[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


