Items Covered
- a.Equipment "specially designed" for the manufacture of electron tubes, optical elements, and "specially designed" "parts" and "components" therefor controlled by 3A001 or 3A991;
- b.Equipment "specially designed" for the manufacture of semiconductor devices, integrated circuits and "electronic assemblies," as follows, and systems incorporating or having the characteristics of such equipment:
- 1. Equipment for the processing of materials for the manufacture of devices, "parts," and "components" as specified in the heading of 3B991.b, as follows:
- 1.a. Equipment for producing polycrystalline silicon and materials controlled by 3C001;
- 1.b. Equipment "specially designed" for purifying or processing III/V and II/VI semiconductor materials controlled by ECCNs 3C001, 3C002, 3C003, 3C004, or 3C005 except crystal pullers, for which see 3B991.b.1.c below;
- 1.c. Crystal pullers and furnaces, as follows:
- 1.c.1. Annealing or recrystallizing equipment other than constant temperature furnaces employing high rates of energy transfer capable of processing wafers at a rate exceeding 0.005 m2 per minute;
- 1.c.2. "Stored program controlled" crystal pullers having any of the following characteristics:
- 1.c.2.a. Rechargeable without replacing the crucible container;
- 1.c.2.b. Capable of operation at pressures above 2.5 × 105 Pa; or
- 1.c.2.c. Capable of pulling crystals of a diameter exceeding 100 mm;
- 1.d. "Stored program controlled" equipment for epitaxial growth having any of the following characteristics:
- 1.d.1. Capable of producing silicon layer with a thickness uniform to less than ±2.5% across a distance of 200 mm or more;
- 1.d.2. Capable of producing a layer of any material other than silicon with a thickness uniformity across the wafer of equal to or better than ±3.5%; or
- 1.d.3. Rotation of individual wafers during processing;
- 1.e. Molecular beam epitaxial growth equipment;
- 1.f. Magnetically enhanced 'sputtering' equipment with "specially designed" integral load locks capable of transferring wafers in an isolated vacuum environment;
- 1.g. Equipment "specially designed" for ion implantation, ion-enhanced, or photo-enhanced diffusion, having any of the following characteristics:
- 1.g.1. Patterning capability;
- 1.g.2. Beam energy (accelerating voltage) exceeding 200 keV;
- 1. Equipment for the processing of materials for the manufacture of devices, "parts," and "components" as specified in the heading of 3B991.b, as follows:
- b.1.g.3 Optimized to operate at a beam energy (accelerating voltage) of less than 10 keV; or
- 1.g.4. Capable of high energy oxygen implant into a heated "substrate";
- 1.h. "Stored program controlled" equipment for the selective removal (i.e., etching) by means of anisotropic dry methods (e.g., plasma), as follows:
- 1.h.1. Batch types having either of the following:
- 1.h.1.a. End-point detection, other than optical emission spectroscopy types; or
- 1.h.1.b. Reactor operational (etching) pressure of 26.66 Pa or less;
- 1.h.2. Single wafer types having any of the following:
- 1.h.2.a. End-point detection, other than optical emission spectroscopy types;
- 1.h.2.b. Reactor operational (etching) pressure of 26.66 Pa or less; or
- 1.h.2.c. Cassette-to-cassette and load locks wafer handling;
- 1.i. "Chemical vapor deposition" (CVD) equipment (e.g., plasma-enhanced CVD (PECVD) or photo-enhanced CVD) for semiconductor device manufacturing, having either of the following capabilities, for deposition of oxides, nitrides, metals, or polysilicon:
- 1.i.1. "Chemical vapor deposition" equipment operating below 105 Pa; or
- 1.i.2. PECVD equipment operating either below 60 Pa (450 millitorr) or having automatic cassette-to-cassette and load lock wafer handling;
- 1.j. Electron beam systems "specially designed" or modified for mask making or semiconductor device processing having any of the following characteristics:
- 1.j.1. Electrostatic beam deflection;
- 1.j.2. Shaped, non-Gaussian beam profile;
- 1.j.3. Digital-to-analog conversion rate exceeding 3 MHz;
- 1.j.4. Digital-to-analog conversion accuracy exceeding 12 bit; or
- 1.j.5. Target-to-beam position feedback control precision of 1 micrometer or finer;
- 1.k. Surface finishing equipment for the processing of semiconductor wafers as follows:
- 1.k.1. "Specially designed" equipment for backside processing of wafers thinner than 100 micrometer and the subsequent separation thereof; or
- 1.k.2. "Specially designed" equipment for achieving a surface roughness of the active surface of a processed wafer with a two-sigma value of 2 micrometer or less, total indicator reading (TIR);
- 1.l. Interconnection equipment which includes common single or multiple vacuum chambers "specially designed" to permit the integration of any equipment controlled by 3B991 into a complete system;
- 1.m. "Stored program controlled" equipment using "lasers" for the repair or trimming of "monolithic integrated circuits" with either of the following characteristics:
- 1.m.1. Positioning accuracy less than ±1 micrometer; or
- 1.m.2. Spot size (kerf width) less than 3 micrometer.
- 2. Masks, mask "substrates," mask-making equipment and image transfer equipment for the manufacture of devices, "parts" and "components" as specified in the heading of 3B991, as follows:
- 2.a. Finished masks, reticles and designs therefor, except:
- 2.a.1. Finished masks or reticles for the production of unembargoed integrated circuits; or
- 2.a.2. Masks or reticles, having both of the following characteristics:
- 2.a.2.a. Their design is based on geometries of 2.5 micrometer or more; and
- 2.a.2.b. The design does not include special features to alter the intended use by means of production equipment or "software";
- 2.b. Mask "substrates" as follows:
- 2.b.1. Hard surface (e.g., chromium, silicon, molybdenum) coated "substrates" (e.g., glass, quartz, sapphire) for the preparation of masks having dimensions exceeding 125 mm x 125 mm; or
- 2.b.2. "Substrates" "specially designed" for X-ray masks;
- 2.c. Equipment, other than general purpose computers, "specially designed" for computer aided design (CAD) of semiconductor devices or integrated circuits;
- 2.d. Equipment or machines, as follows, for mask or reticle fabrication:
- 2.d.1. Photo-optical step and repeat cameras capable of producing arrays larger than 100 mm x 100 mm, or capable of producing a single exposure larger than 6 mm x 6 mm in the image (i.e., focal) plane, or capable of producing line widths of less than 2.5 micrometer in the photoresist on the "substrate";
- 2.d.2. Mask or reticle fabrication equipment using ion or "laser" beam lithography capable of producing line widths of less than 2.5 micrometer; or
- 2.d.3. Equipment or holders for altering masks or reticles or adding pellicles to remove defects;
- 2.e. "Stored program controlled" equipment for the inspection of masks, reticles or pellicles with:
- 2.e.1. A resolution of 0.25 micrometer or finer; and
- 2.e.2. A precision of 0.75 micrometer or finer over a distance in one or two coordinates of 63.5 mm or more;
- 2.f. Align and expose equipment for wafer production using photo-optical or X-ray methods (e.g., lithography equipment) including both projection image transfer equipment and step and repeat (i.e., direct step on wafer) or step and scan (scanner) equipment, capable of performing any of the following functions:
- 2.f.1. Production of a pattern size of less than 2.5 micrometer;
- 2.f.2. Alignment with a precision finer than ±0.25 micrometer (3 sigma);
- 2.f.3. Machine-to-machine overlay no better than ±0.3 micrometer; or
- 2.f.4. A light source wavelength shorter than 400 nm;
- 2.g. Electron beam, ion beam or X-ray equipment for projection image transfer capable of producing patterns less than 2.5 micrometer;
- 2.h. Equipment using "lasers" for direct write on wafers capable of producing patterns less than 2.5 micrometer.
- 3. Equipment for the assembly of integrated circuits, as follows:
- 3.a. "Stored program controlled" die bonders having all of the following characteristics:
- 3.a.1. "Specially designed" for "hybrid integrated circuits";
- 3.a.2. X-Y stage positioning travel exceeding 37.5 × 37.5 mm; and
- 3.a.3. Placement accuracy in the X-Y plane of finer than ±10 micrometer;
- 3.b. "Stored program controlled" equipment for producing multiple bonds in a single operation (e.g., beam lead bonders, chip carrier bonders, tape bonders);
- 3.c. Semi-automatic or automatic hot cap sealers, in which the cap is heated locally to a higher temperature than the body of the package, "specially designed" for ceramic microcircuit packages controlled by 3A001 and that have a throughput equal to or more than one package per minute.
- 4. Filters for clean rooms capable of providing an air environment of 10 or less particles of 0.3 micrometer or smaller per 0.02832 m3 and filter materials therefor.
Control Reasons Explained
This ECCN is controlled for the following reasons. Each reason maps to a column on the Commerce Country Chart, which determines whether a license is required for a given destination.
- ATAnti-Terrorism
- Basic anti-terrorism controls that apply to most items on the CCL. A license is required for exports to countries designated as state sponsors of terrorism.
Common Questions About 3B991
What does ECCN 3B991 cover?
ECCN 3B991 is an entry on the Commerce Control List (Electronics). The List of Items Controlled below describes the products, software, or technology captured by this classification. Compare your item against those parameters when self-classifying.
How do license requirements work for this ECCN?
License need depends on the control reasons shown for this code (for example NS, RS, MT, AT), the destination country, and how your transaction maps against the Commerce Country Chart, de minimis, and other EAR provisions. This page is a research aid only. Confirm against the current rule text and your specific facts before exporting.
Where is the official text for this ECCN?
The legal text appears in Supplement No. 1 to part 774 of the Export Administration Regulations (15 CFR Part 774). Use the official BIS link on this page to open the current supplement entry for this ECCN.
What if my product matches more than one ECCN?
When several ECCNs appear to fit, the controlling entry is usually the one that is most specific to your item's form, function, or technical limits. Cross-references in the List of Items Controlled and related ECCNs listed on this page are common starting points for narrowing the choice.
How often should I re-check this classification?
The Commerce Control List changes when BIS publishes new or amended rules. Revisit the official entry when regulations update, when the product's technical parameters change, or when the destination, end-user, or end-use of a transaction changes.
What do the control reason codes mean?
Each control reason (NS, RS, MT, AT, etc.) maps to a column on the Commerce Country Chart in Supplement No. 1 to part 738 of the EAR. When a control reason applies to your ECCN and the destination country has an X in that column, a license is generally required unless an exception applies. See the Control Reasons Explained section on this page for details on each code.