Guidance re: New Export Controls on Quantum Technology and Associated Deemed Exports

as of December 20, 2024

Last Updated: 4/8/2025
PDF

Once you have reviewed this guidance, please contact the University’s Export Control Office at exportcontrol@uchicago.edu to discuss the potential impacts, if any, of these new requirements on your research.

Introduction: The U.S. Department of Commerce’s Bureau of Industry and Security (BIS) published an interim final rule (IFR) modifying the Export Administration Regulations (EAR) to impose controls on items related to semiconductor, quantum, and additive manufacturing. Key elements of the IFR include:

  1. New and Revised Controls/ECCNs: Revises existing, and adds new, Export Control Classification Numbers (ECCNs) in quantum computing, advanced integrated circuit technology including Gate-AllAround Field Effect Transistor (GAAFET) technology, advanced semiconductor manufacturing and additive manufacturing;
  2. Implications for Deemed Exports in Quantum: Imposes new requirements for deemed export in the sectors of quantum computers, materials and related assemblies; aerospace technology; and integrated circuit development or production;
  3. New worldwide license requirements: Adds two new worldwide license requirements to the National Security (NS) and Regional Stability (RS) controls
  4. License Exception IEC: Creates a new license exception for specific technologies being exported to and by countries that have comparable implemented export controls for the items in question.

This document focuses on quantum-specific changes in elements 1 and 2 above, which are most immediately relevant to the University of Chicago’s quantum research community. Please contact the Export Control office if you have any questions regarding elements 3 and 4.

I. New and Revised ECCNs in Quantum Computing and Integrated Circuit Technology

Exhibit A provides the list of quantum and integrated circuit technologies that have been added to the Commerce Control List (CCL) and are therefore now subject to U.S. Export Control laws and regulations. These technologies can be subdivided into two subsets: (i) physical items and (ii) software or technology required to develop or produce the items in (i). Please note that utilizing these controlled items for University research is still permissible, notwithstanding their inclusion on the CCL. Rather, export control restrictions are triggered when either the items need to be shipped outside of the US or when the item comes with software or technology that may trigger a deemed export (discussed below in II).

II. New Deemed Export Exclusions and General Licenses for Quantum Technology

A. Review of the Deemed Export Framework

When conducting University research on campus, researchers should be cognizant of their “deemed export” obligations. A “deemed export” is defined as “the sharing or release of controlled technology or source code to a foreign person within the United States.” Whether an activity constitutes a deemed export turns on two key questions:

  1. Is there a release? A “release” of software or technology can occur through (i) visual or other inspection by a foreign person of items that reveals “technology” or source code subject to the EAR; or (ii) oral or written exchanges with a foreign person of “technology” or source code in the United States or abroad.
  2. Is the release of controlled technology? “Technology” is defined to mean: “Technical information necessary for the ‘development’, ‘production’, or ‘use’ of a controlled product”

Important Note: “Use” is defined as “[o]peration, installation, maintenance, repair, overhaul and refurbishing.” The conjunctive “and” (as opposed to an “or”) is significant as it makes clear that all six activities in the definition of “use” must be present to trigger a license requirement and that mere operation of a controlled item by a foreign national does not trigger the requirement for a deemed export license. (Footnote 1)

If you possess a controlled technology or source code as described above, please contact the University’s Export Control Office at exportcontrol@uchicago.edu to discuss the potential deemed export implications.

B. Deemed Exports of Quantum Controlled Items under the IFR

By way of context for the new deemed export requirements, in promulgating these new rules, BIS states:

  • U.S. technology leadership is based in part upon the ability of U.S. companies to benefit from the expertise of foreign persons. While this is true in many technology sectors, access to foreign expertise is particularly necessary in quantum computing. Quantum computing research and development is substantially a global endeavor, with major innovation occurring in academic labs, small companies, large companies, and national laboratories distributed throughout the world…. The United States will continue to rely on foreign talent to fill critical workforce gaps.

Accordingly, while the IFR imposes new controls on quantum computing, it also provides for deemed export exclusions and license exceptions for those conducting fundamental research in the US as detailed below.

Specifically, to reduce the scope of deemed exports to these items, BIS expressly excludes from its deemed export licensing requirements deemed exports of quantum technology and software to foreign persons unless their most recent country of citizenship or permanent residence is a destination specific in Country Group D:1 or D:5 (Footnote 2). In doing so, BIS further states:

  • While the license requirements for deemed exports and deemed reexports of quantum technology and software only apply to foreign persons whose most recent country of citizenship or permanent residency is a destination specified in Country Group D:1 or D:5, this hardship would be devastating to the continued progress of future developments in the quantum field, which depends on foreign person employees from these destinations.

Accordingly, the IFR includes a new General License (GL) that authorizes deemed exports and of quantum technology and software to foreign persons whose most recent country of citizenship or permanent residency is a destination specified in Country Group D:1 or D:5 and who are not prohibited persons. Reliance on this General License exception, however, is subject to annual reporting, end-use and end-user restrictions, and recordkeeping requirements. Per BIS, “annual reports will allow for visibility to ensure access is consistent with U.S. national security and foreign policy interests.” When access appears inconsistent with U.S. national security and foreign policy interests, BIS has the authority to impose a license requirement on the foreign national's continued access to the relevant technology. Failure to comply with the reporting requirement or falsifying or omitting information required by the reporting requirement would be a violation of the EAR.

Footnotes:

  1. The policy rationale that underlies the controls on the release of controlled “use” technology to foreign nationals is that the totality of all six activities (i.e., operation, installation, maintenance, repair, overhaul, and refurbishing) would provide the foreign national with enough knowledge to replicate or improve the performance capabilities of the controlled item.
  2. As of 12/20/2024, D1 and D5 countries include: Armenia, Azerbaijan, Belarus, Burma, Cambodia, Central African Republic, China (PRC), Democratic Republic of the Congo, Cuba, Cyprus, Eritrea, Georgia, Haiti, Iran, Iraq, Kazakhstan, North Korea, Kyrgyzstan, Laos, Lebanon, Libya, Macau, Moldova, Mongolia, Nicaragua, Russia, Somalia, Republic of South Sudan, Sudan, Syria, Tajikistan, Turkmenistan, Uzbekistan, Venezuela, Vietnam, Yemen and Zimbabwe. This list is regularly updated.

 

Exhibit A – Quantum Technology Controls

Navigating the CCL, which details the specifications of each ECCN listed below, can be cumbersome. Please contact the Export Control Office (exportcontrol@uchicago.edu), which is available to support your review of potentially relevant ECCNs and to discuss any potential impacts of these newly controlled technologies on your research activities.

INTERACTIVE TOOL:

To determine whether specific technology is subject to the new rule, use the links below OR the final page of the PDF version of this policy found here.

Physical Items (by ECCN)

  • 3A001 – Amended to control neural network integrated circuits, and to reference 3A901 CMOS integrated circuits and parametric signal amplifiers.
  • 3A901 – Integrated circuits designed to operate at temperatures below specified temperatures (CMOS).
  • 3A904 – Cryogenic cooling systems capable of providing a cooler power greater than a specified level.
  • 3B001 – Amended to control specific equipment related to GAATF and semiconductor production.
  • 3B903 – Specialized scanning electron microscopes (SEM) used for imaging semiconductor devices or integrated circuits.
  • 3B904 – Cryogenic wafer probing equipment, designed for testing and characterizing qubit devices.
  • 3C001 – Amended to reference 3C907, 3C908 and 3C909 technology.
  • 3C907 – Epitaxial materials consisting of substrates with at least one epitaxially grown layer of silicon or germanium isotopes.
  • 3C908 – Fluorides, hydrides and chlorides of silicon or germanium isotopes.
  • 3C909 – Silicon, silicon oxides, germanium, or germanium oxides containing specific isotopes.
  • 4A906 – Particularly sophisticated quantum computers and related electronic assemblies and components that exceed thresholds for qubit count and gate error rates.

Software and Technology (by ECCN)

  • 3D901 – Controls software designed for the development and production of items controlled by 3A901.b, 3B903 and 3B904.
  • 3D001 – Amended to control software specifically designed for equipment used in advanced semiconductor manufacturing, including quantum-related technology.
  • 3D002 – Amended to control software for the use of equipment in advanced semiconductor production.
  • 3D907 – Controls software used to extract data and generate multi-layer “GDSII” data or circuit netlists from SEM images.
  • 3E001 – Amended to reference newly added ECCNs for cryogenic CMOs, quantum-related technology, and semiconductor manufacturing.
  • 3E901 – Controls technology for the development or production of specifically identified 3x9xx technology.
  • 3E905 – Controls technology for developing or producing integrated circuits using GAAFET structures.
  • 4D001 – Amended to control software for the development or production of semiconductor devices, including GAAFET technology.
  • 4A906 – Controls particularly sophisticated quantum computers and related electronic assemblies and components that exceed thresholds for qubit count and gate error rates
  • 4D906 – Controls software specifically designed technology identified in 4A906.
  • 4E001 – Amended to control technology for semiconductor devices using GAAFET architecture.
  • 4E906 – Controls technology required for the development or production of technology identified in 4A906