[Federal Register Volume 87, Number 156 (Monday, August 15, 2022)]
[Rules and Regulations]
[Pages 49979-49986]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2022-17125]
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DEPARTMENT OF COMMERCE
Bureau of Industry and Security
15 CFR Parts 772 and 774
[Docket No. 220802-0168]
RIN 0694-AH91
Implementation of Certain 2021 Wassenaar Arrangement Decisions on
Four Section 1758 Technologies
AGENCY: Bureau of Industry and Security, Department of Commerce.
ACTION: Interim final rule, with request for comments.
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SUMMARY: The Bureau of Industry and Security (BIS) maintains, as part
of its Export Administration Regulations (EAR), the Commerce Control
List (CCL), which identifies certain items subject to Department of
Commerce (Commerce) jurisdiction. Commerce is revising the CCL, as well
as corresponding parts of the EAR, to implement controls on four
technologies. These changes reflect certain controls decided by
governments participating in the Wassenaar Arrangement on Export
Controls for Conventional Arms and Dual-Use Goods and Technologies (WA)
at the December 2021 WA Plenary meeting. These four technologies meet
the criteria of Section 1758 of the Export Control Reform Act (ECRA)
pertaining to emerging and foundational technologies. Accordingly, BIS
is accelerating their publication in this interim final rule and will
publish the remaining WA-agreed controls in a later rule. These
technologies are two substrates of ultra-wide bandgap semiconductors
(Gallium Oxide (Ga2O3)
[[Page 49980]]
and diamond), Electronic Computer Aided Design (ECAD) software
specially designed for the development of integrated circuits with any
Gate-All-Around Field-Effect Transistor (GAAFET) structure, and
pressure gain combustion (PGC) technology for the production and
development of gas turbine engine components or systems.
DATES:
Effective dates: This rule is effective August 15, 2022, except for
instruction 5, concerning the addition of Export Control Classification
Number (ECCN) 3D006, which is effective October 14, 2022.
Comment due date: Comments regarding the implementation of ECCN
3D006 must be received by BIS no later than September 14, 2022.
ADDRESSES: Comments on this rule related to the implementation of ECCN
3D006 on the Commerce Control List may be submitted to the Federal
rulemaking portal (www.regulations.gov). The regulations.gov ID for
this rule is: BIS-2022-0006. Please refer to RIN 0694-AH91 in all
comments.
All filers using the portal should use the name of the person or
entity submitting the comments as the name of their files, in
accordance with the instructions below. Anyone submitting business
confidential information should clearly identify the business
confidential portion at the time of submission, file a statement
justifying nondisclosure and referring to the specific legal authority
claimed, and also provide a non-confidential version of the submission.
For comments submitted electronically containing business
confidential information, the file name of the business confidential
version should begin with the characters ``BC.'' Any page containing
business confidential information must be clearly marked ``BUSINESS
CONFIDENTIAL'' on the top of that page. The corresponding non-
confidential version of those comments must be clearly marked
``PUBLIC.'' The file name of the non-confidential version should begin
with the character ``P.'' Any submissions with file names that do not
begin with either a ``BC'' or a ``P'' will be assumed to be public and
will be made publicly available through https://www.regulations.gov.
FOR FURTHER INFORMATION CONTACT: For general questions, contact Sharron
Cook, Office of Exporter Services, Bureau of Industry and Security,
U.S. Department of Commerce at 202-482-2440 or by email:
[email protected].
For technical questions contact:
Category 3: Carlos Monroy at 202-482-3246 or
[email protected].
Category 9: John Varesi at 202-482-1114 or [email protected].
SUPPLEMENTARY INFORMATION:
Background
Identification of Section 1758 Technologies
As part of the National Defense Authorization Act (NDAA) for Fiscal
Year 2019 (Pub. L. 115-232), Congress enacted the Export Control Reform
Act of 2018 (ECRA) (50 U.S.C. 4801-4852). Section 1758 of ECRA (50
U.S.C. 4817) authorizes BIS to establish appropriate controls on the
export, reexport, or transfer (in-country) of emerging and foundational
technologies that are essential to the national security of the United
States (Section 1758 technologies). See Commerce Control List: Proposed
Controls on Certain Marine Toxins; Request for Comments (87 FR 31195,
May 23, 2022) (stating that BIS will characterize all technologies
identified pursuant to Section 1758 of ECRA as ``Section 1758
technologies'').
This interim final rule adds four technologies to the CCL,
supplement no. 1 to part 774, as Section 1758 technologies. These
technologies were decided upon by governments participating in the WA
for addition to the WA's List of Dual-Use Goods and Technologies during
the December 2021 WA Plenary meeting. The WA advocates implementation
of effective export controls on strategic items with the objective of
improving regional and international security and stability. Of the
items regarding which decisions were reached in December 2021, four
meet the requirements that apply to Section 1758 technologies. Namely,
they were identified in a regular ongoing interagency process that is
informed by multiple sources (e.g., WA Participating States, industry,
Federal technical advisory committees, and Federal Government agencies)
and are essential to the national security of the United States. As
such, early implementation in the EAR of the December 2021 WA Plenary
meeting decisions regarding these four ``Section 1758 technologies'' is
warranted. BIS will amend the EAR to implement the remaining decisions
reached at the December 2021 WA Plenary meeting in a separate rule.
BIS has determined that two substrates of ultra-wide bandgap
semiconductors (Ga2O3 and diamond), ECAD software
specially designed for the development of integrated circuits with any
GAAFET structure, and pressure gain combustion technology for the
production and development of gas turbine engine components or systems,
are Section 1758 technologies. This interim final rule revises the CCL
as well as corresponding parts of the EAR to implement controls on
these four technologies by revising five ECCNs and adding one new ECCN,
as follows:
Revises ECCNs: 3C001.d-.f, 3C005.a and .b, 3C006, and
3E003 for two substrates (Ga2O3 and diamond) of
ultra-wide bandgap semiconductors; and 9E003.a.2.e for PGC technology.
New ECCN: 3D006 for Software for ECAD for the development
of Integrated Circuits (ICs) with GAAFET.
Substrates of Ultra-Wide Bandgap Semiconductors
Gallium Nitride (GaN) and Silicon Carbide (SiC) are the leading
materials for the production of sophisticated microwave or millimeter
wave devices controlled under ECCN 3A001.b or high-power semiconductor
devices controlled under ECCNs 3A001.g and 3A001.h on the CCL. In
addition to GaN and SiC, materials such as Ga2O3
and diamond have a strong potential for use in military applications
and are being developed to be used to fabricate more sophisticated
devices than those produced using GaN or SiC. The devices made from
Ga2O3 or diamond are expected to work under more
severe conditions, such as higher voltage or higher temperature, than
the devices made from GaN or SiC. Substrates made from GaN or SiC are
controlled under ECCNs 3C001, 3C005, and 3C006, and related
technologies other than those controlled under ECCN 3E001 are covered
by ECCN 3E003. Because of their significant military potential, with
this rule, BIS adds these technologies--Ga2O3 and
diamond--as Section 1758 technologies to the CCL in the ECCNs
3C001.d-.f, 3C005.a and .b, and 3C006.
Specifically, this rule adds to ECCN 3C001 new paragraphs .e for
Ga2O3 and .f for diamond, and amends ECCN 3C005
by adding Ga2O3 and diamond to ECCN 3C005
paragraphs .a and .b, respectively. In conforming changes, it also
amends ECCN 3C001.c by removing the word ``or'', amends the Note to
3C001.d by adding the chemical names for all of the relevant chemical
formulas, and amends the heading of ECCN 3C006 by adding
Ga2O3 and diamond and the chemical formulas for
the existing listed chemicals. ECCN 3E003 is amended by removing the
phrase ``films of'' from 3E003.d, by adding the chemical formulas for
the existing listed chemicals in 3E003.d-.f, and by adding paragraph
3E003.h to control
[[Page 49981]]
``technology'' for the ``development'' or ``production'' of substrates
of Ga2O3 for electronic components.
``Technology'' for the ``development'' or ``production'' of substrates
of diamond is already listed in 3E003.d.
Commodities specified in ECCN 3C001 paragraphs .c and .f, ECCN
3C005 paragraphs .a and .b, and ECCN 3C006 require a license for
national security (NS) and antiterrorism (AT) reasons, respectively,
for countries with an ``X'' listed in columns NS:2 or AT:1 on the
Commerce Country Chart in supplement no. 1 to part 738 of the EAR. The
development and production technology for these commodities is
classified under ECCN 3E003 and requires a license for NS and AT
reasons, respectively, to countries with an ``X'' listed in columns
NS:1 or AT:1 on the Commerce Country Chart. A license exception (see
part 740 of the EAR) may authorize a transaction that otherwise would
require a license.
Software for ECAD for the Development of ICs With GAAFET
Electronic Computer-Aided Design (ECAD) is a category of software
tools used for designing, analyzing, optimizing, and validating the
performance of integrated circuits or printed circuit boards. ECAD
software is used by the military and aerospace defense industries for
designing complex integrated circuits, Field-Programmable Gate Arrays
(FPGAs), Application Specific Integrated Circuits (ASICs), and
electronic systems. ECAD software solutions enabled a successful design
phase of the first Gate-All-Around transistor System-on-Chip test chip.
A common use of ECAD software is to link the various stages
involved in progressing smoothly from the Register Transfer Level (RTL)
design stage to the logic design stage, then finally to the physical
design stage, which results in Geometrical Database Standard II
(GDSII). RTL is a model of a digital circuit defined in terms of the
flow of digital signals and logical operations down to the level of
individual flip-flops, i.e., a device that stores a single bit (binary
digit) of data. GDSII is the database standard format for describing
integrated circuit layout artwork. It is used to contain all
information describing the integrated circuit's layout artwork in a
standardized database format that may be shared with foundries for
transferring artwork between different tools or for building
photomasks. ECAD software with a complete RTL-to-GDSII design solution
includes proprietary design planning, power optimization, physical
synthesis, clock tree synthesis, and routing for logical and physical
design implementations throughout the design flow.
Gate-All-Around transistor technology approaches are key to scaling
to 3 nanometer and below technology nodes. The gate completely
encircles the semiconductor electronic conduction channel and thus
provides good gate control and scalability of the electrostatics to
allow high ratios of on and off leakage currents and minimization of
random dopant fluctuations. A thin electronic conducting channel is
used to enable gate control of the electric field in the transistor
channel preventing short-channel punch through. The backside gate
combined with minimization of random doping effect enable scalability
to smaller technology nodes. The multiple channels provide higher
current capability. The lower parasitic capacitances enable 50 percent
faster chip operation compared to bulk technologies. Faster, less
bulky, energy efficient, and radiation-hardened integrated circuits
would advance many commercial as well as military applications,
including defense and communication satellites.
ECAD software is often offered in modules that support the
requirements of circuit designers as well as the production
prerequisites supplied by foundries. ECAD software is not distinguished
by the type or architecture of integrated circuit, but by the
capabilities that enable design, analysis, optimization, validation,
and verification of the advanced circuitry of specific transistor
types. Thus, some ECAD software may be particularly suited to
efficiently design complex GAAFET circuits. As proprietary information
could be involved, the ``specially designed'' requirements of the
control can be difficult to ascertain in specific ECAD software.
Consequently, with this rule, BIS is controlling this technology as
Section 1758 technology by adding new ECCN 3D006 to the CCL to control
ECAD ``software'' ``specially designed'' for the ``development'' of
integrated circuits having any GAAFET structure and meeting the
parameters set forth in ECCN 3D006. Such software must be either
``specially designed'' for implementing RTL to GDSII or an equivalent
standard or ``specially designed'' for optimization of power or timing
rules.
ECCN 3D006 will also include a new technical note that defines
ECAD, RTL, and GDSII. ECAD software tools are designed to incorporate
and work with the different process design kits (PDKs) from each
foundry, which include specifications for that foundry's transistor
architecture. The new control applies to an ECAD software tool when it
is specially designed as described in 3D006, whether it is exported
with a PDK or separately.
ECAD software controlled under new ECCN 3D006 requires a license
for NS and AT reasons, respectively, for countries with an ``X'' listed
in columns NS:2 or AT:1 on the Commerce Country Chart. A license
exception (see part 740 of the EAR), such as License Exception
Strategic Trade Authorization (STA) may authorize a transaction that
otherwise would require a license.
BIS seeks public comment and input to determine what specific ECAD
features are particularly suited to design GAAFET circuits to ensure
that the U.S. Government effectively implements this new control. In
particular, the U.S. Government is seeking public comment and input
from industry regarding the scope of the license requirement as well as
input to assist in the interagency review of license applications to
export such software. BIS is particularly interested in description of
software features or functions that assists the designer to optimize
interconnects, synthesis, placements & routes, multi-corner multi-mode,
timing/clock-tree, power and thermal, or signal integrity necessary for
GAAFET circuits. For example, there may be a highly efficient auto-
routing program or type of simulator or schematic editor/engine or
waveform display that allows designers to rapidly modify a simulated
circuit and assess what effect the change has on the output.
Additionally, public comment may inform the U.S. Government in the
development of future WA proposals that could revise the control text
of 3D006.
In addition, BIS's Technical Advisory Committees recommended that
industry has the opportunity to submit public comments regarding the
implementation of ECCN 3D006 control, i.e., license requirements
applied, license exception eligibility, notes that may clarify the
scope of the control, as well as recommendations to overcome compliance
difficulties and recommendations for future revisions of the control
text as the software undergoes technological advancements. Therefore,
there is a 60-day delayed effective date for the addition of 3D006 to
the CCL and a 30-day comment period with respect to the implementation
of this control.
Pressure Gain Combustion (PGC)
PGC technology is a technology with the potential to increase gas
turbine
[[Page 49982]]
engine efficiency by more than 10%. PGC technology has extensive
potential to impact terrestrial systems, as well as aerospace
applications such as rockets and hypersonic systems.
While conventional gas turbine engines undergo steady, subsonic
combustion, resulting in a total pressure loss, PGC utilizes multiple
physical phenomena, including resonant pulsed combustion, constant
volume combustion, and detonation, to cause a rise in effective
pressure across the combustor, while consuming the same amount of fuel
as the constant pressure combustor. This PGC technology, which results
in a pressure gain across the combustor, relies on the Humphrey (or
Atkinson) cycles and has great potential as a means of achieving higher
efficiency in gas turbine power systems. The two main advantages of
utilizing PGC in a gas turbine engine are: (1) it reduces the
essentially unsteady nature of the combustion cycle, resulting in an
increase in thermodynamic efficiency, and (2) due to the pressure
increase in the combustor, it allows fewer stages in the compressor,
resulting in a more compact engine.
While BIS has not identified any engines currently in production
using PGC, there is substantial ongoing research regarding potential
production. In part because increased fuel efficiency and the potential
for a more compact engine provide military advantages such as a longer
loiter time and easier packaging. PGC-based propulsion systems for
rockets, space launch vehicles, missiles, and military gas turbine
engines, and technology directly related thereto, are already defense
articles described on the U.S. Munitions List (USML). However, it is
increasingly likely that commercial industrial gas turbine engines will
be produced with PGC technology, which will likely be controlled on the
CCL as Section 1758 technology.
This rule adds paragraph 9E003.a.2.e to control development and
production technology for combustors utilizing `pressure gain
combustion' that are not described on the USML and adds a technical
note to define `pressure gain combustion.' Technology controlled under
ECCN 9E003.a.2.e requires a license for NS and AT reasons,
respectively, for countries with an ``X'' listed in columns NS:1 or
AT:1 on the Commerce Country Chart. A license exception (see part 740
of the EAR) may authorize a transaction that otherwise would require a
license.
Saving Clause (Applicable to the Items Apart From 3D006 Software)
Shipments of items removed from license exception eligibility or
eligibility for export, reexport, or transfer (in-country) without a
license as a result of this regulatory action that were on dock for
loading, on lighter, laden aboard an exporting carrier, or en route
aboard a carrier to a port of export, on August 30, 2022, pursuant to
actual orders for exports, reexports, and transfers (in-country) to a
foreign destination, may proceed to that destination under the previous
license exception eligibility or without a license so long as they have
been exported, reexported, or transferred (in-country) before September
14, 2022. Any such items not actually exported, reexported, or
transferred (in-country) before midnight, on September 14, 2022,
require a license in accordance with this interim final rule.
Saving Clause for 3D006 Software
Shipments of items removed from license exception eligibility or
eligibility for export, reexport or transfer (in-country) without a
license as a result of this regulatory action that were on dock for
loading, on lighter, laden aboard an exporting carrier, or en route
aboard a carrier to a port of export, on October 14, 2022, pursuant to
actual orders for exports, reexports, and transfers (in-country) to a
foreign destination, may proceed to that destination under the previous
license exception eligibility or without a license so long as they have
been exported, reexported, or transferred (in-country) before November
14, 2022. Any such items not actually exported, reexported, or
transferred (in-country) before midnight, on November 14, 2022, require
a license in accordance with this interim final rule.
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. Sections 4801-4852. ECRA 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 13563 and 12866 direct agencies to assess all
costs and benefits of available regulatory alternatives and, if
regulation is necessary, to select regulatory approaches that maximize
net benefits (including potential economic, environmental, public
health and safety effects and distributive impacts and equity).
Executive Order 13563 emphasizes the importance of quantifying both
costs and benefits and of reducing costs, harmonizing rules, and
promoting flexibility. This interim final rule has been designated a
``significant regulatory action'' under section 3(f) of Executive Order
12866. 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 overall increases in
burdens and costs for the following collections fall will be minimal
and fall within the already approved amounts for the following
collections.
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.
0694-0088, ``Simplified Network Application Processing System,''
which carries a burden- hour estimate of 29.4 minutes for a manual or
electronic submission.
3. Pursuant to Section 1762 of the 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. However, on the
recommendation of BIS's Technical Advisory Committees, there is a 30-
day comment period on the implementation of the control on ECCN 3D006
and a 60-day delayed effective date with respect to the addition of
ECCN 3D006 to the Commerce Control List.
List of Subjects
15 CFR Part 772
Exports.
[[Page 49983]]
15 CFR Part 774
Exports, Reporting and recordkeeping requirements, Terrorism.
Accordingly, parts 772 and 774 of the Export Administration
Regulations (15 CFR parts 730-774) are amended as follows:
PART 772--DEFINITIONS OF TERMS
0
1. 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
2. Section 772.1 is amended by adding Gate-All-Around Field-Effect
Transistor (``GAAFET'') in alphabetical order to read as follows:
Sec. 772.1 Definitions of terms as used in the Export Administration
Regulations (EAR).
* * * * *
Gate-All-Around Field-Effect Transistor (``GAAFET''). (Cat 3)--A
device having a single or multiple semiconductor conduction channel
element(s) with a common gate structure that surrounds and controls
current in all of the semiconductor conduction channel elements. (Note:
This definition includes nanosheet or nanowire field-effect and
surrounding gate transistors and other ``GAAFET'' semiconductor channel
element structures.)
* * * * *
PART 774--THE COMMERCE CONTROL LIST
0
3. 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
4. In supplement no. 1 to part 774, Category 3, ECCN 3C001, 3C005, and
3C006 are revised to read as follows:
Supplement No. 1 to Part 774--The Commerce Control List
* * * * *
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
Country chart (See Supp. No.
Control(s) 1 to part 738)
NS applies to entire entry................ NS Column 2.
AT applies to entire entry................ AT Column 1.
AT applies to entire entry................ AT Column 1.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $3,000
GBS: N/A
List of Items Controlled
Related Controls: This entry does not control equipment or material
whose functionality has been unalterably disabled.
Related Definitions: N/A
Items:
a. Silicon (Si);
b. Germanium (Ge);
c. Silicon Carbide (SiC);
d. ``III/V compounds'' of gallium or indium;
Note: 3C001.d does not apply to a ``substrate'' having one or more
P-type epitaxial layers of Gallium Nitride (GaN), Indium Gallium
Nitride (InGaN), Aluminum Gallium Nitride (AlGaN), Indium Aluminum
Nitride (InAlN), Indium Aluminum Gallium Nitride (InAlGaN), Gallium
Phosphide (GaP), Gallium Arsenide (GaAs), Aluminum Gallium Arsenide
(AlGaAs), Indium Phosphide (InP), Indium Gallium Phosphide (InGaP),
Aluminum Indium Phosphide (AlInP), or Indium Gallium Phosphide
(InGaAlP), independent of the sequence of the elements, except if the
P-type epitaxial layer is between N-type layers.
e. Gallium Oxide (Ga2O3); or
f. Diamond.
* * * * *
3C005 High resistivity materials as follows (See List of Items
Controlled).
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 2.
AT applies to entire entry................ AT Column 1.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $3,000
GBS: Yes
List of Items Controlled
Related Controls: See ECCN 3E001 for related development and production
technology, and ECCN 3B991.b.1.b for related production equipment.
Related Definition: N/A
Items:
a. Silicon Carbide (SiC), Gallium Nitride (GaN), Aluminum Nitride
(AlN), Aluminum Gallium Nitride (AlGaN), Gallium Oxide
(Ga2O3), or diamond semiconductor ``substrates'',
or ingots, boules, or other preforms of those materials, having
resistivities greater than 10,000 ohm-cm at 20 [deg]C;
b. Polycrystalline ``substrates'' or polycrystalline ceramic
``substrates'', having resistivities greater than 10,000 ohm-cm at 20
[deg]C and having at least one non-epitaxial single-crystal layer of
Silicon (Si), Silicon Carbide (SiC), Gallium Nitride (GaN), Aluminum
Nitride (AlN), Aluminum Gallium Nitride (AlGaN), Gallium Oxide
(Ga2O3), or diamond on the surface of the
``substrate''.
3C006 Materials, not specified by 3C001, consisting of a ``substrate''
specified by 3C005 with at least one epitaxial layer of Silicon Carbide
(SiC), Gallium Nitride (GaN), Aluminum Nitride (AlN), Aluminum Gallium
Nitride (AlGaN), Gallium Oxide (Ga[bdi2]O[bdi3]) or diamond.
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 2.
AT applies to entire entry................ AT Column 1.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $3,000
GBS: Yes
List of Items Controlled
Related Controls: See ECCN 3D001 for related ``development'' or
``production'' ``software'', ECCN 3E001 for related ``development'' and
``production'' ``technology'', and ECCN 3B991.b.1.b for related
``production'' equipment.
Related Definition: N/A
Items:
The list of items controlled is contained in the ECCN heading.
0
5. Effective October 14, 2022, in supplement no. 1 to part 774,
Category 3, ECCN 3D006 is added after 3D005 to read as follows:
[[Page 49984]]
3D006 `Electronic Computer-Aided Design' (`ECAD') ``software''
``specially designed'' for the ``development'' of integrated circuits
having any ``Gate-All-Around Field-Effect Transistor'' (``GAAFET'')
structure, and having any of the following (see List of Items
Controlled).
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 2.
AT applies to entire entry................ AT Column 1.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items:
a. ``Specially designed'' for implementing `Register Transfer
Level' (`RTL') to `Geometrical Database Standard II' (`GDSII') or
equivalent standard; or
b. ``Specially designed'' for optimization of power or timing
rules.
Technical Notes:
1. `Electronic Computer-Aided Design' (`ECAD') is a category of
``software'' tools used for designing, analyzing, optimizing, and
validating the performance of an integrated circuit or printed circuit
board.
2. `Register Transfer Level' (`RTL') is a design abstraction which
models a synchronous digital circuit in terms of the flow of digital
signals between hardware registers and the logical operations performed
on those signals.
3. `Geometrical Database Standard II' (`GDSII') is a database file
format for data exchange of integrated circuit or integrated circuit
layout artwork.
0
6. In supplement no. 1 to part 774, Category 3, ECCN 3E003 is revised
to read as follows:
3E003 Other ``technology'' for the ``development'' or ``production'' of
the following (see List of Items Controlled).
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, except .f and .g
List of Items Controlled
Related Controls: 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 electronic 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 diamond for electronic components;
e. Substrates of Silicon-On-Insulator (SOI) for integrated circuits
in which the insulator is Silicon Dioxide (SiO2);
f. Substrates of Silicon Carbide (SiC) for electronic components;
g. ``Vacuum electronic devices'' operating at frequencies of 31.8
GHz or higher;
h. Substrates of Gallium Oxide (Ga2O3) for
electronic components.
0
7. In supplement no. 1 to part 774, Category 9, ECCN 9E003 is revised
to read as follows:
9E003 Other ``technology'' as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, SI, AT
Country chart (See Supp. No.
Control(s) 1 to part 738)
NS applies to entire entry................ NS Column 1.
SI applies to 9E003.a.1 through a.8, .h, See Sec. 742.14 of the EAR
.i, and .k. for additional information.
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 and Validated End-User authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: N/A
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit any
technology in 9E003.a.1, 9E003.a.2 to a.5, 9E003.a.8, or 9E003.h to any
of the destinations listed in Country Group A:6 (See supplement No.1 to
part 740 of the EAR).
List of Items Controlled
Related Controls: (1) Hot section ``technology'' ``specifically
designed,'' modified, or equipped for military uses or purposes, or
developed principally with U.S. Department of Defense funding, is
``subject to the ITAR'' (see 22 CFR parts 120 through 130). (2)
``Technology'' is subject to the EAR when actually applied to a
commercial ``aircraft'' engine program. Exporters may seek to establish
commercial application either on a case-by-case basis through
submission of documentation demonstrating application to a commercial
program in requesting an export license from the Department Commerce in
respect to a specific export, or in the case of use for broad
categories of ``aircraft,'' engines, ``parts'' or ``components,'' a
commodity jurisdiction determination from the Department of State.
Related Definitions: N/A
Items:
a. ``Technology'' ``required'' for the ``development'' or
``production'' of any of the following gas turbine engine ``parts,''
``components'' or systems:
a.1. Gas turbine blades, vanes or ``tip shrouds'', made from
Directionally Solidified (DS) or Single Crystal (SC) alloys and having
(in the 001 Miller Index Direction) a stress-rupture life exceeding 400
hours at 1,273 K (1,000[deg]C) at a stress of 200 MPa, based on the
average property values;
Technical Note: For the purposes of 9E003.a.1, stress-rupture life
testing is typically conducted on a test specimen.
a.2. Combustors having any of the following:
a.2.a. `Thermally decoupled liners' designed to operate at
`combustor exit temperature' exceeding 1,883 K (1,610[deg]C);
a.2.b. Non-metallic liners;
[[Page 49985]]
a.2.c. Non-metallic shells;
a.2. d. Liners designed to operate at `combustor exit temperature'
exceeding 1,883 K (1,610[deg]C) and having holes that meet the
parameters specified by 9E003.c; or
a.2.e. Utilizing `pressure gain combustion';
Technical Note: In `pressure gain combustion' the bulk average
stagnation pressure at the combustor outlet is greater than the bulk
average stagnation pressure at the combustor inlet due primarily to the
combustion process, when the engine is running in a ``steady state
mode'' of operation.
Note: The ``required'' ``technology'' for holes in 9E003.a.2 is
limited to the derivation of the geometry and location of the holes.
Technical Notes:
1. `Thermally decoupled liners' are liners that feature at least a
support structure designed to carry mechanical loads and a combustion
facing structure designed to protect the support structure from the
heat of combustion. The combustion facing structure and support
structure have independent thermal displacement (mechanical
displacement due to thermal load) with respect to one another, i.e.,
they are thermally decoupled.
2. `Combustor exit temperature' is the bulk average gas path total
(stagnation) temperature between the combustor exit plane and the
leading edge of the turbine inlet guide vane (i.e., measured at engine
station T40 as defined in SAE ARP 755A) when the engine is running in a
``steady state mode'' of operation at the certificated maximum
continuous operating temperature.
N.B.: See 9E003.c for ``technology'' ``required'' for manufacturing
cooling holes.
a.3. ``Parts'' or ``components,'' that are any of the following:
a.3.a. Manufactured from organic ``composite'' materials designed
to operate above 588 K (315 [deg]C);
a.3.b. Manufactured from any of the following:
a.3.b.1. Metal ``matrix'' ``composites'' reinforced by any of the
following:
a.3.b.1.a. Materials controlled by 1C007;
a.3.b.1.b. ``Fibrous or filamentary materials'' specified by 1C010;
or
a.3.b.1.c. Aluminides specified by 1C002.a; or
a.3.b.2. Ceramic ``matrix'' ``composites'' specified by 1C007; or
a.3.c. Stators, vanes, blades, tip seals (shrouds), rotating
blings, rotating blisks or `splitter ducts', that are all of the
following:
a.3.c.1. Not specified in 9E003.a.3.a;
a.3.c.2. Designed for compressors or fans; and
a.3.c.3. Manufactured from material controlled by 1C010.e with
resins controlled by 1C008;
Technical Note: A `splitter duct' performs the initial separation
of the air-mass flow between the bypass and core sections of the
engine.
a.4. Uncooled turbine blades, vanes or ``tip shrouds'' designed to
operate at a `gas path temperature' of 1,373 K (1,100 [deg]C) or more;
a.5. Cooled turbine blades, vanes or ``tip-shrouds'', other than
those described in 9E003.a.1, designed to operate at a `gas path
temperature' of 1,693 K (1,420 [deg]C) or more;
Technical Note: `Gas path temperature' is the bulk average gas path
total (stagnation) temperature at the leading-edge plane of the turbine
component when the engine is running in a ``steady state mode'' of
operation at the certificated or specified maximum continuous operating
temperature.
a.6. Airfoil-to-disk blade combinations using solid state joining;
a.7. [Reserved]
a.8. `Damage tolerant' gas turbine engine rotor ``parts'' or
``components'' using powder metallurgy materials controlled by 1C002.b;
or
Technical Note: `Damage tolerant' ``parts'' and ``components'' are
designed using methodology and substantiation to predict and limit
crack growth.
a.9. [Reserved]
N.B.: For ``FADEC systems'', see 9E003.h.
a.10. [Reserved]
N.B.: For adjustable flow path geometry, see 9E003.i.
a.11. `Fan blades' having all of the following:
a.11.a. 20% or more of the total volume being one or more closed
cavities containing vacuum or gas only; and
a.11.b. One or more closed cavities having a volume of 5 cm\3\ or
larger;
Technical Note: For the purposes of 9E003.a.11, a `fan blade' is
the airfoil portion of the rotating stage or stages, which provide both
compressor and bypass flow in a gas turbine engine.
b. ``Technology'' ``required'' for the ``development'' or
``production'' of any of the following:
b.1. Wind tunnel aero-models equipped with non-intrusive sensors
capable of transmitting data from the sensors to the data acquisition
system; or
b.2. ``Composite'' propeller blades or prop-fans, capable of
absorbing more than 2,000 kW at flight speeds exceeding Mach 0.55;
c. ``Technology'' ``required'' for manufacturing cooling holes, in
gas turbine engine ``parts'' or ``components'' incorporating any of the
``technologies'' specified by 9E003.a.1, 9E003.a.2 or 9E003.a.5, and
having any of the following:
c.1. Having all of the following:
c.1.a. Minimum `cross-sectional area' less than 0.45 mm\2\;
c.1.b. `Hole shape ratio' greater than 4.52; and
c.1.c. `Incidence angle' equal to or less than 25[deg]; or
c.2. Having all of the following:
c.2.a. Minimum `cross-sectional area' less than 0.12 mm\2\;
c.2.b. `Hole shape ratio' greater than 5.65; and
c.2.c. `Incidence angle' more than 25[deg];
Note: 9E003.c does not apply to ``technology'' for manufacturing
constant radius cylindrical holes that are straight through and enter
and exit on the external surfaces of the component.
Technical Notes:
1. For the purposes of 9E003.c, the `cross-sectional area' is the
area of the hole in the plane perpendicular to the hole axis.
2. For the purposes of 9E003.c, `hole shape ratio' is the nominal
length of the axis of the hole divided by the square root of its
minimum 'cross-sectional area'.
3. For the purposes of 9E003.c, `incidence angle' is the acute
angle measured between the plane tangential to the airfoil surface and
the hole axis at the point where the hole axis enters the airfoil
surface.
4. Methods for manufacturing holes in 9E003.c include ``laser''
beam machining, water jet machining, Electro-Chemical Machining (ECM)
or Electrical Discharge Machining (EDM).
d. ``Technology'' ``required'' for the ``development'' or
``production'' of helicopter power transfer systems or tilt rotor or
tilt wing ``aircraft'' power transfer systems;
e. ``Technology'' for the ``development'' or ``production'' of
reciprocating diesel engine ground vehicle propulsion systems having
all of the following:
e.1. `Box volume' of 1.2 m\3\ or less;
e.2. An overall power output of more than 750 kW based on 80/1269/
EEC, ISO 2534 or national equivalents; and
e.3. Power density of more than 700 kW/m\3\ of `box volume';
Technical Note: `Box volume' is the product of three perpendicular
dimensions measured in the following way:
Length: The length of the crankshaft from front flange to flywheel
face;
Width: The widest of any of the following:
a. The outside dimension from valve cover to valve cover;
[[Page 49986]]
b. The dimensions of the outside edges of the cylinder heads; or
c. The diameter of the flywheel housing;
Height: The largest of any of the following:
a. The dimension of the crankshaft center-line to the top plane of
the valve cover (or cylinder head) plus twice the stroke; or
b. The diameter of the flywheel housing.
f. ``Technology'' ``required'' for the ``production'' of
``specially designed'' ``parts'' or ``components'' for high output
diesel engines, as follows:
f.1. ``Technology'' ``required'' for the ``production'' of engine
systems having all of the following ``parts'' and ``components''
employing ceramics materials controlled by 1C007:
f.1.a Cylinder liners;
f.1.b. Pistons;
f.1.c. Cylinder heads; and
f.1.d. One or more other ``part'' or ``component'' (including
exhaust ports, turbochargers, valve guides, valve assemblies or
insulated fuel injectors);
f.2. ``Technology'' ``required'' for the ``production'' of
turbocharger systems with single-stage compressors and having all of
the following:
f.2.a. Operating at pressure ratios of 4:1 or higher;
f.2.b. Mass flow in the range from 30 to 130 kg per minute; and
f.2.c. Variable flow area capability within the compressor or
turbine sections;
f.3. ``Technology'' ``required'' for the ``production'' of fuel
injection systems with a ``specially designed'' multifuel (e.g., diesel
or jet fuel) capability covering a viscosity range from diesel fuel
(2.5 cSt at 310.8 K (37.8 [deg]C)) down to gasoline fuel (0.5 cSt at
310.8 K (37.8 [deg]C)) and having all of the following:
f.3.a. Injection amount in excess of 230 mm\3\ per injection per
cylinder; and
f.3.b. Electronic control features ``specially designed'' for
switching governor characteristics automatically depending on fuel
property to provide the same torque characteristics by using the
appropriate sensors;
g. ``Technology'' ``required'' for the ``development'' or
``production'' of `high output diesel engines' for solid, gas phase or
liquid film (or combinations thereof) cylinder wall lubrication and
permitting operation to temperatures exceeding 723 K (450 [deg]C),
measured on the cylinder wall at the top limit of travel of the top
ring of the piston;
Technical Note: `High output diesel engines' are diesel engines
with a specified brake mean effective pressure of 1.8 MPa or more at a
speed of 2,300 r.p.m., provided the rated speed is 2,300 r.p.m. or
more.
h. ``Technology'' for gas turbine engine ``FADEC systems'' as
follows:
h.1. ``Development'' ``technology'' for deriving the functional
requirements for the ``parts'' or ``components'' necessary for the
``FADEC system'' to regulate engine thrust or shaft power (e.g.,
feedback sensor time constants and accuracies, fuel valve slew rate);
h.2. ``Development'' or ``production'' ``technology'' for control
and diagnostic ``parts'' or ``components'' unique to the ``FADEC
system'' and used to regulate engine thrust or shaft power;
h.3. ``Development'' ``technology'' for the control law algorithms,
including ``source code'', unique to the ``FADEC system'' and used to
regulate engine thrust or shaft power;
Note: 9E003.h does not apply to technical data related to engine-
``aircraft'' integration required by civil aviation authorities of one
or more Wassenaar Arrangement Participating States (See supplement No.
1 to part 743 of the EAR) to be published for general airline use
(e.g., installation manuals, operating instructions, instructions for
continued airworthiness) or interface functions (e.g., input/output
processing, airframe thrust or shaft power demand).
i. ``Technology'' for adjustable flow path systems designed to
maintain engine stability for gas generator turbines, fan or power
turbines, or propelling nozzles, as follows:
i.1. ``Development'' ``technology'' for deriving the functional
requirements for the ``parts'' or ``components'' that maintain engine
stability;
i.2. ``Development'' or ``production'' ``technology'' for ``parts''
or ``components'' unique to the adjustable flow path system and that
maintain engine stability;
i.3. ``Development'' ``technology'' for the control law algorithms,
including ``source code'', unique to the adjustable flow path system
and that maintain engine stability;
Note: 9E003.i does not apply to ``technology'' for any of the
following:
a. Inlet guide vanes;
b. Variable pitch fans or prop-fans;
c. Variable compressor vanes;
d. Compressor bleed valves; or
e. Adjustable flow path geometry for reverse thrust.
j. ``Technology'' ``required'' for the ``development'' of wing-
folding systems designed for fixed-wing ``aircraft'' powered by gas
turbine engines.
N.B.: For ``technology'' ``required'' for the ``development'' of
wing-folding systems designed for fixed-wing ``aircraft'' specified in
USML Category VIII (a), see USML Category VIII (i).
k. ``Technology'' not otherwise controlled in 9E003.a.1 through
a.8, a.10, and .h and used in the ``development'', ``production'', or
overhaul of hot section ``parts'' or ``components'' of civil
derivatives of military engines controlled on the U.S. Munitions List.
Thea D. Rozman Kendler,
Assistant Secretary for Export Administration.
[FR Doc. 2022-17125 Filed 8-12-22; 8:45 am]
BILLING CODE P