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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 pieces of semiconductor processing equipment are 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 not designed to operate in a vacuum environment.
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, having any of the following:
f.1.a. A light source wavelength shorter than 245 nm; or
f.1.b. Capable of producing a pattern with a minimum resolvable feature size of 180 nm or less;
Technical Note: The minimum resolvable feature size is calculated by the following formula:
MRF =
where the K factor = 0.45
MRF = minimum resolvable feature size.
f.2. Equipment specially designed for mask making or semiconductor device processing using deflected focused electron beam, ion beam or “laser” beam, having any of the following:
f.2.a. A spot size smaller than 0.2 µm;
f.2.b. Being capable of producing a pattern with a feature size of less than 1 µm; or
f.2.c. An overlay accuracy of better than ±0.20 µm (3 sigma);
g. Masks and reticles designed for integrated circuits controlled by 3A001;
h. Multi-layer masks with a phase shift layer.
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.
3B002 “Test equipment, specially designed for testing 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, AT
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Control(s) Country chart
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NS applies to entire entry............. NS Column 2
AT applies to entire entry............. AT Column 1
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License Exceptions
LVS: $500
GBS: Yes
CIV: N/A
List of Items Controlled
Unit: Number.
Related Controls: See also 3B992.
Related Definitions: N/A.
Items:
a. For testing S-parameters of transistor devices at frequencies exceeding 31.8 GHz;
b. [Reserved]
c. For testing microwave integrated circuits controlled by 3A001.b.2.
3B991 Equipment not controlled by 3B001 for the manufacture of electronic components and materials, and specially designed components and accessories therefor.
License Requirements
Reason for Control: AT
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Control(s) Country chart
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AT applies to entire entry............. AT Column 1
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License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number.
Related Controls: N/A.
Related Definitions: ‘Sputtering’ is an overlay coating process wherein positively charged ions are accelerated by an electric field towards the surface of a target (coating material). The kinetic energy of the impacting ions is sufficient to cause target surface atoms to be released and deposited on the substrate. (Note: Triode, magnetron or radio frequency sputtering to increase adhesion of coating and rate of deposition are ordinary modifications of the process.)
Items:
a. Equipment specially designed for the manufacture of electron tubes, optical elements and specially designed components therefor controlled by 3A001 or 3A991;
b. Equipment specially designed for the manufacture of semiconductor devices, integrated circuits and “electronic assemblies”, as follows, and systems incorporating or having the characteristics of such equipment:
Note: 3B991.b also controls equipment used or modified for use in the manufacture of other devices, such as imaging devices, electro-optical devices, acoustic-wave devices.
b.1. Equipment for the processing of materials for the manufacture of devices and components as specified in the heading of 3B991.b, as follows:
Note: 3B991 does not control quartz furnace tubes, furnace liners, paddles, boats (except specially designed caged boats), bubblers, cassettes or crucibles specially designed for the processing equipment controlled by 3B991.b.1.
b.1.a. Equipment for producing polycrystalline silicon and materials controlled by 3C001;
b.1.b. Equipment specially designed for purifying or processing III/V and II/VI semiconductor materials controlled by 3C001, 3C002, 3C003, or 3C004, except crystal pullers, for which see 3B991.b.1.c below;
b.1.c. Crystal pullers and furnaces, as follows:
Note: 3B991.b.1.c does not control diffusion and oxidation furnaces.
b.1.c.1. Annealing or recrystallizing equipment other than constant temperature furnaces employing high rates of energy transfer capable of processing wafers at a rate exceeding 0.005 m 2 per minute;
b.1.c.2. “Stored program controlled” crystal pullers having any of the following characteristics:
b.1.c.2.a. Rechargeable without replacing the crucible container;
b.1.c.2.b. Capable of operation at pressures above 2.5 × 10 5 Pa; or
b.1.c.2.c. Capable of pulling crystals of a diameter exceeding 100 mm;
b.1.d. “Stored program controlled” equipment for epitaxial growth having any of the following characteristics:
b.1.d.1. Capable of producing a layer thickness uniformity across the wafer of equal to or better than ±3.5%; or
b.1.d.2. Rotation of individual wafers during processing;
b.1.e. Molecular beam epitaxial growth equipment;
b.1.f. Magnetically enhanced “sputtering” equipment with specially designed integral load locks capable of transferring wafers in an isolated vacuum environment;
b.1.g. Equipment specially designed for ion implantation, ion-enhanced or photo-enhanced diffusion, having any of the following characteristics:
b.1.g.1. Patterning capability;
b.1.g.2. Beam energy (accelerating voltage) exceeding 200 keV;
b.1.g.3. Optimized to operate at a beam energy (accelerating voltage) of less than 10 keV; or
b.1.g.4. Capable of high energy oxygen implant into a heated “substrate”;
b.1.h. “Stored program controlled” equipment for the selective removal (etching) by means of anisotropic dry methods (e.g., plasma), as follows:
b.1.h.1. Batch types having either of the following:
b.1.h.1.a. End-point detection, other than optical emission spectroscopy types; or
b.1.h.1.b. Reactor operational (etching) pressure of 26.66 Pa or less;
b.1.h.2. Single wafer types having any of the following:
b.1.h.2.a. End-point detection, other than optical emission spectroscopy types;
b.1.h.2.b. Reactor operational (etching) pressure of 26.66 Pa or less; or
b.1.h.2.c. Cassette-to-cassette and load locks wafer handling;
Notes: 1. “Batch types” refers to machines not specially designed for production processing of single wafers. Such machines can process two or more wafers simultaneously with common process parameters, e.g., RF power, temperature, etch gas species, flow rates.
2. “Single wafer types” refers to machines specially designed for production processing of single wafers. These machines may use automatic wafer handling techniques to load a single wafer into the equipment for processing. The definition includes equipment that can load and process several wafers but where the etching parameters, e.g., RF power or end point, can be independently determined for each individual wafer.
b.1.i. “Chemical vapor deposition” (CVD) equipment, e.g., plasma-enhanced CVD (PECVD) or photo-enhanced CVD, for semiconductor device manufacturing, having either of the following capabilities, for deposition of oxides, nitrides, metals or polysilicon:
b.1.i.1. “Chemical vapor deposition” equipment operating below 10 5 Pa; or
b.1.i.2. PECVD equipment operating either below 60 Pa (450 millitorr) or having automatic cassette-to-cassette and load lock wafer handling;
Note: 3B991.b.1.i does not control low pressure “chemical vapor deposition” (LPCVD) systems or reactive “sputtering” equipment.
b.1.j. Electron beam systems specially designed or modified for mask making or semiconductor device processing having any of the following characteristics:
b.1.j.1. Electrostatic beam deflection;
b.1.j.2. Shaped, non-Gaussian beam profile;
b.1.j.3. Digital-to-analog conversion rate exceeding 3 MHz;
b.1.j.4. Digital-to-analog conversion accuracy exceeding 12 bit; or
b.1.j.5. Target-to-beam position feedback control precision of 1 micrometer or finer;
Note: 3B991.b.1.j does not control electron beam deposition systems or general purpose scanning electron microscopes.
b.1.k. Surface finishing equipment for the processing of semiconductor wafers as follows:
b.1.k.1. Specially designed equipment for backside processing of wafers thinner than 100 micrometer and the subsequent separation thereof; or
b.1.k.2. Specially designed equipment for achieving a surface roughness of the active surface of a processed wafer with a two-sigma value of 2 micrometer or less, total indicator reading (TIR);
Note: 3B991.b.1.k does not control single-side lapping and polishing equipment for wafer surface finishing.
b.1.l. Interconnection equipment which includes common single or multiple vacuum chambers specially designed to permit the integration of any equipment controlled by 3B991 into a complete system;
b.1.m. “Stored program controlled” equipment using “lasers” for the repair or trimming of “monolithic integrated circuits” with either of the following characteristics:
b.1.m.1. Positioning accuracy less than ±1 micrometer; or
b.1.m.2. Spot size (kerf width) less than 3 micrometer.
b.2. Masks, mask “substrates”, mask-making equipment and image transfer equipment for the manufacture of devices and components as specified in the heading of 3B991, as follows:
Note: The term “masks” refers to those used in electron beam lithography, X-ray lithography, and ultraviolet lithography, as well as the usual ultraviolet and visible photo-lithography.
b.2.a. Finished masks, reticles and designs therefor, except:
b.2.a.1. Finished masks or reticles for the production of unembargoed integrated circuits; or
b.2.a.2. Masks or reticles, having both of the following characteristics:
b.2.a.2.a. Their design is based on geometries of 2.5 micrometer or more; and
b.2.a.2.b. The design does not include special features to alter the intended use by means of production equipment or “software”;
b.2.b. Mask “substrates” as follows:
b.2.b.1. Hard surface (e.g., chromium, silicon, molybdenum) coated “substrates” (e.g., glass, quartz, sapphire) for the preparation of masks having dimensions exceeding 125 mm × 125 mm; or
b.2.b.2. “Substrates” specially designed for X-ray masks;
b.2.c. Equipment, other than general purpose computers, specially designed for computer aided design (CAD) of semiconductor devices or integrated circuits;
b.2.d. Equipment or machines, as follows, for mask or reticle fabrication:
b.2.d.1. Photo-optical step and repeat cameras capable of producing arrays larger than 100 mm x 100 mm, or capable of producing a single exposure larger than 6 mm x 6 mm in the image (i.e., focal) plane, or capable of producing line widths of less than 2.5 micrometer in the photoresist on the “substrate”;
b.2.d.2. Mask or reticle fabrication equipment using ion or “laser” beam lithography capable of producing line widths of less than 2.5 micrometer; or
b.2.d.3. Equipment or holders for altering masks or reticles or adding pellicles to remove defects;
Note: 3B991.b.2.d.1 and b.2.d.2 do not control mask fabrication equipment using photo-optical methods which was either commercially available before the 1st January, 1980, or has a performance no better than such equipment.
b.2.e. “Stored program controlled” equipment for the inspection of masks, reticles or pellicles with:
b.2.e.1. A resolution of 0.25 micrometer or finer; and
b.2.e.2. A precision of 0.75 micrometer or finer over a distance in one or two coordinates of 63.5 mm or more;
Note: 3B991.b.2.e does not control general purpose scanning electron microscopes except when specially designed and instrumented for automatic pattern inspection.
b.2.f. Align and expose equipment for wafer production using photo-optical or X-ray methods, e.g., lithography equipment, including both projection image transfer equipment and step and repeat (direct step on wafer) or step and scan (scanner) equipment, capable of performing any of the following functions:
Note: 3B991.b.2.f does not control photo-optical contact and proximity mask align and expose equipment or contact image transfer equipment.
b.2.f.1. Production of a pattern size of less than 2.5 micrometer;
b.2.f.2. Alignment with a precision finer than ±0.25 micrometer (3 sigma);
b.2.f.3. Machine-to-machine overlay no better than ±0.3 micrometer; or
b.2.f.4. A light source wavelength shorter than 400 nm;
b.2.g. Electron beam, ion beam or X-ray equipment for projection image transfer capable of producing patterns less than 2.5 micrometer;
Note: For focused, deflected-beam systems (direct write systems), see 3B991.b.1.j or b.10.
b.2.h. Equipment using “lasers” for direct write on wafers capable of producing patterns less than 2.5 micrometer.
b.3. Equipment for the assembly of integrated circuits, as follows:
b.3.a. “Stored program controlled” die bonders having all of the following characteristics:
b.3.a.1. Specially designed for “hybrid integrated circuits”;
b.3.a.2. X–Y stage positioning travel exceeding 37.5 x 37.5 mm; and
b.3.a.3. Placement accuracy in the X–Y plane of finer than ±10 micrometer;
b.3.b. “Stored program controlled” equipment for producing multiple bonds in a single operation (e.g., beam lead bonders, chip carrier bonders, tape bonders);
b.3.c. Semi-automatic or automatic hot cap sealers, in which the cap is heated locally to a higher temperature than the body of the package, specially designed for ceramic microcircuit packages controlled by 3A001 and that have a throughput equal to or more than one package per minute.
Note: 3B991.b.3 does not control general purpose resistance type spot welders.
b.4. Filters for clean rooms capable of providing an air environment of 10 or less particles of 0.3 micrometer or smaller per 0.02832 m 3 and filter materials therefor.
3B992 Equipment not controlled by 3B002 for the inspection or testing of electronic components and materials, and specially designed components and accessories therefor;
License Requirements
Reason for Control: AT
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Control(s) Country chart
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AT applies to entire entry............. AT Column 1.
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See §§740.19 and 742.20 of the EAR for additional information on Libya.
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number.
Related Controls: N/A.
Related Definitions: N/A.
Items:
a. Equipment specially designed for the inspection or testing of electron tubes, optical elements and specially designed components therefor controlled by 3A001 or 3A991;
b. Equipment specially designed for the inspection or testing of semiconductor devices, integrated circuits and “electronic assemblies”, as follows, and systems incorporating or having the characteristics of such equipment:
Note: 3B992.b also controls equipment used or modified for use in the inspection or testing of other devices, such as imaging devices, electro-optical devices, acoustic-wave devices.
b.1. “Stored program controlled” inspection equipment for the automatic detection of defects, errors or contaminants of 0.6 micrometer or less in or on processed wafers, “substrates”, other than printed circuit boards or chips, using optical image acquisition techniques for pattern comparison;
Note: 3B992.b.1 does not control general purpose scanning electron microscopes, except when specially designed and instrumented for automatic pattern inspection.
b.2. Specially designed “stored program controlled” measuring and analysis equipment, as follows:
b.2.a. Specially designed for the measurement of oxygen or carbon content in semiconductor materials;
b.2.b. Equipment for line width measurement with a resolution of 1 micrometer or finer;
b.2.c. Specially designed flatness measurement instruments capable of measuring deviations from flatness of 10 micrometer or less with a resolution of 1 micrometer or finer.
b.3. “Stored program controlled” wafer probing equipment having any of the following characteristics:
b.3.a. Positioning accuracy finer than 3.5 micrometer;
b.3.b. Capable of testing devices having more than 68 terminals; or
b.3.c. Capable of testing at a frequency exceeding 1 GHz;
b.4. Test equipment as follows:
b.4.a. “Stored program controlled” equipment specially designed for testing discrete semiconductor devices and unencapsulated dice, capable of testing at frequencies exceeding 18 GHz;
Technical Note: Discrete semiconductor devices include photocells and solar cells.
b.4.b. “Stored program controlled” equipment specially designed for testing integrated circuits and “electronic assemblies” thereof, capable of functional testing:
b.4.b.1. At a ‘pattern rate’ exceeding 20 MHz; or
b.4.b.2. At a ‘pattern rate’ exceeding 10 MHz but not exceeding 20 MHz and capable of testing packages of more than 68 terminals.
Notes: 3B992.b.4.b does not control test equipment specially designed for testing:
1. memories;
2. “Assemblies” or a class of “electronic assemblies” for home and entertainment applications; and
3. Electronic components, “assemblies” and integrated circuits not controlled by 3A001 or 3A991 provided such test equipment does not incorporate computing facilities with “user accessible programmability”.
Technical Note: For purposes of 3B992.b.4.b, ‘pattern rate’ is defined as the maximum frequency of digital operation of a tester. It is therefore equivalent to the highest data rate that a tester can provide in non-multiplexed mode. It is also referred to as test speed, maximum digital frequency or maximum digital speed.
b.4.c. Equipment specially designed for determining the performance of focal-plane arrays at wavelengths of more than 1,200 nm, using “stored program controlled” measurements or computer aided evaluation and having any of the following characteristics:
b.4.c.1. Using scanning light spot diameters of less than 0.12 mm;
b.4.c.2. Designed for measuring photosensitive performance parameters and for evaluating frequency response, modulation transfer function, uniformity of responsivity or noise; or
b.4.c.3. Designed for evaluating arrays capable of creating images with more than 32 x 32 line elements;
b.5. Electron beam test systems designed for operation at 3 keV or below, or “laser” beam systems, for non-contactive probing of powered-up semiconductor devices having any of the following:
b.5.a. Stroboscopic capability with either beam blanking or detector strobing;
b.5.b. An electron spectrometer for voltage measurements with a resolution of less than 0.5 V; or
b.5.c. Electrical tests fixtures for performance analysis of integrated circuits;
Note: 3B992.b.5 does not control scanning electron microscopes, except when specially designed and instrumented for non-contactive probing of a powered-up semiconductor device.
b.6. “Stored program controlled” multifunctional focused ion beam systems specially designed for manufacturing, repairing, physical layout analysis and testing of masks or semiconductor devices and having either of the following characteristics:
b.6.a. Target-to-beam position feedback control precision of 1 micrometer or finer; or
b.6.b. Digital-to-analog conversion accuracy exceeding 12 bit;
b.7. Particle measuring systems employing “lasers” designed for measuring particle size and concentration in air having both of the following characteristics:
b.7.a. Capable of measuring particle sizes of 0.2 micrometer or less at a flow rate of 0.02832 m 3 per minute or more; and
b.7.b. Capable of characterizing Class 10 clean air or better.
C. Materials
3C001 Hetero-epitaxial materials consisting of a “substrate” having stacked epitaxially grown multiple layers of any of the following (see List of Items Controlled).
License Requirements
Reason for Control: NS, AT
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Control(s) Country chart
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NS applies to entire entry............. NS Column 2
AT applies to entire entry............. AT Column 1
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License Exceptions
LVS: $3000
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value.
Related Controls: This entry does not control equipment or material whose functionality has been unalterably disabled are not controlled.
Related Definitions: III/V compounds are polycrystalline or binary or complex monocrystalline products consisting of elements of groups IIIA and VA of Mendeleyev's periodic classification table (e.g., gallium arsenide, gallium-aluminium arsenide, indium phosphide).
Items:
a. Silicon;
b. Germanium;
c. Silicon Carbide; or
d. III/V compounds of gallium or indium.
3C002 Resist material and “substrates” coated with controlled resists.
License Requirements
Reason for Control: NS, AT
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Control(s) Country chart
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NS applies to entire entry............. NS Column 2
AT applies to entire entry............. AT Column 1
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License Exceptions
LVS: $3000
GBS: Yes for positive resists not optimized for photolithography at a wavelength of less than 365 nm, provided that they are not controlled by 3C002.b through .d.
CIV: Yes for positive resists not optimized for photolithography at a wavelength of less than 365 nm, provided that they are not controlled by 3C002.b through .d.
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: Silylation techniques are defined as processes incorporating oxidation of the resist surface to enhance performance for both wet and dry developing.
Items:
a. Positive resists designed for semiconductor lithography specially adjusted (optimized) for use at wavelengths below 350 nm;
b. All resists designed for use with electron beams or ion beams, with a sensitivity of 0.01 µcoulomb/mm 2 or better;
c. All resists designed for use with X-rays, with a sensitivity of 2.5 mJ/mm 2 or better;
d. All resists optimized for surface imaging technologies, including silylated resists.
3C003 Organo-inorganic compounds, as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, AT
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Control(s) Country chart
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NS applies to entire entry............. NS Column 2
AT applies to entire entry............. AT Column 1
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License Exceptions
LVS: $3000
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: This entry controls only compounds whose metallic, partly metallic or non-metallic element is directly linked to carbon in the organic part of the molecule.
Related Definition: N/A
Items: a. Organo-metallic compounds of aluminium, gallium or indium having a purity (metal basis) better than 99.999%;
b. Organo-arsenic, organo-antimony and organo-phosphorus compounds having a purity (inorganic element basis) better than 99.999%.
3C004 Hydrides of phosphorus, arsenic or antimony, having a purity better than 99.999%, even diluted in inert gases or hydrogen.
License Requirements
Reason for Control: NS, AT
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Control(s) Country chart
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NS applies to entire entry............. NS Column 2
AT applies to entire entry............. AT Column 1
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License Exceptions
LVS: $3000
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definition: N/A
Items:
The list of items controlled is contained in the ECCN heading.
Note: This entry does not control hydrides containing 20% molar or more of inert gases or hydrogen.
3C992 Positive resists designed for semiconductor lithography specially adjusted (optimized) for use at wavelengths between 370 and 350 nm.
License Requirements
Reason for Control: AT
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Control(s) Country chart
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AT applies to entire entry............. AT Column 1
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License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items:
The list of items controlled is contained in the ECCN heading.
D. Software
3D001 “Software” specially designed for the “development” or “production” of equipment controlled by 3A001.b to 3A002.g or 3B (except 3B991 and 3B992).
License Requirements
Reason for Control: NS, AT
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Control(s) Country chart
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NS applies to ``software'' for NS Column 1
equipment controlled by 3A001.b to
3A001.f, 3A002, and 3B.
AT applies to entire entry............. AT Column 1
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License Requirement Notes: See §743.1 of the EAR for reporting requirements for exports under License Exceptions.
License Exceptions
CIV: N/A
TSR: Yes, except for “software” specially designed for the “development” or “production” of Traveling Wave Tube Amplifiers described in 3A001.b.8 having operating frequencies exceeding 18 GHz.
List of Items Controlled
Unit: $ value.
Related Controls: “Software” specially designed for the “development” or “production” of the following equipment is under the export licensing authority of the Department of State, Directorate of Defense Trade Controls (22 CFR part 121): (a) When operating at frequencies higher than 31 GHz and “space qualified”: Helix tubes (traveling wave tubes (TWT)) defined in 3A001.b.1.a.4.c; microwave solid state amplifiers defined in 3A001.b.4.b; microwave “assemblies” defined in 3A001.b.6; and traveling wave tube amplifiers (TWTA) defined in 3A001.b.8; (b) “Space qualified” and radiation hardened photovoltaic arrays defined in 3A001.e.1.c (i.e., not having silicon cells or single, dual or triple junction solar cells that have gallium arsenide as one of the junctions), spacecraft/satellite solar concentrators and batteries; and (c) “Space qualified” atomic frequency standards defined in 3A002.g.2. See also 3D101
Related Definitions: For purposes of photovoltaic arrays in 3A001.e.1.c, an array predominately consists of: a substrate; solar cells having silicon cells or having single, dual, and or triple junction solar cells that have gallium arsenide as one of the junctions; coverglass; ultra-violet coating(s); and bonding agent(s). Spacecraft/satellite: solar concentrators, power conditioners and or controllers, bearing and power transfer assembly, and or deployment hardware/systems are controlled under the export licensing authority of the Department of State, Directorate of Defense Trade Controls (22 CFR part 121).
Items: The list of items controlled is contained in the ECCN heading.
3D002 “Software” specially designed for the “use” of any of the following (see List of Items Controlled).
License Requirements
Reason for Control: NS, AT
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Control(s) Country chart
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NS applies to entire entry............. NS Column 1
AT applies to entire entry............. AT Column 1
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License Exceptions
CIV: N/A
TSR: Yes
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: a. Equipment controlled by 3B001.a. to f.; or
b. Equipment controlled by 3B002.
3D003 Physics-based simulation “software” specially designed for the “development” of lithographic, etching or deposition processes for translating masking patterns into specific topographical patterns in conductors, dielectrics or semiconductor materials.
License Requirements
Reason for Control: NS, AT
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Control(s) Country chart
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NS applies to entire entry............. NS Column 1
AT applies to entire entry............. AT Column 1
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License Exceptions
CIV: N/A
TSR: Yes
List of Items Controlled
Unit: $ value.
Related Controls: N/A
Related Definitions: (1) Libraries, design attributes or associated data for the design of semiconductor devices or integrated circuits are considered as “technology”. (2) ‘Physics-based’ in 3D003 means using computations to determine a sequence of physical cause and effect events based on physical properties (e.g., temperature, pressure, diffusion constants and semiconductor materials properties).
Items: The list of items controlled is contained in the ECCN heading.
3D004 “Software” specially designed for the “development” of the equipment controlled by 3A003.
License Requirements
Reason for Control: NS, AT
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Control(s) Country chart
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NS applies to entire entry................ NS Column 1
AT applies to entire entry................ AT Column 1
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License Exceptions
CIV: N/A
TSR: Yes
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
3D101 “Software” specially designed or modified for the “use” of equipment controlled by 3A101.b.
License Requirements
Reason for Control: MT, AT
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Control(s) Country chart
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MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
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License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
3D980 “Software” specially designed for the “development”, “production”, or “use” of items controlled by 3A980 and 3A981.
License Requirements
Reason for Control: CC, AT
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Control(s) Country chart
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CC applies to entire entry............. CC Column 1
AT applies to entire entry............. AT Column 1
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License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
3D991 “Software” specially designed for the “development”, “production”, or “use” of electronic devices or components controlled by 3A991, general purpose electronic equipment controlled by 3A992, or manufacturing and test equipment controlled by 3B991 and 3B992; or “software” specially designed for the “use” of equipment controlled by 3B001.g and .h.
License Requirements
Reason for Control: AT
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Control(s) Country chart
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AT applies to entire entry............. AT Column 1
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License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
E. Technology
3E001 “Technology” according to the General Technology Note for the “development” or “production” of equipment or materials controlled by 3A (except 3A292, 3A980, 3A981, 3A991 or 3A992), 3B (except 3B991 or 3B992) or 3C.
License Requirements
Reason for Control: NS, MT, NP, AT
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Control(s) Country chart
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NS applies to ``technology'' for items NS Column 1.
controlled by 3A001, 3A002, 3B001,
3B002, or 3C001 to 3C004.
MT applies to ``technology'' for MT Column 1.
equipment controlled by 3A001 or 3A101
for MT reasons.
NP applies to ``technology'' for NP Column 1.
equipment controlled by 3A001, 3A201,
or 3A225 to 3A233 for NP reasons.
AT applies to entire entry............. AT Column 1.
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License Requirement Note: See §743.1 of the EAR for reporting requirements for exports under License Exceptions.
License Exceptions
CIV: Yes for deemed exports, as described in §734.2(b)(2)(ii) of the EAR, of technology for the development or production of microprocessor microcircuits, micro-computer microcircuits, and microcontroller microcircuits having the characteristics described in 3A001.a.3.c with a CTP less than or equal to 40,000 MTOPS (regardless of word length or access width). Deemed exports under License Exception CIV are subject to a Foreign National Review (FNR) requirement, see §740.5 of the EAR for more information about the FNR. License Exception CIV does not apply to ECCN 3E001 technology for 3A001.a.3.c required for the development or production of other items controlled under ECCNs beginning with 3A, 3B, or 3C, or to ECCN 3E001 technology also controlled under ECCN 3E003.
TSR: Yes, except N/A for MT, and “technology” specially designed for the “development” or “production” of Traveling Wave Tube Amplifiers described in 3A001.b.8 having operating frequencies exceeding 18 GHz.
List of Items Controlled
Unit: N/A
Related Controls: (1.) See also 3E101 and 3E201. (2.) 3E001 does not control “technology” for the “development” or “production” of: (a) Microwave transistors operating at frequencies below 31 GHz; (b) Integrated circuits controlled by 3A001.a.3 to a.12, having all of the following: 1. Using “technology” of 0.7 micrometer or more, AND 2. Not incorporating multi-layer structures. (3.) The term multi-layer structures in this entry does not include devices incorporating a maximum of two metal layers and two polysilicon layers. (4.) “Technology” according to the General Technology Note for the “development” or “production” of the following commodities is under the export licensing authority of the Department of State, Directorate of Defense Trade Controls (22 CFR part 121): (a) When operating at frequencies higher than 31 GHz and “space qualified”: helix tubes (traveling wave tubes (TWT)) defined in 3A001.b.1.a.4.c; microwave solid state amplifiers defined in 3A001.b.4.b; microwave “assemblies” defined in 3A001.b.6; or traveling wave tube amplifiers (TWTA) defined in 3A001.b.8; (b) “Space qualified” and radiation hardened photovoltaic arrays defined in 3A001.e.1.c (i.e., not having silicon cells or single, dual or triple junction solar cells that have gallium arsenide as one of the junctions), and spacecraft/satellite solar concentrators and batteries; and (b) “Space qualified” atomic frequency standards defined in 3A002.g.2.
Related Definition: For purposes of photovoltaic arrays in 3A001.e.1.c, an array predominately consists of: a substrate; solar cells having silicon cells or having single, dual, and or triple junction solar cells that have gallium arsenide as one of the junctions; coverglass; ultra-violet coating(s); and bonding agent(s). Spacecraft/satellite: solar concentrators, power conditioners and or controllers, bearing and power transfer assembly, and or deployment hardware/systems are controlled under the export licensing authority of the Department of State, Directorate of Defense Trade Controls (22 CFR part 121).
Items: The list of items controlled is contained in the ECCN heading.
Note 1: 3E001 does not control “technology” for the “development” or “production” of integrated circuits controlled by 3A001.a.3 to a.12, having all of the following:
(a) Using “technology” of 0.5 µm or more; and
(b) Not incorporating multi-layer structures.
Technical Note: The term multi-layer structures in Note b does not include devices incorporating a maximum of three metal layers and three polysilicon layers.
Note 2: 3E001 does not control “technology” for the “production” of equipment or components controlled by 3A003.
3E002 “Technology” according to the General Technology Note other than that controlled in 3E001 for the “development” or “production” of “microprocessor microcircuits”, “micro-computer microcircuits” and microcontroller microcircuits having a “composite theoretical performance” (“CTP”) of 530 million theoretical operations per second (MTOPS) or more and an arithmetic logic unit with an access width of 32 bits or more.
License Requirements
Reason for Control: NS, AT.
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Control(s) Country chart
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NS applies to entire entry.............. NS Column 1.
AT applies to entire entry.............. AT Column 1.
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License Exceptions
CIV: Yes, for deemed exports, as described in §734.2(b)(2)(ii) of the EAR, of “technology” for the “development” or “production” of general purpose microprocessors with a CTP less than or equal to 40,000 MTOPS (regardless of word length or access width). Deemed exports under License Exception CIV are subject to a Foreign National Review (FNR) requirement, see §740.5 of the EAR for more information about the FNR. License Exception CIV does not apply to ECCN 3E002 technology also required for the development or production of items controlled under ECCNs beginning with 3A, 3B, or 3C, or to ECCN 3E002 technology also controlled under ECCN 3E003.
TSR: Yes.
List of Items Controlled
Unit: N/A.
Related Controls: N/A.
Related Definitions: N/A.
Items: The list of items controlled is contained in the ECCN heading.
Note: 3E002 does not control “technology” for the “development” or “production” of integrated circuits controlled by 3A001.a.3 to a.12, having all of the following:
(a) Using “technology” of 0.5 µm or more; and
(b) Not incorporating multi-layer structures.
Technical Note: The term multi-layer structures in Note b does not include devices incorporating a maximum of three metal layers and three polysilicon layers.
3E003 Other “Technology” for the “Development” or “Production” of Items Described in the List of Items Controlled
License Requirements
Reason for Control: NS, AT.
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Control(s) Country chart
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NS applies to entire entry.............. NS Column 1.
AT applies to entire entry.............. AT Column 1.
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License Exceptions
CIV: N/A.
TSR: Yes, except .f. and .g
List of Items Controlled
Unit: N/A.
Related Controls: (1) Technology for the “development” or “production” of “space qualified” electronic vacuum tubes operating at frequencies of 31.8 GHz or higher, described in 3E003.g, is under the export license authority of the Department of State, Directorate of Defense Trade Controls (22 CFR part 121); (2) See 3E001 for silicon-on-insulation (SOI) technology for the “development” or “production” related to radiation hardening of integrated circuits.
Related Definitions: N/A.
Items:
a. Vacuum microelectronic devices;
b. Hetero-structure semiconductor devices such as high electron mobility transistors (HEMT), hetero-bipolar transistors (HBT), quantum well and super lattice devices;
Note: 3E003.b does not control technology for high electron mobility transistors (HEMT) operating at frequencies lower than 31.8 GHz and hetero-junction bipolar transistors (HBT) operating at frequencies lower than 31.8 GHz.
c. “Superconductive” electronic devices;
d. Substrates of films of diamond for electronic components;
e. Substrates of silicon-on-insulator (SOI) for integrated circuits in which the insulator is silicon dioxide;
f. Substrates of silicon carbide for electronic components;
g. Electronic vacuum tubes operating at frequencies of 31.8 GHz or higher.
3E101 “Technology” according to the General Technology Note for the “use” of equipment or “software” controlled by 3A001.a.1 or .2, 3A101, or 3D101.
License Requirements
Reason for Control: MT, AT
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Control(s) Country chart
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MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
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License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
3E102 “Technology” according to the General Technology Note for the “development” of “software” controlled by 3D101.
License Requirements
Reason for Control: MT, AT
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Control(s) Country chart
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MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
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License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
3E201 “Technology” according to the General Technology Note for the “use” of equipment controlled by 3A001.e.2 or .e.3, 3A201 or 3A225 to 3A233.
License Requirements
Reason for Control: NP, AT
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Control(s) Country chart
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NP applies to ``technology'' for NP Column 1.
equipment controlled by 3A001.e.2, or
.e.3, 3A201 or 3A225 to 3A233 for NP
reasons.
AT applies to entire entry............. AT Column 1.
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License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
3E292 “Technology” according to the General Technology Note for the “development”, “production”, or “use” of equipment controlled by 3A292.
License Requirements
Reason for Control: NP, AT
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Control(s) Country chart
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NP applies to entire entry............. NP Column 2
AT applies to entire entry............. AT Column 1
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License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
3E980 “Technology” specially designed for “development”, “production”, or “use” of items controlled by 3A980 and 3A981.
License Requirements
Reason for Control: CC, AT
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Control(s) Country chart
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CC applies to entire entry............. CC Column 1
AT applies to entire entry............. AT Column 1
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License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
3E991 “Technology” for the “development”, “production”, or “use” of electronic devices or components controlled by 3A991, general purpose electronic equipment controlled by 3A992, or manufacturing and test equipment controlled by 3B991 or 3B992.
License Requirements
Reason for Control: AT
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Control(s) Country chart
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AT applies to entire entry............. AT Column 1
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License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
EAR99 Items subject to the EAR that are not elsewhere specified in this CCL Category or in any other category in the CCL are designated by the number EAR99.
Category 4—Computers
Note 1: Computers, related equipment and “software” performing telecommunications or “local area network” functions must also be evaluated against the performance characteristics of Category 5, Part 1 (Telecommunications).
Note 2: Control units that directly interconnect the buses or channels of central processing units, “main storage” or disk controllers are not regarded as telecommunications equipment described in Category 5, Part 1 (Telecommunications).
N.B: For the control status of “software” specially designed for packet switching, see ECCN 5D001. (Telecommunications).
Note 3: Computers, related equipment and “software” performing cryptographic, cryptoanalytic, certifiable multi-level security or certifiable user isolation functions, or that limit electromagnetic compatibility (EMC), must also be evaluated against the performance characteristics in Category 5, Part 2 (“Information Security”).
A. Systems, Equipment and Components
4A001 Electronic computers and related equipment, and “electronic assemblies” and specially designed components therefor.
License Requirements
Reason for Control: NS, MT, AT, NP, XP
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Control(s) Country chart
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NS applies to entire entry................ NS Column 2.
MT applies to items in 4A001.a when the MT Column 1.
parameters in 4A101 are met or exceeded.
AT applies to entire entry................ AT Column 1.
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NP applies, unless a License Exception is available. See §742.3(b) of the EAR for information on applicable licensing review policies. (continued)