and (ii) (former paragraphs (c)(2)(i)
through (vi)) are revised to clarify the types of end uses captured by
the controls, as well as the types of ``facilities'' where a prohibited
end use must occur. First, the phrase ``that fabricates'' is replaced
with ``where ``production'' . . . occurs.'' Second, the phrase
``semiconductor fabrication'' is removed and therefore no longer
qualifies the term ``facility.'' BIS opted to leverage the existing
defined term ``production'' rather than create a new defined term for
``fabrication.'' These changes are intended to retain BIS's focus on
specific ``facilities'' (i.e., buildings) at locations that may
maintain multiple production lines at different production technology
nodes, not all of which may ``produce'' ``advanced-node integrated
circuits.'' However, the changes also allow more flexibility in
identifying relevant facilities where ``production'' may occur beyond a
fabrication facility, which some in industry interpreted narrowly to
encompass only a clean room or production floor. In contrast to the
term ``fabrication,'' the term ``production'' better captures
facilities where important late-stage product engineering or early-
stage manufacturing steps (among others) may occur, which aligns with
BIS's intended focus. In addition, because the controls still capture
``development'' activities that may occur at the same ``facility''
where ``production'' of ``advanced-integrated circuits'' occur, this
change also better captures ``development'' and product engineering
activities at research and development (R&D) fabrication ``facilities''
that may not engage in volume manufacturing of integrated circuits. On
the other hand, BIS also clarifies that a ``facility'' where only
``development'' activities occur would not fall within the scope of
controls, primarily because this could over-capture ``facilities''
engaged exclusively in design or other forms of ``development'' of
consumer items (e.g., smartphone ICs) that will be ``produced'' outside
of China or at approved ``facilities'' in China and therefore do not
necessarily warrant control. BIS welcomes comments on the implications
of these changes relative to the objectives and considerations stated
throughout this IFR.
    To enhance readability and simplify the structure of the controls
under paragraphs (c)(2)(i) and (ii) (former paragraphs (c)(2)(i)
through (vi)), BIS has moved and clarified the criteria for three types
of ``advanced-node integrated circuits'' to a new definition in Sec.
772.1 of the EAR and has added a heading to each paragraph. The term
servicing in Sec.  744.6(c) is revised to add the term installation, so
it is clear that the prohibition under these two paragraphs on
servicing also extends to installing any item not subject to the EAR
that you know will be used in the ``development'' or ``production'' of
``advanced-node ICs'' or specified SME.
    b. Revisions to former paragraphs (c)(2)(vii) through (ix) related
to certain SME not subject to the EAR.
    Section 744.6(c)(2)(iii) is revised to remove references to ECCN
3B090 and associated software and technology to conform with the
removal of that ECCN from the CCL. See above for the description of the
removal of ECCN 3B090 and addition of items to ECCNs 3B001, 3B002, and
associated software and technology ECCNs, found in sections C.3, C.1,
and C.2, respectively. The country scope is changed from ``PRC and
Macau'' to ``either Macau or a destination specified in Country Group
D:5,'' which is explained in section C. Specifically, paragraph
(c)(2)(iii) of Sec.  744.6 is revised to add references to ECCN
3B001.a.4, c, d, f.1.b, k to p; 3B002.b and c; 3D001 (for 3B001.a.4, c,
d, f.1.b, k to p, 3B002.b and c); 3D002 (for 3B001 a.4, c, d, f.1.b, k
to p, 3B002.b and c); or 3E001 (for 3B001.a.4, c, d, f.1.b, k to p,
3B002.b and c).
    c. Revisions related to paragraph (d) license exceptions and
exclusions.
    Section 744.6(d) is amended by revising the heading from
``exceptions'' to ``exceptions and exclusions,'' as well as adding
headings to the paragraphs in (d) for easier readability and
navigation. This rule also moves the text of paragraph (d)(1) to the
introductory paragraph, where it continues to state that paragraphs
(b)(1) through (4) are not eligible for license exceptions. The
paragraph is also amended to indicate that no license exceptions are
available for Sec.  744.6(c)(2). The license exception that was
formerly in paragraph (d)(2) has been converted into an exclusion in
paragraph (d)(2). Paragraph (d)(1) is now reserved. In addition, this
rule differentiates between exclusions from the license requirements of
this section and license exceptions found in part 740 of the EAR.
    Also consistent with revisions to related sections of Sec.  744.23,
BIS has added an exclusion under paragraph (d)(3) to limit the scope of
``production'' steps captured by paragraphs (c)(2)(i) and (ii). In line
with BIS's response in its Jan. 25, 2023 FAQ II.A1, this exclusion
excludes ``back-end'' production steps, such as assembly, test, or
packaging steps that do not alter the technology level of an integrated
circuit.
    Additionally, this rule adds an exclusion that applies to
paragraphs (c)(2)(i) through (iii) of this section in paragraph (d)(4)
for natural ``U.S. persons'' employed or working on behalf of a company
headquartered in the United States or a destination specified in
Country Group A:5 or A:6 and not majority-owned by an entity that is
headquartered in Macau or a destination specified in Country Group D:5.
This exclusion is intended to ease the compliance burden and
corresponding disincentive to employ U.S. persons in activities for
which governments of closely allied destinations maintain or may
establish appropriate controls. This rule also adds a new Note to
paragraph (d)(4) to provide additional context on when activities of
``U.S. persons'' are excluded, including providing guidance on how
these criteria apply to ``U.S. persons'' working as freelancers for
companies headquartered in the United States or in a destination
specified in Country Group A:5 or A:6, on behalf of a company not
headquartered in the United States or in a destination

specified in Country Group A:5 or A:6, or some combination of these
scenarios.
    Finally, this rule adds an exclusion that applies to paragraph
(c)(2)(iii) of this section in paragraph (d)(5) for servicing
(including installation) activities unless such activities occur at a
facility where ``production'' of ``advanced-node integrated circuits''
occurs. This will exclude servicing (including installation) of items
specified in the ECCNs listed by paragraph (c)(2)(iii), when in a
facility that does not produce ``advanced-node integrated circuits'' to
avoid restricting servicing (including installation) at legacy-node
facilities. This type of provision is included to ensure the controls
remain focused on transactions and activities of national security
concern.
    d. Revisions related to paragraph (e) license review standards.
    Section 744.6(e) is amended by revising paragraph (e)(3) to focus
on countries of concern and provide an additional exclusion for the
presumption of denial policy. BIS will review applications with a
presumption of denial when they include destinations in Macau and
destinations in Country Group D:5, except when there is a foreign-made
item available that is not subject to the EAR and has the same function
as an item subject to the EAR, which will be reviewed with a
presumption of approval. All other applications will be considered on a
case-by-case basis taking into account factors including technology
level, customers, and compliance plans.
11. Revisions of Sec.  744.23 ``Supercomputer,'' ``Advanced-Node
Integrated Circuits,'' and Semiconductor Manufacturing Equipment End
Use Controls
    a. General Revisions and Context for These Changes.
    BIS received comments from the public to simplify the format of
Sec.  744.23 by combining the product scope paragraphs with the end-use
scope paragraphs. BIS agrees and has done this. Here is a table to help
the public find the new locations of paragraphs within Sec.  744.23.

Sec.   744.23 ``Supercomputer,'' ``Advanced-Node Integrated Circuit,'' and Semiconductor Manufacturing Equipment
                                                End-Use Controls
----------------------------------------------------------------------------------------------------------------
              Topic                               Prior to this rule                        In this rule
----------------------------------------------------------------------------------------------------------------
``Supercomputer''................  (a)(1)(i) and (ii).............................  (a)(1)(i).
                                   (a)(2)(i)......................................  (a)(1)(ii)(A).
                                   (a)(2)(ii).....................................  (a)(1)(ii)(B).
``Advanced-node ICs''............  (a)(1)(iii) and (a)(2)(iii)....................  (a)(2)(i).
                                   (a)(1)(iv) and (a)(2)(iv)......................  (a)(2)(ii).
Reserved.........................  N/A............................................  (a)(3).
Semiconductor Manufacturing        (a)(1)(v) and (a)(2)(v)........................  (a)(4).
 Equipment (SME).
Exclusions.......................  None...........................................  (a)(5).
Is informed by BIS...............  (b)............................................  (b).
License Exceptions...............  (c)............................................  (c).
License review standards.........  (d)............................................  (d).
----------------------------------------------------------------------------------------------------------------

    The introductory text of paragraph (a) in Sec.  744.23 is revised
to reference the new exclusions in paragraph (a)(5) that apply to the
license requirements of this section. Paragraphs (a)(1) and (2) are
combined under three topical paragraphs: (a)(1) ``supercomputers,''
(a)(2) ``advanced-node ICs,'' and (a)(4) SME. This rule adds a new
paragraph (a)(5) for an exclusion to the license requirements.
Paragraphs (b) and (d) have not been amended. The country scope is
changed from ``China and Macau'' to ``Macau or a destination specified
in Country Group D:5'' throughout this section for reasons explained in
section C of the preamble of this rule.
    Paragraph (a)(2)(ii) (former paragraph (a)(1)(iv)) is also revised
to replace the words ``and classified'' with ``specified,'' so that the
public does not incorrectly conclude that one must formally submit a
classification request to have the item classified by BIS to make a
license requirement determination under this provision.
    b. Revisions related to paragraphs (a)(2)(i) and (ii) (former
paragraphs (a)(2)(iii) and (iv)) regarding the ``development'' and
``production'' of ICs.
    Consistent with revisions described above to Sec.  744.6, the
phrase ``that fabricates'' is replaced with ``where ``production'' . .
. occurs,'' and the phrase ``semiconductor fabrication'' is removed and
therefore no longer qualifies the term ``facility.'' BIS opted to
leverage the existing defined term ``production'' rather than create a
new defined term for ``fabrication.'' These changes are intended to
retain BIS's focus on specific ``facilities'' (i.e., buildings) at
locations that may maintain multiple production lines at different
production technology nodes, not all of which may ``produce''
``advanced-node integrated circuits.'' However, the changes also allow
more flexibility in identifying relevant facilities where
``production'' may occur beyond a fabrication facility. For example,
the term ``production'' better captures facilities where important
late-stage product engineering or early-stage manufacturing steps
(among others) may occur. In addition, because the controls still
capture ``development'' activities that may occur at the same
``facility'' where ``advanced-integrated circuits'' are ``produced,''
this change also better captures ``development'' and product
engineering activities at R&D fabrication ``facilities'' that may not
engage in volume manufacturing of integrated circuits. On the other
hand, BIS also clarifies that a ``facility'' where only ``development''
activities occur would not fall within the scope of controls, primarily
because this could over-capture ``facilities'' engaged exclusively in
``design'' or other forms of ``development'' of consumer items (e.g.,
smartphone ICs). BIS welcomes comments on the implications of these
changes relative to the objectives and considerations stated throughout
this IFR.
    In addition, BIS has added an exclusion under paragraph (a)(5) to
limit the scope of ``production'' steps captured by paragraphs (a)(2)
(former paragraphs (a)(2)(iii) and (iv)). As relayed in BIS's Jan. 25,
2023, FAQ II.A.1, for purposes of Sec.  744.23(a)(2), the term
``production'' does not apply to back-end steps, such as assembly,
test, or packaging that do not alter the semiconductor technology
level. If there is a question at the time of export, reexport, or
transfer (in-country) about

whether a manufacturing stage is ``back-end'' or whether a back-end
activity ``alter[s] the semiconductor technology level,'' you may
submit an advisory opinion request to BIS pursuant to Sec.  748.3(c)
for clarification.
    Further, to enhance readability and simplify the structure of the
controls under paragraphs (a)(2) (former paragraphs (a)(2)(iii) and
(iv)), BIS has moved and clarified the criteria for three types of
``advanced-node integrated circuits'' to a new definition in Sec.
772.1 of the EAR.
    Paragraphs (a)(1) through (4) are revised to add paragraph headings
to make it easier for exporters, reexporters, and transferors to
identify the scope of each of these paragraphs.
    c. Revisions related to paragraph (a)(4)(former paragraph
(a)(2)(v)) regarding the ``development'' or ``production'' of SME.
    As noted above in response to public comments, BIS has narrowed the
product scope of Sec.  744.23(a)(4) to items subject to the EAR and
specified on the CCL in supplement no. 1 to part 774 of the EAR, and it
has narrowed the end-use scope of Sec.  744.23(a)(4) to `front-end
integrated circuit ``production'' equipment' and other items specified
in 3B ECCNs. The term `front-end integrated circuit ``production''
equipment' does not include equipment used exclusively in back-end
steps or other applications (e.g., outside of integrated circuit
``production'') that do not alter the integrated circuit technology
level. BIS welcomes comments on this revision, including identification
of any specific items that warrant exclusion from the product scope or
end use scope, e.g., because they are exclusively used in the
production of integrated circuits at legacy production technology
nodes.
    In addition, BIS has revised the scope of paragraph (a)(4) to
exclude masks and other items specified in ECCNs 3B001.g, 3B001.h,
3B001.j, and 3B991.b.2. This exclusion will allow the export, reexport,
and transfer (in-country) of items subject to the EAR destined for use
in the ``development'' or ``production'' in either Macau and
destinations specified in Country Group D:5 of masks and reticles in
the specified ECCNs for fabricating ICs that are not ``advanced-node
integrated circuits.'' Any item subject to the EAR, including one
specified in these ECCNs, that is destined for use in the
``development'' or ``production'' in either Macau or destinations
specified in Country Group D:5 of ``advanced-node integrated
circuits,'' must still be assessed against the license requirements in
Sec.  744.23(a)(2).
    ECCN 3B090 is also removed from the list of ECCNs in paragraph
(a)(4), because the equipment controlled in that ECCN has been moved to
ECCN 3B001, which is already listed in this paragraph.
    d. Exclusion
    BIS added an exclusion to Sec.  744.23(a)(5) to limit the scope of
``production'' steps captured by paragraphs (a)(2)(i) and (ii). In line
with BIS's response in its Jan. 25, 2023 FAQ II.A1, this exclusion
excludes back-end production steps, such as assembly, test, or
packaging steps that do not alter the technology level of an integrated
circuit.
    e. License exception
    As noted above, BIS has narrowed the product scope of Sec.
744.23(a)(4) (former Sec.  744.23(a)(2)(v)) to items subject to the EAR
and specified on the CCL. BIS considered adding license exception
availability for License Exceptions TSU, RPL, and TMP for updates and
repairs for SME equipment. However, we came to the conclusion that
there isn't a need for License Exceptions TSU for paragraphs (a)
(Operation technology and software) and (c) (Software updates) to allow
for updates of items that were legally exported, reexported, or
transferred (in-country) or License Exception TMP or RPL for repairs,
because paragraph (a)(4) only captures ``development'' and
``production'' of SME. However, we welcome comments providing differing
conclusions on this topic.
    f. License review standards
    There is a presumption of denial for Macau and destinations in
Country Group D:5 of supplement no. 1 to part 740, with two exceptions.
BIS is expanding the exception that could only be applied to one
paragraph (a)(2)(i) (former paragraph (a)(2)(iii)) for ``end users in
China or Macau that are headquartered in the United States or in a
Country Group A:5 or A:6 country'' by allowing the exception to be
applied to all paragraphs for end users in either Macau or a
destination in Country Group D:5 that are headquartered in the United
States or in a Country Group A:5 or A:6 country that are not majority-
owned by an entity headquartered in either Macau or a destination
specified in Country Group D:5. In addition, BIS is adding another
exception that may be applied to all the paragraphs when there is a
foreign-made item available that is not subject to the EAR and has the
same function as the item subject to the EAR. Applications that meet
either of these exceptions will be reviewed with a presumption of
approval.
12. Addition to Sec.  772.1 Definitions of Terms as Used in the EAR
    Section 772.1 is revised to add a definition for the term ``extreme
ultraviolet'' (``EUV''). To specify that this term means
electromagnetic spectrum wavelengths greater than 5 nm and less than
124 nm. This rule adds this new defined term to Sec.  772.1 because the
term is used in ECCNs 3B001, 3B002 and 3D003.
    Section 772.1 is also revised to add a definition for the term
``advanced-node integrated circuit.'' BIS added this definition to
simplify the regulatory text in several places in Sec. Sec.  744.6 and
744.23 that previously described the criteria for ``advanced'' ICs. As
noted above under section C.11, this definition also now includes notes
clarifying the meaning of ``production technology node'' for two types
of ``advanced-node integrated circuits.''

Export Control Reform Act of 2018

    On August 13, 2018, the President signed into law the John S.
McCain National Defense Authorization Act for Fiscal Year 2019, which
included the ECRA, 50 U.S.C. 4801-4852. ECRA, as amended, provides the
legal basis for BIS's principal authorities and serves as the authority
under which BIS issues this rule.

Rulemaking Requirements

    1. Executive Orders 12866, 13563, and 14094 direct agencies to
assess all costs and benefits of available regulatory alternatives and,
if regulation is necessary, to select regulatory approaches that
maximize net benefits (including potential economic, environmental,
public health and safety effects and distributive impacts and equity).
Executive Order 13563 emphasizes the importance of quantifying both
costs and benefits and of reducing costs, harmonizing rules, and
promoting flexibility.
    This interim final rule has been designated a ``significant
regulatory action'' under Executive Order 12866. This rule does not
contain policies with federalism implications as that term is defined
under Executive Order 13132.
    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 added exclusions and narrowing of scope on key paragraphs
outweigh the expansion in country scope, so that the overall burden
will decrease. Therefore, the burdens and costs associated with the
following information collections due to this rule are within the
approved burden estimates for the following:
     0694-0088, ``Simplified Network Application Processing
System,'' which carries a burden- hour estimate of 29.6 minutes for a
manual or electronic submission. The burden associated with Supplement
no. 1 to part 736, General order 4, paragraph (d)(5) Temporary General
License burden for recordkeeping is accounted for under 0694-0088 and
is minimal due to the limited scope of those required to keep records
(11 companies). The recordkeeping does not go beyond that which the
exporter is already under obligation to keep pursuant to part 762
recordkeeping provisions of the EAR. There is a sunset clause on this
requirement effective August 1, 2024, when this provision will be
removed from the EAR.
     0694-0137 ``License Exceptions and Exclusions,'' which
carries a burden-hour 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. 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. Although this rule is exempt
from public comments, BIS is seeking them anyway on a number of issues.
    4. Because a notice of proposed rulemaking and an opportunity for
public comment are not required to be given for this rule by 5 U.S.C.
553, or by any other law, the analytical requirements of the Regulatory
Flexibility Act, 5 U.S.C. 601, et seq., are not applicable.
Accordingly, no regulatory flexibility analysis is required, and none
has been prepared.

List of Subjects

15 CFR Part 734

    Administrative practice and procedure, Exports, Inventions and
patents, Research, Science and technology.

15 CFR Part 736

    Exports.

15 CFR Part 740

    Administrative practice and procedure, Exports, Reporting and
recordkeeping requirements.

15 CFR Part 742

    Exports, Terrorism.

15 CFR Part 744

    Exports, Reporting and recordkeeping requirements, Terrorism.

15 CFR Part 772

    Exports.

15 CFR Part 774

    Exports, Reporting and recordkeeping requirements.

    Accordingly, parts 734, 736, 740, 742, 744, 772, and 774 of the
Export Administration Regulations (15 CFR parts 730-774) are amended as
follows:

PART 734--SCOPE OF THE EXPORT ADMINISTRATION REGULATIONS

0
1. The authority citation for part 734 continues to read as follows:

    Authority:  50 U.S.C. 4801-4852; 50 U.S.C. 4601 et seq.; 50
U.S.C. 1701 et seq.; E.O. 12938, 59 FR 59099, 3 CFR, 1994 Comp., p.
950; E.O. 13020, 61 FR 54079, 3 CFR, 1996 Comp., p. 219; E.O. 13026,
61 FR 58767, 3 CFR, 1996 Comp., p. 228; E.O. 13222, 66 FR 44025, 3
CFR, 2001 Comp., p. 783; E.O. 13637, 78 FR 16129, 3 CFR, 2014 Comp.,
p. 223; Notice of November 8, 2022, 87 FR 68015 (November 10, 2022).

0
2. Section 734.4 is amended by adding paragraph (a)(3) to read as
follows:

Sec.  734.4  De minimis U.S. content.

    (a) * * *
    (3) There is no de minimis level for equipment meeting the
parameters in ECCN 3B001.f.1.b.2.b of the Commerce Control List in
supplement no. 1 to part 774 of the EAR, when the equipment is destined
for use in the ``development'' or ``production'' of ``advanced-node
integrated circuits'' and the ``advanced-node integrated circuits''
meet the parameter specified in paragraph (1) of that definition in
Sec.  772.1 of the EAR, unless the country from which the foreign-made
item was first exported \1\ has a commodity specified on an export
control list.
* * * * *
----------------

    \1\ The Government of Japan added ArF-wet lithography equipment
and other advanced semiconductor manufacturing equipment to its
control list for all regions on July 23, 2023.

PART 736--GENERAL PROHIBITIONS

0
3. The authority citation for part 736 is revised to read as follows:

    Authority:  50 U.S.C. 4801-4852; 50 U.S.C. 4601 et seq.; 50
U.S.C. 1701 et seq.; E.O. 12938, 59 FR 59099, 3 CFR, 1994 Comp., p.
950; E.O. 13020, 61 FR 54079, 3 CFR, 1996 Comp., p. 219; E.O. 13026,
61 FR 58767, 3 CFR, 1996 Comp., p. 228; E.O. 13222, 66 FR 44025, 3
CFR, 2001 Comp., p. 783; E.O. 13338, 69 FR 26751, 3 CFR, 2004 Comp.,
p. 168; Notice of November 8, 2022, 87 FR 68015, 3 CFR, 2022 Comp.,
p. 563; Notice of May 8, 2023, 88 FR 30211 (May 10, 2023).

0
4. Supplement no. 1 to part 736 is amended by revising paragraph (d) to
read as follows:

Supplement No. 1 to Part 736--General Orders

* * * * *

    (d) General Order No. 4: Exports, reexports, or transfers (in-
country) authorized under the Temporary General License (TGL)
specified under paragraph (d)(1) of this supplement must also comply
with the terms and conditions under paragraphs (d)(4) through (5) of
this supplement.
    (1) TGL--Less restricted SME ``parts,'' ``components,'' or
``equipment.'' This TGL only overcomes the license requirements
described in Sec.  744.23(a)(4) of EAR when:
    (i) Product scope. The items subject to the EAR that are
specified on the Commerce Control List (CCL) in supplement no. 1 to
part 774 of the EAR that are designated as controlled on the CCL
only for AT reasons; and
    (ii) End-use scope. The recipient is ``developing'' or
``producing'' ``parts,'' ``components,'' or ``equipment'' (as
specified in Sec.  744.23(a)(4) of the EAR) at the direction of a
company that is headquartered in the United States or a destination
specified in Country Group A:5 or A:6 and not majority-owned by an
entity headquartered in either Macau or a destination specified in
Country Group D:5.
    (2) [Reserved]
    (3) Validity date. The TGL under paragraph (d)(1) of this
supplement expires on December 31, 2025.
    (4) End-use and end-user restrictions.
    (i) Restrictions related to part 744 of the EAR. The TGL under
paragraph (d)(1) of this supplement does not overcome the license
requirements of Sec.  744.11 or Sec.  744.21 of the EAR when an
entity listed in supplements no. 4 or 7 to part 744 is a party to
the transaction as described in Sec.  748.5(c) through (f) of the
EAR, or when there is knowledge

of any other prohibited end use or end user (other than the Sec.
744.23 of the EAR provisions specified above in the TGL).
    (ii) Indigenous production. The TGL under paragraph (d)(1) of
this supplement cannot be used for the indigenous ``development'' or
``production'' of Category 3B tools in either Macau or a destination
specified in Country Group D:5, i.e., where the ``part,''
``component,'' or ``equipment'' is ``developed'' or ``produced'' at
the direction of an entity that is headquartered in either Macau or
a destination specified in Country Group D:5.
    (5) Recordkeeping requirement. All exports, reexports, transfer
(in-country), and exports from abroad shipped under the
authorization of this TGL are subject to the recordkeeping
requirements of part 762 of the EAR. The records subject to this
recordkeeping requirement include but are not limited to directives
to the parties that are eligible to use this TGL and a list of the
parties that have received directives. Each party that issues or
acts upon a directive is responsible for keeping a record of that
directive.
* * * * *

Supplement No. 1 to Part 736 [Amended]

0
5. Effective on January 1, 2026, supplement no. 1 to part 736 is
further amended by removing and reserving paragraph (d).

PART 740--LICENSE EXCEPTIONS

0
6. The authority citation for part 740 continues to read as follows:

    Authority:  50 U.S.C. 4801-4852; 50 U.S.C. 4601 et seq.; 50
U.S.C. 1701 et seq.; 22 U.S.C. 7201 et seq.; E.O. 13026, 61 FR
58767, 3 CFR, 1996 Comp., p. 228; E.O. 13222, 66 FR 44025, 3 CFR,
2001 Comp., p. 783.

0
7. Section 740.2 is amended by revising paragraph (a)(9) to read as
follows:

Sec.  740.2  Restrictions on all License Exceptions.

    (a)* * *
    (9)(i) The item is controlled under ECCN 3B001.a.4, c, d, f.1.b, k
to p, 3B002.b or c, or associated software and technology in ECCN
3D001, 3D002, 3D003, or 3E001 and is being exported, reexported, or
transferred (in-country) to or within either Macau or a destination
specified in Country Group D:5 of supplement no. 1 to this part, and
the license exception is other than License Exception GOV, restricted
to eligibility under the provisions of Sec.  740.11(b).
    (ii) The item is identified in paragraph (a)(9)(ii)(A) or (B) of
this section, is being exported, reexported, or transferred (in-
country) to or within Macau or a destination specified in Country
GroupD:5, and the license exception is other than: TMP, restricted to
eligibility under the provisions of Sec.  740.9(a)(6); RPL, under the
provisions of Sec.  740.10, including Sec.  740.10(a)(3)(v), which
prohibits exports and reexports of replacement parts to a destination
specified in Country Group E:1 (see supplement no. 1 to this part);
GOV, restricted to eligibility under the provisions of Sec.  740.11(b);
or TSU under the provisions of Sec.  740.13(a) and (c). Items
restricted to eligibility only for the foregoing license exceptions
are:
    (A) Controlled under ECCNs 3A090, 4A090, or associated software and
technology in 3D001, 3E001, 4D090, and 4E001;
    (B) A computer, integrated circuit, ``electronic assembly'' or
``component'' specified elsewhere on the CCL which meets or exceeds the
performance parameters of ECCN 3A090 or 4A090.
* * * * *

PART 742--CONTROL POLICY--CCL BASED CONTROLS

0
8. 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 8, 2022, 87 FR 68015 (November 10,
2022).

0
9. Section 742.4 is amended by:
0
a. Revising paragraph (a);
0
b. Adding introductory text to paragraph (b);
0
c. Revising paragraphs (b)(1) and (2);
0
d. Removing and reserving paragraph (b)(3);
0
e. Revising paragraph (c); and
0
f. Adding paragraph (d).
    The revisions and additions read as follows:

Sec.  742.4  National security.

    (a) License requirements. It is the policy of the United States to
restrict the export and reexport of items that would make a significant
contribution to the military potential of any other destination or
combination of destinations that would prove detrimental to the
national security (NS) of the United States. Generally, items on the
Commerce Control List in supplement no. 1 to part 774 of the EAR that
have a reason for control of NS are those that are also listed on the
Wassenaar Arrangement's ``List of Dual-use Goods and Technologies,'' as
well as some items listed on the Wassenaar Arrangement's ``Munitions
List.'' ``600 series'' items and 9x515 items are also controlled for NS
reasons.
    (1) National Security column 1 (NS:1). A license is required for
exports and reexports to all destinations, except Canada, for all items
in ECCNs on the CCL that include NS Column 1 in the Country Chart
column of the ``License Requirements'' section.
    (2) National Security column 2 (NS:2). A license is required to all
destinations except those specified in Country Group A:1 (see
supplement no. 1 to part 740 of the EAR), for all items in ECCNs on the
CCL that include NS column 2 in the Commerce Country Chart column of
the ``License Requirements'' section except those cameras in ECCN
6A003.b.4.b that have a focal plane array with 111,000 or fewer
elements and a frame rate of 60 Hz or less.
    (3) 6A003.b.4.b. A license is required to all destinations except
those specified in Country Group A:1 (see supplement no. 1 to part 740
of the EAR) for those cameras in ECCN 6A003.b.4.b that have a focal
plane array with 111,000 or fewer elements and a frame rate of 60 Hz or
less and for cameras being exported or reexported pursuant to an
authorization described in Sec.  742.6(a)(2)(iii) or (v). The purpose
of this control is to ensure that these items do not contribute to the
military potential of destinations specified in Country Group D:1 (see
supplement no. 1 to part 740 of the EAR) that would prove detrimental
to the national security of the United States.
    (4) Certain semiconductor manufacturing equipment and associated
software and technology. A license is required for exports, reexports,
and transfers (in-country) to or within either Macau or a destination
specified in Country Group D:5 in supplement no. 1 to part 740 of the
EAR of items specified in 3B001.a.4, c, d, f.1.b, k to p; 3B002.b and
c; 3D001 (for 3B001.a.4, c, d, f.1.b, k to p, 3B002.b and c); 3D002
(for 3B001 a.4, c, d, f.1.b, k to p, 3B002.b and c); or 3E001 (for
3B001.a.4, c, d, f.1.b, k to p, 3B002.b and c). The license
requirements in this paragraph (a)(4) do not apply to deemed exports or
deemed reexports.
    (b) Licensing policy. Each application is reviewed in light of
prevailing policies with full consideration of all aspects of the
proposed transaction. When the license application meets the criteria
of more than one licensing policy, then the most restrictive licensing
policy will be applied. The review generally includes: an analysis of
the kinds and quantities of items to be

shipped; their military or civilian uses; the unrestricted availability
abroad of the same or comparable items; the country of destination; the
ultimate end users in the country of destination; and the intended end
use.
    (1)(i) Country Group D:1. The policy for national security-
controlled items exported or reexported to any destination except a
destination specified in Country Group D:1 (see supplement no. 1 to
part 740 of the EAR) is to approve applications unless there is a
significant risk that the items will be diverted to a destination
specified in Country Group D:1. Except for those countries described in
paragraphs (b)(5) through (7) and (9) of this section, the general
policy for exports and reexports of items to Country Group D:1 (see
supplement no. 1 to part 740 of the EAR) is to approve applications
when BIS determines, on a case-by-case basis, that the items are for
civilian use or would otherwise not make a significant contribution to
the military potential of the country of destination that would prove
detrimental to the national security of the United States.
    (ii) 9x515 and ``600 series'' items. When destined to a country
listed in Country Group D:5 in supplement no. 1 to part 740 of the EAR,
however, items classified under 9x515 or ``600 series'' ECCNs will be
reviewed consistent with United States arms embargo policies in 22 CFR
126.1 (International Traffic in Arms Regulations (ITAR)). When destined
to the People's Republic of China or a country listed in Country Group
E:1 in supplement no. 1 to part 740 of the EAR, items classified under
any 9x515 ECCN will be subject to a policy of denial.
    (2) License applications for items specified in paragraph (a)(4) of
this section will be reviewed consistent with license review policies
in Sec.  744.23(d) of the EAR, except applications will be reviewed on
a case-by-case basis if no license would be required under part 744 of
the EAR.
* * * * *
    (c) Contract sanctity. Contract sanctity provisions are not
available for license applications reviewed under this section, except
for applications for items in paragraph (a)(4) of this section. For
paragraph (a)(4), contract sanctity provisions are available for
contracts signed before October 18, 2023.
    (d) License exceptions. Certain license exceptions are available
only for national security items, such as License Exceptions GBS (see
Sec.  740.4 of the EAR) and TSR (see Sec.  740.6 of the EAR), but other
license exceptions may also be available for national security items,
such as License Exception STA (see Sec.  740.20 of the EAR) or license
exceptions based on the facts of the transaction, such as License
Exceptions TMP (see Sec.  740.9 of the EAR) or GOV (see Sec.  740.11 of
the EAR). See part 740 of the EAR for a full list of license exceptions
and Sec.  740.2 of the EAR for license exception restrictions that
apply to every license exception.

0
10. Section 742.6 is amended by revising paragraphs (a)(6) and (b)(10)
to read as follows:

Sec.  742.6   Regional stability.

    (a) * * *
    (6) RS requirement that applies to advanced computing and
semiconductor manufacturing items--(i) Exports, reexports, transfers
(in-country) to or within either Macau or Country Group D:5. A license
is required for items specified in ECCNs 3A090, 3B001.a.4, c, d, f.1.b,
k to p, 3B002.b and c, 4A090, 5A992 (that meet or exceed the
performance parameters of ECCNs 3A090 or 4A090); and associated
software and technology in 3D001 (for 3A090, 3B001.a.4, c, d, f.1.b, k
to p, 3B002.b and c), 3D002 (for 3B001a.4, c, d, f.1.b, k to p, 3B002.b
and c), 3E001 (for 3A090, 3B001a.4, c, d, f.1.b, k to p, 3B002.b and
c), 4D090, and 4E001 (for 4A090 and 4D090), and 5D992 (that meet or
exceed the performance parameters of ECCNs 3A090 or 4A090) being
exported, reexported, or transferred (in-country) to or within either
Macau or a destination specified in Country Group D:5 in supplement no.
1 to part 740 of the EAR.
    (ii) Exports from abroad originating in either China or Macau. A
license is also required for the export from abroad originating in
either China or Macau to any destination worldwide of 3E001 (for 3A090)
technology developed by an entity headquartered in either China or
Macau that is the direct product of software subject to the EAR and is
for the ``production'' of commodities identified in ECCNs 3A090, 4A090,
or identified elsewhere on the CCL that meet or exceed the performance
parameters of ECCNs 3A090 or 4A090, consistent with Sec.
734.9(h)(1)(i)(B)(1) and (h)(2)(ii) of the EAR.
    (iii) Deemed exports and reexports. The license requirements in
paragraphs (a)(6)(i) and (ii) of this section do not apply to deemed
exports or deemed reexports.
* * * * *
    (b) * * *
    (10) Advanced computing and semiconductor manufacturing items.
License applications for items specified in paragraph (a)(6) of this
section will be reviewed consistent with license review policies in
Sec.  744.23(d) of the EAR, except applications will be reviewed on a
case-by-case basis if no license would be required under part 744 of
the EAR.
* * * * *

PART 744--CONTROL POLICY: END-USER AND END-USE BASED

0
11. The authority citation for part 744 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; 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 November 8, 2022, 87 FR 68015, 3 CFR, 2022 Comp., p. 563; Notice
of September 7, 2023, 88 FR 62439 (September 11, 2023).

0
12. Section 744.6 is amended by revising paragraphs (c)(2), (d), and
(e)(3) to read as follows:

Sec.  744.6   Restrictions on specific activities of ``U.S. persons.''

* * * * *
    (c) * * *
    (2) Consistent with paragraph (c)(1) of this section, BIS is hereby
informing ``U.S. persons'' that a license is required for the following
activities, which could involve `support' for the weapons of mass
destruction-related end uses set forth in paragraph (b) of this
section. Specifically, if you know your export, reexport, or transfer
(in-country) meets any of the specified activities described in
paragraphs (c)(2)(i) through (iii) of this section, then a license is
required for shipping, transmitting, or transferring (in-country);
facilitating the shipment, transmission, or transfer (in-country); or
servicing (including installation) activities associated with any item,
end use, or end user described in any of the following paragraphs:
    (i) ``Development'' or ``production'' of ``advanced-node ICs.'' To
or within China or Macau, any item not subject to the EAR that you know
will be used in the ``development'' or ``production'' of integrated
circuits at a ``facility'' of an entity headquartered in either China
or Macau, where ``production'' of ``advanced-node integrated circuits''
occurs;
    (ii) Category 3 items for ``development'' or ``production'' of
``advanced-node ICs.'' To or within China or Macau, any item not
subject to

the EAR and meeting the parameters of any ECCN in Product Groups B, C,
D, or E in Category 3 of the CCL that you know will be used in the
``development'' or ``production'' of integrated circuits at a
``facility'' of an entity headquartered in either China or Macau where
``production'' of integrated circuits occurs, but you do not know
whether ``production'' of ``advanced-node integrated circuits'' occurs
at such ``facility''; or
    (iii) Semiconductor manufacturing equipment. To or within either
Macau or a destination specified in Country Group D:5, any item not
subject to the EAR and meeting the parameters of ECCNs 3B001.a.4, c, d,
f.1.b, k to p; 3B002.b and c; 3D001 (for 3B001.a.4, c, d, f.1.b, k to
p, 3B002.b and c); 3D002 (for 3B001 a.4, c, d, f.1.b, k to p, 3B002.b
and c); or 3E001 (for 3B001.a.4, c, d, f.1.b, k to p, 3B002.b and c)
regardless of end use or end user.
    (d) Exceptions and exclusions. No license exceptions apply to the
prohibitions described in paragraphs (b)(1) through (4) or paragraph
(c)(2) of this section.
    (1) [Reserved]
    (2) Exclusion to paragraphs (b)(5) and (c)(2)(iii) of this section.
Notwithstanding the prohibitions in paragraphs (b)(5) and (c)(2)(iii),
``U.S. persons'' who are employees of a department or agency of the
U.S. Government may `support' a `military-intelligence end use' or a
`military-intelligence end user,' as described in paragraphs (b)(5) and
(c)(2)(iii), if the `support' is provided in the performance of
official duties in furtherance of a U.S. Government program that is
authorized by law and subject to control by the President by other
means. This paragraph (d)(2) does not authorize a department or agency
of the U.S. Government to provide `support' that is otherwise
prohibited by other administrative provisions or by statute.
`Contractor support personnel' of a department or agency of the U.S.
Government are eligible for this authorization when in the performance
of their duties pursuant to the applicable contract or other official
duties. `Contractor support personnel' for the purposes of this
paragraph (d)(2) has the same meaning given to that term in Sec.
740.11(b)(2)(ii) of the EAR. This authorization is not available when a
department or agency of the U.S. Government acts as an agent on behalf
of a non-U.S. Government person.
    (3) Exclusion to paragraphs (c)(2)(i) and (ii) of this section. The
term ``production'' in paragraphs (c)(2)(i) and (ii) does not apply to
back-end steps such as assembly, test, or packaging that do not alter
the integrated circuit technology level. If there is a question at the
time of export, reexport, or transfer (in-country) about whether a
manufacturing stage is back-end or whether a manufacturing stage is
back-end or a back-end activity alters the technology level, you may
submit an advisory opinion request to BIS pursuant to Sec.  748.3(c) of
the EAR for clarification.
    (4) Exclusion to paragraphs (c)(2)(i) through (iii) of this
section. (i) Paragraphs (c)(2)(i) through (iii) do not apply to a
natural ``U.S. person,'' as defined in paragraphs (a)(1) and (3) of the
definition in Sec.  772.1 of the EAR, employed or working on behalf of
a company headquartered in the United States or a destination specified
in Country Group A:5 or A:6 and not majority-owned by an entity that is
headquartered in either Macau or a destination specified in Country
Group D:5.
    (ii) Any activities a natural ``U.S. person,'' as defined in
paragraphs (a)(1) and (3) of that term's definition in Sec.  772.1 of
the EAR, undertakes when employed or acting on behalf of a company not
headquartered in the United States or a destination specified in
Country Group A:5 or A:6 must comply with the requirements in this
paragraph (d)(4) as applicable. For example, if a natural ``U.S.
person'' is a freelancer who works or acts on behalf of a company
headquartered in the United States or a destination specified in
Country Group A:5 or A:6, those activities would not be prohibited
under paragraphs (c)(2)(i) through (iii) of this section. However, if
that same natural ``U.S. person'' was also working or acting on behalf
of a company headquartered somewhere other than the United States or a
destination specified in Country Group A:5 or A:6, the activities
performed on behalf of such a company would not be excluded under
paragraphs (c)(2)(i) through (iii) and a license would be required.
    (5) Exclusion to paragraph (c)(2)(iii) of this section. Paragraph
(c)(2)(iii) does not apply to servicing (including installation)
activities unless at a ``facility'' where ``production'' of ``advanced-
node integrated circuits'' occurs, which would require a license under
paragraph (c)(2)(i) of this section.
* * * * *
    (e) * * *
    (3) Applications for licenses submitted pursuant to the notice of a
license requirement set forth in paragraph (c)(2) of this section will
be reviewed with a presumption of denial for Macau and destinations in
Country Group D:5, except activities involving a foreign-made item that
is not subject to the EAR and performs the same function as an item
subject to the EAR, which will be reviewed with a presumption of
approval. All other applications will be reviewed with a license review
policy of case-by-case and consider factors, such as technology level,
customers, and compliance plans.

0
12. Section 744.23 is revised to read as follows:

Sec.  744.23   ``Supercomputer,'' ``advanced-node integrated
circuits,'' and semiconductor manufacturing equipment end use controls.

    (a) General prohibition. In addition to the license requirements
for items specified on the CCL, you may not export, reexport, or
transfer (in-country) without a license any item subject to the EAR
described in paragraphs (a)(1) through (4) of this section when you
have ``knowledge'' at the time of export, reexport, or transfer (in-
country) that the item is destined for a destination, end use, or type
of end user described in paragraphs (a)(1) through (4) of this section,
unless excluded by paragraph (a)(5) of this section.
    (1) ``Supercomputers''--(i) Item scope. (A) An integrated circuit
(IC) subject to the EAR and specified in ECCN 3A001, 3A991, 4A994,
5A002, 5A004, or 5A992; or
    (B) A computer, ``electronic assembly,'' or ``component'' subject
to the EAR and specified in ECCN 4A003, 4A004, 4A994, 5A002, 5A004, or
5A992.
    (ii) Destination and end-use scope. (A) The ``development,''
``production,'' ``use,'' operation, installation (including on-site
installation), maintenance (checking), repair, overhaul, or
refurbishing of a ``supercomputer'' located in or destined to China or
Macau; or
    (B) The incorporation into, or the ``development'' or
``production'' of any ``component'' or ``equipment'' that will be used
in a ``supercomputer'' located in or destined to China or Macau.
    (2) ``Advanced-node ICs''--(i) Any item to ``production''
``facility'' of ``advanced-node ICs.'' Any items subject to the EAR
when you know the items will be used in the ``development'' or
``production'' of ICs at a ``facility'' located in China or Macau where
``production'' of ``advanced-node ICs'' occurs.
    (ii) Category 3 items to ``facility'' where the technology node is
unknown. Any item subject to the EAR specified in an ECCN in Product
Groups B, C, D, or E in Category 3 of the CCL when you know the item
will be used in the

``development'' or ``production'' of ICs at a ``facility'' located in
China or Macau where ``production'' of integrated circuits occurs, but
you do not know whether ``production'' of ``advanced-node ICs'' occurs
at such ``facility.''
    (3) [Reserved]
    (4) Semiconductor manufacturing equipment (SME). Any item subject
to the EAR and specified on the CCL when destined to either Macau or a
destination specified in Country Group D:5 for the ``development'' or
``production'' of `front-end integrated circuit ``production''
equipment' and ``components,'' ``assemblies,'' and ``accessories''
therefor specified in ECCN 3B001 (except 3B001.g, .h, and .j), 3B002,
3B611, 3B991 (except 3B991.b.2), or 3B992.

    Note 1 to paragraph (a)(4):  Front-end integrated circuit
``production'' equipment includes equipment used in the production
stages from a blank wafer or substrate to a completed wafer or
substrate (i.e., the integrated circuits are processed but they are
still on the wafer or substrate). If there is a question at the time
of export, reexport, or transfer (in-country) about whether
equipment is used in front-end integrated circuit ``production,''
you may submit an advisory opinion request to BIS pursuant to Sec.
748.3(c) of the EAR for clarification.

    (5) Back-end exclusion. For purposes of paragraph (a)(2) of this
section, the term ``production'' does not apply to back-end steps such
as assembly, test, or packaging that do not alter the integrated
circuit technology level. If there is a question at the time of export,
reexport, or transfer (in-country) about whether a manufacturing stage
is back-end or whether a back-end activity alters the technology level,
you may submit an Advisory Opinion request to BIS pursuant to Sec.
748.3(c) of the EAR for clarification.
    (b) Additional prohibition on persons informed by BIS. BIS may
inform persons, either individually by specific notice or through
amendment to the EAR published in the Federal Register, that a license
is required for a specific export, reexport, or transfer (in-country)
of any item subject to the EAR to a certain end-user, because there is
an unacceptable risk of use in, or diversion to, the end uses specified
in paragraphs (a)(1) through (4) of this section. Specific notice is to
be given only by, or at the direction of, the Deputy Assistant
Secretary for Export Administration. When such notice is provided
orally, it will be followed by a written notice within two working days
signed by the Deputy Assistant Secretary for Export Administration or
the Deputy Assistant Secretary's designee. However, the absence of any
such notification does not excuse persons from compliance with the
license requirements of paragraph (a) of this section.
    (c) License exceptions. No license exceptions may overcome the
prohibition described in paragraph (a) of this section.
    (d) License review standards. Applications will be reviewed with a
presumption of denial for Macau and destinations specified in Country
Group D:5. However, there is a presumption of approval license review
policy when there is a foreign-made item available that is not subject
to the EAR and performs the same function as the item subject to the
EAR, and for end users headquartered in the United States or a
destination in Country Group A:5 or A:6, that are not majority-owned by
an entity headquartered in either Macau or a destination specified in
Country Group D:5. For all other applications, there is a case-by-case
license review policy. License review will take into account factors
including technology level, customers, and compliance plans. Contract
sanctity will be a factor in the review of all applications.

PART 772--DEFINITIONS OF TERMS

0
13. 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.

0
14. Section 772.1 is amended by adding definitions for ``Advanced-Node
Integrated Circuits (Advanced-Node IC)'' and ``Extreme Ultraviolet
(EUV)'' in alphabetical order to read as follows:

Sec.  772.1  Definitions of terms as used in the Export Administration
Regulations (EAR).

* * * * *
    Advanced-Node Integrated Circuits (Advanced-Node IC). For parts 734
and 744 of the EAR, advanced-node integrated circuits include
integrated circuits that meet any of the following criteria:
    (1) Logic integrated circuits using a non-planar transistor
architecture or with a ``production'' `technology node' of 16/14
nanometers or less;
    (2) NOT AND (NAND) memory integrated circuits with 128 layers or
more; or
    (3) Dynamic random-access memory (DRAM) integrated circuits using a
``production'' `technology node' of 18 nanometer half-pitch or less.
    Note 1 to definition of ``Advanced-Node Integrated Circuits'': For
the purposes of paragraphs (1) and (3) of this definition, the term
technology node refers to the Logic Industry ``Node Range'' figure
described in the International Roadmap for Devices and Systems, 2016
edition (``More Moore'' White Paper), available at https://irds.ieee.org/images/files/pdf/2016_MM.pdf).
    Technical Note to definition of ``Advanced-Node Integrated
Circuits'': For the purposes of paragraph (3) of this definition, the
calculation methodology to be used in determining whether a DRAM
integrated circuit uses a production technology node of 18 nanometer
half-pitch or less is the calculated half-pitch method developed,
adopted, and used by the Institute of Electrical and Electronics
Engineers (IEEE) and published in the International Roadmap for Devices
and Systems (IRDS), as follows:
[GRAPHIC] [TIFF OMITTED] TR25OC23.000

Cell size factor is 8, 6 or 4 depending on the DRAM architectures. Cell
area is defined as Wordline*Bitline (which takes into consideration
both transistor and capacitor dimensions)
* * * * *
    Extreme Ultraviolet (EUV). Extreme Ultraviolet (EUV) means
electromagnetic spectrum wavelengths greater than 5 nm and less than
124 nm.
* * * * *

PART 774--THE COMMERCE CONTROL LIST

0
15. The authority citation for part 774 continues to read as follows:

    Authority:  50 U.S.C. 4801-4852; 50 U.S.C. 4601 et seq.; 50
U.S.C. 1701 et seq.; 10 U.S.C. 8720; 10 U.S.C. 8730(e); 22 U.S.C.
287c, 22 U.S.C. 3201 et seq.; 22 U.S.C. 6004; 42 U.S.C. 2139a; 15
U.S.C. 1824; 50 U.S.C. 4305; 22 U.S.C. 7201 et seq.; 22 U.S.C. 7210;
E.O. 13026, 61 FR 58767, 3 CFR, 1996 Comp., p. 228; E.O. 13222, 66
FR 44025, 3 CFR, 2001 Comp., p. 783.

0
16. Supplement no. 1 to part 774 is amended by:
0
a. Revising ECCNs 3B001 and 3B002;
0
b. Removing ECCN 3B090; and
0
c. Revising ECCNs 3D001, 3D002, 3D003, and 3E001.
    The revisions read as follows:

Supplement No. 1 to Part 774--The Commerce Control List

* * * * *

3B001 Equipment for the manufacturing of semiconductor devices,
materials, or related equipment, as follows (see List of Items
Controlled) and ``specially designed'' ``components'' and
``accessories'' therefor.

License Requirements

Reason for Control: NS, RS, AT

                                            Country chart (see Supp. No.
                Control(s)                         1 to part 738)

NS applies to 3B001.a.1 to a.3, b, e,       NS Column 2.
 f.1.a, f.2 to f.4, g to j.
NS applies to 3B001.a.4, c, d, f.1.b, k to  To or within Macau or a
 p.                                          destination specified in
                                             Country Group D:5 of
                                             supplement no. 1 to part
                                             740 of the EAR. See Sec.
                                             742.4(a)(4) of the EAR.
RS applies to 3B001.a.4, c, d, f.1.b, k to  To or within Macau or a
 p.                                          destination specified in
                                             Country Group D:5 of
                                             supplement no. 1 to part
                                             740 of the EAR. See Sec.
                                             742.6(a)(6) of the EAR.
AT applies to entire entry................  AT Column 1.

List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)

LVS: $500, except semiconductor manufacturing equipment specified in
3B001.a.4, c, d, f.1.b, k to p.
GBS: Yes, except a.3 (molecular beam epitaxial growth equipment
using gas sources), .e (automatic loading multi-chamber central
wafer handling systems only if connected to equipment controlled by
3B001.a.3, or .f), and .f (lithography equipment).

List of Items Controlled

Related Controls: See also 3B991
Related Definitions: N/A
Items:

    a. Equipment designed for epitaxial growth as follows:
    a.1. Equipment designed or modified to produce a layer of any
material other than silicon with a thickness uniform to less than
2.5% across a distance of 75 mm or more;
    Note: 3B001.a.1 includes atomic layer epitaxy (ALE) equipment.
    a.2. Metal Organic Chemical Vapor Deposition (MOCVD) reactors
designed for compound semiconductor epitaxial growth of material
having two or more of the following elements: aluminum, gallium,
indium, arsenic, phosphorus, antimony, or nitrogen;
    a.3. Molecular beam epitaxial growth equipment using gas or
solid sources;
    a.4. Equipment designed for silicon (Si), carbon doped silicon,
silicon germanium (SiGe), or carbon doped SiGe epitaxial growth, and
having all of the following:
    a.4.a. Multiple chambers and maintaining high vacuum (equal to
or less than 0.01 Pa) or inert environment (water and oxygen partial
pressure less than 0.01 Pa) between process steps;
    a.4.b. At least one preclean chamber designed to provide a
surface preparation means to clean the surface of the wafer; and
    a.4.c. An epitaxial deposition operating temperature of 685
[deg]C or below;
    b. Semiconductor wafer fabrication equipment designed for ion
implantation and having any of the following:
    b.1. [Reserved]
    b.2. Being designed and optimized to operate at a beam energy of
20 keV or more and a beam current of 10 mA or more for hydrogen,
deuterium, or helium implant;
    b.3. Direct write capability;
    b.4. A beam energy of 65 keV or more and a beam current of 45 mA
or more for high energy oxygen implant into a heated semiconductor
material ``substrate''; or
    b.5. Being designed and optimized to operate at beam energy of
20 keV or more and a beam current of 10mA or more for silicon
implant into a semiconductor material ``substrate'' heated to 600
[deg]C or greater;
    c. Etch equipment.
    c.1. Equipment designed for dry etching as follows:
    c.1.a. Equipment designed or modified for isotropic dry etching,
having a largest `silicon germanium-to-silicon (SiGe:Si) etch
selectivity' of greater than or equal to 100:1; or
    c.1.b. Equipment designed or modified for anisotropic etching of
dielectric materials and enabling the fabrication of high aspect
ratio features with aspect ratio greater than 30:1 and a lateral
dimension on the top surface of less than 100 nm, and having all of
the following:
    c.1.b.1. Radio Frequency (RF) power source(s) with at least one
pulsed RF output; and
    c.1.b.2. One or more fast gas switching valve(s) with switching
time less than 300 milliseconds; or
    c.1.c. Equipment designed or modified for anisotropic dry
etching, having all of the following;
    c.1.c.1. Radio Frequency (RF) power source(s) with at least one
pulsed RF output;
    c.1.c.2. One or more fast gas switching valve(s) with switching
time less than 300 milliseconds; and
    c.1.c.3. Electrostatic chuck with twenty or more individually
controllable variable temperature elements;
    c.2. Equipment designed for wet chemical processing and having a
largest `silicon germanium-to-silicon (SiGe:Si) etch selectivity' of
greater than or equal to 100:1;
    Note 1: 3B001.c includes etching by `radicals', ions, sequential
reactions, or non-sequential reaction.
    Note 2: 3B001.c.1.c includes etching using RF pulse excited
plasma, pulsed duty cycle excited plasma, pulsed voltage on
electrodes modified plasma, cyclic injection and purging of gases
combined with a plasma, plasma atomic layer etching, or plasma
quasi-atomic layer etching.
    Technical Notes:
    1. For the purposes of 3B001.c, `silicon germanium-to-silicon
(SiGe:Si) etch selectivity' is measured for a Ge concentration of
greater than or equal to 30% (Si0.70Ge0.30).
    2. For the purposes of 3B001.c Note 1 and 3B001.d.14, `radical'
is defined as an atom, molecule, or ion that has an unpaired
electron in an open electron shell configuration.
    d. Semiconductor manufacturing deposition equipment, as follows:
    d.1. Equipment designed for cobalt (Co) electroplating or cobalt
electroless-plating deposition processes;
    Note: 3B001.d.1 controls semiconductor wafer processing
equipment.
    d.2. Equipment designed for:
    d.2.a. Chemical vapor deposition of cobalt (Co) fill metal; or
    d.2.b. Selective bottom-up chemical vapor deposition of tungsten
(W) fill metal;
    d.3. Equipment designed to fabricate a metal contact by
multistep processing within a single chamber by performing all of
the following:
    d.3.a. Deposition of a tungsten layer, using an organometallic
compound, while maintaining the wafer substrate temperature greater
than 100 [deg]C and less than 500 [deg]C; and
    d.3.b. A plasma process using hydrogen (H2),
including hydrogen and nitrogen (H2 + N2) or
ammonia (NH3);
    d.4. Equipment or systems designed for multistep processing in
multiple chambers or stations and maintaining high vacuum (equal to
or less than 0.01 Pa) or inert environment between process steps, as
follows:
    d.4.a. Equipment designed to fabricate a metal contact by
performing the following processes:
    d.4.a.1. Surface treatment plasma process using hydrogen
(H2), including hydrogen and nitrogen (H2 +
N2) or ammonia (NH3), while maintaining the
wafer substrate at a temperature greater than 100 [deg]C and less
than 500 [deg]C;
    d.4.a.2. Surface treatment plasma process using oxygen
(O2) or ozone (O3), while maintaining the
wafer substrate at a

temperature greater than 40 [deg]C and less than 500 [deg]C; and
    d.4.a.3. Deposition of a tungsten layer while maintaining the
wafer substrate temperature greater than 100 [deg]C and less than
500 [deg]C;
    d.4.b. Equipment designed to fabricate a metal contact by
performing the following processes:
    d.4.b.1 Surface treatment process using a remote plasma
generator and an ion filter; and
    d.4.b.2. Deposition of a cobalt (Co) layer selectively onto
copper (Cu) using an organometallic compound;
    Note: This control does not apply to equipment that is non-
selective.
    d.4.c. Equipment designed to fabricate a metal contact by
performing all the following processes:
    d.4.c.1. Deposition of a titanium nitride (TiN) or tungsten
carbide (WC) layer, using an organometallic compound, while
maintaining the wafer substrate at a temperature greater than 20
[deg]C and less than 500 [deg]C;
    d.4.c.2. Deposition of a cobalt (Co) layer using a physical
sputter deposition technique and having a process pressure greater
than 133.3 mPa and less than 13.33 Pa, while maintaining the wafer
substrate at a temperature below 500 [deg]C; and
    d.4.c.3. Deposition of a cobalt (Co) layer using an
organometallic compound and having a process pressure greater than
133.3 Pa and less than 13.33 kPa, while maintaining the wafer
substrate at a temperature greater than 20 [deg]C and less than 500
[deg]C;
    d.4.d. Equipment designed to fabricate copper (Cu) interconnects
by performing all of the following processes:
    d.4.d.1. Deposition of a cobalt (Co) or ruthenium (Ru) layer
using an organometallic compound and having a process pressure
greater than 133.3 Pa and less than 13.33 kPa, while maintaining the
wafer substrate at a temperature greater than 20 [deg]C and less
than 500 [deg]C; and
    d.4.d.2. Deposition of a copper layer using a physical vapor
deposition technique and having a process pressure greater than
133.3 mPa and less than 13.33 kPa, while maintaining the wafer
substrate at a temperature below 500 [deg]C;
    d.5. Equipment designed for plasma enhanced chemical vapor
deposition of carbon hard masks more than 100 nm thick and with
stress less than 450 Mpa;
    d.6. Atomic Layer Deposition (ALD) equipment designed for area
selective deposition of a barrier or liner using an organometallic
compound;
    Note: 3B001.d.6 includes equipment capable of area selective
deposition of a barrier layer to enable fill metal contact to an
underlying electrical conductor without a barrier layer at the fill
metal via interface to an underlying electrical conductor.
    d.7. Equipment designed for Atomic Layer Deposition (ALD) of
tungsten (W) to fill an entire interconnect or in a channel less
than 40 nm wide, while maintaining the wafer substrate at a
temperature less than 500 [deg]C.
    d.8 Equipment designed for Atomic Layer Deposition (ALD) of
`work function metal' having all of the following:
    d.8.a. More than one metal source of which one is designed for
an aluminum (Al) precursor;
    d.8.b. Precursor vessel designed and enabled to operate at a
temperature greater than 30 [deg]C; and
    d.8.c. Designed for depositing a `work function metal' having
all of the following:
    d.8.c.1. Deposition of titanium-aluminum carbide (TiAlC); and
    d.8.c.2. Enabling a work function greater than 4.0eV;
    Technical Note: For the purposes of 3B001.d.8, `work function
metal' is a material that controls the threshold voltage of a
transistor.
    d.9. Spatial Atomic Layer Deposition (ALD) equipment having a
wafer support platform that rotates around an axis having any of the
following:
    d.9.a. A spatial plasma enhanced atomic layer deposition mode of
operation;
    d.9.b. A plasma source; or
    d.9.c. A plasma shield or means to confine the plasma to the
plasma exposure process region;
    d.10. Equipment designed for Atomic Layer Deposition (ALD) or
Chemical Vapor Deposition (CVD) of plasma enhanced of low fluorine
tungsten (FW) (fluorine (F) concentration less than 10\19\ atoms/
cm\3\) films;
    d.11. Equipment designed to deposit a metal layer, in a vacuum
(equal to or less than 0.01 Pa) or inert gas environment, and having
all of the following:
    d.11.a. A Chemical Vapor Deposition (CVD) or cyclic deposition
process for depositing a tungsten nitride (WN) layer, while
maintaining the wafer substrate at a temperature greater than 20
[deg]C and less than 500 [deg]C; and
    d.11.b. A Chemical Vapor Deposition (CVD) or cyclic deposition
process for depositing a tungsten (W) layer having a process
pressure greater than 133.3 Pa and less than 53.33 kPa, while
maintaining the wafer substrate at a temperature greater than 20
[deg]C and less than 500 [deg]C.
    d.12. Equipment designed for depositing a metal layer, in a
vacuum (equal to or less than 0.01 Pa) or inert gas environment, and
having any of the following:
    d.12.a. Selective tungsten (W) growth without a barrier; or
    d.12.b. Selective molybdenum (Mo) growth without a barrier;
    d.13. Equipment designed for depositing a ruthenium layer (Ru)
using an organometallic compound, while maintaining the wafer
substrate at a temperature greater than 20 [deg]C and less than 500
[deg]C;
    d.14. Equipment designed for deposition assisted by remotely
generated `radicals', enabling the fabrication of a silicon (Si) and
carbon (C) containing film, and having all of the following
properties of the deposited film:
    d.14.a. A dielectric constant (k) of less than 5.3;
    d.14.b. An aspect ratio greater than 5:1 in features with
lateral openings of less than 70 nm; and
    d.14.c. A feature-to-feature pitch of less than 100 nm;
    d.15. Equipment designed for void free plasma enhanced
deposition of a low-k dielectric layer in gaps between metal lines
less than 25 nm and having an aspect ratio greater than or equal to
1:1 with a less than 3.3 dielectric constant;
    d.16. Equipment designed for deposition of a film, containing
silicon and carbon, and having a dielectric constant (k) of less
than 5.3, into lateral openings having widths of less than 70 nm and
aspect ratios greater than 5:1 (depth: width) and a feature-to-
feature pitch of less than 100 nm, while maintaining the wafer
substrate at a temperature greater than 400 [deg]C and less than 650
[deg]C, and having all of the following:
    d.16.a. Boat designed to hold multiple vertically stacked
wafers;
    d.16.b. Two or more vertical injectors; and
    d.16.c. A silicon source and propene are introduced to a
different injector than a nitrogen source or an oxygen source;
    e. Automatic loading multi-chamber central wafer handling
systems having all of the following:
    e.1. Interfaces for wafer input and output, to which more than
two functionally different `semiconductor process tools' controlled
by 3B001.a.1, 3B001.a.2, 3B001.a.3 or 3B001.b are designed to be
connected; and
    e.2. Designed to form an integrated system in a vacuum
environment for `sequential multiple wafer processing';
    Note: 3B001.e does not control automatic robotic wafer handling
systems ``specially designed'' for parallel wafer processing.
    Technical Notes:
    1. For the purposes of 3B001.e, `semiconductor process tools'
refers to modular tools that provide physical processes for
semiconductor production that are functionally different, such as
deposition, implant or thermal processing.
    2. For the purposes of 3B001.e, `sequential multiple wafer
processing' means the capability to process each wafer in different
`semiconductor process tools', such as by transferring each wafer
from one tool to a second tool and on to a third tool with the
automatic loading multi-chamber central wafer handling systems.
    f. Lithography equipment as follows:
    f.1. Align and expose step and repeat (direct step on wafer) or
step and scan (scanner) equipment for wafer processing using photo-
optical or X-ray methods and having any of the following:
    f.1.a. A light source wavelength shorter than 193 nm; or
    f.1.b. A light source wavelength equal to or longer than 193 nm
and having all of the following:
    f.1.b.1. The capability to produce a pattern with a ``Minimum
Resolvable Feature size'' (MRF) of 45 nm or less; and
    f.1.b.2. Having any of the following:
    f.1.b.2.a. A maximum `dedicated chuck overlay' value of less
than or equal to 1.50 nm; or
    f.1.b.2.b. A maximum `dedicated chuck overlay' value greater
than 1.50 nm but less than or equal to 2.4 nm;
    Technical Notes: For the purposes of 3B001.f.1.b:
    1. The `Minimum Resolvable Feature size' (MRF), i.e.,resolution,
is calculated by the following formula:

                                   (an exposure light source wavelength
                                    in nm) x (K factor)
                                  --------------------------------------
MRF                                --------------------
                                   maximum numerical aperture

where, for the purposes of 3.B.1.f.1.b, the K factor = 0.25 `MRF' is
also known as resolution.
    2. `Dedicated chuck overlay' is the alignment accuracy of a new
pattern to an existing pattern printed on a wafer by the same
lithographic system. `Dedicated chuck overlay' is also known as
single machine overlay.
    f.2. Imprint lithography equipment capable of production
features of 45 nm or less;
    Note: 3B001.f.2 includes:

--Micro contact printing tools
--Hot embossing tools
--Nano-imprint lithography tools
--Step and flash imprint lithography (S-FIL) tools

    f.3. Equipment ``specially designed'' for mask making having all
of the following:
    f.3.a. A deflected focused electron beam, ion beam or ``laser''
beam; and
    f.3.b. Having any of the following:
    f.3.b.1. A Full-Width Half-Maximum (FWHM) spot size smaller than
65 nm and an image placement less than 17 nm (mean + 3 sigma); or
    f.3.b.2. [Reserved]
    f.3.b.3. A second-layer overlay error of less than 23 nm (mean +
3 sigma) on the mask;
    f.4. Equipment designed for device processing using direct
writing methods, having all of the following:
    f.4.a. A deflected focused electron beam; and
    f.4.b. Having any of the following:
    f.4.b.1. A minimum beam size equal to or smaller than 15 nm; or
    f.4.b.2. An overlay error less than 27 nm (mean + 3 sigma);
    g. Masks and reticles, designed for integrated circuits
controlled by 3A001;
    h. Multi-layer masks with a phase shift layer not specified by
3B001.g and designed to be used by lithography equipment having a
light source wavelength less than 245 nm;
    Note: 3B001.h. does not control multi-layer masks with a phase
shift layer designed for the fabrication of memory devices not
controlled by 3A001.
    N.B.: For masks and reticles, ``specially designed'' for optical
sensors, see 6B002.
    i. Imprint lithography templates designed for integrated
circuits by 3A001;
    j. Mask ``substrate blanks'' with multilayer reflector structure
consisting of molybdenum and silicon, and having all of the
following:
    j.1. ``Specially designed'' for ``Extreme Ultraviolet''
(``EUV'') lithography; and
    j.2. Compliant with SEMI Standard P37;
    k. Equipment designed for ion beam deposition or physical vapor
deposition of a multi-layer reflector for ``EUV'' masks;
    l. ``EUV'' pellicles;
    m. Equipment for manufacturing ``EUV'' pellicles;
    n. Equipment designed for coating, depositing, baking, or
developing photoresist formulated for ``EUV'' lithography;
    o. Annealing equipment, operating in a vacuum (equal to or less
than 0.01 Pa) environment, performing any of the following:
    o.1. Reflow of copper (Cu) to minimize or eliminate voids or
seams in copper (Cu) metal interconnects; or
    o.2. Reflow of cobalt (Co) tungsten (W) fill metal to minimize
or eliminate voids or seams;
    p. Removal and cleaning equipment as follows:
    p.1. Equipment designed for removing polymeric residue and
copper oxide (CuO) film and enabling deposition of copper (Cu) metal
in a vacuum (equal to or less than 0.01 Pa) environment;
    p.2. Single wafer wet cleaning equipment with surface
modification drying; or
    p.3. Equipment designed for dry surface oxide removal preclean
or dry surface decontamination.
    Note to 3B001.p.1 and p.3: These controls do not apply to
deposition equipment.
3B002 Test or inspection equipment ``specially designed'' for
testing or inspecting finished or unfinished semiconductor devices
as follows (see List of Items Controlled) and ``specially designed''
``components'' and ``accessories'' therefor.

License Requirements

Reason for Control: NS, RS, AT

                                            Country chart (see supp. No.
                Control(s)                         1 to part 738)

NS applies to 3B002.a.....................  NS Column 2.
NS applies to 3B002.b and c...............  To or within Macau or a
                                             destination specified in
                                             Country Group D:5 of
                                             supplement no. 1 to part
                                             740 of the EAR. See Sec.
                                             742.4(a)(4) of the EAR.
RS applies to 3B002.b and c...............  To or within Macau or a
                                             destination specified in
                                             Country Group D:5 of
                                             supplement no. 1 to part
                                             740 of the EAR. See Sec.
                                             742.6(a)(6) of the EAR.
AT applies to entire entry................  AT Column 1.

List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)

LVS: $500, except semiconductor manufacturing equipment specified in
3B002.b and c.
GBS: Yes

List of Items Controlled

Related Controls: See also 3A999.a and 3B992
Related Definitions: N/A
Items:

    a. For testing S-parameters of items specified by 3A001.b.3;
    b. For testing microwave integrated circuits controlled by
3A001.b.2;
    c. Inspection equipment designed for ``EUV'' mask blanks or
``EUV'' patterned masks.
* * * * *
3D001 ``Software'' ``specially designed'' for the ``development'' or
``production'' of commodities controlled by 3A001.b to 3A002.h, or
3B (except 3B991 and 3B992).

License Requirements

Reason for Control: NS, RS, AT

                                            Country chart (see supp. No.
                Control(s)                         1 to part 738)

NS applies to ``software'' for commodities  NS Column 1.
 controlled by 3A001.b to 3A001.h, 3A002,
 and 3B (except 3B001.a.4, c, d, f.1.b, k
 to p, 3B002.b and c).
NS applies to ``software'' for commodities  To or within Macau or a
 controlled by 3B001.a.4, c, d, f.1.b, k     destination specified in
 to p, 3B002.b and c.                        Country Group D:5 of
                                             supplement no. 1 to part
                                             740 of the EAR. See Sec.
                                             742.4(a)(4) of the EAR.
RS applies to ``software'' for commodities  To or within Macau or a
 controlled by 3B001.a.4, c, d, f.1.b, k     destination specified in
 to p, 3B002.b and c.                        Country Group D:5 of
                                             supplement no. 1 to part
                                             740 of the EAR. See Sec.
                                             742.6(a)(6) of the EAR.
RS applies to ``software'' for commodities  China and Macau See Sec.
 controlled by 3A090.                        742.6(a)(6).
AT applies to entire entry................  AT Column 1.

Reporting Requirements

    See Sec.  743.1 of the EAR for reporting requirements for
exports under License Exceptions, Special Comprehensive Licenses,
and Validated End-User authorizations.

List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)

TSR: Yes, except N/A for RS and 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.

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 3A002.g.1 or 3B001.a.2 to
any of the destinations specified in Country Group A:6 (See
Supplement No.1 to part 740 of the EAR).

List of Items Controlled

Related Controls: N/A
Related Definitions: N/A
Items:

    The list of items controlled is contained in the ECCN heading.

3D002 ``Software'' ``specially designed'' for the ``use'' of
equipment controlled by 3B001.a to .f and .k to .p, or 3B002.

License Requirements

Reason for Control: NS, RS, AT

                                            Country chart (see Supp. No.
                Control(s)                         1 to part 738)

NS applies to entire entry, except          NS Column 1.
 ``software'' for 3B001.a.4 c, d, f.1.b, k
 to p, 3B002.b and c.
NS applies to ``software'' for 3B001.a.4,   To or within Macau or a
 c, d, f.1.b, k to p, 3B002.b and c.         destination specified in
                                             Country Group D:5 of
                                             supplement no. 1 to part
                                             740 of the EAR. See Sec.
                                             742.4(a)(4) of the EAR.
RS applies to ``software'' for 3B001.a.4,   To or within Macau or a
 c, d, f.1.b, k to p, 3B002.b and c.         destination specified in
                                             Country Group D:5 of
                                             supplement no. 1 to part
                                             740 of the EAR. See Sec.
                                             742.6(a)(6) of the EAR.
AT applies to entire entry................  AT Column 1.

    License Requirements Note: See Sec.  744.17 of the EAR for
additional license requirements for microprocessors having a
processing speed of 5 GFLOPS or more and an arithmetic logic unit
with an access width of 32 bit or more, including those
incorporating ``information security'' functionality, and associated
``software'' and ``technology'' for the ``production'' or
``development'' of such microprocessors.

List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)

TSR: Yes, except N/A for RS.

List of Items Controlled

Related Controls: Also see 3D991.
Related Definitions: N/A
Items:

    The list of items controlled is contained in the ECCN heading.

3D003 `Computational lithography' ``software'' ``specially
designed'' for the ``development'' of patterns on ``EUV''-
lithography masks or reticles.

License Requirements

Reason for Control: NS, AT

                                            Country chart (see Supp. No.
                Control(s)                         1 to part 738)

NS applies to entire entry................  NS Column 1.
AT applies to entire entry................  AT Column 1.

List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)

TSR: Yes

List of Items Controlled

Related Controls: N/A
Related Definitions: For the purposes of 3D003, `computational
lithography' is the use of computer modelling to predict, correct,
optimize and verify imaging performance of the lithography process
over a range of patterns, processes, and system conditions.
Items:

    The list of items controlled is contained in the ECCN heading.
* * * * *
3E001 ``Technology'' according to the General Technology Note for
the ``development'' or ``production'' of commodities controlled by
3A (except 3A980, 3A981, 3A991, 3A992, or 3A999), 3B (except 3B991
or 3B992) or 3C (except 3C992).

License Requirements

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

                                            Country chart (see Supp. No.
                Control(s)                         1 to part 738)

NS applies to ``technology'' for            NS Column 1.
 commodities controlled by 3A001, 3A002,
 3A003, 3B001 (except 3B001.a.4, c, d,
 f.1.b, k to p), 3B002 (except 3B002.b and
 c), or 3C001 to 3C006.
NS applies to ``technology'' for            To or within Macau or a
 3B001.a.4, c, d, f.1.b, k to p, 3B002.b     destination specified in
 and c.                                      Country Group D:5 of
                                             supplement no. 1 to part
                                             740 of the EAR. See Sec.
                                             742.4(a)(4) of the EAR.
MT applies to ``technology'' for            MT Column 1.
 commodities controlled by 3A001 or 3A101
 for MT Reasons.
NP applies to ``technology'' for            NP Column 1.
 commodities controlled by 3A001, 3A201,
 or 3A225 to 3A234 for NP reasons.
RS applies to ``technology'' for            China and Macau (See Sec.
 commodities controlled by 3A090.            742.6(a)(6)).
RS applies to ``technology'' for            Worldwide (See Sec.
 commodities controlled by 3A090, when       742.6(a)(6)).
 exported from China or Macau.
RS applies to ``technology'' for            To or within Macau or a
 commodities controlled by 3B001.a.4, c,     destination specified in
 d, f.1.b, k to p, 3B002.b and c.            Country Group D:5 of
                                             supplement no. 1 to part
                                             740 of the EAR. See Sec.
                                             742.6(a)(6) of the EAR.
AT applies to entire entry................  AT Column 1.

    License Requirements Note: See Sec.  744.17 of the EAR for
additional license requirements for microprocessors having a
processing speed of 5 GFLOPS or more and an arithmetic logic unit
with an access width of 32 bit or more, including those
incorporating ``information security'' functionality, and associated
``software'' and ``technology'' for the ``production'' or
``development'' of such microprocessors.

Reporting Requirements

See Sec.  743.1 of the EAR for reporting requirements for exports
under License Exceptions, Special Comprehensive Licenses, and
Validated End-User authorizations.

List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)

TSR: Yes, except N/A for MT, NP, and RS, and ``technology'' for the
``development'' or ``production'' of:
(a) vacuum electronic device amplifiers described in 3A001.b.8,
having operating frequencies exceeding 19 GHz;
(b) solar cells, coverglass-interconnect-cells or covered-
interconnect-cells (CIC) ``assemblies'', solar arrays and/or solar
panels described in 3A001.e.4;
(c) ``Monolithic Microwave Integrated Circuit'' (``MMIC'')
amplifiers in 3A001.b.2; and
(d) discrete microwave transistors in 3A001.b.3.

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 specified 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 or b.3 to any of the destinations specified 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, having all of the
following:
    (a) Using ``technology'' at or above 0.130 [mu]m; and
    (b) Incorporating multi-layer structures with three or fewer
metal layers.
    Note 3: 3E001 does not apply to `Process Design Kits' (`PDKs')
unless they include libraries implementing functions or technologies
for items specified by 3A001 or 3A090.
    Technical Note: For the purposes of 3E001 Note 3, a `Process
Design Kit' (`PDK') is a software tool provided by a semiconductor
manufacturer to ensure that the required design practices and rules
are taken into account in order to successfully produce a specific
integrated circuit design in a specific semiconductor process, in
accordance with technological and manufacturing constraints (each
semiconductor manufacturing process has its particular `PDK').
* * * * *

Thea D. Rozman Kendler,
Assistant Secretary for Export Administration.
[FR Doc. 2023-23049 Filed 10-18-23; 8:45 am]
BILLING CODE 3510-33-P