[Federal Register Volume 88, Number 11 (Wednesday, January 18, 2023)]
[Rules and Regulations]
[Pages 2821-2829]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2023-00888]


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DEPARTMENT OF COMMERCE

Bureau of Industry and Security

15 CFR Parts 734, 736, 740, 742, 744, 762, 772 and 774

[Docket No. 230112-0007]
RIN 0694-AI94


Implementation of Additional Export Controls: Certain Advanced 
Computing and Semiconductor Manufacturing Items; Supercomputer and 
Semiconductor End Use; Entity List Modification; Updates to the 
Controls To Add Macau

AGENCY: Bureau of Industry and Security, Department of Commerce.

ACTION: Interim final rule; update.

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SUMMARY: On October 7, 2022, the Bureau of Industry and Security (BIS) 
updated the Export Administration Regulations (EAR) to implement 
necessary controls on advanced computing integrated circuits (ICs), 
computer commodities that contain such ICs, and certain semiconductor 
manufacturing items, and to make other changes to the EAR to ensure 
that appropriate controls are in place for these items, including 
specific activities of ``U.S. persons.'' This rule makes an initial 
update to the controls to more effectively achieve the policy 
objectives identified in previous regulations by adding the same 
controls implemented on China in that rule to Macau. The public may 
submit comments on the controls in the October 7 advanced computing and 
semiconductor manufacturing equipment rule, which BIS is extending to 
Macau in this rule. BIS intends to publish a subsequent rule to respond 
to the comments received, including making updates to the controls 
included in the October 7 advanced computing and semiconductor 
manufacturing equipment rule.

DATES: 
    Effective date: This rule is effective on January 17, 2023.
    Comments due: Comments must be received by BIS no later than 
January 31, 2023.

[[Page 2822]]


ADDRESSES: Comments on this rule may be submitted to the Federal 
rulemaking portal (www.regulations.gov). The regulations.gov ID for 
this rule is: BIS-2022-0025. Please refer to RIN 0694-AI94 in all 
comments.
    All filers using the portal should use the name of the person or 
entity submitting the comments as the name of their files, in 
accordance with the instructions below. Anyone submitting business 
confidential information should clearly identify the business 
confidential portion at the time of submission, file a statement 
justifying nondisclosure and referring to the specific legal authority 
claimed, and provide a non-confidential version of the submission.
    For comments submitted electronically containing business 
confidential information, the file name of the business confidential 
version should begin with the characters ``BC.'' Any page containing 
business confidential information must be clearly marked ``BUSINESS 
CONFIDENTIAL'' on the top of that page. The corresponding non-
confidential version of those comments must be clearly marked 
``PUBLIC.'' The file name of the non-confidential version should begin 
with the character ``P.'' Any submissions with file names that do not 
begin with either a ``BC'' or a ``P'' will be assumed to be public and 
will be made publicly available through https://www.regulations.gov.

FOR FURTHER INFORMATION CONTACT: For questions on the license 
requirements in the October 7 advanced computing and semiconductor 
manufacturing equipment rule or the updates included in this rule, 
contact Eileen Albanese, Director, Office of National Security and 
Technology Transfer Controls, Bureau of Industry and Security, 
Department of Commerce, Phone: (202) 482-0092, Email: [email protected]. 
For emails, include ``Advanced computing controls'' or ``Semiconductor 
manufacturing items control'' as applicable in the subject line.
    For questions on the Entity List revisions included in the October 
7 advanced computing and semiconductor manufacturing equipment rule, 
contact: Chair, End-User Review Committee, Office of the Assistant 
Secretary for Export Administration, Bureau of Industry and Security, 
Department of Commerce, Phone: (202) 482-5991, Email: [email protected].

SUPPLEMENTARY INFORMATION:

I. Background

    On October 7, 2022, the Bureau of Industry and Security (BIS) put 
on public display the interim final rule, Implementation of Additional 
Export Controls: Certain Advanced Computing and Semiconductor 
Manufacturing Items; Supercomputer and Semiconductor End Use; Entity 
List Modification (October 7 advanced computing and semiconductor 
manufacturing equipment rule) (87 FR 62186), which amended the Export 
Administration Regulations (15 CFR 730-774) (EAR) to implement 
necessary controls on advanced computing integrated circuits (ICs), 
computer commodities that contain such ICs, and certain semiconductor 
manufacturing items, and to make other changes to the EAR to ensure 
that appropriate controls are in place for these items, including 
specific activities of ``U.S. persons.''
    On October 13, 2022, (BIS) published the October 7 advanced 
computing and semiconductor manufacturing equipment rule, which made 
critical changes to the Export Administration Regulations (15 CFR 730-
774) (EAR) in two areas to address U.S. national security and foreign 
policy concerns. First, BIS imposed additional export controls on 
certain advanced computing semiconductor chips (chips, advanced 
computing chips, integrated circuits (ICs)), transactions for 
supercomputer end uses, and transactions involving certain entities on 
the Entity List (supplement no. 4 to part 744). Second, BIS adopted 
additional controls on certain semiconductor manufacturing items and 
transactions for certain IC production end uses. See the Overview of 
New Controls section in the October 7 advanced computing and 
semiconductor manufacturing equipment rule for additional information 
about both. The October 7 advanced computing and semiconductor 
manufacturing equipment rule, which BIS published on an interim basis, 
also solicited public comments on the changes it implemented. See the 
ADDRESSES section for instruction on how to submit comments to that 
rule and information on how to view the public comments submitted in 
response to the October 7 advanced computing and semiconductor 
manufacturing equipment rule on www.regulations.gov.
    The restrictions implemented in the October 7 advanced computing 
and semiconductor manufacturing equipment rule followed extensive 
consideration by the United States government of technologies that are 
force multipliers for military modernization and human rights abuses. 
The assessment considered included, among other factors, whether the 
items could provide direct contributions to advancing military decision 
making, designing and testing weapons of mass destruction (WMD), 
producing semiconductors for use in advanced military systems, and 
developing advanced surveillance systems that can be used for military 
applications and human rights abuses. The Government of the People's 
Republic of China (PRC or China) has mobilized vast resources to 
support its defense modernization, including the implementation of its 
military-civil fusion development strategy, which is contrary to U.S. 
national security and foreign policy interests.
    This rule makes initial updates to the October 7 advanced computing 
and semiconductor manufacturing equipment rule's controls to more 
effectively achieve the identified policy objectives by adding the same 
controls implemented on China in that rule to Macau. These changes are 
informed by BIS's review of the October 7 advanced computing and 
semiconductor manufacturing equipment rule and the questions BIS has 
received since October 7, 2022. The comment period on the October 7 
advanced computing and semiconductor manufacturing equipment rule, 
originally to close on December 12, 2022 but, in a rule published on 
December 7, 2022 (87 FR 74966) was extended to close on January 31, 
2023. The public may submit comments on the controls in the October 7 
advanced computing and semiconductor manufacturing equipment rule, 
which BIS is extending to Macau in this rule. BIS intends to publish a 
subsequent rule to respond to the comments, including additional 
updates to the controls in the October 7 advanced computing and 
semiconductor manufacturing equipment rule. The updates to the October 
7 advanced computing and semiconductor manufacturing equipment rule in 
this rule are described under Section II below.

II. Addition of Macau to the Same Controls Implemented on China

A. Addition of Macau to RS Controls Implemented in the October 7 
Advanced Computing and Semiconductor Manufacturing Equipment Rule

    This rule adds the destination of Macau to the scope of the 
Regional Stability (RS) controls that were implemented specific to 
China in the October 7 advanced computing and semiconductor 
manufacturing

[[Page 2823]]

equipment rule. For purposes of the EAR, this rule does not change the 
status of Macau; it will continue to be treated as a separate 
destination from China. According to the U.S. Department of State's 
fact sheet, U.S. Relations with Macau, Bilateral Relations Fact Sheet 
of June 1, 2021 (see https://www.state.gov/u-s-relations-with-macau/), 
Macau has been a Special Administrative Region of China since 1999, 
when it was returned to Chinese sovereignty from Portuguese 
administration; therefore, its foreign relations and defense are the 
responsibility of China. China grants Macau limited autonomy in 
economic and commercial relations. U.S. policy toward Macau is grounded 
in the U.S. Macau Policy Act of 1999 and reflects U.S. support for 
Macau's autonomy under the ``One Country, Two Systems'' framework 
established in Macau's Basic Law.
    Because of Macau's position as a Special Administrative Region of 
China, and the potential risk of diversion of items subject to the EAR 
from Macau to China, this rule adds Macau as a destination to which a 
license will be required to prevent the diversion to China of items 
determined to be critical to protecting U.S. national security and 
foreign policy interests. This rule implements this change by adding 
Macau to the RS control paragraph in the following seven Export Control 
Classification Numbers (ECCNs): 3A090, 3B090, 3D001, 3E001, 4A090, 
4D090, and 4E001.
    In parallel with the addition of Macau to the RS control paragraph 
of the ECCNs identified above, and as part of the RS control structure 
implemented in the October 7 advanced computing and semiconductor 
manufacturing equipment rule, this rule also adds Macau to the general 
restriction on the use of license exceptions for these RS-controlled 
ECCNs in Sec.  740.2(a)(9). Additionally, in Sec.  742.6, this rule 
adds Macau to paragraphs (a)(6) and (b)(10), as part of the RS control 
structure implemented in the October 7 advanced computing and 
semiconductor manufacturing equipment rule.

B. Addition of Macau to Advanced Computing and Supercomputer FDP Rules

    In Sec.  734.9, this rule adds Macau to the destination scope of 
the Advanced computing FDP rule under paragraph (h) and to the 
``Supercomputer'' FDP rule under paragraph (i) by adding Macau to 
paragraphs (h)(2)(i) and (ii) and paragraphs (i)(2)(i) and (ii), 
respectively. BIS is adding Macau to these two FDP rules as part of the 
RS control structure implemented in the October 7 advanced computing 
and semiconductor manufacturing equipment rule.
    In supplement no. 1 to part 734--Model Certification for Purposes 
of Advanced Computing FDP rule, this rule makes a conforming change by 
adding Macau to the certification under paragraph (b)(2).

D. Addition of Macau to Sec. Sec.  744.6 and 744.23

    This rule adds Macau as an additional destination in the end-use 
controls under Sec. Sec.  744.6 and 744.23. Because China has invested 
large amounts of capital to develop a special economic zone to develop 
semiconductors in Macau and the diversion concerns to China referenced 
above, there is a need to include Macau as an additional destination 
under Sec. Sec.  744.6 and 744.23 at this time. This rule makes the 
following changes to add Macau to Sec. Sec.  744.6 and 744.23.
    In Sec.  744.6, this rule adds Macau to the additional prohibitions 
on ``U.S. persons'' informed by BIS paragraphs (c)(2)(i) through (ix) 
and to the license review standards under paragraph (e)(3).
    In Sec.  744.23, this rule adds Macau to the end-use scope under 
paragraphs (a)(2)(i) through (v) and to the license review standards in 
paragraph (d).

E. Addition of Macau to the Temporary General License (TGL)

    In supplement no. 1 to part 736--General Orders, this rule revises 
paragraph (d) (General Order No. 4), as a conforming change to the 
addition of Macau to the RS controls and FDP rules, as described above, 
to add Macau to the scope of the temporary general license (TGL).
Savings Clause
    The savings clause for the advanced computing rule has already 
passed and is not being renewed or extended with the publication of 
this rule. This rule does include a savings clause which is specific 
and limited to the new controls for Macau.
    Shipments of items removed from license exception eligibility or 
eligibility for export, reexport, or transfer (in-country) without a 
license to or within Macau 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 January 
17, 2023, may continue to the destination under the previous license 
exception eligibility or without a license so long as they have been 
exported, reexported or transferred (in-country) before February 16, 
2023. Any such items not actually exported, reexported or transferred 
(in-country) before midnight, on February 16, 2023, 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 Export Control Reform Act of 2018 (ECRA) (codified, as 
amended, at 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. To the extent it applies to certain 
activities that are the subject of this rule, the Trade Sanctions 
Reform and Export Enhancement Act of 2000 (TSRA) (codified, as amended, 
at 22 U.S.C. Sections 7201-7211) also serves as authority for this 
rule.
Rulemaking Requirements
    1. This interim final rule is not a ``significant regulatory 
action'' because it ``pertain[s]'' to a ``military or foreign affairs 
function of the United States'' under sec. 3(d)(2) of Executive Order 
12866.
    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.
    This rule involves the following OMB-approved collections of 
information subject to the PRA:
     0694-0088, ``Multi-Purpose Application,'' which carries a 
burden hour estimate of 29.4 minutes for a manual or electronic 
submission;
     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.
    BIS does not anticipate any changes in these estimates as a result 
of the changes include in today's rule. Additional information 
regarding these collections of information--including all background 
materials--can be found at https://www.reginfo.gov/public/do/PRAMain by 
using the search function to enter either the title of the collection 
or the OMB Control Number.

[[Page 2824]]

    3. This rule does not contain policies with federalism implications 
as that term is defined in Executive Order 13132.
    4. Pursuant to section 1762 of ECRA (50 U.S.C. 4821), this action 
is exempt from the Administrative Procedure Act (APA) (5 U.S.C. 553) 
requirements for notice of proposed rulemaking, opportunity for public 
participation, and delay in effective date. While section 1762 of ECRA 
provides sufficient authority for such an exemption, this action is 
also independently exempt from these APA requirements because it 
involves a military or foreign affairs function of the United States (5 
U.S.C. 553(a)(1)).
    5. Because a notice of proposed rulemaking and an opportunity for 
public comment are not required to be given for this rule by 5 U.S.C. 
553, or by any other law, the analytical requirements of the Regulatory 
Flexibility Act, 5 U.S.C. 601, et seq., are not applicable. 
Accordingly, no regulatory flexibility analysis is required, and none 
has been prepared.

List of Subjects

15 CFR Part 734

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

15 CFR Parts 736 and 772

    Exports.

15 CFR Part 740

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

15 CFR Part 742

    Exports, Terrorism.

15 CFR Part 744

    Exports, Reporting and recordkeeping requirements, Terrorism.

15 CFR Part 762

    Administrative practice and procedure, Business and industry, 
Confidential business information, Exports, Reporting and recordkeeping 
requirements.

15 CFR Part 774

    Exports, Reporting and recordkeeping requirements.

    For the reasons stated in the preamble, parts 734, 736, 740, 742, 
744, 762, 772, and 774 of the Export Administration Regulations (15 CFR 
parts 730 through 774) are amended as follows:

PART 734--SCOPE OF THE EXPORT ADMINISTRATION REGULATIONS

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

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

0
2. Section 734.9 is amended by revising paragraphs (h)(2)(i) and (ii) 
and (i)(2)(i) and (ii) to read as follows:


Sec.  734.9  Foreign-Direct Product (FDP) Rules.

* * * * *
    (h) * * *
    (2) * * *
    (i) Destined to the PRC or Macau or will be incorporated into any 
``part,'' ``component,'' ``computer,'' or ``equipment'' not designated 
EAR99 that is destined to the PRC or Macau; or
    (ii) Technology developed by an entity headquartered in the PRC or 
Macau for the ``production'' of a mask or an integrated circuit wafer 
or die.
* * * * *
    (i) * * *
    (2) * * *
    (i) Used in the design, ``development,'' ``production,'' operation, 
installation (including on-site installation), maintenance (checking), 
repair, overhaul, or refurbishing of, a ``supercomputer'' located in or 
destined to the PRC or Macau; or
    (ii) Incorporated into, or used in the ``development,'' or 
``production,'' of any ``part,'' ``component,'' or ``equipment'' that 
will be used in a ``supercomputer'' located in or destined to the PRC 
or Macau.

0
3. Supplement No. 1 to part 734 is amended by revising paragraph (b)(2) 
to read as follows:

Supplement No. 1 to Part 734--Model Certification for Purposes of 
Advanced Computing FDP Rule

* * * * *
    (b) * * *
    (2) My organization is aware that the items, [INSERT A 
DESCRIPTION OF THE ITEMS], provided to this exporter, reexporter, or 
transferor, [INSERT NAME OF EXPORTER, REEXPORTER, OR TRANSFEROR], 
could be subject to the U.S. Export Administration Regulations (EAR) 
(15 CFR 730-774) if future transactions are within the destination 
scope of Sec.  734.9(h)(2)(i) or (ii) and exported or reexported to 
or transferred within the People's Republic of China (China) or 
Macau;
* * * * *

PART 736--GENERAL PROHIBITIONS

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

    Authority:  50 U.S.C. 4801-4852; 50 U.S.C. 4601 et seq.; 50 
U.S.C. 1701 et seq.; E.O. 12938, 59 FR 59099, 3 CFR, 1994 Comp., p. 
950; E.O. 13020, 61 FR 54079, 3 CFR, 1996 Comp., p. 219; E.O. 13026, 
61 FR 58767, 3 CFR, 1996 Comp., p. 228; E.O. 13222, 66 FR 44025, 3 
CFR, 2001 Comp., p. 783; E.O. 13338, 69 FR 26751, 3 CFR, 2004 Comp., 
p. 168; Notice of May 9, 2022, 87 FR 28749 (May 10, 2022); Notice of 
November 8, 2022, 87 FR 68015 (November 10, 2022).

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

Supplement No. 1 to Part 736--General Orders

* * * * *
    (d) General Order No. 4: The purpose of this General Order is to 
avoid disruption of supply chains for items specified in paragraph 
(d)(1) of this supplement that are ultimately destined to customers 
outside of People's Republic of China (China) or Macau.
    (1) Temporary General License (TGL). BIS authorizes, from 
October 21, 2022, through April 7, 2023, exports, reexports, in-
country transfers, and exports from abroad destined to or within 
China or Macau by companies not headquartered in Country Groups D:1 
or D:5 or E (see supplement no. 1 to part 740 of the EAR) to 
continue or engage in integration, assembly (mounting), inspection, 
testing, quality assurance, and distribution of items covered by 
ECCN 3A090, 4A090, and associated software and technology in ECCN 
3D001, 3E001, 4D090, or 4E001; or any item that is a computer, 
integrated circuit, ``electronic assembly'' or ``component'' and 
associated software and technology, specified elsewhere on Commerce 
Control List (supplement no. 1 to part 774 of the EAR), which meets 
or exceeds the performance parameters of ECCN 3A090 or 4A090. This 
does not authorize the export, reexport, in-country transfer, or 
export from abroad to ``end-users'' or ``ultimate consignees'' in 
China or Macau. This TGL does not overcome the license requirements 
of Sec. Sec.  744.11 or 744.21 when an entity listed in supplements 
no. 4 or 7 to part 744 is a party to the transaction as described in 
Sec.  748.5(c) through (f) of the EAR, or when there is knowledge of 
any other prohibited end use or end user. This TGL is only for 
companies that engage in the specific activities authorized under 
this TGL.
    (2) Recordkeeping requirement. Prior to any export, reexport, or 
transfer (in-country) to China or Macau pursuant to this TGL, the 
exporter, reexporter, or transferor, must retain the name of the 
entity receiving the item and the complete physical address of where 
the item is destined in China or Macau and the location of that 
company's headquarters.
* * * * *

[[Page 2825]]

PART 740--LICENSE EXCEPTIONS

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

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

0
7. Section 740.2 is amended by revising the first sentence of paragraph 
(a)(9) introductory text to read as follows:


Sec.  740.2  Restrictions on all License Exceptions.

    (a) * * *
    (9) The item is identified in paragraphs (a)(9)(i) and (ii) of this 
section, being exported, reexported, or transferred (in-country) to or 
within the People's Republic of China (PRC) or Macau, and the license 
exception is other than: RPL (excluding 3B090, 3D001 (for 3B090), and 
3E001 (for 3B090)), under the provisions of Sec.  740.10, including 
Sec.  740.10(a)(3)(v), which prohibits exports and reexports of 
replacement parts to countries in Country Group E:1 (see supplement no. 
1 to this part)); GOV, restricted to eligibility under the provisions 
of Sec.  740.11(b)(2)(ii); or TSU (excluding 3B090, 3D001 (for 3B090), 
and 3E001 (for 3B090)), under the provisions of Sec.  740.13(a) and 
(c). * * *
* * * * *

PART 742--CONTROL POLICY--CCL BASED CONTROLS

0
8. The authority citation for part 742 is revised to read as follows:

    Authority:  50 U.S.C. 4801-4852; 50 U.S.C. 4601 et seq.; 50 
U.S.C. 1701 et seq.; 22 U.S.C. 3201 et seq.; 42 U.S.C. 2139a; 22 
U.S.C. 7201 et seq.; 22 U.S.C. 7210; Sec. 1503, Pub. L. 108-11, 117 
Stat. 559; E.O. 12058, 43 FR 20947, 3 CFR, 1978 Comp., p. 179; E.O. 
12851, 58 FR 33181, 3 CFR, 1993 Comp., p. 608; E.O. 12938, 59 FR 
59099, 3 CFR, 1994 Comp., p. 950; E.O. 13026, 61 FR 58767, 3 CFR, 
1996 Comp., p. 228; E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 
783; Presidential Determination 2003-23, 68 FR 26459, 3 CFR, 2004 
Comp., p. 320; Notice of November 8, 2022, 87 FR 68015 (November 10, 
2022).

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


Sec.  742.6   Regional stability.

    (a) * * *
    (6) RS requirement that applies to the People's Republic of China 
(China) and Macau for advanced computing and semiconductor 
manufacturing items--(i) Exports, reexports, transfers (in-country). A 
license is required for items specified in ECCNs 3A090, 3B090, 4A090, 
5A992 (that meet or exceed the performance parameters of ECCNs 3A090 or 
4A090) and associated software and technology in 3D001 (for 3A090 or 
3B090), 3E001 (for 3A090 or 3B090), 3B090, or 3D001 (for 3A090 or 
3B090), 4D090, 4E001 (for 4A090 and 4D090), and 5D992 (that meet or 
exceed the performance parameters of ECCNs 3A090 or 4A090) being 
exported, reexported, or transferred (in-country) to or within China or 
Macau. A license is also required for the export from China or Macau to 
any destination worldwide of 3E001 (for 3A090) technology developed by 
an entity headquartered in China or Macau that is the direct product of 
software subject to the EAR and is for the ``production'' of 
commodities identified in ECCNs 3A090, 4A090, or identified elsewhere 
on the CCL that meet or exceed the performance parameters of ECCNs 
3A090 or 4A090, consistent with Sec.  734.9(h)(1)(i)(B)(1) and 
(h)(2)(ii) of the EAR.
    (ii) Deemed exports. The license requirements in this paragraph 
(a)(6) do not apply to deemed exports or deemed reexports.
* * * * *
    (b) * * *
    (10) Advanced computing and semiconductor manufacturing items when 
destined to China or Macau. There is a presumption of denial for 
applications for items specified in paragraph (a)(6) of this section 
being exported, reexported, or transferred (in-country) to or within 
China or Macau. See Sec.  744.11(a)(2)(ii) of the EAR for license 
requirements, license review policy, and license exceptions applicable 
to specific entities. License applications for semiconductor 
manufacturing items, such as semiconductor equipment, destined to end 
users in China or Macau that are headquartered in the United States or 
in a country in Country Group A:5 or A:6 will be considered on a case-
by-case basis, taking into account factors including technology level, 
customers and compliance plans.
* * * * *

PART 744--END-USE AND END-USER CONTROLS

0
10. The authority citation for part 744 is revised to read as follows:

    Authority:  50 U.S.C. 4801-4852; 50 U.S.C. 4601 et seq.; 50 
U.S.C. 1701 et seq.; 22 U.S.C. 3201 et seq.; 42 U.S.C. 2139a; 22 
U.S.C. 7201 et seq.; 22 U.S.C. 7210; E.O. 12058, 43 FR 20947, 3 CFR, 
1978 Comp., p. 179; E.O. 12851, 58 FR 33181, 3 CFR, 1993 Comp., p. 
608; E.O. 12938, 59 FR 59099, 3 CFR, 1994 Comp., p. 950; E.O. 13026, 
61 FR 58767, 3 CFR, 1996 Comp., p. 228; E.O. 13099, 63 FR 45167, 3 
CFR, 1998 Comp., p. 208; E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp., 
p. 783; E.O. 13224, 66 FR 49079, 3 CFR, 2001 Comp., p. 786; Notice 
of September 19, 2022, 87 FR 57569 (September 21, 202); Notice of 
November 8, 2022, 87 FR 68015 (November 10, 2022).

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


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

* * * * *
    (c) * * *
    (2) Consistent with paragraph (c)(1) of this section, BIS is hereby 
informing ``U.S. persons'' that a license is required for the following 
activities, which could involve `support' for the weapons of mass 
destruction-related end uses set forth in paragraph (b) of this 
section.
    (i) Shipping, transmitting, or transferring (in-country) to or 
within the PRC or Macau any item not subject to the EAR that you know 
will be used in the ``development'' or ``production'' of integrated 
circuits at a semiconductor fabrication ``facility'' located in the PRC 
or Macau that fabricates integrated circuits meeting any of the 
following criteria:
    (A) Logic integrated circuits using a non-planar architecture or 
with a ``production'' technology node of 16/14 nanometers or less;
    (B) NOT-AND (NAND) memory integrated circuits with 128 layers or 
more; or
    (C) Dynamic random-access memory (DRAM) integrated circuits using a 
``production'' technology node of 18 nanometer half-pitch or less; or
    (ii) Facilitating the shipment, transmission, or transfer (in-
country) of any item not subject to the EAR that you know will be used 
in the ``development'' or ``production'' of integrated circuits at a 
semiconductor fabrication ``facility'' located in the PRC or Macau that 
fabricates integrated circuits that meet any of the criteria in 
paragraphs (c)(2)(i)(A) through (C) of this section;
    (iii) Servicing any item not subject to the EAR that you know will 
be used in the ``development'' or ``production'' of integrated circuits 
at a semiconductor fabrication ``facility'' located in the PRC or Macau 
that fabricates integrated circuits that meet any of the criteria in 
paragraphs (c)(2)(i)(A) through (C) of this section;
    (iv) Shipping, transmitting, or transferring (in-country) to or 
within the PRC or Macau any item not subject to the EAR and meeting the 
parameters of any ECCN in Product Groups B, C, D, or

[[Page 2826]]

E in Category 3 of the CCL that you know will be used in the 
``development'' or ``production'' of integrated circuits at any 
semiconductor fabrication ``facility'' located in the PRC or Macau, but 
you do not know whether such semiconductor fabrication ``facility'' 
fabricates integrated circuits that meet any of the criteria in 
paragraphs (c)(2)(i)(A) through (C) of this section;
    (v) Facilitating the shipment, transmission, or transfer (in-
country) to or within the PRC or Macau of any item not subject to the 
EAR and meeting the parameters of any ECCN in Product Groups B, C, D, 
or E in Category 3 of the CCL that you know will be used in the 
``development'' or ``production,'' of integrated circuits at any 
semiconductor fabrication ``facility'' located in the PRC or Macau, but 
you do not know whether such semiconductor fabrication ``facility'' 
fabricates integrated circuits that meet any of the criteria in 
paragraphs (c)(2)(i)(A) through (C) of this section;
    (vi) Servicing any item not subject to the EAR and meeting the 
parameters of any ECCN in Product Groups B, C, D, or E in Category 3 of 
the CCL that you know will be used in the ``development'' or 
``production'' of integrated circuits at any semiconductor fabrication 
``facility'' located in the PRC or Macau, but you do not know whether 
such semiconductor fabrication ``facility'' fabricates integrated 
circuits that meet any of the criteria in paragraphs (c)(2)(i)(A) 
through (C) of this section;
    (vii) Shipping, transmitting, or transferring (in-country) to or 
within the PRC or Macau any item not subject to the EAR and meeting the 
parameters of ECCN 3B090, 3D001 (for 3B090), or 3E001 (for 3B090) 
regardless of end use or end user;
    (viii) Facilitating the shipment, transmission, or transfer (in-
country) to or within the PRC or Macau of any item not subject to the 
EAR and meeting the parameters of ECCN 3B090, 3D001 (for 3B090), or 
3E001 (for 3B090), regardless of end use or end user; or
    (ix) Servicing any item not subject to the EAR located in the PRC 
or Macau and meeting the parameters of ECCN 3B090, 3D001 (for 3B090), 
or 3E001 (for 3B090), regardless of end use or end user.
* * * * *
    (e) * * *
    (3) Applications for licenses submitted pursuant to the notice of a 
license requirement set forth in paragraph (c)(2) of this section will 
be reviewed with a presumption of denial, except for end users in the 
PRC or Macau headquartered in the United States or a country in Country 
Group A:5 or A:6, which will be considered on a case-by-case basis 
taking into account factors including technology level, customers, and 
compliance plans.

0
12. Section 744.23 is amended by revising paragraphs (a)(2) and (d) to 
read as follows:


Sec.  744.23   ``Supercomputer'' and semiconductor manufacturing end 
use.

    (a) * * *
    (2) End-use scope. The following activities meet the end-use scope 
of the prohibition in this section:
    (i) The ``development,'' ``production,'' ``use,'' operation, 
installation (including on-site installation), maintenance (checking), 
repair, overhaul, or refurbishing of a ``supercomputer'' located in or 
destined to the PRC or Macau;
    (ii) The incorporation into, or the ``development'' or 
``production'' of any ``component'' or ``equipment'' that will be used 
in a ``supercomputer'' located in or destined to the PRC or Macau; or
    (iii) The ``development'' or ``production,'' of integrated circuits 
at a semiconductor fabrication ``facility'' located in the PRC or Macau 
that fabricates integrated circuits meeting any of the following 
criteria:
    (A) Logic integrated circuits using a non-planar transistor 
architecture or with a ``production'' technology node of 16/14 
nanometers or less;
    (B) NOT AND (NAND) memory integrated circuits with 128 layers or 
more; or
    (C) Dynamic random-access memory (DRAM) integrated circuits using a 
``production'' technology node of 18 nanometer half-pitch or less; or
    (iv) The ``development'' or ``production'' of integrated circuits 
at any semiconductor fabrication ``facility'' located in the PRC or 
Macau, but you do not know whether such semiconductor fabrication 
``facility'' fabricates integrated circuits that meet any of the 
criteria in paragraphs (a)(2)(iii)(A) through (C) of this section; or
    (v) The ``development'' or ``production'' in the PRC or Macau of 
any ``parts,'' ``components,'' or ``equipment'' specified under ECCN 
3B001, 3B002, 3B090, 3B611, 3B991, or 3B992.
* * * * *
    (d) License review standards. There is a presumption of denial for 
applications to export, reexport, or transfer (in-country) items 
described in paragraph (a)(1) of this section that are for end uses 
described in paragraph (a)(2) of this section, except for items 
controlled under paragraph (a)(2)(iii) of this section for end users in 
China or Macau that are headquartered in the United States or in a 
Country Group A:5 or A:6 country, which will be considered on a case-
by-case basis taking into account factors including technology level, 
customers and compliance plans.

PART 774--THE COMMERCE CONTROL LIST

0
13. 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
14. Supplement no. 1 to part 774 is amended by revising ECCNs 3A090, 
3B090, 3D001, 3E001, 4A090, 4D090, and 4E001 to read as follows:

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

* * * * *

3A090 Integrated circuits as follows (see List of Items Controlled).

License Requirements

Reason for Control: RS, AT

 
                                            Country chart (see Supp. No.
                Control(s)                         1 to part 738)
 
RS applies to entire entry................  China and Macau (See Sec.
                                             742.6(a)(6))
AT applies to entire entry................  AT Column 1
 

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

LVS: N/A
GBS: N/A

List of Items Controlled

Related Controls: See ECCNs 3D001 and 3E001 for associated 
technology and software controls.
Related Definitions: N/A
Items:

    a. Integrated circuits that have or are programmable to have an 
aggregate bidirectional transfer rate over all inputs and outputs of 
600 Gbyte/s or more to or from integrated circuits other than 
volatile memories, and any of the following:
    a.1. One or more digital processor units executing machine 
instructions having a bit length per operation multiplied by 
processing performance measured in TOPS, aggregated over all 
processor units, of 4800 or more;
    a.2. One or more digital `primitive computational units,' 
excluding those units contributing to the execution of machine 
instructions relevant to the calculation of TOPS for 3A090.a.1, 
having a bit length per

[[Page 2827]]

operation multiplied by processing performance measured in TOPS, 
aggregated over all computational units, of 4800 or more;
    a.3. One or more analog, multi-value, or multi-level `primitive 
computational units' having a processing performance measured in 
TOPS multiplied by 8, aggregated over all computational units, of 
4800 or more; or
    a.4. Any combination of digital processor units and `primitive 
computational units' whose calculations according to 3A090.a.1, 
3A090.a.2, and 3A090.a.3 sum to 4800 or more.
    Note: Integrated circuits specified by 3A090.a include graphical 
processing units (GPUs), tensor processing units (TPUs), neural 
processors, in-memory processors, vision processors, text 
processors, co-processors/accelerators, adaptive processors, field-
programmable logic devices (FPLDs), and application-specific 
integrated circuits (ASICs). Examples of integrated circuits are in 
the Note to 3A001.a.
    Technical Notes:
    1. A `primitive computational unit' is defined as containing 
zero or more modifiable weights, receiving one or more inputs, and 
producing one or more outputs. A computational unit is said to 
perform 2N-1 operations whenever an output is updated based on N 
inputs, where each modifiable weight contained in the processing 
element counts as an input. Each input, weight, and output might be 
an analog signal level or a scalar digital value represented using 
one or more bits. Such units include:

--Artificial neurons
--Multiply accumulate (MAC) units
--Floating-point units (FPUs)
--Analog multiplier units
--Processing units using memristors, spintronics, or magnonics
--Processing units using photonics or non-linear optics
--Processing units using analog or multi-level nonvolatile weights
--Processing units using multi-level memory or analog memory
--Multi-value units
--Spiking units

    2. Operations relevant to the calculation of TOPS for 3A090.a 
include both scalar operations and the scalar constituents of 
composite operations such as vector operations, matrix operations, 
and tensor operations. Scalar operations include integer operations, 
floating-point operations (often measured by FLOPS), fixed-point 
operations, bit-manipulation operations, and/or bitwise operations.
    3. TOPS is Tera Operations Per Second or 10\12\ Operations per 
Second.
    4. The rate of TOPS is to be calculated at its maximum value 
theoretically possible when all processing elements are operating 
simultaneously. The rate of TOPS and aggregate bidirectional 
transfer rate is assumed to be the highest value the manufacturer 
claims in a manual or brochure for the integrated circuit. For 
example, the threshold of 4800 bits x TOPS can be met with 600 tera 
integer operations at 8 bits or 300 tera FLOPS at 16 bits. The bit 
length of an operation is equal to the highest bit length of any 
input or output of that operation. Additionally, if an item 
specified by this entry is designed for operations that achieve 
different bits x TOPS value, the highest bits x TOPS value should be 
used for the purposes of 3A090.a.
    5. For integrated circuits specified by 3A090.a that provide 
processing of both sparse and dense matrices, the TOPS values are 
the values for processing of dense matrices (e.g., without 
sparsity).
    b. [Reserved]
* * * * *
3B090 Semiconductor manufacturing equipment, not controlled by 
3B001, as follows (see List of Items Controlled) and ``specially 
designed'' ``parts,'' ``components,'' and ``accessories'' therefor.

License Requirements

Reason for Control: RS, AT

 
                                            Country chart (see Supp. No.
                Control(s)                         1 to part 738)
 
RS applies to entire entry................  China and Macau (see Sec.
                                             742.6(a)(6))
AT applies to entire entry................  AT Column 1
 

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

LVS: N/A
GBS: N/A

List of Items Controlled

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

    a. Semiconductor manufacturing deposition equipment, as follows:
    a.1. Equipment for depositing cobalt through electroplating 
processes.
    a.2. Chemical vapor deposition equipment capable of deposition 
of cobalt or tungsten fill metal having a void/seam having a largest 
dimension less than or equal to 3 nm in the fill metal using a 
bottom-up fill process.
    a.3 Equipment capable of fabricating a metal contact within one 
processing chamber by:
    a.3.a. Depositing a layer using an organometallic tungsten 
compound while maintaining the wafer substrate temperature between 
100 [deg]C and 500 [deg]C; and
    a.3.b. Conducting a plasma process where the chemistries include 
hydrogen, including H2+N2 and NH3.
    a.4. Equipment capable of fabricating a metal contact in a 
vacuum environment by:
    a.4.a. Using a surface treatment during a plasma process where 
the chemistries include hydrogen, including H2, 
H2+N2, and NH3, while maintaining 
the wafer substrate temperature between 100 [deg]C and 500 [deg]C;
    a.4.b. Using a surface treatment consisting of a plasma process 
where the chemistries include oxygen (including O2 and 
O3) while maintaining the wafer substrate temperature 
between 40 [deg]C and 500 [deg]C; and
    a.4.c. Depositing a tungsten layer while maintaining the wafer 
substrate temperature between 100[deg]C and 500[deg]C.
    a.5. Equipment capable of depositing a cobalt metal layer 
selectively in a vacuum environment where the first step uses a 
remote plasma generator and an ion filter, and the second step is 
the deposition of the cobalt layer using an organometallic compound.
    Note: This control does not apply to equipment that is non-
selective.
    a.6. Physical vapor deposition equipment capable of depositing a 
cobalt layer with a thickness of 10 nm or less on a top surface of a 
copper or cobalt metal interconnect.
    a.7. Atomic layer deposition equipment capable of depositing a 
`work function metal' for the purpose of adjusting transistor 
electrical parameters by delivering an organometallic aluminum 
compound and a titanium halide compound onto a wafer substrate.
    Technical note: `Work function metal' is a material that 
controls the threshold voltage of a transistor.
    a.8. Equipment capable of fabricating a metal contact in a 
vacuum environment by depositing all of the following:
    a.8.a. A titanium nitride (TiN) or tungsten carbide (WC) layer 
using an organometallic compound while maintaining the wafer 
substrate temperature between 20 [deg]C and 500 [deg]C;
    a.8.b. A cobalt layer using a physical sputter deposition 
technique where the process pressure is 1-100 mTorr while 
maintaining the wafer substrate temperature below 500 [deg]C; and
    a.8.c. A cobalt layer using an organometallic compound, where 
the process pressure is 1-100 Torr, and the wafer substrate 
temperature is maintained between 20 [deg]C and 500 [deg]C.
    a.9. Equipment capable of fabricating copper metal interconnects 
in a vacuum environment that deposits all of the following:
    a.9.a. A cobalt or ruthenium layer using organometallic compound 
where the process pressure is 1-100 Torr, and the wafer substrate 
temperature is maintained between 20 [deg]C and 500 [deg]C; and
    a.9.b. A copper layer using a physical vapor deposition 
technique where the process pressure is 1-100m Torr and the wafer 
substrate temperature is maintained below 500 [deg]C.
    a.10. Equipment capable of area selective deposition of a 
barrier or liner using an organometallic compound.
    Note: 3B090.a.10 includes equipment capable of area selective 
deposition of a barrier layer to enable fill metal contact to an 
underlying electrical conductor without a barrier layer at the fill 
metal via interface to an underlying electrical conductor.
    a.11. Atomic layer deposition equipment capable of producing a 
void/seam free fill of tungsten or cobalt in a structure having an 
aspect ratio greater than 5:1, with openings smaller than 40 nm, and 
at temperatures less than 500 [deg]C.
* * * * *
3D001 ``Software'' ``specially designed'' for the ``development'' or 
``production'' of commodities controlled by 3A001.b to 3A002.h, 
3A090, or 3B (except 3B991 and 3B992).

License Requirements

Reason for Control: NS, RS, AT

[[Page 2828]]



 
                                            Country chart (see Supp. No.
                Control(s)                         1 to part 738)
 
NS applies to ``software'' for commodities  NS Column 1
 controlled by 3A001.b to 3A001.h, 3A002,
 and 3B.
RS applies to ``software'' for commodities  China and Macau (see Sec.
 controlled by 3A090 or 3B090.               742.6(a)(6))
AT applies to entire entry................  AT Column 1
 

Reporting Requirements

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

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

TSR: Yes, except for ``software'' ``specially designed'' for the 
``development'' or ``production'' of Traveling Wave Tube Amplifiers 
described in 3A001.b.8 having operating frequencies exceeding 18 
GHz.

Special Conditions for STA

STA: License Exception STA may not be used to ship or transmit 
``software'' ``specially designed'' for the ``development'' or 
``production'' of equipment specified by 3A002.g.1 or 3B001.a.2 to 
any of the destinations listed in Country Group A:6 (See Supplement 
No.1 to part 740 of the EAR).

List of Items Controlled

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

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

License Requirements

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

 
                                            Country chart (see Supp. No.
                Control(s)                         1 to part 738)
 
NS applies to ``technology'' for            NS Column 1
 commodities controlled by 3A001, 3A002,
 3A003, 3B001, 3B002, or 3C001 to 3C006.
MT applies to ``technology'' for            MT Column 1
 commodities controlled by 3A001 or 3A101
 for MT reasons.
NP applies to ``technology'' for            NP Column 1
 commodities controlled by 3A001, 3A201,
 or 3A225 to 3A234 for NP reasons.
RS applies to ``technology'' for            China and Macau (See Sec.
 commodities controlled by 3A090 or 3B090    742.6(a)(6))
 or ``software'' specified by 3D001 (for
 3A090 or 3B090 commodities).
RS applies to ``technology'' for            Worldwide (See Sec.
 commodities controlled in 3A090, when       742.6(a)(6))
 exported from China or Macau.
AT applies to entire entry................  AT Column 1
 

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

Reporting Requirements

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

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

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

Special Conditions for STA

STA: License Exception STA may not be used to ship or transmit 
``technology'' according to the General Technology Note for the 
``development'' or ``production'' of equipment specified by ECCNs 
3A002.g.1 or 3B001.a.2 to any of the destinations listed in Country 
Group A:6 (See Supplement No. 1 to part 740 of the EAR). License 
Exception STA may not be used to ship or transmit ``technology'' 
according to the General Technology Note for the ``development'' or 
``production'' of components specified by ECCN 3A001.b.2 or b.3 to 
any of the destinations listed in Country Group A:5 or A:6 (See 
Supplement No.1 to part 740 of the EAR).

List of Items Controlled

Related Controls: (1)``Technology'' according to the General 
Technology Note for the ``development'' or ``production'' of certain 
``space-qualified'' atomic frequency standards described in Category 
XV(e)(9), MMICs described in Category XV(e)(14), and oscillators 
described in Category XV(e)(15) of the USML are ``subject to the 
ITAR'' (see 22 CFR parts 120 through 130). See also 3E101, 3E201 and 
9E515. (2) ``Technology'' for ``development'' or ``production'' of 
``Microwave Monolithic Integrated Circuits'' (``MMIC'') amplifiers 
in 3A001.b.2 is controlled in this ECCN 3E001; 5E001.d refers only 
to that additional ``technology'' ``required'' for 
telecommunications.
Related Definition: N/A
Items:
    The list of items controlled is contained in the ECCN heading.
    Note 1: 3E001 does not control ``technology'' for equipment or 
``components'' controlled by 3A003.
    Note 2: 3E001 does not control ``technology'' for integrated 
circuits controlled by 3A001.a.3 to a.14, having all of the 
following:
    (a) Using ``technology'' at or above 0.130 m; and
    (b) Incorporating multi-layer structures with three or fewer 
metal layers.
    Note 3: 3E001 does not apply to `Process Design Kits' (`PDKs') 
unless they include libraries implementing functions or technologies 
for items specified by 3A001.
    Technical Note: A `Process Design Kit' (`PDK') is a software 
tool provided by a semiconductor manufacturer to ensure that the 
required design practices and rules are taken into account in order 
to successfully produce a specific integrated circuit design in a 
specific semiconductor process, in accordance with technological and 
manufacturing constraints (each semiconductor manufacturing process 
has its particular `PDK').
* * * * *
4A090 Computers as follows (see List of Items Controlled) and 
related equipment, ``electronic assemblies,'' and ``components'' 
therefor.

License Requirements

Reason for Control: RS, AT

 
                                            Country chart (see Supp. No.
                Control(s)                         1 to part 738)
 
RS applies to entire entry................  China and Macau (see Sec.
                                             742.6(a)(6))
AT applies to entire entry................  AT Column 1
 

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

LVS: N/A
GBS: N/A

List of Items Controlled

Related Controls: For associated ``software'' for commodities in 
this ECCN, see 4D090 and for associated ``technology'' for 
commodities in this ECCN, see 4E001.

[[Page 2829]]

Related Definitions: N/A
Items:

    a. Computers, ``electronic assemblies,'' and ``components'' 
containing integrated circuits, any of which exceeds the limit in 
3A090.a.
    Technical Note: Computers include ``digital computers,'' 
``hybrid computers,'' and analog computers.
    b. Reserved
* * * * *
4D090 ``Software'' ``specially designed'' or modified for the 
``development'' or ``production,'' of computers and related 
equipment, ``electronic assemblies,'' and ``components'' therefor 
specified in ECCN 4A090.

License Requirements

Reason for Control: RS, AT

 
                                            Country chart (see Supp. No.
                Control(s)                         1 to part 738)
 
RS applies to entire entry................  China and Macau (See Sec.
                                             742.6(a)(6))
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: For associated ``technology'' for software in this 
ECCN, see 4E001.
Related Definitions: N/A
Items:

    The list of items controlled is contained in the ECCN heading.
* * * * *
4E001 ``Technology'' as follows (see List of Items Controlled).

License Requirements

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

 
                                            Country chart (see Supp. No.
                Control(s)                         1 to part 738)
 
NS applies to entire entry................  NS Column 1
MT applies to ``technology'' for items      MT Column 1
 controlled by 4A001.a and 4A101 for MT
 reasons.
RS applies to ``technology'' for            China and Macau (See Sec.
 commodities controlled by 4A090 or          742.6(a)(6))
 ``software'' specified by 4D090.
CC applies to ``software'' for              CC Column 1
 computerized finger-print equipment
 controlled by 4A003 for CC reasons.
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: Yes, except for the following:
    (1) ``Technology'' for the ``development'' or ``production'' of 
commodities with an ``Adjusted Peak Performance'' (``APP'') 
exceeding 29 WT or for the ``development'' or ``production'' of 
commodities controlled by 4A005 or ``software'' controlled by 4D004; 
or
    (2) ``Technology'' for the ``development'' of ``intrusion 
software''.

APP: Yes to specific countries (see Sec.  740.7 of the EAR for 
eligibility criteria).
ACE: Yes for 4E001.a (for the ``development'', ``production'' or 
``use'' of equipment or ``software'' specified in ECCN 4A005 or 
4D004) and for 4E001.c, except to Country Group E:1 or E:2. See 
Sec.  740.22 of the EAR for eligibility criteria.

Special Conditions for STA

STA: License Exception STA may not be used to ship or transmit 
``technology'' according to the General Technology Note for the 
``development'' or ``production'' of any of the following equipment 
or ``software'': a. Equipment specified by ECCN 4A001.a.2; b. 
``Digital computers'' having an `Adjusted Peak Performance' (`APP') 
exceeding 29 Weighted TeraFLOPS (WT); or c. ``software'' specified 
in the License Exception STA paragraph found in the License 
Exception section of ECCN 4D001 to any of the destinations listed in 
Country Group A:6 (See Supplement No. 1 to part 740 of the EAR); and 
may not be used to ship or transmit ``software'' specified in 
4E001.a (for the ``development'', ``production'' or ``use'' of 
equipment or ``software'' specified in ECCN 4A005 or 4D004) and 
4E001.c to any of the destinations listed in Country Group A:5 or 
A:6.

List of Items Controlled

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

    a. ``Technology'' according to the General Technology Note, for 
the ``development'', ``production'', or ``use'' of equipment or 
``software'' controlled by 4A (except 4A980 or 4A994) or 4D (except 
4D980, 4D993, 4D994).
    b. ``Technology'' according to the General Technology Note, 
other than that controlled by 4E001.a, for the ``development'' or 
``production'' of equipment as follows:
    b.1. ``Digital computers'' having an ``Adjusted Peak 
Performance'' (``APP'') exceeding 15 Weighted TeraFLOPS (WT);
    b.2. ``Electronic assemblies'' ``specially designed'' or 
modified for enhancing performance by aggregation of processors so 
that the ``APP'' of the aggregation exceeds the limit in 4E001.b.1.
    c. ``Technology'' for the ``development'' of ``intrusion 
software.''
    Note 1: 4E001.a and 4E001.c do not apply to ``vulnerability 
disclosure'' or ``cyber incident response''.
    Note 2: Note 1 does not diminish national authorities' rights to 
ascertain compliance with 4E001.a and 4E001.c.
* * * * *

Thea D. Rozman Kendler,
Assistant Secretary for Export Administration.
[FR Doc. 2023-00888 Filed 1-17-23; 8:45 am]
BILLING CODE 3510-33-P


