Process Design Kit (PDK) Guidance
A PDK is a set of files used within the semiconductor industry to model a fabrication process for the design tools used to design an integrated circuit. PDKs are often specific to a foundry and may be subject to a non-disclosure agreement. While most PDKs are proprietary, certain PDKs are open source, entirely within the public domain, and not subject to export control regulations
Applicable Export Control Classification Numbers (ECCNs)
PDKs are enumerated in the Export Administrations Regulations (EAR) on the Commerce Control List (CCL) under Export Control Classification Number (ECCN) 3E001 or 3E991. PDKs that do not meet the technical parameters described in 3E001 or 3E991 are EAR99. PDKs that are 3E001 or 3E991 require a TCP (Technology Control Plan) with access restrictions.
Associated controlled Electronic Design Automation (EDA) software typically falls under 3D991 or EAR99. Less common, but also possibly involved are Electronic Computer-Aided Designs (ECAD) which may be designated as 3D001, 3D006, 3D901, and 3D907, with worldwide controls.
The following link provides ECCNs for PDKs at UC San Diego:
PDK Export Control Classification Numbers (ECCN)
Licenses
PDKs, EDAs, or ECADs may require (1) an export license to provide access to someone outside the U.S. and/or (2) a deemed-export license prior to the release of technology to a non-U.S. person (citizen, permanent resident, or protected status) in the U.S.
In most cases, operation or use of EDA software will result in a licensable release if the software uses a controlled PDK.
- 3E001 - License requirement for non-U.S. persons from all countries (excluding Canada)
- 3E991 - License requirement is limited to non-U.S. persons from Cuba, Iran, Syria, and North Korea. If the user is not from one of these countries or is a U.S. person, a license is not required to use and access this technology.
EAR99 PDKs, EDAs, or ECADs released within the U.S. generally do not require a license.
A federal license is needed for export of the following EDA/ECAD technology, as follows:
- 3D991: License requirement for Cuba, Iran, North Korea, and Syria.
- 3D001: Multiple country-specific restrictions/license requirements
- 3D006: License requirement for other than the 42 Wassenaar countries (listed here)
- 3D901: Multiple country-specific restrictions/license requirements
- 3D907: Multiple country-specific restrictions/license requirements
Licenses
A deemed export license is an authorization from the U.S. Department of Commerce, Bureau of Industry and Security (or U.S. Department of State, Directorate of Defense Trade Controls for ITAR technology), to release controlled technology to a non-U.S. person within the U.S. UCSD Export collects necessary documentation and prepares deemed-export license applications and required documentation on behalf of the campus
Fundamental Research Exclusion and deemed export licenses
The Fundamental Research Exclusion (FRE) applies to the results of research, not to research performance. Release of controlled technology, even on an activity otherwise qualifying under FRE, still requires a deemed-export license. Involvement of other controlled inputs may require a license. This includes research for thesis, dissertations, and other coursework.