Wassenaar Arrangement 2016 Plenary Agreements Implementation, 38764-38819 [2017-16904]
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Federal Register / Vol. 82, No. 156 / Tuesday, August 15, 2017 / Rules and Regulations
DEPARTMENT OF COMMERCE
Bureau of Industry and Security
15 CFR Parts 740, 772, and 774
[Docket No. 170309249–7249–01]
RIN 0694–AH35
Wassenaar Arrangement 2016 Plenary
Agreements Implementation
Bureau of Industry and
Security, Commerce.
ACTION: Final rule.
AGENCY:
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
jurisdiction. This final rule revises the
CCL, as well as corresponding parts of
the EAR, to implement changes made to
the Wassenaar Arrangement List of
Dual-Use Goods and Technologies (WA
List) maintained and agreed to by
governments participating in the
Wassenaar Arrangement on Export
Controls for Conventional Arms and
Dual-Use Goods and Technologies
(Wassenaar Arrangement, or WA) at the
December 2016 WA Plenary meeting.
The Wassenaar Arrangement advocates
implementation of effective export
controls on strategic items with the
objective of improving regional and
international security and stability. This
rule harmonizes the CCL with the
agreements reached at the 2016 Plenary
meeting by revising Export Control
Classification Numbers (ECCNs)
controlled for national security reasons
in each category of the CCL, as well as
making other associated changes to the
EAR.
DATES: This rule is effective August 15,
2017, except that:
1. The effective date for amendatory
instruction 30 (ECCN 4A003 in
Supplement No. 1 to part 774) is
September 25, 2017; and
2. the effective date for amendatory
instruction 2 (§ 740.7 of the EAR) is
November 24, 2017.
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: Sharron.Cook@
bis.doc.gov.
For technical questions contact:
Categories 0, 1 & 2 of the CCL: Joseph
Giunta at 202–482–3127.
Category 3 of the CCL: Brian Baker at
202–482–5534.
Categories 4 & 5 of the CCL: Aaron
Amundson 202–482–0707.
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SUMMARY:
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Category 6 (optics) of the CCL: Chris
Costanzo at 202–482–5299.
Category 6 (lasers) of the CCL: Mark
Jaso at 202–482–0987.
Category 6 (sensors and cameras) of
the CCL: John Varesi 202–482–1114.
Category 8 of the CCL: Michael Tu
202–482–6462.
Categories 7 & 9 of the CCL: Daniel
Squire 202–482–3710 or Reynaldo
Garcia 202–482–3462.
Category 9x515 (Satellites) of the CCL:
Mark Jaso at 202–482–0987 or Reynaldo
Garcia at 202–482–3462.
Category ‘‘600 Series’’ (Munitions
Items) of the CCL: Christopher Williams
at 202–482–6023 or Heather Moore at
202–482–4786.
SUPPLEMENTARY INFORMATION:
Background
The Wassenaar Arrangement
(Wassenaar or WA) on Export Controls
for Conventional Arms and Dual-Use
Goods and Technologies is a group of 41
like-minded states committed to
promoting responsibility and
transparency in the global arms trade,
and preventing destabilizing
accumulations of arms. As a
Participating State, the United States
has committed to controlling for export
all items on the WA control lists. The
lists were first established in 1996 and
have been revised annually thereafter.
Proposals for changes to the WA control
lists that achieve consensus are
approved by Participating States at
annual Plenary meetings. Participating
States are charged with implementing
the agreed list changes as soon as
possible after approval. The United
States’ implementation of WA list
changes ensures U.S. companies have a
level playing field with their
competitors in other WA Participating
States.
The changes in this rule, which reflect
the changes to the WA control lists that
were approved at the December 2016
WA Plenary meeting, update the
corresponding items listed in the EAR,
and reflect the most recent changes in
technologies and conditions.
Revisions to the Commerce Control List
Related to WA 2016 Plenary
Agreements
Revises (50) ECCNs: 1A004, 1A007,
1B001, 1C007, 1C608, 1E001, 1E002,
2A001, 2B001, 2B005, 2B991, 2D992,
2E003, 3A001, 3A002, 3A991, 3B001,
3C001, 3E001, 3E002, 3E003, 4A003,
4D001, 4D993, 5A001, 5B001, 5E001,
5A002, 5A003, 5D002, 5E002, 6A001,
6A003, 6A005, 6A008, 6D003, 6E003,
7D003, 7D004, 7E001, 7E003, 7E004,
8A002, 8C001, 9A001, 9A004, 9A515,
9B002, 9B009 and 9E003.
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License Exception eligibility
additions: 3A001.b.12 to LVS, and
3A001.a.14 to GBS.
License Exception eligibility
expansion: TSR and STA for ECCNs
4D001 and 4E001.
Category 1 Special Materials and
Related Equipment, Chemicals,
‘‘Microorganisms,’’ and ‘‘Toxins’’
1A004 Protective and Detection
Equipment and ‘‘Components’’
ECCN 1A004 is amended by adding
Note 5 to the Related Controls paragraph
to make sure the public knows that
1A004 does not control radionuclides
incorporated in detection equipment—
such materials are subject to the
licensing jurisdiction of the Nuclear
Regulatory Commission (See 10 CFR
part 110). This rule also removes the
definition of ‘adapted for use in war’
from the Related Definitions paragraph
because the WA has agreed to remove
that term from Items in paragraphs a.2,
b.2 and c.2, as well as from Technical
Note 1, because the phrase did not help
clarify the control text. This rule adds
a definition of ‘radioactive materials’ in
Technical Note 3 that uses the same
descriptive wording used in the
removed definition of ‘adapted for use
in war.’ This new definition does not
change the scope of this ECCN because
much of the text of the removed
definition was retained in the control
parameters. These revisions are made to
more precisely describe the controlled
detection equipment. At the WA
Plenary meeting, the WA noted that the
definition of biological agents is used in
an entry on the WA dual-use list and an
entry on the WA munitions list.
Therefore, to make it clear that the
definition applied to both entries, the
WA moved it to the WA Definitions,
which applies to both WA lists. In the
EAR, while the term ‘biological agents’
appears in other ECCNs on the CCL, the
definition used in ECCN 1A004 only
applies to that ECCN. It would be
inappropriate to move that definition to
Part 772, which defines terms that can
be applied universally in the EAR.
Therefore, this rule removes the
Technical Note to be consistent with the
WA list and moves the definition for the
term ‘biological agents’ to the Related
Definitions Section of ECCN 1A004.
1A007 Equipment and Devices,
‘‘Specially Designed’’ To Initiate
Charges and Devices Containing
‘‘Energetic Materials,’’ by Electrical
Means
The heading of ECCN 1A007 is
amended by adding double quotes
around the term ‘‘energetic materials,’’
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because this is a defined term in the WA
List, as well as in § 772.1 of the EAR.
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1B001 Equipment for the Production
or Inspection of ‘‘Composite’’ Structures
or Laminates Controlled by 1A002 or
‘‘Fibrous or Filamentary Materials’’
Controlled by 1C010
The Technical Note to Items
paragraph .b is amended by revising the
parameters in the definition of ‘tapelaying machines.’ The Technical Note to
paragraph 1B001.g is amended by
revising the parameters in the definition
for ‘tow-placement machines.’ These
definitions were designed to aid in
determining the control status of tow
placement and tape laying equipment.
These machines are identified based on
the type of ‘‘fibrous or filamentary’’
material they process. The Missile
Technology Control Regime (MTCR)
adopted the WA definition in order to
facilitate implementation by
Participating States that adhered to both
regimes. However, when the MTCR
adopted the WA control parameters,
they added an additional significant
digit to ensure that Tape Laying
Machines and Tow/Fiber Placement
machines were accurately delineated at
1 inch, which is used in industry. Thus,
references to 25 mm were changed to
25.4 mm (1 inch) and 305 mm is
changed to 304.8 mm (12 inches).
Lastly, the Technical Note to 1B001,
which defines ‘filament bands,’ is
amended by clarifying that it includes
those coated with dry powder. These
revisions are very minor, and therefore,
BIS anticipates no change in
submissions of license applications.
1C007 Ceramic Powders, Ceramic‘‘Matrix’’ ‘‘Composite’’ Materials and
‘Precursor Materials’
The Heading of ECCN 1C007 is
amended by removing the phrase ‘‘non‘‘composite’’ ceramic materials’’ and
adding single quotes around the term
‘precursor materials,’ to harmonize with
revisions made to the List of Items
Controlled section. The MT control
paragraph is amended by removing
Items paragraphs .d and .f and adding .c
for consistency to changes in the List of
Items Controlled section. The Special
Conditions for STA paragraph is
amended by removing Items paragraph
d. to harmonize with revisions made to
the List of Items Controlled section.
Items paragraph .a is revised by
replacing ‘‘single or complex borides of
titanium’’ with ‘‘titanium diboride
(TiB2) (CAS 12045–63–5)’’, and Items
paragraph .b is removed and reserved
because 1C007.a and .b list only borides
of titanium in powered and monolithic
(i.e., non-composites) forms, while in
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practice those controls apply only to
titanium diboride (TiB2—CAS# 12045–
63–5), being the only stoichiometric
compound of boron and titanium. This
revision will result in no change in the
number of license application
submissions BIS receives annually.
The control text on ceramic matrix
composites (CMCs) in 1C007 was
formerly split into three Items
paragraphs, .c, .d and .f. This rule
combines these three paragraphs under
1C007.c. Items paragraph .c is moved to
c.1.b (no scope change), Items paragraph
.d is moved to c.2, and Items paragraph
.f is moved to c.1.a (no scope change).
Former Items paragraph 1C007.d,
which is transferred to 1C007.c.2, is
revised to clarify the control and add
some novel ceramic composite material.
The formerly used phrase ‘‘with or
without metallic phase’’ did not
contribute to the text clarity. Metallic
phases in a ceramic-ceramic composite
are impurities from incomplete
reactions. Often, pockets of residual
metallic phases are found in these
materials, but it is not a desired feature;
it is just an undesirable by-product of
the manufacturing process. The
formerly used phrase ‘‘incorporating
particles, whiskers or fibers’’ did not
influence the scope of the control
because it listed all possible types of
ceramic reinforcements used in CMCs.
Thus, these two phrases are removed,
although the removal of the phrases
does not change the scope of the control
and improves clarity of the text. The
phrase ‘ceramic-ceramic’ is replaced
with ‘ceramic-‘‘matrix’’,’ so as to control
carbon fiber reinforced SiC matrix
composites (C-SiC). These revisions aim
to improve the control text clarity and
introduce a new control of a novel,
militarily significant material family.
BIS receives less than five applications
a year for this ECCN. BIS anticipates
that adding this novel material, which
has not yet become popular with
industry, may only increase that number
by one or two applications a year.
Paragraph 1C007.e is amended by
adding ‘‘specially designed’’ and
making other editorial revisions,
because it was agreed that the only
precursors that are controlled under this
paragraph are those that are specially
designed (i.e., specially formulated) for
the production of controlled ceramic
materials. In addition, the control text is
modified to harmonize with WA format
by replacing ‘‘for producing’’ with the
defined term ‘‘for the ‘‘production.’’ ’’
This rule also adds a Technical Note to
define ‘precursor materials’ to clarify
the scope of control. These changes will
narrow the scope of control and
decrease license application
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submissions. Even though more specific
text is being added to the parameter,
which narrows the scope of control, this
revision will result in no change in the
annual number of license application
submissions BIS receives, because BIS
currently receives zero submissions
annually under this paragraph.
1C608 ‘‘Energetic Materials’’ and
Related Commodities
The Heading of 1C608 is amended by
adding double quotes around the
defined term ‘‘energetic materials’’ in
order to clarify the scope and correct the
oversight.
1E001 ‘‘Technology’’ for the
‘‘Development’’ or ‘‘Production’’ of
Certain Category 1 ECCNs
ECCN 1E001 is amended by revising
the Special Conditions for STA to
remove reference to 1C007.d, because
Items paragraph 1C007.d is transferred
to 1C007.c.2 by this rule, which is
already listed in this paragraph.
1E002
Other ‘‘Technology’’
ECCN 1E002 is amended by revising
the Note to 1E002.c.2 by adding double
quotes around the word ‘‘technology’’ to
clarify the scope of the entry. The
phrase ‘‘the design or production of’’ is
removed from the Note as it is an
unnecessary repetition of the text
introduced in 1E002.c. This rule also
revises 1E002.f to remove the reference
to 1C007.d, which was moved to
1C007.c.2. 1C007.c is already referenced
in 1E002.f.
Annex to Category 1—List of Explosives
The Annex to Category 1 List of
Explosives is amended by adding a new
paragraph 50 to read, ‘‘50. FTDO (5,6(3′,4′-furazano)- 1,2,3,4-tetrazine-1,3dioxide)’’, and by revising the
punctuation in paragraph 49 to support
this addition. As this is a military
explosive, it will result in no change to
license application submissions to BIS.
Category 2—Materials Processing
2A001 Anti-Friction Bearings and
Bearing Systems
ECCN 2A001.a is amended by adding
single quotes around the terms ‘rings’
and ‘rolling elements,’ as well as
removing the citation to International
Organization for Standardization (ISO)
standards. This rule adds two (2)
Technical Notes to define ‘ring’ and
‘rolling element,’ in order to clarify the
scope of controls and to replace the
reference to the ISO standard where
these terms are defined.
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Federal Register / Vol. 82, No. 156 / Tuesday, August 15, 2017 / Rules and Regulations
2B001 Machine Tools and Any
Combination Thereof, for Removing (or
Cutting) Metals, Ceramics or
‘‘Composites’’
ECCN 2B001 is amended by removing
the Note to Items paragraph b.2
regarding the inclusion of parallel
mechanism machine tools in the control
of b.2, because there is no international
standard to measure a positioning
accuracy or UPR (unidirectional
positioning repeatability) for these
machine tools. This rule also revises
Items paragraphs b.2.b and b.2.c in
order to accommodate the removal of
Items paragraph b.2.d. Additionally, this
rule removes Items paragraph b.2.d
‘parallel mechanism machine tool
technology,’ including the Technical
Note for reasons stated above. BIS
estimates that there will be no change in
license application submissions due to
the removal of Items paragraph b.2.d
‘parallel mechanism machine tool
technology,’ because the future of
machine tools is in Computer Numeric
Control (CNC), where software achieves
in a simpler and more robust way what
multiple rods and linkages and
couplings involved in parallel
mechanism machine tools achieve in
terms of degrees-of-freedom and
flexibility. In the past year, BIS has not
received any license applications for
parallel mechanism machine tools.
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2B005 Equipment ‘‘Specially
Designed’’ for the Deposition,
Processing and in Process Control of
Inorganic Overlays, Coatings and
Surface Modifications, as Follows, for
Substrates
The Heading of ECCN 2B005 is
amended by removing the ambiguous
term ‘‘non-electronic’’ before the word
‘‘substrates,’’ by adding the column
locations in the table following 2E003.f
‘‘Materials Processing Table; Deposition
Techniques,’’ where the information
referred to in the Heading may be found.
The Heading is also amended by
removing the reference to the
‘associated Notes,’ because the Notes do
not specify what is controlled by this
ECCN.
2B991 Numerical Control Units for
Machine Tools and ‘‘Numerically
Controlled’’ Machine Tools, n.e.s.
ECCN 2B991 is amended by adding a
hyphen to the term ‘‘real-time
processing’’ in the introductory text of
Items paragraph 2B991.b.2 to correct the
format of the term.
2D992 Specific ‘‘Software’’
ECCN 2D992 is amended by adding a
hyphen to the term ‘‘real-time
processing’’ in the introductory text of
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Items paragraph 2D992.a.2 to correct the
format of the term.
2E003 Other ‘‘Technology’’
ECCN 2E003 is amended by adding
double quotes to the term ‘‘technology’’
in the Nota Bene (N.B.) that follows
Items paragraph .f for consistency with
the text in the control paragraph.
Category 2E—Materials Processing
Table; Deposition Techniques
The Materials Processing Table is
amended by revising paragraph 10 in
the Notes to the Table on Deposition
Techniques to more clearly state that
Category 2 does not include
‘‘technology’’ for single-step pack
cementation of solid airfoils. Paragraph
17 in the Notes to the Table on
Deposition Techniques is revised by
removing the term ‘‘specially designed,’’
which expands the exclusion note for
‘‘technology’’ for depositing diamondlike carbon. The introductory text to
paragraphs 1 through 5 in the
Accompanying Technical Information to
Table on Deposition Techniques is
amended by replacing the defined term
‘‘technology’’ with the term ‘technical
information’ to be consistent with the
heading and scope of this section.
Category 3—Electronics
Product Group A. ‘‘End Items,’’
‘‘Equipment,’’ ‘‘Accessories,’’
‘‘Attachments,’’ ‘‘Parts,’’
‘‘Components,’’ and ‘‘Systems’’
Product Group A, Notes 1 and 2 and
the N.B., which appear at the beginning
of the product group, are amended by
removing the reference to ‘‘or
3A001.a.13’’ and adding in its place ‘‘to
3A001.a.14,’’ because this rule adds
Item paragraph 3A001.a.14.
3A001 Electronic Items
The RS license requirement paragraph
and the License Exception LVS
eligibility paragraph are amended by
replacing the term ‘‘microwave
monolithic integrated circuit’’ with the
defined term ‘‘monolithic microwave
integrated circuit’’ to harmonize with
the newly defined term and changes in
ECCN 3A001, and expanded to cover
newly added Items paragraph b.12.
The license Exception LVS eligibility
paragraph is expanded to include newly
added Items paragraph b.12, which will
result in fewer licensing application
submissions for low level value
shipments of these items.
The license Exception GBS eligibility
paragraph is amended by expanding the
range of eligibility to cover newly added
Items paragraph a.14, which will result
in fewer license application
submissions to less sensitive
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destinations. The term TWTAs is
replaced with ‘vacuum electronic
device’ amplifiers, which is the new
terminology in Items paragraph b.8.
The Note to 3A001.a is amended by
adding ‘‘Monolithic Microwave
Integrated Circuits’’ (‘‘MMICs’’) to the
list of integrated circuits listed, because
of the increased presence of MMICs in
3A001, as well as adding the definition
of this term to part 772 of the EAR.
Paragraph 3A001.a.2 is expanded to
encompass the scope of newly added
3A001.a.14. Specifically, this rule
makes editorial capitalization
corrections and adds ‘‘integrated
circuits that contain analog-to-digital
converters and store or process the
digitized data’’ and ‘‘Magnetic Random
Access Memories (MRAMs)’’.
Paragraph 3A001.a.5.a (analog-todigital converters (ADCs)) is revised by
updating the ADC control thresholds
(resolution) for the higher performance
ADCs to reflect the technology that is
used in the commercial mainstream,
which will result in a decrease of
license application submissions. In
addition, the unit for resolution is
amended by replacing ‘‘billion words
per second’’ with ‘‘Giga Samples Per
Second (GSPS)’’ and ‘‘million words per
second’’ with ‘‘Mega Samples Per
Second (MSPS)’’ to clarify what is being
measured for this parameter. Technical
Notes 6 and 7 are also revised to clarify
the explanation of the units for output
rates. In addition, a Nota Bene is added
to reference 3A001.a.14 for integrated
circuits that contain ADCs and store or
process the digitized data. Technical
Notes 6 and 7 are also clarified
accordingly.
Paragraph 3A001.a.7 is amended by
adding a Nota Bene to reference
3A001.a.14 for integrated circuits
having field programmable logic devices
that are combined with an analog-todigital converter.
Paragraph 3A001.a.14 is added to
control integrated circuits that perform
the same functionality of electronic
assemblies, modules, or equipment
described in paragraph 3A002.h. This
addition of control will result in an
increase of 50 or fewer license
application submissions per year. Items
paragraph 3A001.a.14.b.2 is moved to
a.14.b.1 and a.14.b.2 is revised to read
‘‘processing of digitized data’’ to clarify
the description of this parameter.
Paragraph 3A001.b is amended by
adding a Technical Note 2 to define
‘vacuum electronic devices’ for the
purpose of paragraph 3A001.b.1. This
control has not been modernized in
more than fifteen years, during which
time substantial changes have occurred.
Therefore, these amendments are
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intended to modernize this entry. The
term ‘‘travelling wave tubes’’ in the text
has been changed to the more general
term ‘vacuum electronic devices’ that
also includes klystrons. Paragraph
3A001.b.1 is amended by replacing the
undefined term ‘electronic vacuum
tubes’ with the newly defined term
‘vacuum electronic devices.’ This term
is also replaced in the introductory text
of Notes 1 and 2. Paragraph 3A001.b.1.a
and b.1.b are amended by replacing the
term ‘tubes’ with ‘vacuum electronic
devices.’ Paragraphs 3A001.b.1.a.1
through b.1.a.3 are amended by
replacing the term ‘tubes’ with ‘devices.’
Paragraph 3A001.b.1.a.4 is amended by
replacing the term ‘helix tubes’ with
‘devices based on helix, folded
waveguide, or serpentine waveguide
circuits,’ as well as adding a parameter,
‘having a gridded electron gun,’ in
paragraph b.1.a.4.d for these devices.
Paragraph 3A001.b.1.a.5 is added to
expand the traveling wave ‘vacuum
electronic devices’ control to include
devices with a ‘‘fractional bandwidth’’
greater than or equal to 10% and with
specified beams. BIS estimates that this
change will increase license application
submissions by no more than 10
annually. Paragraph 3A001.b.1.c is
modernized to use the term ‘thermionic
cathodes’ rather than the older and more
specific term ‘impregnated cathodes.’
Paragraph 3A001.b.1.d is added to
control ‘vacuum electronic devices’
with the capability to operate in a ‘dual
mode.’ Finally, a clear definition of the
term ‘dual mode’ is added in a
Technical Note to avoid ambiguity and
explain how a single device can switch
between continuous wave operation and
pulse mode operation.
Paragraph 3A001.b.2 is amended by
replacing ‘‘Microwave Monolithic
Integrated Circuits (MMICs) power
amplifiers’’ with the correct terminology
‘‘Monolithic Microwave Integrated
Circuit’’ (‘‘MMIC’’) amplifiers. Also, a
Nota Bene is added to reference
3A001.b.12 for ‘‘MMIC’’ amplifiers that
have an integrated phase shifter.
Notes 2 and 3 of paragraph b.2.h are
amended by adding double quotes
around the acronym ‘‘MMIC’’ and
‘‘MMICs.’’
Paragraph 3A001.b.4.f, which is a
parameter for microwave solid state
amplifiers and microwave assemblies/
modules, is removed and reserved,
because ‘transmit/receive modules’ and
‘transmit modules’ are moved to b.12.
This paragraph is moved because some
people may not think to classify their
MMICs with capabilities to transmit/
receive under 3A001.b.4.f. Also, by
separating transmit and transmit/receive
modules from amplifiers, the framework
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for modifying their control threshold
independently is created. A Nota Bene
2 is added to reference paragraph
3A001.b.12 for ‘transmit/receive
modules’ and ‘transmit modules.’ Note
3 to paragraph 3A001.b.4 is removed,
because ‘transmit/receive modules’ and
‘transmit modules’ are moved to b.12.
Paragraph 3A001.b.8 and b.9 are
amended by replacing the term ‘tubes’
with the term ‘vacuum electronic
devices.’ Also, this rule makes
corrections in capitalization, as well as
correcting the term ‘‘Monolithic
Microwave Integrated Circuit’’ and
adding the acronym ‘‘MMIC’’.
Paragraph 3A001.b.11 ‘‘Frequency
synthesizer’’ ‘‘electronic assemblies’’ is
amended by updating the parameters to
align the 3A001.b.11 frequency
synthesizer controls with the 3A002.d.3
signal generator controls. Specifically,
Items paragraphs 3A001.b.11.a through
.e are revised and b.11.c and .f are
removed and reserved, which BIS
estimates will decrease license
application submissions by about 30
annually.
Paragraph 3A001.b.12 ‘‘transmit/
receive modules, transmit/receive
MMICs, transmit modules, and transmit
MMICs’’ is added to control a mixture
of new (MMICs) and existing controls
(transmit/receive modules formerly
controlled in paragraph 3A001.b.4). The
control thresholds for 3A001.b.12 are
nearly identical to those that were used
in 3A001.b.4.f (transmit and transmit/
receive modules), but adjusted so that
3A001.b.12 has an identical power level
at 31.8 GHz, as specified in 3A001.b.4.c
as 0.5 W (27 dBm). In addition, transmit
modules and transmit/receive modules
that have dimensional characteristics
related to phased array antenna systems
are distinct from amplifiers because
they have phase control. Adding phase
control as a control parameter ensures
this distinction is clear. Furthermore,
because transmit modules and transmit/
receive modules are exported with or
without a heat sink, a Technical Note is
added to inform exporters that
3A001.b.12 includes those that are
exported with or without a heat sink
and that the heat sink measurements are
not to be considered in the 3A001.b.12
dimensional metric. Lastly, this rule
adds to the Technical Notes after Items
paragraph b.12.d definitions for
‘transmit/receive module,’ ‘transmit/
receive MMIC,’ ‘transmit module,’ and
‘transmit MMIC.’ It also adds quotation
marks around the term MMIC in all
places it is used by itself in 3A001.b.12,
as it is a defined term in part 772 of the
EAR. Related Control Note 1 is also
revised to add ‘transmit/receive
modules’ and ‘transmit modules,’
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because there may be some overlap
between b.12 and ITAR category XI. BIS
estimates these revisions will not affect
the annual number of license
application submissions.
Paragraph 3A001.f ‘‘rotary input type
absolute position encoders’’ is revised
by adding ‘‘and ‘‘specially designed’’
encoder rings, discs or scales therefor,’’
in order to close the loophole in the
control for these significant parts. BIS
estimates this addition will result in an
increase of no more than 5 license
application submissions per year.
3A002 General Purpose ‘‘Electronic
Assemblies,’’ Modules and Equipment
ECCN 3A002 is amended by revising
Items paragraph c.4, to add the existing
‘‘real-time bandwidth’’ to the frequency
mask trigger control and add commas to
the definition of ‘‘real-time bandwidth’’
in § 772.1 of the EAR to clarify its
meaning, resulting in paragraph
3A002.c.4.b moving to c.4.b.1 and the
addition of a new subparagraph c.4.b.2.
The citations in the Technical Notes 1
and 2 are updated to correspond to
changes in 3A002.c.4.b. An exclusion
Note is added for ‘‘signal analyzers’’
using only constant percentage
bandwidth filters (also known as octave
or fractional octave filters). BIS
estimates these revisions will result in
an increase of no more than 15 license
application submissions per year.
Paragraph 3A002.c.5 is removed and
reserved, as it is moved to 3A002.c.4.b.2
to make ‘‘real-time bandwidth’’
(3A002.c.4.a) a prerequisite for control
of ‘‘frequency mask trigger’’
functionality of signal analyzers in
3A002.c.4.
3A991 Electronic Devices, and
‘‘Components’’ Not Controlled by 3A001
ECCN 3A991 is amended by revising
the Items paragraph introductory
paragraph .g, paragraph g.1, and
introductory paragraph g.2 to
correspond with the changes made to
paragraph 3A001.b. For an explanation
about these revisions, see the rationale
for 3A001.b revisions. BIS estimates
these revisions will result in no change
to license application submissions
annually.
3B001 Equipment for the
Manufacturing of Semiconductor
Devices or Materials
ECCN 3B001.a.1 (equipment designed
for epitaxial growth) is amended by
replacing ‘‘capable of producing’’ with
‘‘designed or modified to produce,’’ to
clarify the intended scope of control.
BIS estimates that this change will
result in a decrease of about 20 license
application submissions per year.
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3C001 Hetero-Epitaxial Materials
Consisting of a ‘‘Substrate’’ Having
Stacked Epitaxially Grown Multiple
Layers
Category 4—Computers
The exclusion Note to ECCN 3C001.d
is amended by adding three nonsensitive p-type epitaxial layer
materials, i.e., GaAs, AlGaAs, InP. This
Note excludes hetero-epitaxial materials
for the manufacture of light-emitting
diodes (LEDs). BIS estimates that this
change will result in a decrease of about
5 license application submissions per
year.
3E001 ‘‘Technology’’ According to the
General Technology Note for the
‘‘Development’’ or ‘‘Production’’ of
Equipment or Materials Controlled by
3A, 3B and 3C
ECCN 3E001 is amended by revising
paragraph (a) of the License Exception
TSR paragraph to replace ‘‘Traveling
wave tube’’ with ‘‘Vacuum electronic
device amplifiers.’’ Paragraph (c) of the
License Exception TSR paragraph and
Note 2 in the Related Controls are
revised to harmonize the reference to
MMICs to read ‘‘Monolithic Microwave
Integrated Circuit’’ (‘‘MMIC’’)
amplifiers. Note 1 is amended by
removing the phrase ‘‘the ‘‘production’’
of,’’ and Note 2 is amended by removing
the phrase ‘‘the ‘‘development’’ or
‘‘production’’ of,’’ because these phrases
do not add to the clarity of the Notes
and are unnecessary.
3E002 ‘‘Technology’’ Other Than That
Controlled in 3E001 for the
‘‘Development’’ or ‘‘Production’’ of a
‘‘Microprocessor Microcircuit’’, ‘‘Microcomputer Microcircuit’’ and
Microcontroller Microcircuit Core
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ECCN 3E002 is amended by revising
the introductory text of Note 2 to
remove reference to ‘‘development’’ and
‘‘production’’, because these terms are
already referenced in the definition of
‘‘technology,’’ therefore there is no need
to repeat this point in the control text.
However, Note 3 is amended by adding
the phrase ‘‘the development or
production of’’ to clarify the scope of
the Note.
3E003 Other ‘‘Technology’’ for the
‘‘Development’’ or ‘‘Production’’
ECCN 3E003.g is amended by
replacing the term ‘‘electronic vacuum
tubes’’ with the more modern and
general term ‘vacuum electronic
devices,’ which is defined in Technical
Note 2 at the beginning of 3A001.b.
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4A003 ‘‘Digital Computers,’’
‘‘Electronic Assemblies,’’ and Related
Equipment Therefor
ECCN 4A003 is amended by revising
the AT control paragraph in the License
Requirements table and the Note to the
License Requirements section in order
to correspond to the revision in this rule
that raises the ‘‘adjusted peak
performance’’ (APP) from 12.5 to 16
weighted TeraFLOPS (WT) in Items
paragraph 4A003.b. The APP is raised to
address the need to track incremental
improvements (e.g., ‘‘Moore’s Law’’) in
micro-processor technology. The
Congressional notification requirement
set forth in subsection 1211(d) of the
National Defense Authorization Act for
Fiscal Year 1998 (Pub. L. 105–85,
November 18, 1997, 111 Stat. 1629,
1932–1933, as amended; 50 U.S.C. 4604
note) provides that the President must
submit a report to Congress 60 days
before adjusting the composite
theoretical performance level above
which exports of digital computers to
Tier 3 countries require a license. On
July 27, 2017 the Secretary of
Commerce, as the President’s delegate,
submitted to Congress a report to
Congress that establishes and provides
justification for the 16 WT control level
using the APP formula. Therefore, this
revision will become effective on
September 25, 2017. BIS estimates that
this revision will result in no change to
license application submissions,
because this revision is keeping pace
with advancements in HPC technology.
4D001 ‘‘Software’’ and 4E001
‘‘Technology’’
ECCNs 4D001 and 4E001 are amended
by revising the License Exception TSR
eligibility paragraph and License
Exception STA Special Conditions
paragraph to correspond to the revision
in this rule that raises the ‘‘adjusted
peak performance’’ (APP) from 12.5 to
16 weighted TeraFLOPS (WT) in Items
paragraph 4A003.b, because these
eligible countries for these license
exceptions represent allies (Country
Groups A:5 and A:6) and countries that
do not pose a national security threat
(Country Group B). The APP is raised to
address the need to track incremental
improvements (e.g., ‘‘Moore’s Law’’) in
micro-processor technology. The APP is
raised from 6.0 to 8.0 WT in Items
paragraph 4D001.b.1 for software
‘‘specially designed’’ or modified for the
development or production of
equipment or software controlled by
4A001, 4A003, 4A004 or 4D001 (except
4D980, 4D993 or 4D994) and 4E001.b.1
for technology other than that controlled
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by 4E001.a for the development or
production of digital computers. BIS
estimates that this revision will result in
no change to license application
submissions, because this revision is
keeping pace with advancements in
HPC technology.
4D993 ‘‘Program’’ Proof and
Validation ‘‘Software’’, ‘‘Software’’
Allowing the Automatic Generation of
‘‘Source Codes’’, and Operating System
‘‘Software’’
ECCN 4D993 is amended by
correcting the Heading to add a hyphen
between the words ‘‘real’’ and ‘‘time’’ in
the term ‘‘real-time processing.’’
Category 5—Part 1—
‘‘Telecommunications’’
5A001 Telecommunications Systems,
Equipment, ‘‘Components’’ and
‘‘Accessories’’
ECCN 5A001 is corrected by replacing
the word ‘‘centre’’ with ‘‘center’’ in the
Technical Note of Items paragraph b.5.d.
For telecommunication systems and
equipment that employ functions of
digital ‘‘signal processing’’ to provide
‘voice coding,’ the output rate is
lowered from less than ‘‘2,400 bit/s’’ to
‘‘700 bit/s’’ in Items paragraph b.6 to
reflect advancement in technology,
which BIS estimates will result in no
change to annual license application
submissions.
5B001 Telecommunication Test,
Inspection and Production Equipment,
‘‘Components’’ and ‘‘Accessories’’
ECCN 5B001 is amended by adding
‘‘or’’ to the end of Items paragraph b.2.a
in the License Requirements section to
correspond with removing and reserving
Items paragraph b.2.c
(telecommunication transmission or
switching equipment employing a
‘‘laser’’ and coherent optical
transmission or coherent optical
detection techniques), including the
Note and Technical Note, because this
equipment is broadly available in all
leading technology countries around the
world. BIS estimates that this removal
will result in 5 fewer license application
submissions per year.
5E001 ‘‘Technology’’
ECCN 5E001 is amended by revising
Related Controls Note (2) and Items
paragraph 5E001.d to replace the term
Microwave ‘‘monolithic integrated
circuits’’ (MMIC) power amplifiers with
‘‘Monolithic Microwave Integrated
Circuit’’ (‘‘MMIC’’) amplifiers to
correspond to revisions made to
3A001.b.2 in this rule. This rule moves
the word ‘‘required’’ from the beginning
of Items paragraph b.1 to follow the
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term ‘‘technology,’’ in order to clarify
the scope of the sentence. This rule also
removes Items paragraph 5E001.c.1
‘‘Equipment employing digital
techniques designed to operate at a
‘‘total digital transfer rate’’ exceeding
560 Gbits/s’’ including the Technical
Note, because this telecommunication
technology is broadly available in all
leading technology countries around the
world. Even though BIS received 100
licenses for 5E001.c technology last
year, most of them had other ECCNs
included as well. BIS estimates that this
removal will result in 5 fewer license
application submissions per year. Items
paragraph 5E001.c.2.c (technology for
telecommunication transmission or
switching equipment employing a
‘‘laser’’ and coherent optical
transmission or coherent optical
detection techniques) is removed and
reserved, including the Note and
Technical Note, to correspond with the
removal of this equipment in
5B001.b.2.c by this rule. BIS estimates
that this removal will result in 15 fewer
license application submissions per
year. The Note to Items paragraphs c.2.e
and c.4.b are revised to remove the
phrase ‘‘the development or production
of,’’ because these terms are already
referenced in the definition of
‘‘technology’’ and there is no need to be
repetitive.
Category 5—Part 2—‘‘Information
Security’’
Category 5—Part 2 is being
restructured in order to simplify the text
and focus the scope of controls. The
introductory sentence in Note 3 in
Category 5—Part 2 is amended by
updating the scope of the Cryptography
Note from ‘‘ECCNs 5A002, 5A003,
5A004 and 5D002’’ to ‘‘ECCNs 5A002,
5D002.a.1, .b, and c.1.’’ Paragraph a.5 is
redesignated as paragraph a.4 in Note 3
to clean up the Note, and the phrase ‘‘,
5A003 or 5A004’’ is removed from the
Technical Note to paragraph b. in Note
3, to match the updated scope of the
Cryptography Note.
Note 4 is removed and is replaced by
the creation of positive text in 5A002.a
to specify the items subject to control.
Although the wording is different and
positively stated, the scope of control
remains the same except certain nonprimary function uses of encryption are
now excluded as noted below. The
exclusion in Note 4 for entertainment,
mass commercial broadcasts, digital
rights management or medical records
management is moved to Technical
Note 1 in order to clarify that encryption
used for those functions is not
considered ‘cryptography for data
confidentiality’ for purposes of Category
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5—Part 2. 5A002.a.4 amends the text of
the former Note 4 paragraph b to release
products that use encryption for a nonprimary function in certain
circumstances.
5A002 ‘‘Information Security’’
Systems, Equipment and ‘‘Components’’
ECCN 5A002 is amended by
redesignating Related Control paragraph
(3) as (5) and moving the Nota Bene
from the beginning of 5A002.a to a new
Related Control paragraph (3) in the List
of Items Controlled section, which
directs people to ECCNs 7A005, 7D005
and 7E001 for Global Navigation
Satellite Systems (GNSS) receiving
equipment containing or employing
decryption, and related software and
technology. Also a new Related Control
Note (4) is added to provide examples
to clarify the scope of Items paragraph
5A002.a.4, and a Nota Bene is added
after Items paragraph 5A002.a.4 to point
to Related Control Note (4). Items
paragraph 5A002.a, including the
Technical Notes and Notes, is amended
to restructure it and improve
readability, so that it includes an
introduction of the term ‘cryptography
for data confidentiality;’ the
establishment of a Technical Note to
explain the scope of cryptography and
the cryptographic functions excluded
from the controls, including defining ‘in
excess of 56 bits of symmetric key
length, or equivalent;’ and the
introduction of a definition for
‘‘authentication.’’
In addition, several revisions are
made to Note 2 to 5A002.a (formerly
Note to 5A002.a). Some paragraph and
wording changes are made to the Note
to correspond to other changes in the
control text; the introductory text of the
Note is revised to clarify that the Note
also applies to ‘‘specially designed’’
‘‘information security’’ components of
items released by the Note; paragraph (f)
of the Note is amended to clarify that it
applies to any item where the
encryption is limited to wireless
personal area network functionality;
paragraph (g) of the Note regarding
dormant encryption products is
removed and replaced with the positive
phrase ‘‘where that cryptographic
capability is usable without
‘‘cryptographic activation’’ ’’ in the
introductory text of 5A002.a; and the
remaining paragraphs of the Note are
moved up, so that former paragraphs in
the Note (h), (i), and (j) are now (g), (h),
and (i).
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5A003 ‘‘Systems,’’ ‘‘Equipment’’ and
‘‘Components,’’ for Non-Cryptographic
‘‘Information Security’’
ECCN 5A003 is amended by revising
the Note to Items paragraph .a in the
List of Items Controlled section to add
a clarification of the term ‘physical layer
security’ and to provide a reference to
ISO/IEC 7498–1.
5D002 ‘‘Software’’
5D002 is amended by revising the EI
controls in the License Requirements
table to exclude subparagraphs
pertaining to ECCN 5A003, which is not
EI controlled. The Items paragraph in
the List of Items Controlled section is
amended by replacing 5D002.b, which
no longer controls anything, with
‘‘cryptographic activation’’ from
5D002.d, so that it has the same
paragraph number as the equivalent
controls in ECCNs 5A002 and 5E002.
Paragraph 5D002.c.2 is replaced,
because it no longer controls anything,
and new control text is added
corresponding to ECCN 5A003. Items
paragraphs 5D002.a and .c are cascaded
in order to create separate
subparagraphs a.1, a.2, a.3 and c.1, c.2
and c.3 corresponding to ECCNs 5A002,
5A003, and 5A004.
5E002 ‘‘Technology’’
ECCN 5E002 is corrected to
correspond to the WA list by revising
the text in Items paragraph 5E002.b.
Category 6—Sensors and Lasers
6A00 Acoustic Systems, Equipment
and ‘‘Components’’
ECCN 6A001 is amended by adding a
hyphen to the word ‘‘real-time’’ in two
places in the LVS paragraph in the List
Based License Exceptions section; in the
List of Items Controlled section, by
adding double quotes around the word
‘‘accuracy’’ in Items paragraphs a.1.a.1.d
and a.1.a.2.b.4; by adding a hyphen to
the word ‘‘user-accessible’’ in Items
paragraph a.2.c; by adding a Nota Bene
to Items paragraph a.2.d.2 to reference
7A003.c for inertial heading systems;
and by adding a hyphen to the word
‘‘user-accessible programmability’’ in
items paragraph a.2.f. The majority of
these revisions are editorial in nature
(e.g., adding quotes or hyphens).
6A003 Cameras, Systems or
Equipment, and ‘‘Components’’
Therefor
ECCN 6A003 is amended by
correcting paragraph b.1 in Note 3 to
Items paragraph b.4.b in the List of
Items Controlled section to remove the
word ‘‘pixel’’ from the units, so that the
unit simply reads milli-radians or mrad;
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Category 7—Navigation and Avionics
6A005 ‘‘Lasers,’’ ‘‘Components’’ and
Optical Equipment
The List of Items Controlled section of
ECCN 6A005 is amended by revising
Items paragraph a.6.a to raise the output
power from 200 W to 500 W for nontunable continuous wave lasers, as well
as by removing ‘‘or’’ in Items paragraph
a.7.b because this paragraph is not the
last paragraph before the end of the
series in Items paragraph .a. This rule
adds an upper limit ‘‘not exceeding
1,850 nm’’ to Items paragraph a.8. This
rule also adds two new Items
paragraphs a.9 and a.10 to add two new
output wavelength ranges for nontunable continuous wave (CW) lasers
(exceeding 1,850 nm ¥2,100 nm,
including output power parameters for
single and multiple transverse mode
lasers) and (exceeding 2,100 nm and
output power exceeding 1W). In
addition, this rule corrects Items
paragraph b.7.b.3 (non-tunable pulsed
lasers) by removing ‘‘or’’ because this
paragraph is not the last paragraph
before the end of the series in Items
paragraph b. Items paragraph b.8 is
revised to add an upper threshold of
‘‘not exceeding 1,850 nm.’’ This rule
adds two new output wavelength ranges
for non-tunable pulsed lasers by adding
Items paragraph b.9 (exceeding 1,850
nm but not exceeding 2,100 nm) and
b.10 (exceeding 2,100 nm). These
changes represent a decontrol of items
in 6A005 and are estimated to result in
a decrease of 30 license application
submissions annually.
6A008 Radar Systems, Equipment and
Assemblies
ECCN 6A008 is amended to
harmonize with the WA list by
removing Related Controls Note (1) and
redesignating Notes (2) and (3) as (1)
and (2), because Note (1) deviated from
the WA exclusion Note that already
exists in ECCN 6A008, which resulted
in confusion.
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6D003
Other ‘‘Software’’
ECCN 6D003 is corrected by adding a
hyphen to the term ‘‘real time
processing’’ so that it reads ‘‘real-time
processing’’ in Items paragraphs a.1
through a.4, a.5.a, f.3, and f.4.
6E003
Other ‘‘Technology’’
ECCN 6E003 is amended by rewriting
Items paragraph d.1 and d.2 in the List
of Items Controlled section to clarify the
scope and use of the words
‘‘technology’’ and ‘‘required.’’
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Category 9—Aerospace and Propulsion
7D003 Other ‘‘Software’’ and 7E001
‘‘Technology’’
this correction does not change the
scope of this decontrol note.
9A001 Aero Gas Turbine Engines
ECCN 9A001 is amended by adding
double quotes around the word
‘‘technologies’’ in Items paragraph
9A001.a in the List of Items section to
indicate that this is a defined term in
part 772 of the EAR.
This rule corrects the capitalization in
the Heading of 7E001. The Related
Controls paragraphs of ECCNs 7D003
and 7E001 are amended by removing
references to ECCNs 0D521 and 0E521,
because software and technology for flyby-wire controls systems were removed
from 0D521 and 0E521 (see 80 FR
29452, May 21, 2015). Items paragraph
7D003.e is amended by revising one
Items paragraph reference and adding
two additional references to correspond
to revisions made by this rule to ECCN
7E004.
7D004 ‘‘Source Code’’ Incorporating
‘‘Development’’ ‘‘Technology’’ Specified
The heading of 7D004 is amended by
revising the reference to Items
paragraphs in 7E004 to correspond to
revisions this rule makes to ECCN
7E004.
7E003 ‘‘Technology’’ According to the
General Technology Note for the Repair,
Refurbishing or Overhaul of Equipment
Controlled by 7A001 to 7A004
The Related Controls paragraph of
ECCN 7E003 is amended by revising the
phrase ‘‘maintenance technology’’ to
read ‘‘technology for maintenance’’ to
clarify the scope of the decontrol text.
7E004
Other ‘‘Technology’’
ECCN 7E004 is amended to clarify the
scope of control by removing the word
‘‘development’’ and capitalizing the
word ‘‘Technology’’ in paragraphs 1 and
2 of the Note to Items paragraph b.5 in
the List of Items Controlled section,
because the term ‘‘development’’ is
already in the definition of
‘‘technology’’ and does not need to be
used again.
Category 8—Marine
8A002 Marine Systems, Equipment,
‘‘Parts’’ and ‘‘Components’’
ECCN 8A002 is amended by adding
double quotes around the word ‘‘fuel
cell’’ in the introductory text of Items
paragraph j.3 in the List of Items
Controlled section to indicate that it is
a defined term in part 772 of the EAR.
8C001 ‘Syntactic Foam’ Designed for
Underwater Use
ECCN 8C001 is amended by adding
double quotes around the word
‘‘matrix’’ in the Related Definitions
paragraph of the List of Items Controlled
section to indicate that it is a defined
term in part 772 of the EAR.
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9A004 Space Launch Vehicles and
‘‘Spacecraft,’’ ‘‘Spacecraft Buses,’’
‘‘Spacecraft Payloads,’’ ‘‘Spacecraft’’
On-Board Systems or Equipment, and
Terrestrial Equipment
ECCN 9A004 is amended by removing
the comma after the word ‘‘equipment’’
and adding a comma after the word
‘‘spacecraft’’ in the introductory text of
Items paragraph .f in the List of Items
Controlled section to correct the
punctuation and clarify the scope of the
paragraph (i.e., to clarify that a list of
controlled terrestrial equipment is what
follows Items paragraph .f and not a list
of ‘‘specially designed’’ spacecraft).
9A515 ‘‘Spacecraft’’ and Related
Commodities
ECCN 9A515 is amended by revising
the Related Controls paragraph in the
List of Items Controlled section to
capitalize ‘‘Microwave Monolithic
Integrated Circuits’’ and add quotes
around the term and its acronym,
‘‘MMICs,’’ in order to correspond to the
WA drafting guidelines and indicate
that the term is defined in part 772 of
the EAR. This rule also implements an
amendment that is not a result of
changes made to the WA list by revising
paragraph .a to clarify that only the
International Space Station and the
James Webb Space Telescope, and
‘‘specially designed’’ ‘‘parts,’’
‘‘components,’’ ‘‘accessories’’ and
‘‘attachments’’ for those platforms are
excluded from 9A515.a. Specifically,
the reference to ECCN 9A004 now reads
ECCN 9A004.u or .w.
9B002 On-Line (Real Time) Control
Systems, Instrumentation (Including
Sensors) or Automated Data Acquisition
and Processing Equipment
Items paragraph 9B002.b is amended
by replacing the phrase ‘‘incorporating
technologies’’ with ‘‘incorporating any
of the technology’’ to clarify the scope
of the control paragraph.
9B009 Tooling ‘‘Specially Designed’’
for Producing Turbine Engine Powder
Metallurgy Rotor ‘‘Parts’’ or
‘‘Components’’
The Heading of ECCN 9B009 is
amended by moving the control
parameter from the Heading to the Items
paragraph, as well as adding the word
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Category 7 reference is removed from
the term ‘‘real-time processing,’’ because
this term is no longer used in this
category of the CCL. The term
‘‘stability’’ is revised by adding a
Statement of Understanding that
provides guidance on how to estimate
‘‘stability’’ for gyroscopes. The term
‘‘three dimensional integrated circuit’’ is
revised, because 3D and 2.5D integrated
circuit technologies allow the
integration of many different types of
integrated circuits, and not all 3D
Integrated circuits are composed solely
of semiconductor die sandwiched
together. Also, a description is added for
the term ‘‘interposer,’’ which is now
used in the definition of ‘‘three
dimensional integrated circuit.’’ This
rule also revises the category reference
for the following terms: Active pixel,
aircraft, fibrous or filamentary materials,
frequency hopping, and spacecraft.
9E003 Other ‘‘Technology’’
ECCN 9E003 is amended by adding a
Technical Note to Items paragraph a.1 in
the List of Items Controlled section to
indicate that stress-rupture life testing is
typically conducted on a test specimen.
Items paragraph 9E003.a.2.a (thermally
decoupled liners for combustors) is
revised by adding single quotes around
the term ‘thermally decoupled liners’
and adding a Technical Note to provide
a definition for the term. To
accommodate the new Technical Note,
the rule redesignates the existing
Technical Note as Technical Note 2 and
adds the new Technical Note as
Technical Note 1. The Note to Items
paragraph i.3 is revised by removing the
terms ‘‘development’’ and
‘‘production,’’ because these terms are
already in the definition of
‘‘technology,’’ and there is no need to be
redundant when stating the scope of the
exclusion note.
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‘‘gas’’ before ‘‘turbine engine’’ to add
specificity to the control. This rule also
replaces the phrase ‘‘capable of
operating at’’ with ‘‘designed to operate
at’’ to control the intended capability of
the item versus the actual capability, as
the actual capability may vary from item
to item in the same production line,
which complicates classification of a
product against specific parameters. In
addition, a new parameter, ‘‘designed to
operate at a temperature of 873 K (600
°C) or more,’’ is added, as well as a new
exclusion Note for tooling for the
production of powder. Normally, more
specific parameters would narrow the
scope of the control and result in a
decrease of license application
submissions, but BIS received only one
application for this entry last year. BIS
estimates there will be no change in the
number of license application
submissions as a result of this revision.
Supplement No. 6 to Part 774
‘‘Sensitive List’’
Supplement No. 6 to part 774
‘‘Sensitive List’’ (SL) is amended by
removing reference to 1C007.d in
paragraphs (iii), (vi) and (vii) of
Category 1, because this paragraph was
moved to 1C007.c.2, and 1C007.c is
already listed. Supplement No. 6 to part
774 (SL) is also amended by revising the
parameters in paragraphs (4)(ii) and (iii)
to match the revisions to APP in ECCNs
4D001 and 4E001, and adding a hyphen
in the term ‘‘user-accessible
programmability’’ in paragraphs (6)(v)
and (viii). In Category 6 of the SL, this
rule adds double quotes around the term
‘‘magnetic gradiometers’’ in paragraph
(xxiv)(C) and around the word
‘‘magnetometers’’ in paragraph (xxv), in
order to indicate that these words are
defined in part 772 of the EAR.
Paragraph (9)(viii) is removed and
reserved, because 9E003.a.1 is moving
to paragraph (9)(ix). Paragraph 9E003.h
is moved to its own SL paragraph, (9)(x).
The following is a change to the EAR
related to the WA 2016 agreements.
Part 772—Definitions of Terms as Used
in the Export Administration
Regulations (EAR)
Section 772.1 is amended by adding
the terms ‘‘authentication’’ (see
explanation above under ECCN 5A002),
‘‘MMIC’’ and ‘‘Monolithic Microwave
Integrated Circuit’’ (see explanation
above under ECCN 3A001). This rule
also adds quotes around the term
‘‘aircraft’’ in the definitions of ‘‘fly-bylight system’’ and ‘‘fly-by-wire system,’’
because the use of ‘‘aircraft’’ in this
definition pertains to the term
‘‘aircraft,’’ which is defined in part 772
of the EAR. The term ‘‘real-time
bandwidth’’ is revised to add a hyphen
between words ‘‘real’’ and ‘‘time,’’ and
a comma and a phrase in the definition
are moved to clarify the definition. The
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Section 740.7 ‘‘License Exception
APP’’
Consistent with Executive Order
13742 of October 7, 2016, which
terminated the national emergency with
respect to the actions and policies of the
Government of Burma (Burma) and
revoked several Burma-related
Executive Orders in recognition of
Burma’s substantial advances to
promote democracy (including historic
elections held in November 2015 that
resulted in the formation of a
democratically elected, civilian-led
government), this rule moves Burma
from paragraph (d)(1) ‘‘Computer Tier
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38771
3’’ to paragraph (c)(1) ‘‘Computer Tier
1.’’ As provided in subsection 1211(e) of
the National Defense Authorization Act
for Fiscal Year 1998 (Pub. L. 105–85,
November 18, 1997, 111 Stat. 1629,
1932–1933, as amended; 50 U.S.C. 4604
note), this revision shall not take effect
until 120 days after the President
submits to the Congress a report setting
forth the justification. On July 27, 2017
the Secretary of Commerce, as the
President’s delegate, submitted to
Congress a report that provided
justification for the movement of Burma
from Computer Tier 3 to Tier 1.
Therefore, this revision will become
effective on November 24, 2017.
Export Administration Act
Although the Export Administration
Act of 1979, as amended, expired on
August 21, 2001, the President, through
Executive Order 13222 of August 17,
2001, 3 CFR, 2001 Comp., p. 783 (2002),
as amended by Executive Order 13637
of March 8, 2013, 78 FR 16129 (March
13, 2013), and as extended by the Notice
of August 4, 2016, 81 FR 52587 (August
8, 2016), has continued the EAR in
effect under the International
Emergency Economic Powers Act (50
U.S.C. 1701 et seq.). BIS continues to
carry out the provisions of the Export
Administration Act, as appropriate and
to the extent permitted by law, pursuant
to Executive Order 13222, as amended
by Executive Order 13637.
Saving Clause
Shipments of items removed from
license exception eligibility or eligibility
for export, reexport or transfer (incountry) 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 15,
2017, pursuant to actual orders for
exports, reexports and transfers (incountry) 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 exports, reexports and transfers
(in-country) before October 16, 2017.
Any such items not actually exported,
reexported and transferred (in-country)
before midnight, on October 16, 2017,
require a license in accordance with this
final rule.
Executive Order Requirements
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,
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Federal Register / Vol. 82, No. 156 / Tuesday, August 15, 2017 / Rules and Regulations
environmental, public health and safety
effects, distributive impacts, and
equity). Executive Order 13563
emphasizes the importance of
quantifying both costs and benefits, of
reducing costs, of harmonizing rules,
and of promoting flexibility.
This rule has been designated a
‘‘significant regulatory action,’’ under
Executive Order 12866. The Wassenaar
Arrangement (WA) has been established
in order to contribute to regional and
international security and stability, by
promoting transparency and greater
responsibility in transfers of
conventional arms and dual-use goods
and technologies, thus preventing
destabilizing accumulations. The aim is
also to prevent the acquisition of these
items by terrorists. There are presently
41 Participating States, including the
United States, that seek through their
national policies to ensure that transfers
of these items do not contribute to the
development or enhancement of
military capabilities that undermine
these goals, and to ensure that these
items are not diverted to support such
military capabilities that undermine
these goals. Implementation of the WA
agreements in a timely manner
enhances the national security of the
United States and global international
trade.
This rule does not contain policies
with Federalism implications as that
term is defined under Executive Order
13132.
This rule is not subject to the
requirements of E.O. 13771 (82 FR 9339,
February 3, 2017) because it is issued
with respect to a national security
function of the United States.
Paperwork Reduction Act
Requirements
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, ‘‘MultiPurpose Application,’’ and carries a
burden hour estimate of 29.6 minutes
for a manual or electronic submission;
0694–0106, ‘‘Reporting and
Recordkeeping Requirements under the
Wassenaar Arrangement,’’ which carries
a burden hour estimate of 21 minutes
for a manual or electronic submission;
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.
Below is a table that estimates there will
be a decrease in the number of license
application submissions BIS receives
per year as a result of the revisions in
this rule. A decrease in license
application submissions in turn results
in a decrease in Wassenaar reporting
and recordkeeping, the use of license
exceptions, and the 5-year records
retention burden, but does not relieve
the burden to file export information in
the Automated Export System. Specific
license application submission
estimates are discussed further in the
preamble of this rule where the revision
is explained. BIS estimates that
revisions that are editorial, moving the
location of control text on the
Commerce Control List, or clarifications
will result in no change in license
application submissions. The estimated
annual cost savings for both application
submitters and the U.S. Government is
$3,547.60, and the estimated annual
burden hour decrease is 34.8 hours.
mstockstill on DSK30JT082PROD with RULES2
Description
Total submissions
Total mins for
submission
(29.6 min)
Cost for
respondents
($30/hr or $2/min)
Total min
to process
application
(45 min)
1C007.c titanium diboride .................
1C007.d ceramic composite material
1C007.e precursors ..........................
3A001.a.14 integrated circuits ..........
3A001.b.1 vacuum electric devices ..
3A001.b.11 frequency synthesizers
3A001.f ‘‘specially . . . designed’’
encoder rings, discs or scales.
3A002.c.4.b frequency mask trigger
3B001.a.1 equipment designed for
epitaxial growth.
3C001.d non-sensitive
p-type
epitaxial layer materials.
4A003.b computers ..........................
4D001 and 4E001 technology and
software for computers.
5A001.b.6 ‘voice coding’ ..................
5B001 telecom materials ..................
5E001.c.1 telecom technology .........
5E001.c.2.c telecom technology ......
6A005 lasers .....................................
9B009 Tooling ‘‘specially designed’’
for producing turbine engine powder metallurgy rotor ‘‘parts’’ or
‘‘components.
0 ...........................
2 ...........................
0 ...........................
50 .........................
10 .........................
(30) .......................
5 ...........................
0 ...........................
59.2 ......................
0 ...........................
1480 .....................
296 .......................
(888) .....................
148 .......................
0 ...........................
$118.40 ................
0 ...........................
$2,960.00 .............
$592.00 ................
($1776.00) ............
$296.00 ................
0 ...........................
90 .........................
0 ...........................
2250 .....................
450 .......................
(1350) ...................
225 .......................
0.
$135.00.
0.
$3375.00.
$675.00.
($2025.00).
$337.50.
15 .........................
(20) .......................
444 .......................
(592) .....................
$888.00 ................
($1184.00) ............
675 .......................
(900) .....................
$1012.50.
($1350.00).
(5) .........................
(148) .....................
($296.00) ..............
(225) .....................
($337.50).
0 ...........................
0 ...........................
0 ...........................
0 ...........................
0 ...........................
0 ...........................
0 ...........................
0 ...........................
0.
0.
0 ...........................
(5) .........................
(5) .........................
(15) .......................
(30) .......................
0 ...........................
0 ...........................
(148) .....................
(148) .....................
(444) .....................
(888) .....................
0 ...........................
0 ...........................
($296.00) ..............
($296.00) ..............
($888.00) ..............
($1776.00) ............
0 ...........................
0 ...........................
(225) .....................
(225) .....................
(675) .....................
(1350) ...................
0 ...........................
0.
($337.50).
($337.50).
($1012.50).
($2025.00).
0.
(28 fewer submissions annually).
(828.8 fewer burden minutes for
submitters annually).
($1657.60 de(1260 fewer burcrease of cost
den minutes for
burden to subUSG annually).
mitters annually).
Totals ...........................................
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15AUR2
Cost for gov’t
($40/hr or
$1.5/min)
($1890.00 decrease of cost
burden to USG
annually).
Federal Register / Vol. 82, No. 156 / Tuesday, August 15, 2017 / Rules and Regulations
mstockstill on DSK30JT082PROD with RULES2
Any comments regarding these
burden estimates or any other aspect of
these collections of information,
including suggestions for reducing the
burden, may be sent to OMB Desk
Officer, New Executive Office Building,
Washington, DC 20503; and to Jasmeet
K. Seehra, Office of Management and
Budget (OMB), by email to Jasmeet_K._
Seehra@omb.eop.gov, or by fax to (202)
395–7285.
Administrative Procedure Act and
Regulatory Flexibility Act
Requirements
The provisions of the Administrative
Procedure Act (5 U.S.C. 553) requiring
notice of proposed rulemaking, the
opportunity for public participation,
and a delay in effective date, are
inapplicable because this action
involves a military and foreign affairs
function of the United States (5 U.S.C.
553(a)(1)). Immediate implementation of
these amendments fulfills the United
States’ international commitments to the
WA. The WA is committed to
contributing to regional and
international security and stability by
promoting responsibility and
transparency in the global arms trade,
and preventing destabilizing
accumulations of arms. As a
Participating State, the United States is
charged with implementing the agreed
list changes as soon as possible after
approval. Because the United States is a
significant exporter of the list items
discussed in this rule, implementation
of this provision is necessary for the WA
to achieve its purpose, and will enhance
the national security of the United
States and global international trade.
Although the APA requirements in
section 553 are not applicable to this
action under the provisions of
paragraph (a)(1), this action also falls
within two other exceptions in the
section. The subsection (b) requirement
that agencies publish a notice of
proposed rulemaking that includes
information on the public proceedings
does not apply when an agency for good
cause finds that the notice and public
procedures are impracticable,
unnecessary, or contrary to the public
interest, and the agency incorporates the
finding (and reasons therefor) in the rule
that is issued (5 U.S.C. 553(b)(B)). In
addition, the section 553(d) requirement
that publication of a rule shall be made
not less than 30 days before its effective
date can be waived if an agency finds
there is good cause to do so.
The section 553 requirements for
notice and public procedures and for a
delay in the date of effectiveness do not
apply to this rule, as there is good cause
to waive such practices. Delay in
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Jkt 241001
implementation would disrupt the
movement of these potential nationalsecurity controlled items globally,
creating disharmony between export
control measures implemented by the
41 WA Participating States. Export
controls work best when all countries
implement the same export controls in
a timely manner. Delaying this
rulemaking would prevent the United
States from fulfilling its commitment to
the WA in a timely manner, would
injure the credibility of the United
States in this and other multilateral
regimes, and may impair the
international community’s ability to
effectively control the export of national
security controlled items. Therefore,
this regulation is issued in final form,
and is effective August 15, 2017.
Further, no other law requires that a
notice of proposed rulemaking and an
opportunity for public comment be
given for this final rule. Because a
notice of proposed rulemaking and an
opportunity for public comment are not
required to be given for this rule under
the Administrative Procedure Act 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 740
Administrative practice and
procedure, Exports, Reporting and
recordkeeping requirements.
15 CFR Part 772
Exports.
15 CFR Part 774
Exports, Reporting and recordkeeping
requirements.
Accordingly, Parts 740, 772, and 774
of the Export Administration
Regulations (15 CFR parts 730 through
774) are amended as follows:
PART 740—[AMENDED]
1. The authority citation for part 740
continues to read as follows:
■
Authority: 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; Notice of August 4, 2016, 81
FR 52587 (August 8, 2016).
2. Section 740.7 is amended by:
a. Adding ‘‘Burma,’’ to paragraph
(c)(1) after ‘‘Burkina Faso,’’ ; and
■ b. Removing ‘‘Burma,’’ from
paragraph (d)(1).
■
■
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38773
PART 772—[AMENDED]
3. The authority citation for part 772
continues to read as follows:
■
Authority: 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; Notice of August
4, 2016, 81 FR 52587 (August 8, 2016).
4. Section 772.1 is amended by:
a. Removing ‘‘(Cat 6 and 8)’’ and
adding in its place ‘‘(Cat 6)’’ in the
definition of ‘‘active pixel’’;
■ b. Removing ‘‘(Cat 1, 7, and 9)’’ and
adding in its place ‘‘(Cat 1, 6, 7, and 9)’’
in the definition of ‘‘aircraft’’;
■ c. Adding the definition of
‘‘Authentication’’ in alphabetical order;
■ d. Removing ‘‘(Cat 1 and 8)’’ and
adding in its place ‘‘(Cat 1, 2, 8 and 9)’’
in
■ the definition of ‘‘fibrous or
filamentary materials’’;
■ e. Adding quotes around the term
‘‘aircraft’’ in the definitions of the terms
‘‘fly-by-light system’’ and ‘‘fly-by-wire
system’’;
■ f. Removing ‘‘(Cat 5 part 1 and 5 part
2)’’ and adding in its place ‘‘(Cat 5P1,
5P2 and 6)’’ in the definition of
‘‘frequency hopping’’;
■ g. Adding the definitions of ‘‘MMIC’’
and ‘‘Monolithic Microwave Integrated
Circuit’’ in alphabetical order;
■ h. Removing the definition of
‘‘multilevel security’’ including the
Note;
■ i. Revising the definitions of ‘‘realtime bandwidth’’ and ‘‘real-time
processing’’;
■ j. Remove ‘‘(Cat 7 and 9)’’ and add in
its place ‘‘(Cat 9)’’ in the definition of
‘‘spacecraft’’; and
■ k. Revising the definitions of
‘‘stability’’ and ‘‘three dimensional
integrated circuit’’.
The additions and revisions read as
follows:
■
■
772.1 Definitions of terms as used in the
Export Administration Regulations (EAR).
*
*
*
*
*
‘‘Authentication’’. (Cat 5P2) Verifying
the identity of a user, process or device,
often as a prerequisite to allowing
access to resources in an information
system. This includes verifying the
origin or content of a message or other
information, and all aspects of access
control where there is no encryption of
files or text except as directly related to
the protection of passwords, Personal
Identification Numbers (PINs) or similar
data to prevent unauthorized access.
*
*
*
*
*
‘‘MMIC’’. (Cat 3 and 5) See
‘‘Monolithic Microwave Integrated
Circuit’’
*
*
*
*
*
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Federal Register / Vol. 82, No. 156 / Tuesday, August 15, 2017 / Rules and Regulations
‘‘Monolithic Microwave Integrated
Circuit’’ (‘‘MMIC’’) (Cat 3, 5P1 and 9) is
a ‘‘monolithic integrated circuit’’ that
operates at microwave or millimeter
wave frequencies.
*
*
*
*
*
Real-time bandwidth. (Cat 3) For
‘‘signal analyzers’’, the widest frequency
range for which the analyzer can
continuously transform time domain
data entirely into frequency-domain
results using Fourier or other discrete
time transform that processes every
incoming time point, without a
reduction of measured amplitude of
more than 3 dB below the actual signal
amplitude caused by gaps or windowing
effects, while outputting or displaying
the transformed data.
‘‘Real-time Processing’’. (Cat 2, 4, and
6) The processing of data by a computer
system providing a required level of
service, as a function of available
resources, within a guaranteed response
time, regardless of the load of the
system, when stimulated by an external
event.
*
*
*
*
*
‘‘Stability’’. (Cat 7) Standard deviation
(1 sigma) of the variation of a particular
parameter from its calibrated value
measured under stable temperature
conditions. This can be expressed as a
function of time.
Note to the Defintion of ‘‘Stability’’: For
gyroscopes, ‘‘stability’’ can be estimated by
determining the Allan variance noiseanalysis value at the integration period (i.e.,
sample time) consistent with the stated
measurement period, which may include
extrapolating the Allan variance noise
analysis beyond the instability point into the
rate random walk or rate ramp regions to an
integration period consistent with the stated
measurement period (Reference: IEEE Std.
952–1997 [R2008]). Allan variance noise
analysis is often used to characterize Micro
Electro Mechanical Systems (MEMS)
gyroscopes, and is applicable to other
gyroscopes, such as Ring Laser Gyroscopes
(RLGs) and Fiber Optic Gyroscopes (FOGs).
mstockstill on DSK30JT082PROD with RULES2
*
*
*
*
*
‘‘Three dimensional integrated
circuit’’. (Cat 3) A collection of
semiconductor dies or active device
layers, integrated together, and having
through semiconductor via connections
passing completely through an
interposer, substrate, die or layer to
establish interconnections between the
device layers. An interposer is an
interface that enables electrical
connections.
*
*
*
*
*
PART 774—[AMENDED]
5. The authority citation for part 774
continues to read as follows:
■
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20:53 Aug 14, 2017
Jkt 241001
Authority: 50 U.S.C. 4601 et seq.; 50
U.S.C. 1701 et seq.; 10 U.S.C. 7420; 10 U.S.C.
7430(e); 22 U.S.C. 287c, 22 U.S.C. 3201 et
seq.; 22 U.S.C. 6004; 30 U.S.C. 185(s), 185(u);
42 U.S.C. 2139a; 43 U.S.C. 1354; 15 U.S.C.
1824a; 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; Notice of
August 4, 2016, 81 FR 52587 (August 8,
2016).
6. In Supplement No. 1 to Part 774
(the Commerce Control List), Category 1,
ECCN 1A004 is revised to read as
follows:
■
Supplement No. 1 to Part 774—The
Commerce Control List
*
*
*
*
*
1A004 Protective and detection equipment
and ‘‘components,’’ not ‘‘specially
designed’’ for military use, as follows
(see List of Items Controlled).
Reason for Control: NS, CB, RS, AT
Control(s)
NS applies to entire
entry.
CB applies to chemical
detection systems and
dedicated detectors
therefor, in 1A004.c,
that also have the
technical characteristics described in
2B351.a.
RS apply to 1A004.d .....
AT applies to entire
entry.
Country chart
(See Supp. No. 1
to part 738)
NS Column 2
CB Column 2
Note: 1A004.a includes Powered Air
Purifying Respirators (PAPR) that are
designed or modified for defense against
agents or materials, listed in 1A004.a.
RS Column 2
AT Column 1
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Related Controls: (1) See ECCNs 1A995,
2B351, and 2B352. (2) See ECCN 1D003 for
‘‘software’’ ‘‘specially designed’’ or
modified to enable equipment to perform
the functions of equipment controlled
under section 1A004.c (Nuclear, biological
and chemical (NBC) detection systems). (3)
See ECCN 1E002.g for control libraries
(parametric technical databases) ‘‘specially
designed’’ or modified to enable equipment
to perform the functions of equipment
controlled under 1A004.c (Nuclear,
biological and chemical (NBC) detection
systems). (4) Chemical and biological
protective and detection equipment
specifically designed, developed, modified,
configured, or adapted for military
applications is ‘‘subject to the ITAR’’ (see
22 CFR parts 120 through 130, including
USML Category XIV(f)), as is commercial
equipment that incorporates ‘‘parts’’ or
‘‘components’’ controlled under that
category except for domestic preparedness
devices for individual protection that
integrate ‘‘components’’ and ‘‘parts’’
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Fmt 4701
identified in USML Category XIV(f)(4)
when such ‘‘parts’’ or ‘‘components’’ are:
(i) Integral to the device; (ii) inseparable
from the device; and (iii) incapable of
replacement without compromising the
effectiveness of the device, in which case
the equipment is ‘‘subject to the EAR’’
under ECCN 1A004. (5) This entry does not
control radionuclides incorporated in
equipment listed in this entry—such
materials are subject to the licensing
jurisdiction of the Nuclear Regulatory
Commission (See 10 CFR part 110).
Related Definitions: (1) ‘Biological agents’
means: Pathogens or toxins, selected or
modified (such as altering purity, shelf life,
virulence, dissemination characteristics, or
resistance to UV radiation) to produce
casualties in humans or animals, degrade
equipment or damage crops or the
environment. (2) ‘Riot control agents’ are
substances which, under the expected
conditions of use for riot control purposes,
produce rapidly in humans sensory
irritation or disabling physical effects
which disappear within a short time
following termination of exposure. (Tear
gases are a subset of ‘riot control agents.’)
Items:
a. Full face masks, filter canisters and
decontamination equipment therefor,
designed or modified for defense against any
of the following, and ‘‘specially designed’’
‘‘components’’ therefor:
Sfmt 4700
Technical Notes: For the purpose of
1A004.a:
1. Full face masks are also known as gas
masks.
2. Filter canisters include filter cartridges.
a.1. ‘Biological agents;’
a.2. ‘Radioactive materials;’
a.3. Chemical warfare (CW) agents; or
a.4. ‘Riot control agents,’ as follows:
a..4.a. a-Bromobenzeneacetonitrile,
(Bromobenzyl cyanide) (CA) (CAS 5798–79–
8);
a..4.b. [(2-chlorophenyl) methylene]
propanedinitrile, (oChlorobenzylidenemalononitrile) (CS) (CAS
2698–41–1);
a..4.c. 2-Chloro-1-phenylethanone,
Phenylacyl chloride (w-chloroacetophenone)
(CN) (CAS 532–27–4);
a..4.d. Dibenz-(b,f)-1,4-oxazephine, (CR)
(CAS 257–07–8);
a..4.e. 10-Chloro-5, 10dihydrophenarsazine, (Phenarsazine
chloride), (Adamsite), (DM) (CAS 578–94–9);
a..4.f. N-Nonanoylmorpholine, (MPA) (CAS
5299–64–9);
b. Protective suits, gloves and shoes,
‘‘specially designed’’ or modified for defense
against any of the following:
b.1. ‘Biological agents’;
b.2. ‘Radioactive materials;’ or
b.3. Chemical warfare (CW) agents;
c. Detection systems, ‘‘specially designed’’
or modified for detection or identification of
any of the following, and ‘‘specially
designed’’ ‘‘components’’ therefor:
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c.1. ‘Biological agents’;
c.2. ‘Radioactive materials;’ or
c.3. Chemical warfare (CW) agents;
d. Electronic equipment designed for
automatically detecting or identifying the
presence of ‘‘explosives’’ (as listed in the
annex at the end of Category 1) residues and
utilizing ‘trace detection’ techniques (e.g.,
surface acoustic wave, ion mobility
spectrometry, differential mobility
spectrometry, mass spectrometry).
Technical Note: ‘Trace detection’ is
defined as the capability to detect less than
1 ppm vapor, or 1 mg solid or liquid.
Note 1: 1A004.d. does not apply to
equipment ‘‘specially designed’’ for
laboratory use.
Note 2: 1A004.d. does not apply to noncontact walk-through security portals.
Note: 1A004 does not control:
a. Personal radiation monitoring
dosimeters;
b. Occupational health or safety equipment
limited by design or function to protect
against hazards specific to residential safety
or civil industries, including:
1. Mining;
2. Quarrying;
3. Agriculture;
4. Pharmaceutical;
5. Medical;
6. Veterinary;
7. Environmental;
8. Waste management;
9. Food industry.
Technical Notes:
1. 1A004 includes equipment,
‘‘components’’ that have been ‘identified,’
successfully tested to national standards or
otherwise proven effective, for the detection
of or defense against ‘radioactive materials’
‘‘ ’’ ‘biological agents,’ chemical warfare
agents, ‘simulants’ or ‘‘riot control agents,’’
even if such equipment or ‘‘components’’ are
used in civil industries such as mining,
quarrying, agriculture, pharmaceuticals,
medical, veterinary, environmental, waste
management, or the food industry.
2. ‘Simulant’: A substance or material that
is used in place of toxic agent (chemical or
biological) in training, research, testing or
evaluation.
3. For the purposes of 1A004, ‘radioactive
materials’ are those selected or modified to
increase their effectiveness in producing
casualties in humans or animals, degrading
equipment or damaging crops or the
environment.
7. In Supplement No. 1 to Part 774
(the Commerce Control List), Category 1,
ECCN 1A007 is revised to read as
follows:
mstockstill on DSK30JT082PROD with RULES2
■
1A007 Equipment and devices, ‘‘specially
designed’’ to initiate charges and devices
containing ‘‘energetic materials,’’ by
electrical means, as follows (see List of
Items Controlled).
License Requirements
Reason for Control: NS, NP, AT
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Control(s)
NS applies to entire
entry.
NP applies to 1A007.b,
as well as 1A007.a
when the detonator
firing set meets or exceeds the parameters
of 3A229.
AT applies to entire
entry.
Country chart
(See Supp. No.1
to part 738)
NS Column 2
38775
of Items Controlled), and ‘‘specially
designed’’ ‘‘components’’ and
‘‘accessories’’ therefor.
License Requirements
Reason for Control: NS, MT, NP, AT
NP Column 1
Control(s)
AT Column 1
List Based License Exceptions (See Part 740
for a Description of all License Exceptions)
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Related Controls: High explosives and related
equipment ‘‘specially designed’’ for
military use are ‘‘subject to the ITAR’’ (see
22 CFR parts 120 through 130). This entry
does not control detonators using only
primary explosives, such as lead azide. See
also ECCNs 0A604, 3A229, and 3A232. See
1E001 for ‘‘development’’ and
‘‘production’’ technology controls, and
1E201 for ‘‘use’’ technology controls.
Related Definitions: N/A
Items:
a. Explosive detonator firing sets designed
to drive explosive detonators specified by
1A007.b;
b. Electrically driven explosive detonators
as follows:
b.1. Exploding bridge (EB);
b.2. Exploding bridge wire (EBW);
b.3. Slapper;
b.4. Exploding foil initiators (EFI).
Technical Notes
1. The word initiator or igniter is
sometimes used in place of the word
detonator.
2. For the purpose of 1A007.b the
detonators of concern all utilize a small
electrical conductor (bridge, bridge wire, or
foil) that explosively vaporizes when a fast,
high-current electrical pulse is passed
through it. In nonslapper types, the
exploding conductor starts a chemical
detonation in a contacting high explosive
material such as PETN
(pentaerythritoltetranitrate). In slapper
detonators, the explosive vaporization of the
electrical conductor drives a flyer or slapper
across a gap, and the impact of the slapper
on an explosive starts a chemical detonation.
The slapper in some designs is driven by
magnetic force. The term exploding foil
detonator may refer to either an EB or a
slapper-type detonator.
NS applies to entire
entry.
MT applies to entire
entry, except
1B001.d.4, e and f.
Note: MT applies to
equipment in 1B001.d
that meet or exceed
the parameters of
1B101.
NP applies to filament
winding machines described in 1B001.a
that are capable of
winding cylindrical rotors having a diameter
between 75 mm (3 in)
and 400 mm (16 in)
and lengths of 600
mm (24 in) or greater;
AND coordinating and
programming controls
and precision
mandrels for these
filament winding machines.
AT applies to entire
entry.
Country chart
(See Supp. No. 1
to part 738)
NS Column 2
MT Column 1
NP Column 1
AT Column 1
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
LVS: N/A for MT and for 1B001.a; $5,000 for
all other items
GBS: N/A
CIV: N/A
8. In Supplement No. 1 to Part 774
(the Commerce Control List), Category 1,
ECCN 1B001 is revised to read as
follows:
List of Items Controlled
Related Controls: (1) See ECCN 1D001 for
software for items controlled by this entry
and see ECCNs 1E001 (‘‘development’’ and
‘‘production’’) and 1E101 (‘‘use’’) for
technology for items controlled by this
entry. (2) Also see ECCNs 1B101 and
1B201.
Related Definitions: N/A
Items:
a. Filament winding machines, of which
the motions for positioning, wrapping and
winding fibers are coordinated and
programmed in three or more ‘primary servo
positioning’ axes, ‘‘specially designed’’ for
the manufacture of ‘‘composite’’ structures or
laminates, from ‘‘fibrous or filamentary
materials’’;
b. ‘Tape laying machines’, of which the
motions for positioning and laying tape are
coordinated and programmed in five or more
‘primary servo positioning’ axes, ‘‘specially
designed’’ for the manufacture of
‘‘composite’’ airframe or missile structures;
1B001 Equipment for the production or
inspection of ‘‘composite’’ structures or
laminates controlled by 1A002 or
‘‘fibrous or filamentary materials’’
controlled by 1C010, as follows (see List
Technical Note: For the purposes of
1B001.b, ‘tape-laying machines’ have the
ability to lay one or more ‘filament bands’
limited to widths greater than 25.4 mm and
less than or equal to 304.8 mm, and to cut
■
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and restart individual ‘filament band’ courses
during the laying process.
ECCN 1C007 is revised to read as
follows:
c. Multidirectional, multidimensional
weaving machines or interlacing machines,
including adapters and modification kits,
‘‘specially designed’’ or modified for
weaving, interlacing or braiding fibers for
‘‘composite’’ structures;
1C007 Ceramic powders, ceramic-‘‘matrix’’
‘‘composite’’ materials and ‘precursor
materials,’ as follows (see List of Items
Controlled).
Technical Note: For the purposes of
1B001.c the technique of interlacing includes
knitting.
d. Equipment ‘‘specially designed’’ or
adapted for the production of reinforcement
fibers, as follows:
d.1. Equipment for converting polymeric
fibers (such as polyacrylonitrile, rayon, pitch
or polycarbosilane) into carbon fibers or
silicon carbide fibers, including special
equipment to strain the fiber during heating;
d.2. Equipment for the chemical vapor
deposition of elements or compounds, on
heated filamentary substrates, to manufacture
silicon carbide fibers;
d.3. Equipment for the wet-spinning of
refractory ceramics (such as aluminum
oxide);
d.4. Equipment for converting aluminum
containing precursor fibers into alumina
fibers by heat treatment;
e. Equipment for producing prepregs
controlled by 1C010.e by the hot melt
method;
f. Non-destructive inspection equipment
‘‘specially designed’’ for ‘‘composite’’
materials, as follows:
f.1. X-ray tomography systems for three
dimensional defect inspection;
f.2. Numerically controlled ultrasonic
testing machines of which the motions for
positioning transmitters or receivers are
simultaneously coordinated and programmed
in four or more axes to follow the three
dimensional contours of the ‘‘part’’ or
‘‘component’’ under inspection;
g. Tow-placement machines, of which the
motions for positioning and laying tows are
coordinated and programmed in two or more
‘primary servo positioning’ axes, ‘‘specially
designed’’ for the manufacture of
‘‘composite’’ airframe or missile structures.
mstockstill on DSK30JT082PROD with RULES2
Technical Note to 1B001.g: For the
purposes of 1B001.g, ‘tow-placement
machines’ have the ability to place one or
more ‘filament bands’ having widths less
than or equal to 25.4 mm, and to cut and
restart individual ‘filament band’ courses
during the placement process.
Technical Notes for 1B001: 1. For the
purpose of 1B001, ‘primary servo
positioning’ axes control, under computer
program direction, the position of the end
effector (i.e., head) in space relative to the
work piece at the correct orientation and
direction to achieve the desired process.
2. For the purposes of 1B001, a ‘filament
band’ is a single continuous width of fully or
partially resin-impregnated tape, tow or fiber.
Fully or partially resin-impregnated ‘filament
bands’ include those coated with dry powder
that tacks upon heating.
9. In Supplement No. 1 to Part 774
(the Commerce Control List), Category 1,
■
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20:53 Aug 14, 2017
Jkt 241001
License Requirements
Reason for Control: NS, MT, AT
Control(s)
NS applies to entire
entry.
MT applies to items in
1C007.c when the dielectric constant is
less than 6 at any frequency from 100 MHz
to 100 GHz for use in
‘‘missile’’ radomes.
AT applies to entire
entry.
Country chart
(See Supp. No. 1
to
part 738)
NS Column 2
MT Column 1
AT Column 1
Reporting Requirements
See § 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)
LVS: $5000, except N/A for MT and for
1C007.e
GBS: N/A
CIV: N/A
Special Conditions for STA
STA: License Exception STA may not be
used to ship any item in 1C007.c entry 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: See also 1C107.
Related Definitions: N/A
Items:
a. Ceramic powders of titanium diboride
(TiB2) (CAS 12045–63–5) having total
metallic impurities, excluding intentional
additions, of less than 5,000 ppm, an average
particle size equal to or less than 5 mm and
no more than 10% of the particles larger than
10 mm;
b. [Reserved]
c. Ceramic-‘‘matrix’’ ‘‘composite’’ materials
as follows:
c.1. Ceramic-ceramic ‘‘composite’’
materials with a glass or oxide-‘‘matrix’’ and
reinforced with any of the following:
c.1.a. Continuous fibers made from any of
the following materials:
c.1.a.1. Al2O3 (CAS 1344–28–1); or
c.1.a.2. Si-C-N; or
Note: 1C007.c.1.a does not apply to
‘‘composites’’ containing fibers with a tensile
strength of less than 700 MPa at 1,273 K
(1,000 °C) or tensile creep resistance of more
than 1% creep strain at 100 MPa load and
1,273 K (1,000 °C) for 100 hours.
c.1.b. Fibers being all of the following:
PO 00000
Frm 00014
Fmt 4701
Sfmt 4700
c.1.b.1. Made from any of the following
materials:
c.1.b.1.a. Si-N;
c.1.b.1.b. Si-C;
c.1.b.1.c. Si-Al-O-N; or
c.1.b.1.d. Si-O-N; and
c.1.b.2. Having a ‘‘specific tensile strength’’
exceeding 12.7 × 103 m;
c.2. Ceramic- ‘‘matrix’’ ‘‘composite’’
materials with a ‘‘matrix’’ formed of carbides
or nitrides of silicon, zirconium or boron;
N.B.: For items previously listed under
1C007.c see 1C007.c.1.b.
d. [Reserved]
N.B.: For items previously listed under
1C007.d see 1C007.c.2.
e. ‘Precursor materials’ ‘‘specially
designed’’ for the ‘‘production’’ of materials
controlled by 1C007.c, as follows:
e.1. Polydiorganosilanes;
e.2. Polysilazanes;
e.3. Polycarbosilazanes;
Technical Note: For the purposes of 1C007,
‘precursor materials’ are special purpose
polymeric or metallo-organic materials used
for the ‘‘production’’ of silicon carbide,
silicon nitride, or ceramics with silicon,
carbon and nitrogen.
f. [Reserved]
N.B.: For items previously listed under
1C007.f see 1C007.c.1.a.
10. In Supplement No. 1 to part 774
(the Commerce Control List), Category 1,
ECCN 1C608 is revised to read as
follows:
■
1C608 ‘‘Energetic materials’’ and related
commodities (see List of Items
Controlled).
License Requirements
Reason for Control: NS, RS, MT, AT, UN
Control(s)
NS applies to entire
entry.
RS applies to entire
entry.
MT applies to 1C608.m
AT applies to entire
entry.
UN applies to entire
entry.
Country chart
(See Supp. No. 1
to part 738)
NS Column 1
RS Column 1
MT Column 1
AT Column 1
See § 746.1(b) for
UN controls
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
LVS: $1500
GBS: N/A
CIV: N/A
Special Conditions for STA
STA: Paragraph (c)(2) of License Exception
STA (§ 740.20(c)(2) of the EAR) may not be
used for any item in 1C608.
List of Items Controlled
Related Controls: (1) The EAR does not
control devices or charges containing
materials controlled by USML
subparagraphs V(c)(6), V(h), or V(i). The
USML controls devices containing such
materials. (2) The USML in Categories III,
IV, or V controls devices and charges in
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this entry if they contain materials
controlled by Category V (other than
slurries) and such materials can be easily
extracted without destroying the device or
charge. (3) See also explosives and other
items enumerated in ECCNs 1A006, 1A007,
1A008, 1C011, 1C111, 1C239, and 1C992.
(4) See ECCN 0A919 for foreign-made
‘‘military commodities’’ that incorporate
more than a de minimis amount of USorigin ‘‘600 series’’ controlled content.
Related Definitions: (1) For purposes of this
entry, the term ‘controlled materials’
means controlled energetic materials
enumerated in ECCNs 1C011, 1C111,
1C239, 1C608, or USML Category V. (2) For
the purposes of this entry, the term
‘propellants’ means substances or mixtures
that react chemically to produce large
volumes of hot gases at controlled rates to
perform mechanical work.
Items:
a. ‘Single base,’ ‘double base,’ and ‘triple
base’ ‘propellants’ having nitrocellulose with
nitrogen content greater than 12.6% in the
form of either:
a.1. ‘Sheetstock’ or ‘carpet rolls;’ or
a.2. Grains with diameter greater than 0.10
inches.
Note: This entry does not control
‘propellant’ grains used in shotgun shells,
small arms cartridges, or rifle cartridges.
mstockstill on DSK30JT082PROD with RULES2
Technical Notes: 1. ‘Sheetstock’ is
‘propellant’ that has been manufactured in
the form of a sheet suitable for further
processing.
2. A ‘carpet roll’ is ‘propellant’ that has
been manufactured as a sheet, often cut to a
desired width, and subsequently rolled up
(like a carpet).
3. ‘Single base’ is ‘propellant’ which
consists mostly of nitrocellulose.
4. ‘Double base’ ‘propellant’ consist mostly
of nitrocellulose and nitroglycerine.
5. ‘Triple base’ consists mostly of
nitrocellulose, nitroglycerine, and
nitroguanidine. Such ‘propellants’ contain
other materials, such as resins or stabilizers,
that could include carbon, salts, burn rate
modifiers, nitrodiphenylamine, wax,
polyethylene glycol (PEG), polyglycol adipate
(PGA).
b. Shock tubes containing greater than
0.064 kg per meter (300 grains per foot), but
not more than 0.1 kg per meter (470 grains
per foot) of ‘controlled materials.’
c. Cartridge power devices containing
greater than 0.70 kg, but not more than 1.0
kg of ‘controlled materials.’
d. Detonators (electric or nonelectric) and
‘‘specially designed’’ assemblies therefor
containing greater than 0.01 kg, but not more
than 0.1 kg of ‘controlled materials.’
e. Igniters not controlled by USML
Categories III or IV that contain greater than
0.01 kg, but not more than 0.1 kg of
‘controlled materials.’
f. Oil well cartridges containing greater
than 0.015 kg, but not more than 0.1 kg of
‘controlled materials.’
g. Commercial cast or pressed boosters
containing greater than 1.0 kg, but not more
than 5.0 kg of ‘controlled materials.’
h. Commercial prefabricated slurries and
emulsions containing greater than 10 kg and
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20:53 Aug 14, 2017
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less than or equal to thirty-five percent by
weight of USML ‘controlled materials.’
i. [Reserved]
j. ‘‘Pyrotechnic’’ devices ‘‘specially
designed’’ for commercial purposes (e.g.,
theatrical stages, motion picture special
effects, and fireworks displays), and
containing greater than 3.0 kg, but not more
than 5.0 kg of ‘controlled materials.’
k. Other commercial explosive devices or
charges ‘‘specially designed’’ for commercial
applications, not controlled by 1C608.c
through .g above, containing greater than 1.0
kg, but not more than 5.0 kg of ‘controlled
materials.’
l. Propyleneimine (2 methylaziridine)
(C.A.S. #75–55–8).
m. Any oxidizer or ‘mixture’ thereof that is
a compound composed of fluorine and any
of the following: Other halogens, oxygen, or
nitrogen.
Note 1 to 1C608.m: Nitrogen trifluoride
(NF3)(CAS 7783–54–2) in a gaseous state is
controlled under ECCN 1C992 and not under
ECCN 1C608.m.
Note 2 to 1C608.m Chlorine trifluoride
(ClF3)(CAS 7790–91–2) is controlled under
ECCN 1C111.a.3.f and not under ECCN
1C608.m.
Note 3 to 1C608.m Oxygen difluoride
(OF2) is controlled under USML Category
V.d.10 (see 22 CFR 121.1) and not under
ECCN 1C608.m.
Note 1 to 1C608.l and m: If a chemical in
ECCN 1C608.l or .m is incorporated into a
commercial charge or device described in
ECCN 1C608.c through .k or in ECCN 1C992,
the classification of the commercial charge or
device applies to the item.
Technical Note to 1C608.m: ‘Mixture’
refers to a composition of two or more
substances with at least one substance being
enumerated in 1C011, 1C111, 1C239, 1C608,
USML Category V, or elsewhere on the
USML.
n. Any explosives, ‘propellants,’ oxidizers,
‘‘pyrotechnics,’’ fuels, binders, or additives
that are ‘‘specially designed’’ for military
application and not enumerated or otherwise
described in USML Category V or elsewhere
on the USML.
11. In Supplement No. 1 to Part 774
(the Commerce Control List), Category 1,
ECCN 1E001 is revised to read as
follows:
■
1E001 ‘‘Technology’’ according to the
General Technology Note for the
‘‘development’’ or ‘‘production’’ of items
controlled by 1A002, 1A003, 1A004,
1A005, 1A006.b, 1A007, 1A008 1A101,
1B (except 1B608, 1B613 or 1B999), or
1C (except 1C355, 1C608, 1C980 to
1C984, 1C988, 1C990, 1C991, 1C995 to
1C999).
License Requirements
Reason for Control: NS, MT, NP, CB, RS, AT
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Control(s)
NS applies to ‘‘technology’’ for items controlled by 1A002,
1A003, 1A005,
1A006.b, 1A007,
1B001 to 1B003,
1B018, 1C001 to
1C011, or 1C018.
NS applies to ‘‘technology’’ for items controlled by 1A004.
MT applies to ‘‘technology’’ for items controlled by 1A101,
1B001, 1B101,
1B102, 1B115 to
1B119, 1C001,
1C007, 1C011,
1C101, 1C102,
1C107, 1C111,
1C116, 1C117, or
1C118 for MT reasons
NP applies to ‘‘technology’’ for items controlled by 1A002,
1A007, 1B001,
1B101, 1B201,
1B225, 1B226, 1B228
to 1B234, 1C002,
1C010, 1C111,
1C116, 1C202,
1C210, 1C216, 1C225
to 1C237, or 1C239 to
1C241 for NP reasons
CB applies to ‘‘technology’’ for items controlled by 1C351,
1C353, or 1C354
CB applies to ‘‘technology’’ for materials
controlled by 1C350
and for chemical detection systems and
dedicated detectors
therefor, in 1A004.c,
that also have the
technical characteristics described in
2B351.a
RS applies to technology for equipment
controlled in 1A004.d
AT applies to entire
entry
38777
Country chart
(See Supp. No. 1
to part 738)
NS Column 1
NS Column 2
MT Column 1
NP Column 1
CB Column 1
CB Column 2
RS Column 2
AT Column 1
Reporting Requirements
See § 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)
CIV: N/A
TSR: Yes, except for the following:
(1) Items controlled for MT reasons; or (2)
Exports and reexports to destinations
outside of those countries listed in Country
Group A:5 (See Supplement No. 1 to part
740 of the EAR) of ‘‘technology’’ for the
‘‘development’’ or production’’ of the
following:
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(a) Items controlled by 1C001; or
(b) Items controlled by 1A002.a which are
composite structures or laminates having
an organic ‘‘matrix’’ and being made from
materials listed under 1C010.c or 1C010.d.
Reporting Requirements
Special Conditions for STA
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
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 and materials specified by
ECCNs 1A002, 1C001, 1C007.c, 1C010.c or
d or 1C012 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) Also see ECCNs 1E101,
1E201, and 1E202. (2) See ECCN 1E608 for
‘‘technology’’ for items classified under
ECCN 1B608 or 1C608 that, immediately
prior to July 1, 2014, were classified under
ECCN 1B018.a or 1C018.b through .m (note
that ECCN 1E001 controls ‘‘development’’
and ‘‘production’’ ‘‘technology’’ for
chlorine trifluoride controlled by ECCN
1C111.a.3.f—see ECCN 1E101 for controls
on ‘‘use’’ ‘‘technology’’ for chlorine
trifluoride). (3) See ECCN 1E002.g for
control libraries (parametric technical
databases) ‘‘specially designed’’ or
modified to enable equipment to perform
the functions of equipment controlled
under ECCN 1A004.c (Nuclear, biological
and chemical (NBC) detection systems) or
ECCN 1A004.d (Equipment for detecting or
identifying explosives residues). (4)
‘‘Technology’’ for lithium isotope
separation (see related ECCN 1B233) and
‘‘technology’’ for items described in ECCN
1C012 are subject to the export licensing
authority of the Department of Energy (see
10 CFR part 810). (5) ‘‘Technology’’ for
items described in ECCN 1A102 is ‘‘subject
to the ITAR’’ (see 22 CFR parts 120 through
130).
Related Definitions: N/A
Items: The list of items controlled is
contained in the ECCN heading.
12. In Supplement No. 1 to Part 774
(the Commerce Control List), Category 1,
ECCN 1E002 is revised to read as
follows:
■
1E002 Other ‘‘technology’’ as follows (see
List of Items Controlled).
License Requirements
Reason for Control: NS, MT, NP, AT
mstockstill on DSK30JT082PROD with RULES2
Control(s)
NS applies to entire
entry, except 1E002.g
NS applies to 1E002.g
MT applies to 1E002.e
NP applies to ‘‘technology’’ for items controlled by 1A002 for
NP reasons
AT applies to entire
entry
VerDate Sep<11>2014
Country chart
(See Supp. No. 1
to part 738)
NS Column 1
NS Column 2
MT Column 1
NP Column 1
AT Column 1
20:53 Aug 14, 2017
Jkt 241001
See § 743.1 of the EAR for reporting
requirements for exports under License
Exceptions, and Validated End-User
authorizations
CIV: N/A
TSR: Yes, except for 1E002.e and .f.
License Exceptions Note: License
Exception TSU is not applicable for the
repair ‘‘technology’’ controlled by 1E002.e or
.f, see supplement no. 2 to this part.
Special Conditions for STA
STA: License Exception STA may not be
used to ship or transmit any item in
1E002.e or .f 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: See also 1E001,
1E101,1E102, 1E202, and 1E994 for
‘‘technology’’ related to 1E002.e or .f.
Related Definitions: N/A
Items:
a. ‘‘Technology’’ for the ‘‘development’’ or
‘‘production’’ of polybenzothiazoles or
polybenzoxazoles;
b. ‘‘Technology’’ for the ‘‘development’’ or
‘‘production’’ of fluoroelastomer compounds
containing at least one vinylether monomer;
c. ‘‘Technology’’ for the design or
‘‘production’’ of the following ceramic
powders or non-‘‘composite’’ ceramic
materials:
c.1. Ceramic powders having all of the
following:
c.1.a. Any of the following compositions:
c.1.a.1. Single or complex oxides of
zirconium and complex oxides of silicon or
aluminum;
c.1.a.2. Single nitrides of boron (cubic
crystalline forms);
c.1.a.3. Single or complex carbides of
silicon or boron; or
c.1.a.4. Single or complex nitrides of
silicon;
c.1.b. Any of the following total metallic
impurities (excluding intentional additions):
c.1.b.1. Less than 1,000 ppm for single
oxides or carbides; or
c.1.b.2. Less than 5,000 ppm for complex
compounds or single nitrides; and
c.1.c. Being any of the following:
c.1.c.1. Zirconia (CAS 1314–23–4) with an
average particle size equal to or less than 1
mm and no more than 10% of the particles
larger than 5 mm; or
c.1.c.2. Other ceramic powders with an
average particle size equal to or less than 5
mm and no more than 10% of the particles
larger than 10 mm;
c.2. Non-‘‘composite’’ ceramic materials
composed of the materials described in
1E002.c.1;
Note: 1E002.c.2 does not control
‘‘technology’’ for abrasives.
d. [Reserved]
e. ‘‘Technology’’ for the installation,
maintenance or repair of materials controlled
by 1C001;
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f. ‘‘Technology’’ for the repair of
‘‘composite’’ structures, laminates or
materials controlled by 1A002 or 1C007.c;
Note: 1E002.f does not control
‘‘technology’’ for the repair of ‘‘civil aircraft’’
structures using carbon ‘‘fibrous or
filamentary materials’’ and epoxy resins,
contained in ‘‘aircraft’’ manufacturers’
manuals.
g. ‘‘Libraries’’ ‘‘specially designed’’ or
modified to enable equipment to perform the
functions of equipment controlled under
1A004.c or 1A004.d.
13. In Supplement No. 1 to Part 774
(the Commerce Control List), Annex to
Category 1—List of Explosives is revised
to read as follows:
■
ANNEX to Category 1
List of Explosives (See ECCNs 1A004 and
1A008)
1. ADNBF (aminodinitrobenzofuroxan or 7amino-4,6-dinitrobenzofurazane-1-oxide)
(CAS 97096–78–1);
2. BNCP (cis-bis (5-nitrotetrazolato) tetra
amine-cobalt (III) perchlorate) (CAS 117412–
28–9);
3. CL–14 (diamino dinitrobenzofuroxan or
5,7-diamino-4,6-dinitrobenzofurazane-1oxide) (CAS 117907–74–1);
4. CL–20 (HNIW or
Hexanitrohexaazaisowurtzitane) (CAS
135285–90–4); chlathrates of CL–20;
5. CP (2-(5-cyanotetrazolato) penta aminecobalt (III) perchlorate) (CAS 70247–32–4);
6. DADE (1,1-diamino-2,2-dinitroethylene,
FOX7) (CAS 145250–81–3);
7. DATB (diaminotrinitrobenzene) (CAS
1630–08–6);
8. DDFP (1,4-dinitrodifurazanopiperazine);
9. DDPO (2,6-diamino-3,5-dinitropyrazine1-oxide, PZO) (CAS 194486–77–6);
10. DIPAM (3,3′-diamino-2,2′,4,4′,6,6′hexanitrobiphenyl or dipicramide) (CAS
17215–44–0);
11. DNGU (DINGU or dinitroglycoluril)
(CAS 55510–04–8);
12. Furazans as follows:
a. DAAOF (diaminoazoxyfurazan);
b. DAAzF (diaminoazofurazan) (CAS
78644–90–3);
13. HMX and derivatives, as follows:
a. HMX
(Cyclotetramethylenetetranitramine,
octahydro-1,3,5,7-tetranitro-1,3,5,7-tetrazine,
1,3,5,7-tetranitro-1,3,5,7-tetraza-cyclooctane,
octogen or octogene) (CAS 2691–41–0);
b. difluoroaminated analogs of HMX;
c. K-55 (2,4,6,8-tetranitro-2,4,6,8tetraazabicyclo [3,3,0]-octanone-3,
tetranitrosemiglycouril or keto-bicyclic HMX)
(CAS 130256–72–3);
14. HNAD (hexanitroadamantane) (CAS
143850–71–9);
15. HNS (hexanitrostilbene) (CAS 20062–
22–0);
16. Imidazoles as follows:
a. BNNII (Octahydro-2,5bis(nitroimino)imidazo [4,5-d]imidazole);
b. DNI (2,4-dinitroimidazole) (CAS 5213–
49–0);
c. FDIA (1-fluoro-2,4-dinitroimidazole);
d. NTDNIA (N-(2-nitrotriazolo)-2,4dinitroimidazole);
E:\FR\FM\15AUR2.SGM
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Federal Register / Vol. 82, No. 156 / Tuesday, August 15, 2017 / Rules and Regulations
e. PTIA (1-picryl-2,4,5-trinitroimidazole);
17. NTNMH (1-(2-nitrotriazolo)-2dinitromethylene hydrazine);
18. NTO (ONTA or 3-nitro-1,2,4-triazol-5one) (CAS 932–64–9);
19. Polynitrocubanes with more than four
nitro groups;
20. PYX (2,6-Bis(picrylamino)-3,5dinitropyridine) (CAS 38082–89–2);
21. RDX and derivatives, as follows:
a. RDX (cyclotrimethylenetrinitramine,
cyclonite, T4, hexahydro-1,3,5-trinitro-1,3,5triazine, 1,3,5-trinitro-1,3,5-triazacyclohexane, hexogen or hexogene) (CAS
121–82–4);
b. Keto-RDX (K-6 or 2,4,6-trinitro-2,4,6triazacyclohexanone) (CAS 115029–35–1);
22. TAGN (triaminoguanidinenitrate) (CAS
4000–16–2);
23. TATB (triaminotrinitrobenzene) (CAS
3058–38–6);
24. TEDDZ (3,3,7,7-tetrabis(difluoroamine)
octahydro-1,5-dinitro-1,5-diazocine);
25. Tetrazoles as follows:
a. NTAT (nitrotriazol aminotetrazole);
b. NTNT (1-N-(2-nitrotriazolo)-4nitrotetrazole);
26. Tetryl (trinitrophenylmethylnitramine)
(CAS 479–45–8);
27. TNAD (1,4,5,8-tetranitro-1,4,5,8tetraazadecalin) (CAS 135877–16–6);
28. TNAZ (1,3,3-trinitroazetidine) (CAS
97645–24–4);
29. TNGU (SORGUYL or
tetranitroglycoluril) (CAS 55510–03–7);
30. TNP (1,4,5,8-tetranitro-pyridazino[4,5d]pyridazine) (CAS 229176–04–9);
31. Triazines as follows:
a. DNAM (2-oxy-4,6-dinitroamino-striazine) (CAS 19899–80–0);
b. NNHT (2-nitroimino-5-nitro-hexahydro1,3,5-triazine) (CAS 130400–13–4);
32. Triazoles as follows:
a. 5-azido-2-nitrotriazole;
b. ADHTDN (4-amino-3,5-dihydrazino1,2,4-triazole dinitramide) (CAS 1614–08–0);
c. ADNT (1-amino-3,5-dinitro-1,2,4triazole);
d. BDNTA ((bis-dinitrotriazole)amine);
e. DBT (3,3′-dinitro-5,5-bi-1,2,4-triazole)
(CAS 30003–46–4);
f. DNBT (dinitrobistriazole) (CAS 70890–
46–9);
g. [Reserved]
h. NTDNT (1-N-(2-nitrotriazolo) 3,5dinitrotriazole);
i. PDNT (1-picryl-3,5-dinitrotriazole);
j. TACOT
(tetranitrobenzotriazolobenzotriazole) (CAS
25243–36–1);
33. ‘‘Explosives’’ not listed elsewhere in
this list having a detonation velocity
exceeding 8,700 m/s, at maximum density, or
a detonation pressure exceeding 34 GPa (340
kbar);
34. [Reserved]
35. Nitrocellulose (containing more than
12.5% nitrogen) (CAS 9004–70–0);
36. Nitroglycol (CAS 628–96–6);
37. Pentaerythritol tetranitrate (PETN)
(CAS 78–11–5);
38. Picryl chloride (CAS 88–88–0);
39. 2,4,6 Trinitrotoluene (TNT) (CAS 118–
96–7);
40. Nitroglycerine (NG) (CAS 55–63–0);
41. Triacetone Triperoxide (TATP) (CAS
17088–37–8);
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42. Guanidine nitrate (CAS 506–93–4);
43. Nitroguanidine (NQ) (CAS 556–88–7);
44. DNAN (2,4-dinitroanisole) (CAS 119–
27–7);
45. TEX (4,10-Dinitro-2,6,8,12-tetraoxa4,10-diazaisowurtzitane);
46. GUDN (Guanylurea dinitramide) FOX12 (CAS 217464–38–5);
47. Tetrazines as follows:
a. BTAT (Bis(2,2,2-trinitroethyl)-3,6diaminotetrazine);
b. LAX-112 (3,6-diamino-1,2,4,5-tetrazine1,4-dioxide);
48. Energetic ionic materials melting
between 343 K (70 °C) and 373 K (100 °C)
and with detonation velocity exceeding 6,800
m/s or detonation pressure exceeding 18 GPa
(180 kbar);
49. BTNEN (Bis(2,2,2-trinitroethyl)nitramine) (CAS 19836–28–3);
50. FTDO (5,6-(3′,4′-furazano)-1,2,3,4tetrazine-1,3-dioxide).
14. In Supplement No. 1 to Part 774
(the Commerce Control List), Category 2,
ECCN 2A001 is revised to read as
follows:
■
2A001 Anti-friction bearings and bearing
systems, as follows, (see List of Items
Controlled) and ‘‘components’’ therefor.
Reason for Control: NS, MT, AT
Control(s)
NS applies to entire
entry.
MT applies to radial ball
bearings having all
tolerances specified in
accordance with ISO
492 Tolerance Class
2 (or ANSI/ABMA Std
20 Tolerance Class
ABEC–9, or other national equivalents) or
better and having all
the following characteristics: An inner ring
bore diameter between 12 and 50 mm;
an outer ring outside
diameter between 25
and 100 mm; and a
width between 10 and
20 mm.
AT applies to entire
entry.
Country chart
(See Supp. No. 1
to part 738)
NS Column 2
MT Column 1
Note 2: 2A001 does not control balls with
tolerances specified by the manufacturer in
accordance with ISO 3290 as grade 5 or
worse.
a. Ball bearings and solid roller bearings,
having all tolerances specified by the
manufacturer in accordance with ISO 492
Tolerance Class 4 (or national equivalents),
or better, and having both ‘rings’ and ‘rolling
elements’, made from monel or beryllium;
Note: 2A001.a does not control tapered
roller bearings.
Technical Notes:
1. ‘Ring’—annular part of a radial rolling
bearing incorporating one or more raceways
(ISO 5593:1997).
2. ‘Rolling element’- ball or roller which
rolls between raceways (ISO 5593:1997).
b. [Reserved]
c. Active magnetic bearing systems using
any of the following:
c.1. Materials with flux densities of 2.0 T
or greater and yield strengths greater than
414 MPa;
c.2. All-electromagnetic 3D homopolar bias
designs for actuators; or
c.3. High temperature (450 K (177 °C) and
above) position sensors.
15. In Supplement No. 1 to Part 774
(the Commerce Control List), Category 2,
ECCN 2B001 is revised to read as
follows:
■
2B001 Machine tools and any combination
thereof, for removing (or cutting) metals,
ceramics or ‘‘composites’’, which,
according to the manufacturer’s
technical specifications, can be
equipped with electronic devices for
‘‘numerical control’’; as follows (see List
of Items Controlled).
License Requirements
Reason for Control: NS, NP, AT
Control(s)
NS applies to entire
entry.
AT Column 1
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
LVS: $3000, N/A for MT
GBS: Yes, for 2A001.a, N/A for MT
CIV: Yes, for 2A001.a, N/A for MT
List of Items Controlled
Related Controls: (1) See also 2A991. (2)
Quiet running bearings are ‘‘subject to the
ITAR’’ (see 22 CFR parts 120 through 130).
Items:
Note 1: 2A001.a includes ball bearing and
roller elements ‘‘specially designed’’ for the
items specified therein.
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15AUR2
Country chart
(See Supp. No. 1
to part 738)
NS Column 2
38780
Federal Register / Vol. 82, No. 156 / Tuesday, August 15, 2017 / Rules and Regulations
Control(s)
NP applies to 2B001.a,
.b, .c, and .d, EXCEPT: (1) turning machines under 2B001.a
with a capacity no
greater than 35 mm
diameter; (2) bar machines (Swissturn),
limited to machining
only bar feed through,
if maximum bar diameter is equal to or
less than 42 mm and
there is no capability
of mounting chucks.
(Machines may have
drilling and/or milling
capabilities for machining ‘‘parts’’ or
‘‘components’’ with diameters less than 42
mm); or (3) milling
machines under
2B001.b with x-axis
travel greater than
two meters and overall positioning accuracy according to ISO
230/2 (2006) on the xaxis more (worse)
than 22.5 μm.
AT applies to entire
entry.
Country chart
(See Supp. No. 1
to part 738)
NP Column 1
Note 1: 2B001.a does not control turning
machines ‘‘specially designed’’ for producing
contact lenses, having all of the following:
a. Machine controller limited to using
ophthalmic based ‘‘software’’ for part
programming data input; and
b. No vacuum chucking.
Note 2: 2B001.a does not apply to bar
machines (Swissturn), limited to machining
only bar feed thru, if maximum bar diameter
is equal to or less than 42 mm and there is
no capability of mounting chucks. Machines
may have drilling and/or milling capabilities
for machining parts with diameters less than
42 mm.
AT Column 1
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Related Controls: (1) See ECCN 2B002 for
optical finishing machines. (2) See ECCNs
2D001 and 2D002 for software for items
controlled under this entry. (3) See ECCNs
2E001 (‘‘development’’), 2E002
(‘‘production’’), and 2E201 (‘‘use’’) for
technology for items controlled under this
entry. (4) Also see ECCNs 2B201 and
2B991.
Related Definitions: N/A
Items:
mstockstill on DSK30JT082PROD with RULES2
Note 1: 2B001 does not control special
purpose machine tools limited to the
manufacture of gears. For such machines, see
2B003.
Note 2: 2B001 does not control special
purpose machine tools limited to the
manufacture of any of the following:
a. Crank shafts or cam shafts;
b. Tools or cutters;
c. Extruder worms;
d. Engraved or faceted jewelry parts; or
e. Dental prostheses.
Note 3: A machine tool having at least two
of the three turning, milling or grinding
capabilities (e.g., a turning machine with
milling capability), must be evaluated against
each applicable entry 2B001.a., b. or c.
VerDate Sep<11>2014
a. Machine tools for turning having two or
more axes which can be coordinated
simultaneously for ‘‘contouring control’’
having any of the following:
a.1. ‘‘Unidirectional positioning
repeatability’’ equal to or less (better) than
0.9 mm along one or more linear axis with a
travel length less than 1.0 m; or
a.2. ‘‘Unidirectional positioning
repeatability’’ equal to or less (better) than
1.1 mm along one or more linear axis with a
travel length equal to or greater than 1.0 m;
20:53 Aug 14, 2017
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b. Machine tools for milling having any of
the following:
b.1. Three linear axes plus one rotary axis
which can be coordinated simultaneously for
‘‘contouring control’’ having any of the
following:
b.1.a. ‘‘Unidirectional positioning
repeatability’’ equal to or less (better) than
0.9 mm along one or more linear axis with a
travel length less than 1.0 m; or
b.1.b. ‘‘Unidirectional positioning
repeatability’’ equal to or less (better) than
1.1 mm along one or more linear axis with a
travel length equal to or greater than 1.0 m;
b.2. Five or more axes which can be
coordinated simultaneously for ‘‘contouring
control’’ having any of the following:
b.2.a. ‘‘Unidirectional positioning
repeatability’’ equal to or less (better) than
0.9 mm along one or more linear axis with a
travel length less than 1.0 m;
b.2.b. ‘‘Unidirectional positioning
repeatability’’ equal to or less (better) than
1.4 mm along one or more linear axis with a
travel length equal to or greater than 1 m and
less than 4 m; or
b.2.c. ‘‘Unidirectional positioning
repeatability’’ equal to or less (better) than
6.0 mm along one or more linear axis with a
travel length equal to or greater than 4 m;
b.3. A ‘‘unidirectional positioning
repeatability’’ for jig boring machines,, equal
to or less (better) than 1.1 mm along one or
more linear axis; or
b.4. Fly cutting machines having all of the
following:
b.4.a. Spindle ‘‘run-out’’ and ‘‘camming’’
less (better) than 0.0004 mm TIR; and
b.4.b. Angular deviation of slide movement
(yaw, pitch and roll) less (better) than 2
seconds of arc, TIR, over 300 mm of travel;
c. Machine tools for grinding having any of
the following:
c.1. Having all of the following:
c.1.a. ‘‘Unidirectional positioning
repeatability’’ equal to or less (better) than
1.1 mm along one or more linear axis; and
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c.1.b. Three or more axes which can be
coordinated simultaneously for ‘‘contouring
control’’; or
c.2. Five or more axes which can be
coordinated simultaneously for ‘‘contouring
control’’ having any of the following:
c.2.a. ‘‘Unidirectional positioning
repeatability’’ equal to or less (better) than
1.1 mm along one or more linear axis with a
travel length less than 1m;
c.2.b. ‘‘Unidirectional positioning
repeatability’’ equal to or less (better) than
1.4 mm along one or more linear axis with a
travel length equal to or greater than 1 m and
less than 4 m; or
c.2.c. ‘‘Unidirectional positioning
repeatability’’ equal to or less (better) than
6.0 mm along one or more linear axis with a
travel length equal to or greater than 4 m.
Notes: 2B001.c does not control grinding
machines as follows: a. Cylindrical external,
internal, and external-internal grinding
machines, having all of the following:
a.1. Limited to cylindrical grinding; and
a.2. Limited to a maximum workpiece
capacity of 150 mm outside diameter or
length.
b. Machines designed specifically as jig
grinders that do not have a z-axis or a w-axis,
with a ‘‘unidirectional positioning
repeatability’’ less (better) than 1.1 mm.
c. Surface grinders.
d. Electrical discharge machines (EDM) of
the non-wire type which have two or more
rotary axes which can be coordinated
simultaneously for ‘‘contouring control’’;
e. Machine tools for removing metals,
ceramics or ‘‘composites’’, having all of the
following:
e.1. Removing material by means of any of
the following:
e.1.a. Water or other liquid jets, including
those employing abrasive additives;
e.1.b. Electron beam; or
e.1.c. ‘‘Laser’’ beam; and
e.2. At least two rotary axes having all of
the following:
e.2.a. Can be coordinated simultaneously
for ‘‘contouring control’’; and
e.2.b. A positioning ‘‘accuracy’’ of less
(better) than 0.003°;
f. Deep-hole-drilling machines and turning
machines modified for deep-hole-drilling,
having a maximum depth-of-bore capability
exceeding 5 m.
16. In Supplement No. 1 to Part 774
(the Commerce Control List), Category 2,
ECCN 2B005 is revised to read as
follows:
■
2B005 Equipment ‘‘specially designed’’ for
the deposition, processing and inprocess control of inorganic overlays,
coatings and surface modifications, as
follows, for substrates specified in
column 2, by processes shown in
column 1 in the ‘‘Materials Processing
Table; Deposition Techniques’’ following
2E003.f (see List of Items Controlled),
and ‘‘specially designed’’ automated
handling, positioning, manipulation and
control ‘‘components’’ therefor.
License Requirements
Reason for Control: NS, AT
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Federal Register / Vol. 82, No. 156 / Tuesday, August 15, 2017 / Rules and Regulations
Control(s)
NS applies to entire
entry.
AT applies to entire
entry.
Country chart
(See Supp. No. 1
to part 738)
NS Column 2
AT Column 1
mstockstill on DSK30JT082PROD with RULES2
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
LVS: $1000
GBS: N/A
CIV: N/A
List of Items Controlled
Related Controls: (1) This entry does not
control chemical vapor deposition,
cathodic arc, sputter deposition, ion
plating or ion implantation equipment,
‘‘specially designed’’ for cutting or
machining tools. (2) Vapor deposition
equipment for the production of
filamentary materials are controlled by
1B001 or 1B101. (3) Chemical Vapor
Deposition furnaces designed or modified
for densification of carbon-carbon
composites are controlled by 2B105. (4)
See also 2B999.i.
Related Definitions: N/A
Items:
a. Chemical vapor deposition
(CVD)‘‘production equipment’’having all of
the following:
a.1. A process modified for one of the
following:
a.1.a. Pulsating CVD;
a.1.b. Controlled nucleation thermal
deposition (CNTD); or
a.1.c. Plasma enhanced or plasma assisted
CVD; and
a.2. Having any of the following:
a.2.a. Incorporating high vacuum (equal to
or less than 0.01 Pa) rotating seals; or
a.2.b. Incorporating in situ coating
thickness control;
b. Ion implantation ‘‘production
equipment’’ having beam currents of 5 mA or
more;
c. Electron beam physical vapor deposition
(EB–PVD) ‘‘production equipment’’
incorporating power systems rated for over
80 kW and having any of the following:
c.1. A liquid pool level ‘‘laser’’ control
system which regulates precisely the ingots
feed rate; or
c.2. A computer controlled rate monitor
operating on the principle of photoluminescence of the ionized atoms in the
evaporant stream to control the deposition
rate of a coating containing two or more
elements;
d. Plasma spraying ‘‘production
equipment’’ having any of the following:
d.1. Operating at reduced pressure
controlled atmosphere (equal or less than 10
kPa measured above and within 300 mm of
the gun nozzle exit) in a vacuum chamber
capable of evacuation down to 0.01 Pa prior
to the spraying process; or
d.2. Incorporating in situ coating thickness
control;
e. Sputter deposition ‘‘production
equipment’’ capable of current densities of
0.1 mA/mm2 or higher at a deposition rate 15
mm/h or more;
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20:53 Aug 14, 2017
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f. Cathodic arc deposition ‘‘production
equipment’’ incorporating a grid of
electromagnets for steering control of the arc
spot on the cathode;
g. Ion plating ‘‘production equipment’’
capable of in situ measurement of any of the
following:
g.1. Coating thickness on the substrate and
rate control; or
g.2. Optical characteristics.
17. In Supplement No. 1 to Part 774
(the Commerce Control List), Category 2,
ECCN 2B991 is revised to read as
follows:
■
2B991 Numerical control units for machine
tools and ‘‘numerically controlled’’
machine tools, n.e.s. (see List of Items
Controlled).
License Requirements
Reason for Control: AT
Control(s)
AT applies to entire
entry.
Country chart
(See Supp. No. 1
to part 738)
AT Column 1
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Related Controls: See also ECCNs 2B001 and
2B201.
Related Definitions: N/A
Items:
a. ‘‘Numerical control’’ units for machine
tools:
a.1. Having four interpolating axes that can
be coordinated simultaneously for
‘‘contouring control;’’ or
a.2. Having two or more axes that can be
coordinated simultaneously for ‘‘contouring
control’’ and a minimum programmable
increment better (less) than 0.001 mm;
a.3. ‘‘Numerical control’’ units for machine
tools having two, three or four interpolating
axes that can be coordinated simultaneously
for ‘‘contouring control,’’ and capable of
receiving directly (on-line) and processing
computer-aided-design (CAD) data for
internal preparation of machine instructions;
or
b. ‘‘Motion control boards’’ ‘‘specially
designed’’ for machine tools and having any
of the following characteristics:
b.1. Interpolation in more than four axes;
b.2. Capable of ‘‘real-time processing’’ of
data to modify tool path, feed rate and
spindle data, during the machining
operation, by any of the following:
b.2.a. Automatic calculation and
modification of part program data for
machining in two or more axes by means of
measuring cycles and access to source data;
or
b.2.b. ‘‘Adaptive control’’ with more than
one physical variable measured and
processed by means of a computing model
(strategy) to change one or more machining
instructions to optimize the process.
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b.3. Capable of receiving and processing
CAD data for internal preparation of machine
instructions; or
c. ‘‘Numerically controlled’’ machine tools
that, according to the manufacturer’s
technical specifications, can be equipped
with electronic devices for simultaneous
‘‘contouring control’’ in two or more axes and
that have both of the following
characteristics:
c.1. Two or more axes that can be
coordinated simultaneously for contouring
control; and
c.2. Positioning accuracies according to
ISO 230/2 (2006), with all compensations
available:
c.2.a. Better than 15 mm along any linear
axis (overall positioning) for grinding
machines;
c.2.b. Better than 15 mm along any linear
axis (overall positioning) for milling
machines; or
c.2.c. Better than 15 mm along any linear
axis (overall positioning) for turning
machines; or
d. Machine tools, as follows, for removing
or cutting metals, ceramics or composites,
that, according to the manufacturer’s
technical specifications, can be equipped
with electronic devices for simultaneous
‘‘contouring control’’ in two or more axes:
d.1. Machine tools for turning, grinding,
milling or any combination thereof, having
two or more axes that can be coordinated
simultaneously for ‘‘contouring control’’ and
having any of the following characteristics:
d.1.a. One or more contouring ‘‘tilting
spindles;’’
Note: 2B991.d.1.a. applies to machine tools
for grinding or milling only.
d.1.b. ‘‘Camming’’ (axial displacement) in
one revolution of the spindle less (better)
than 0.0006 mm total indicator reading (TIR);
Note: 2B991.d.1.b. applies to machine tools
for turning only.
d.1.c. ‘‘Run out’’ (out-of-true running) in
one revolution of the spindle less (better)
than 0.0006 mm total indicator reading (TIR);
d.1.d. The ‘‘positioning accuracies’’, with
all compensations available, are less (better)
than: 0.001° on any rotary axis;
d.2. Electrical discharge machines (EDM)
of the wire feed type that have five or more
axes that can be coordinated simultaneously
for ‘‘contouring control.’’
18. In Supplement No. 1 to Part 774
(the Commerce Control List), Category 2,
ECCN 2D992 is revised to read as
follows:
■
2D992 Specific ‘‘software’’, as follows (see
List of Items Controlled).
License Requirements
Reason for Control: AT
Control(s)
AT applies to entire
entry.
E:\FR\FM\15AUR2.SGM
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Country chart
(See Supp. No. 1
to part 738)
AT Column 1
38782
Federal Register / Vol. 82, No. 156 / Tuesday, August 15, 2017 / Rules and Regulations
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
CIV: N/A
TSR: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items:
a. ‘‘Software’’ to provide ‘‘adaptive
control’’ and having both of the following
characteristics:
a.1. For ‘‘flexible manufacturing units’’
(FMUs) which consist at least of equipment
described in b.1 and b.2 of the definition of
‘‘flexible manufacturing unit’’ contained in
part 772 of the EAR; and
a.2. Capable of generating or modifying, in
‘‘real-time processing’’, programs or data by
using the signals obtained simultaneously by
means of at least two detection techniques,
such as:
a.2.a. Machine vision (optical ranging);
a.2.b. Infrared imaging;
a.2.c. Acoustical imaging (acoustical
ranging);
a.2.d. Tactile measurement;
a.2.e. Inertial positioning;
a.2.f. Force measurement; and
a.2.g. Torque measurement.
Note: 2D992.a does not control ‘‘software’’
which only provides rescheduling of
functionally identical equipment within
‘‘flexible manufacturing units’’ using prestored part programs and a pre-stored
strategy for the distribution of the part
programs.
b. Reserved.
19. In Supplement No. 1 to Part 774
(the Commerce Control List), Category 2,
ECCN 2E003 is revised to read as
follows:
■
2E003 Other ‘‘technology’’, as follows (see
List of Items Controlled).
License Requirements
Reason for Control: NS, AT
Control(s)
NS applies to entire
entry.
AT applies to entire
entry.
Country chart
(See Supp. No. 1
to part 738)
NS Column 1
AT Column 1
mstockstill on DSK30JT082PROD with RULES2
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
CIV: N/A
TSR: Yes, except 2E003.a, .b, .e and .f
List of Items Controlled
Related Controls: See 2E001, 2E002, and
2E101 for ‘‘development’’ and ‘‘use’’
technology for equipment that are designed
or modified for densification of carboncarbon composites, structural composite
rocket nozzles and reentry vehicle nose
tips.
Related Definitions: N/A
Items:
a. ‘‘Technology’’ for the ‘‘development’’ of
interactive graphics as an integrated part in
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‘‘numerical control’’ units for preparation or
modification of part programs;
b. ‘‘Technology’’ for metal-working
manufacturing processes, as follows:
b.1. ‘‘Technology’’ for the design of tools,
dies or fixtures ‘‘specially designed’’ for any
of the following processes:
b.1.a. ‘‘Superplastic forming’’;
b.1.b. ‘‘Diffusion bonding’’; or
b.1.c. ‘‘Direct-acting hydraulic pressing’’;
b.2. Technical data consisting of process
methods or parameters as listed below used
to control:
b.2.a. ‘‘Superplastic forming’’ of aluminum
alloys, titanium alloys or ‘‘superalloys’’:
b.2.a.1. Surface preparation;
b.2.a.2. Strain rate;
b.2.a.3. Temperature;
b.2.a.4. Pressure;
b.2.b. ‘‘Diffusion bonding’’ of
‘‘superalloys’’ or titanium alloys:
b.2.b.1. Surface preparation;
b.2.b.2. Temperature;
b.2.b.3. Pressure;
b.2.c. ‘‘Direct-acting hydraulic pressing’’ of
aluminum alloys or titanium alloys:
b.2.c.1. Pressure;
b.2.c.2. Cycle time;
b.2.d. ‘‘Hot isostatic densification’’ of
titanium alloys, aluminum alloys or
‘‘superalloys’’:
b.2.d.1. Temperature;
b.2.d.2. Pressure;
b.2.d.3. Cycle time;
c. ‘‘Technology’’ for the ‘‘development’’ or
‘‘production’’ of hydraulic stretch-forming
machines and dies therefor, for the
manufacture of airframe structures;
d. ‘‘Technology’’ for the ‘‘development’’ of
generators of machine tool instructions (e.g.,
part programs) from design data residing
inside ‘‘numerical control’’ units;
e. ‘‘Technology for the development’’ of
integration ‘‘software’’ for incorporation of
expert systems for advanced decision support
of shop floor operations into ‘‘numerical
control’’ units;
f. ‘‘Technology’’ for the application of
inorganic overlay coatings or inorganic
surface modification coatings (specified in
column 3 of the following table) to nonelectronic substrates (specified in column 2
of the following table), by processes specified
in column 1 of the following table and
defined in the Technical Note.
N.B. This table should be read to control
the technology of a particular ‘Coating
Process’ only when the resultant coating in
column 3 is in a paragraph directly across
from the relevant ‘Substrate’ under column 2.
For example, Chemical Vapor Deposition
(CVD) ‘coating process’ control the
‘‘technology’’ for a particular application of
‘silicides’ to ‘Carbon-carbon, Ceramic and
Metal ‘‘matrix’’ ‘‘composites’’ substrates, but
are not controlled for the application of
‘silicides’ to ‘Cemented tungsten carbide (16),
Silicon carbide (18)’ substrates. In the second
case, the resultant coating is not listed in the
paragraph under column 3 directly across
from the paragraph under column 2 listing
‘Cemented tungsten carbide (16), Silicon
carbide (18)’.
20. In Supplement No. 1 to Part 774
(the Commerce Control List), Category 2,
Category 2E—Materials Processing
■
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Table; the Notes to Table on Deposition
Techniques and the Accompanying
Technical Information to Table on
Deposition Techniques are revised to
read as follows:
Category 2E—Materials Processing Table;
Deposition Techniques
*
*
*
*
*
Notes to Table on Deposition Techniques
1. The term ‘coating process’ includes
coating repair and refurbishing as well as
original coating.
2. The term ‘alloyed aluminide coating’
includes single or multiple-step coatings in
which an element or elements are deposited
prior to or during application of the
aluminide coating, even if these elements are
deposited by another coating process. It does
not, however, include the multiple use of
single-step pack cementation processes to
achieve alloyed aluminides.
3. The term ‘noble metal modified
aluminide’ coating includes multiple-step
coatings in which the noble metal or noble
metals are laid down by some other coating
process prior to application of the aluminide
coating.
4. The term ‘mixtures thereof’ includes
infiltrated material, graded compositions, codeposits and multilayer deposits and are
obtained by one or more of the coating
processes specified in the Table.
5. MCrAlX refers to a coating alloy where
M equals cobalt, iron, nickel or combinations
thereof and X equals hafnium, yttrium,
silicon, tantalum in any amount or other
intentional additions over 0.01% by weight
in various proportions and combinations,
except:
a. CoCrAlY coatings which contain less
than 22% by weight of chromium, less than
7% by weight of aluminum and less than 2%
by weight of yttrium;
b. CoCrAlY coatings which contain 22 to
24% by weight of chromium, 10 to 12% by
weight of aluminum and 0.5 to 0.7% by
weight of yttrium; or
c. NiCrAlY coatings which contain 21 to
23% by weight of chromium, 10 to 12% by
weight of aluminum and 0.9 to 1.1% by
weight of yttrium.
6. The term ‘aluminum alloys’ refers to
alloys having an ultimate tensile strength of
190 MPa or more measured at 293 K (20 °C).
7. The term ‘corrosion resistant steel’ refers
to AISI (American Iron and Steel Institute)
300 series or equivalent national standard
steels.
8. ‘Refractory metals and alloys’ include
the following metals and their alloys:
niobium (columbium), molybdenum,
tungsten and tantalum.
9. ‘Sensor window materials’, as follows:
alumina, silicon, germanium, zinc sulphide,
zinc selenide, gallium arsenide, diamond,
gallium phosphide, sapphire and the
following metal halides: sensor window
materials of more than 40 mm diameter for
zirconium fluoride and hafnium fluoride.
10. Category 2 does not include
‘‘technology’’ for single-step pack
cementation of solid airfoils.
11. ‘Polymers’, as follows: Polyimide,
polyester, polysulfide, polycarbonates and
polyurethanes.
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Note 3: The gaseous reactants used in the
out-of-pack process are produced using the
same basic reactions and parameters as the
pack cementation process, except that the
substrate to be coated is not in contact with
the powder mixture.
b. Thermal Evaporation-Physical Vapor
Deposition (TE–PVD) is an overlay coating
process conducted in a vacuum with a
pressure less than 0.1 Pa wherein a source of
thermal energy is used to vaporize the
coating material. This process results in the
condensation, or deposition, of the
evaporated species onto appropriately
positioned substrates. The addition of gases
to the vacuum chamber during the coating
process to synthesize compound coatings is
an ordinary modification of the process. The
use of ion or electron beams, or plasma, to
activate or assist the coating’s deposition is
also a common modification in this
technique. The use of monitors to provide inprocess measurement of optical
characteristics and thickness of coatings can
be a feature of these processes. Specific TE–
PVD processes are as follows:
1. Electron Beam PVD uses an electron
beam to heat and evaporate the material
which forms the coating;
2. Ion Assisted Resistive Heating PVD
employs electrically resistive heating sources
in combination with impinging ion beam(s)
to produce a controlled and uniform flux of
evaporated coating species;
3. ‘‘Laser’’ Vaporization uses either pulsed
or continuous wave ‘‘laser’’ beams to
vaporize the material which forms the
coating;
4. Cathodic Arc Deposition employs a
consumable cathode of the material which
forms the coating and has an arc discharge
established on the surface by a momentary
contact of a ground trigger. Controlled
motion of arcing erodes the cathode surface
creating a highly ionized plasma. The anode
can be either a cone attached to the periphery
of the cathode, through an insulator, or the
chamber. Substrate biasing is used for non
line-of-sight deposition.
Technical Note to Table on Deposition
Techniques: Processes specified in Column 1
of the Table are defined as follows:
a. Chemical Vapor Deposition (CVD) is an
overlay coating or surface modification
coating process wherein a metal, alloy,
‘‘composite’’, dielectric or ceramic is
deposited upon a heated substrate. Gaseous
reactants are decomposed or combined in the
vicinity of a substrate resulting in the
deposition of the desired elemental, alloy or
compound material on the substrate. Energy
for this decomposition or chemical reaction
process may be provided by the heat of the
substrate, a glow discharge plasma, or ‘‘laser’’
irradiation.
mstockstill on DSK30JT082PROD with RULES2
12. ‘Modified zirconia’ refers to additions
of other metal oxides, (e.g., calcia, magnesia,
yttria, hafnia, rare earth oxides) to zirconia in
order to stabilize certain crystallographic
phases and phase compositions. Thermal
barrier coatings made of zirconia, modified
with calcia or magnesia by mixing or fusion,
are not controlled.
13. ‘Titanium alloys’ refers only to
aerospace alloys having an ultimate tensile
strength of 900 MPa or more measured at 293
K (20 °C).
14. ‘Low-expansion glasses’ refers to
glasses which have a coefficient of thermal
expansion of 1 × 10¥7 K¥1 or less measured
at 293 K (20 °C).
15. ‘Dielectric layers’ are coatings
constructed of multi-layers of insulator
materials in which the interference
properties of a design composed of materials
of various refractive indices are used to
reflect, transmit or absorb various wavelength
bands. Dielectric layers refers to more than
four dielectric layers or dielectric/metal
‘‘composite’’ layers.
16. ‘Cemented tungsten carbide’ does not
include cutting and forming tool materials
consisting of tungsten carbide/(cobalt,
nickel), titanium carbide/(cobalt, nickel),
chromium carbide/nickel-chromium and
chromium carbide/nickel.
17. ‘‘Technology’’ for depositing diamondlike carbon on any of the following is not
controlled: magnetic disk drives and heads,
equipment for the manufacture of
disposables, valves for faucets, acoustic
diaphragms for speakers, engine parts for
automobiles, cutting tools, punching-pressing
dies, office automation equipment,
microphones, medical devices or molds, for
casting or molding of plastics, manufactured
from alloys containing less than 5%
beryllium.
18. ‘Silicon carbide’ does not include
cutting and forming tool materials.
19. Ceramic substrates, as used in this
entry, does not include ceramic materials
containing 5% by weight, or greater, clay or
cement content, either as separate
constituents or in combination.
Note: This definition does not include
random cathodic arc deposition with nonbiased substrates.
5. Ion Plating is a special modification of
a general TE–PVD process in which a plasma
or an ion source is used to ionize the species
to be deposited, and a negative bias is
applied to the substrate in order to facilitate
the extraction of the species from the plasma.
The introduction of reactive species,
evaporation of solids within the process
chamber, and the use of monitors to provide
in-process measurement of optical
characteristics and thicknesses of coatings
are ordinary modifications of the process.
c. Pack Cementation is a surface
modification coating or overlay coating
process wherein a substrate is immersed in
a powder mixture (a pack), that consists of:
1. The metallic powders that are to be
deposited (usually aluminum, chromium,
silicon or combinations thereof);
2. An activator (normally a halide salt); and
3. An inert powder, most frequently
alumina.
Note 1: CVD includes the following
processes: directed gas flow out-of-pack
deposition, pulsating CVD, controlled
nucleation thermal decomposition (CNTD),
plasma enhanced or plasma assisted CVD
processes.
Note 2: Pack denotes a substrate immersed
in a powder mixture.
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Note: The substrate and powder mixture is
contained within a retort which is heated to
between 1,030 K (757 °C) to 1,375 K (1,102
°C) for sufficient time to deposit the coating.
d. Plasma Spraying is an overlay coating
process wherein a gun (spray torch) which
produces and controls a plasma accepts
powder or wire coating materials, melts them
and propels them towards a substrate,
whereon an integrally bonded coating is
formed. Plasma spraying constitutes either
low pressure plasma spraying or high
velocity plasma spraying.
Note 1: Low pressure means less than
ambient atmospheric pressure.
Note 2: High velocity refers to nozzle-exit
gas velocity exceeding 750 m/s calculated at
293 K (20 °C) at 0.1 MPa.
e. Slurry Deposition is a surface
modification coating or overlay coating
process wherein a metallic or ceramic
powder with an organic binder is suspended
in a liquid and is applied to a substrate by
either spraying, dipping or painting,
subsequent air or oven drying, and heat
treatment to obtain the desired coating.
f. Sputter Deposition is an overlay coating
process based on a momentum transfer
phenomenon, wherein positive ions are
accelerated by an electric field towards the
surface of a target (coating material). The
kinetic energy of the impacting ions is
sufficient to cause target surface atoms to be
released and deposited on an appropriately
positioned substrate.
Note 1: The Table refers only to triode,
magnetron or reactive sputter deposition
which is used to increase adhesion of the
coating and rate of deposition and to radio
frequency (RF) augmented sputter deposition
used to permit vaporization of non-metallic
coating materials.
Note 2: Low-energy ion beams (less than 5
keV) can be used to activate the deposition.
g. Ion Implantation is a surface
modification coating process in which the
element to be alloyed is ionized, accelerated
through a potential gradient and implanted
into the surface region of the substrate. This
includes processes in which ion implantation
is performed simultaneously with electron
beam physical vapor deposition or sputter
deposition.
Accompanying Technical Information to
Table on Deposition Techniques:
1. Technical information for pretreatments
of the substrates listed in the Table, as
follows:
a. Chemical stripping and cleaning bath
cycle parameters, as follows:
1. Bath composition;
a. For the removal of old or defective
coatings corrosion product or foreign
deposits;
b. For preparation of virgin substrates;
2. Time in bath;
3. Temperature of bath;
4. Number and sequences of wash cycles;
b. Visual and macroscopic criteria for
acceptance of the cleaned part;
c. Heat treatment cycle parameters, as
follows:
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1. Atmosphere parameters, as follows:
a. Composition of the atmosphere;
b. Pressure of the atmosphere;
2. Temperature for heat treatment;
3. Time of heat treatment;
d. Substrate surface preparation
parameters, as follows:
1. Grit blasting parameters, as follows:
a. Grit composition;
b. Grit size and shape;
c. Grit velocity;
2. Time and sequence of cleaning cycle
after grit blast;
3. Surface finish parameters;
4. Application of binders to promote
adhesion;
e. Masking technique parameters, as
follows:
1. Material of mask;
2. Location of mask;
2. Technical information for in situ quality
assurance techniques for evaluation of the
coating processes listed in the Table, as
follows:
a. Atmosphere parameters, as follows:
1. Composition of the atmosphere;
2. Pressure of the atmosphere;
b. Time parameters;
c. Temperature parameters;
d. Thickness parameters;
e. Index of refraction parameters;
f. Control of composition;
3. Technical information for post
deposition treatments of the coated substrates
listed in the Table, as follows:
a. Shot peening parameters, as follows:
1. Shot composition;
2. Shot size;
3. Shot velocity;
b. Post shot peening cleaning parameters;
c. Heat treatment cycle parameters, as
follows:
1. Atmosphere parameters, as follows:
a. Composition of the atmosphere;
b. Pressure of the atmosphere;
2. Time-temperature cycles;
d. Post heat treatment visual and
macroscopic criteria for acceptance of the
coated substrates;
4. Technical information for quality
assurance techniques for the evaluation of
the coated substrates listed in the Table, as
follows:
a. Statistical sampling criteria;
b. Microscopic criteria for:
1. Magnification;
2. Coating thickness, uniformity;
3. Coating integrity;
4. Coating composition;
5. Coating and substrates bonding;
6. Microstructural uniformity.
c. Criteria for optical properties assessment
(measured as a function of wavelength):
1. Reflectance;
2. Transmission;
3. Absorption;
4. Scatter;
5. Technical information and parameters
related to specific coating and surface
modification processes listed in the Table, as
follows:
a. For Chemical Vapor Deposition (CVD):
1. Coating source composition and
formulation;
2. Carrier gas composition;
3. Substrate temperature;
4. Time-temperature-pressure cycles;
5. Gas control and part manipulation;
b. For Thermal Evaporation-Physical Vapor
Deposition (PVD):
1. Ingot or coating material source
composition;
2. Substrate temperature;
3. Reactive gas composition;
4. Ingot feed rate or material vaporization
rate;
5. Time-temperature-pressure cycles;
6. Beam and part manipulation;
7. ‘‘Laser’’ parameters, as follows:
a. Wave length;
b. Power density;
c. Pulse length;
d. Repetition ratio;
e. Source;
c. For Pack Cementation:
1. Pack composition and formulation;
2. Carrier gas composition;
3. Time-temperature-pressure cycles;
d. For Plasma Spraying:
1. Powder composition, preparation and
size distributions;
2. Feed gas composition and parameters;
3. Substrate temperature;
4. Gun power parameters;
5. Spray distance;
6. Spray angle;
7. Cover gas composition, pressure and
flow rates;
8. Gun control and part manipulation;
e. For Sputter Deposition:
1. Target composition and fabrication;
2. Geometrical positioning of part and
target;
3. Reactive gas composition;
4. Electrical bias;
5. Time-temperature-pressure cycles;
6. Triode power;
7. Part manipulation;
f. For Ion Implantation:
1. Beam control and part manipulation;
mstockstill on DSK30JT082PROD with RULES2
NS applies to ‘‘Monolithic Microwave Integrated Circuit’’ (‘‘MMIC’’) amplifiers in 3A001.b.2 and discrete microwave transistors in 3A001.b.3,
except those 3A001.b.2 and b.3 items being exported or reexported
for use in civil telecommunications applications.
NS applies to entire entry .........................................................................
RS applies ‘‘Monolithic Microwave Integrated Circuit’’ (‘‘MMIC’’) amplifiers in 3A001.b.2 and discrete microwave transistors in 3A001.b.3,
except those 3A001.b.2 and b.3 items being exported or reexported
for use in civil telecommunications applications.
20:53 Aug 14, 2017
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21. In Supplement No. 1 to part 774
(the Commerce Control List), Category 3,
Product Group A, the Notes and Nota
Bene at the beginning of Product Group
A are revised to read as follows:
■
Category 3—Electronics
A. ‘‘End Items’’, ‘‘Equipment’’,
‘‘Accessories’’, ‘‘Attachments’’, ‘‘Parts’’,
‘‘Components’’ and ‘‘Systems’’
Note 1: The control status of equipment
and components described in 3A001 or
3A002, other than those described in
3A001.a.3 to 3A001.a.10, 3A001.a.12 or
3A001.a.14, which are ‘‘specially designed’’
for or which have the same functional
characteristics as other equipment is
determined by the control status of the other
equipment.
Note 2: The control status of integrated
circuits described in 3A001.a.3 to 3A001.a.9,
3A001.a.12 or 3A001.a.14 that are
unalterably programmed or designed for a
specific function for other equipment is
determined by the control status of the other
equipment.
N.B.: When the manufacturer or applicant
cannot determine the control status of the
other equipment, the control status of the
integrated circuits is determined in
3A001.a.3 to 3A001.a.9, 3A001.a.12 and
3A001.a.14.
22. In Supplement No. 1 to part 774
(the Commerce Control List), Category 3,
ECCN 3A001 is revised to read as
follows:
■
3A001 Electronic items as follows (see List
of Items Controlled).
License Requirements
Reason for Control: NS, RS, MT, NP, AT
Country chart
(see Supp. No. 1 to part 738)
Control(s)
VerDate Sep<11>2014
2. Ion source design details;
3. Control techniques for ion beam and
deposition rate parameters;
4. Time-temperature-pressure cycles.
g. For Ion Plating:
1. Beam control and part manipulation;
2. Ion source design details;
3. Control techniques for ion beam and
deposition rate parameters;
4. Time-temperature-pressure cycles;
5. Coating material feed rate and
vaporization rate;
6. Substrate temperature;
7. Substrate bias parameters.
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Federal Register / Vol. 82, No. 156 / Tuesday, August 15, 2017 / Rules and Regulations
38785
Control(s)
Country chart
(see Supp. No. 1 to part 738)
MT applies to 3A001.a.1.a when usable in ‘‘missiles’’; and to
3A001.a.5.a when ‘‘designed or modified’’ for military use, hermetically sealed and rated for operation in the temperature range from
below ¥54 °C to above +125 °C MT Column 1.
NP applies to pulse discharge capacitors in in 3A001.e.2 and superconducting solenoidal electromagnets in 3A001.e.3 that meet or exceed the technical parameters in 3A201.a and 3A201.b, respectively
NP Column 1.
AT applies to entire entry AT Column 1 ...................................................
MT applies to 3A001.a.1.a when usable in ‘‘missiles’’; and to
3A001.a.5.a when ‘‘designed or modified’’ for military use, hermetically sealed and rated for operation in the temperature range from
below ¥54 °C to above +125 °C MT Column 1
NP applies to pulse discharge capacitors in in 3A001.e.2 and superconducting solenoidal electromagnets in 3A001.e.3 that meet or exceed the technical parameters in 3A201.a and 3A201.b, respectively
NP Column 1
AT applies to entire entry AT Column 1
License Requirements Note: See § 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 § 743.1 of the EAR for reporting
requirements for exports under License
Exceptions, and Validated End-User
authorizations
mstockstill on DSK30JT082PROD with RULES2
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
LVS: N/A for MT or NP; N/A for ‘‘Monolithic
Microwave Integrated Circuit’’ (‘‘MMIC’’)
amplifiers in 3A001.b.2 and discrete
microwave transistors in 3A001.b.3, except
those that are being exported or reexported
for use in civil telecommunications
applications.
Yes for:
$1500: 3A001.c
$3000: 3A001.b.1, b.2 (exported or
reexported for use in civil
telecommunications applications), b.3
(exported or reexported for use in civil
telecommunications applications), b.9, .d,
.e, .f, and .g.
$5000: 3A001.a (except a.1.a and a.5.a when
controlled for MT), .b.4 to b.7, and b.12.
GBS: Yes for 3A001.a.1.b, a.2 to a.14 (except
.a.5.a when controlled for MT), b.2
(exported or reexported for use in civil
telecommunications applications), b.8
(except for vacuum electronic device
amplifiers exceeding 18 GHz), b.9., b.10, .g,
and .h.
CIV: Yes for 3A001.a.3, a.7, and a.11.
Special Conditions for STA
STA: License Exception STA may not be
used to ship any item in 3A001.b.2 or b.3,
except those that are being exported or
reexported for use in civil
telecommunications applications, 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) See Category XV of the
USML for certain ‘‘space-qualified’’
electronics and Category XI of the USML
for certain ASICs, ‘transmit/receive
modules,’ or ‘transmit modules’ ‘‘subject to
the ITAR’’ (see 22 CFR parts 120 through
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130). (2) See also 3A101, 3A201, 3A611,
3A991, and 9A515.
Related Definitions: ‘Microcircuit’ means a
device in which a number of passive or
active elements are considered as
indivisibly associated on or within a
continuous structure to perform the
function of a circuit. For the purposes of
integrated circuits in 3A001.a.1, 5 × 103
Gy(Si) = 5 × 105 Rads (Si); 5 × 106 Gy (Si)/
s = 5 × 108 Rads (Si)/s. Spacecraft/satellite:
Solar concentrators, power conditioners
and or controllers, bearing and power
transfer assembly, and or deployment
hardware/systems are controlled under the
export licensing authority of the
Department of State, Directorate of Defense
Trade Controls (22 CFR part 121).
Items:
a. General purpose integrated circuits, as
follows:
Note 1: The control status of wafers
(finished or unfinished), in which the
function has been determined, is to be
evaluated against the parameters of 3A001.a.
Note 2: Integrated circuits include the
following types:
—Monolithic integrated circuits;
—Hybrid integrated circuits;
—Multichip integrated circuits;
—Film type integrated circuits, including
silicon-on-sapphire integrated circuits;
—Optical integrated circuits;
—‘‘Three dimensional integrated circuits’’;
—‘‘Monolithic Microwave Integrated
Circuits’’ (‘‘MMICs’’).
a.1. Integrated circuits designed or rated as
radiation hardened to withstand any of the
following:
a.1.a. A total dose of 5 × 103 Gy (Si), or
higher;
a.1.b. A dose rate upset of 5 × 106 Gy (Si)/
s, or higher; or
a.1.c. A fluence (integrated flux) of
neutrons (1 MeV equivalent) of 5 × 1013 n/
cm2 or higher on silicon, or its equivalent for
other materials;
Note: 3A001.a.1.c does not apply to Metal
Insulator Semiconductors (MIS).
a.2. ‘‘Microprocessor microcircuits,’’
‘‘microcomputer microcircuits,’’
microcontroller microcircuits, storage
integrated circuits manufactured from a
compound semiconductor, analog-to-digital
converters, integrated circuits that contain
analog-to-digital converters and store or
process the digitized data, digital-to-analog
converters, electro-optical or ‘‘optical
integrated circuits’’ designed for ‘‘signal
processing,’’ field programmable logic
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devices, custom integrated circuits for which
either the function is unknown or the control
status of the equipment in which the
integrated circuit will be used in unknown,
Fast Fourier Transform (FFT) processors,
Electrical Erasable Programmable Read-Only
Memories (EEPROMs), flash memories, Static
Random-Access Memories (SRAMs), or
Magnetic Random Access Memories
(MRAMs), having any of the following:
a.2.a. Rated for operation at an ambient
temperature above 398 K (125 °C);
a.2.b. Rated for operation at an ambient
temperature below 218 K (¥55 °C); or
a.2.c. Rated for operation over the entire
ambient temperature range from 218 K (¥55
°C) to 398 K (125 °C);
Note: 3A001.a.2 does not apply to
integrated circuits for civil automobile or
railway train applications.
a.3. ‘‘Microprocessor microcircuits’’,
‘‘microcomputer microcircuits’’ and
microcontroller microcircuits, manufactured
from a compound semiconductor and
operating at a clock frequency exceeding 40
MHz;
Note: 3A001.a.3 includes digital signal
processors, digital array processors and
digital coprocessors.
a.4. [Reserved]
a.5. Analog-to-Digital Converter (ADC) and
Digital-to-Analog Converter (DAC) integrated
circuits, as follows:
a.5.a. ADCs having any of the following:
a.5.a.1. A resolution of 8 bit or more, but
less than 10 bit, with an output rate greater
than 1.3 Giga Samples Per Second (GSPS);
a.5.a.2. A resolution of 10 bit or more, but
less than 12 bit, with an output rate greater
than 600 Mega Samples Per Second (MSPS);
a.5.a.3. A resolution of 12 bit or more, but
less than 14 bit, with an output rate greater
than 400 Mega Samples Per Second (MSPS);
a.5.a.4. A resolution of 14 bit or more, but
less than 16 bit, with an output rate greater
than 250 Mega Samples Per Second (MSPS);
or
a.5.a.5. A resolution of 16 bit or more with
an output rate greater than 65 Mega Samples
Per Second (MSPS);
N.B.: For integrated circuits that contain
analog-to-digital converters and store or
process the digitized data see 3A001.a.14.
Technical Notes: 1. A resolution of n bit
corresponds to a quantization of 2n levels.
2. The number of bits in the output word
is equal to the resolution of the ADC.
3. The output rate is the maximum output
rate of the converter, regardless of
architecture or oversampling.
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4. For ‘multiple channel ADCs’, the
outputs are not aggregated and the output
rate is the maximum output rate of any single
channel.
5. For ‘interleaved ADCs’ or for ‘multiple
channel ADCs’ that are specified to have an
interleaved mode of operation, the outputs
are aggregated and the output rate is the
maximum combined total output rate of all
of the outputs.
6. Vendors may also refer to the output rate
as sampling rate, conversion rate or
throughput rate. It is often specified in
megahertz (MHz), mega words per second or
Mega Samples Per Second (MSPS).
7. For the purpose of measuring output
rate, one sample per second is equivalent to
one Hertz or one output word per second.
8. ‘Multiple channel ADCs’ are defined as
devices which integrate more than one ADC,
designed so that each ADC has a separate
analog input.
9. ‘Interleaved ADCs’ are defined as
devices which have multiple ADC units that
sample the same analog input at different
times such that when the outputs are
aggregated, the analog input has been
effectively sampled and converted at a higher
sampling rate.
mstockstill on DSK30JT082PROD with RULES2
a.5.b. Digital-to-Analog Converters (DAC)
having any of the following:
a.5.b.1. A resolution of 10 bit or more with
an ‘adjusted update rate’ of greater than 3,500
MSPS; or
a.5.b.2. A resolution of 12-bit or more with
an ‘adjusted update rate’ of greater than 1,250
MSPS and having any of the following:
a.5.b.2.a. A settling time less than 9 ns to
0.024% of full scale from a full scale step; or
a.5.b.2.b. A ‘Spurious Free Dynamic Range’
(SFDR) greater than 68 dBc (carrier) when
synthesizing a full scale analog signal of 100
MHz or the highest full scale analog signal
frequency specified below 100 MHz.
Technical Notes: 1. ‘Spurious Free
Dynamic Range’ (SFDR) is defined as the
ratio of the RMS value of the carrier
frequency (maximum signal component) at
the input of the DAC to the RMS value of the
next largest noise or harmonic distortion
component at its output.
2. SFDR is determined directly from the
specification table or from the
characterization plots of SFDR versus
frequency.
3. A signal is defined to be full scale when
its amplitude is greater than ¥3 dBfs (full
scale).
4. ‘Adjusted update rate’ for DACs is:
a. For conventional (non-interpolating)
DACs, the ‘adjusted update rate’ is the rate
at which the digital signal is converted to an
analog signal and the output analog values
are changed by the DAC. For DACs where the
interpolation mode may be bypassed
(interpolation factor of one), the DAC should
be considered as a conventional (noninterpolating) DAC.
b. For interpolating DACs (oversampling
DACs), the ‘adjusted update rate’ is defined
as the DAC update rate divided by the
smallest interpolating factor. For
interpolating DACs, the ‘adjusted update rate’
may be referred to by different terms
including:
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• Input data rate
• Input word rate
• Input sample rate
• Maximum total input bus rate
• Maximum DAC clock rate for DAC clock
input.
a.6. Electro-optical and ‘‘optical integrated
circuits’’, designed for ‘‘signal processing’’
and having all of the following:
a.6.a. One or more than one internal
‘‘laser’’ diode;
a.6.b. One or more than one internal light
detecting element; and
a.6.c. Optical waveguides;
a.7. ‘Field programmable logic devices’
having any of the following:
a.7.a. A maximum number of single-ended
digital input/outputs of greater than 700; or
a.7.b. An ‘aggregate one-way peak serial
transceiver data rate’ of 500 Gb/s or greater;
Note: 3A001.a.7 includes:
—Simple Programmable Logic Devices
(SPLDs)
—Complex Programmable Logic Devices
(CPLDs)
—Field Programmable Gate Arrays
(FPGAs)
—Field Programmable Logic Arrays
(FPLAs)
—Field Programmable Interconnects
(FPICs)
N.B.: For integrated circuits having field
programmable logic devices that are
combined with an analog-to-digital converter,
see 3A001.a.14.
Technical Notes: 1. Maximum number of
digital input/outputs in 3A001.a.7.a is also
referred to as maximum user input/outputs
or maximum available input/outputs,
whether the integrated circuit is packaged or
bare die.
2. ‘Aggregate one-way peak serial
transceiver data rate’ is the product of the
peak serial one-way transceiver data rate
times the number of transceivers on the
FPGA.
a.8. [Reserved]
a.9. Neural network integrated circuits;
a.10. Custom integrated circuits for which
the function is unknown, or the control
status of the equipment in which the
integrated circuits will be used is unknown
to the manufacturer, having any of the
following:
a.10.a. More than 1,500 terminals;
a.10.b. A typical ‘‘basic gate propagation
delay time’’ of less than 0.02 ns; or
a.10.c. An operating frequency exceeding 3
GHz;
a.11. Digital integrated circuits, other than
those described in 3A001.a.3 to 3A001.a.10
and 3A001.a.12, based upon any compound
semiconductor and having any of the
following:
a.11.a. An equivalent gate count of more
than 3,000 (2 input gates); or
a.11.b. A toggle frequency exceeding 1.2
GHz;
a.12. Fast Fourier Transform (FFT)
processors having a rated execution time for
an N-point complex FFT of less than (N log2
N)/20,480 ms, where N is the number of
points;
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Technical Note: When N is equal to 1,024
points, the formula in 3A001.a.12 gives an
execution time of 500 ms.
a.13. Direct Digital Synthesizer (DDS)
integrated circuits having any of the
following:
a.13.a. A Digital-to-Analog Converter
(DAC) clock frequency of 3.5 GHz or more
and a DAC resolution of 10 bit or more, but
less than 12 bit; or
a.13.b. A DAC clock frequency of 1.25 GHz
or more and a DAC resolution of 12 bit or
more;
Technical Note: The DAC clock frequency
may be specified as the master clock
frequency or the input clock frequency.
a.14. Integrated circuits that perform all of
the following:
a.14.a. Analog-to-digital conversions
meeting any of the following:
a.14.a.1. A resolution of 8 bit or more, but
less than 10 bit, with an input sample rate
greater than 1.3 Giga Samples Per Second
(GSPS);
a.14.a.2. A resolution of 10 bit or more, but
less than 12 bit, with an input sample rate
greater than 1.0 Giga Samples Per Second
(GSPS);
a.14.a.3. A resolution of 12 bit or more, but
less than 14 bit, with an input sample rate
greater than 1.0 Giga Samples Per Second
(GSPS);
a.14.a.4. A resolution of 14 bit or more, but
less than 16 bit, with an input sample rate
greater than 400 Mega Samples Per Second
(MSPS); or
a.14.a.5. A resolution of 16 bit or more
with an input sample rate greater than 180
Mega Samples Per Second (MSPS); and
a.14.b. Any of the following:
a.14.b.1. Storage of digitized data; or
a.14.b.2. Processing of digitized data;
N.B. 1: For analog-to-digital converter
integrated circuits see 3A001.a.5.a.
N.B. 2: For field programmable logic
devices see 3A001.a.7.
b. Microwave or millimeter wave items, as
follows:
Technical Notes: 1. For purposes of
3A001.b, the parameter peak saturated power
output may also be referred to on product
data sheets as output power, saturated power
output, maximum power output, peak power
output, or peak envelope power output.
2. For purposes of 3A001.b.1, ‘vacuum
electronic devices’ are electronic devices
based on the interaction of an electron beam
with an electromagnetic wave propagating in
a vacuum circuit or interacting with radiofrequency vacuum cavity resonators.
‘Vacuum electronic devices’ include
klystrons, traveling-wave tubes, and their
derivatives.
b.1. ‘Vacuum electronic devices’ and
cathodes, as follows:
Note 1: 3A001.b.1 does not control
‘vacuum electronic devices’ designed or rated
for operation in any frequency band and
having all of the following:
a. Does not exceed 31.8 GHz; and
b. Is ‘‘allocated by the ITU’’ for radiocommunications services, but not for radiodetermination.
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Note 2: 3A001.b.1 does not control non‘‘space-qualified’’ ‘vacuum electronic
devices’ having all the following:
a. An average output power equal to or less
than 50 W; and
b. Designed or rated for operation in any
frequency band and having all of the
following:
1. Exceeds 31.8 GHz but does not exceed
43.5 GHz; and
2. Is ‘‘allocated by the ITU’’ for radiocommunications services, but not for radiodetermination.
b.1.a. Traveling-wave ‘vacuum electronic
devices,’ pulsed or continuous wave, as
follows:
b.1.a.1. Devices operating at frequencies
exceeding 31.8 GHz;
b.1.a.2. Devices having a cathode heater
with a turn on time to rated RF power of less
than 3 seconds;
b.1.a.3. Coupled cavity devices, or
derivatives thereof, with a ‘‘fractional
bandwidth’’ of more than 7% or a peak
power exceeding 2.5 kW;
b.1.a.4. Devices based on helix, folded
waveguide, or serpentine waveguide circuits,
or derivatives thereof, having any of the
following:
b.1.a.4.a. An ‘‘instantaneous bandwidth’’ of
more than one octave, and average power
(expressed in kW) times frequency
(expressed in GHz) of more than 0.5;
b.1.a.4.b. An ‘‘instantaneous bandwidth’’ of
one octave or less, and average power
(expressed in kW) times frequency
(expressed in GHz) of more than 1;
b.1.a.4.c. Being ‘‘space-qualified’’; or
b.1.a.4.d. Having a gridded electron gun;
b.1.a.5. Devices with a ‘‘fractional
bandwidth’’ greater than or equal to 10%,
with any of the following:
b.1.a.5.a. An annular electron beam;
b.1.a.5.b. A non-axisymmetric electron
beam; or
b.1.a.5.c. Multiple electron beams;
b.1.b. Crossed-field amplifier ‘vacuum
electronic devices’ with a gain of more than
17 dB;
b.1.c. Thermionic cathodes, designed for
‘vacuum electronic devices,’ producing an
emission current density at rated operating
conditions exceeding 5 A/cm2 or a pulsed
(non-continuous) current density at rated
operating conditions exceeding 10 A/cm2;
b.1.d. ‘Vacuum electronic devices’ with the
capability to operate in a ‘dual mode.’
mstockstill on DSK30JT082PROD with RULES2
Technical Note: ‘Dual mode’ means the
‘vacuum electronic device’ beam current can
be intentionally changed between
continuous-wave and pulsed mode operation
by use of a grid and produces a peak pulse
output power greater than the continuouswave output power.
b.2. ‘‘Monolithic Microwave Integrated
Circuit’’ (‘‘MMIC’’) amplifiers that are any of
the following:
N.B.: For ‘‘MMIC ’’ amplifiers that have an
integrated phase shifter see 3A001.b.12.
b.2.a. Rated for operation at frequencies
exceeding 2.7 GHz up to and including 6.8
GHz with a ‘‘fractional bandwidth’’ greater
than 15%, and having any of the following:
b.2.a.1. A peak saturated power output
greater than 75 W (48.75 dBm) at any
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frequency exceeding 2.7 GHz up to and
including 2.9 GHz;
b.2.a.2. A peak saturated power output
greater than 55 W (47.4 dBm) at any
frequency exceeding 2.9 GHz up to and
including 3.2 GHz;
b.2.a.3. A peak saturated power output
greater than 40 W (46 dBm) at any frequency
exceeding 3.2 GHz up to and including 3.7
GHz; or
b.2.a.4. A peak saturated power output
greater than 20 W (43 dBm) at any frequency
exceeding 3.7 GHz up to and including 6.8
GHz;
b.2.b. Rated for operation at frequencies
exceeding 6.8 GHz up to and including 16
GHz with a ‘‘fractional bandwidth’’ greater
than 10%, and having any of the following:
b.2.b.1. A peak saturated power output
greater than 10 W (40 dBm) at any frequency
exceeding 6.8 GHz up to and including 8.5
GHz; or
b.2.b.2. A peak saturated power output
greater than 5 W (37 dBm) at any frequency
exceeding 8.5 GHz up to and including 16
GHz;
b.2.c. Rated for operation with a peak
saturated power output greater than 3 W
(34.77 dBm) at any frequency exceeding 16
GHz up to and including 31.8 GHz, and with
a ‘‘fractional bandwidth’’ of greater than
10%;
b.2.d. Rated for operation with a peak
saturated power output greater than 0.1n W
(¥70 dBm) at any frequency exceeding 31.8
GHz up to and including 37 GHz;
b.2.e. Rated for operation with a peak
saturated power output greater than 1 W (30
dBm) at any frequency exceeding 37 GHz up
to and including 43.5 GHz, and with a
‘‘fractional bandwidth’’ of greater than 10%;
b.2.f. Rated for operation with a peak
saturated power output greater than 31.62
mW (15 dBm) at any frequency exceeding
43.5 GHz up to and including 75 GHz, and
with a ‘‘fractional bandwidth’’ of greater than
10%;
b.2.g. Rated for operation with a peak
saturated power output greater than 10 mW
(10 dBm) at any frequency exceeding 75 GHz
up to and including 90 GHz, and with a
‘‘fractional bandwidth’’ of greater than 5%; or
b.2.h. Rated for operation with a peak
saturated power output greater than 0.1 nW
(¥70 dBm) at any frequency exceeding 90
GHz;
38787
b.3.a. Rated for operation at frequencies
exceeding 2.7 GHz up to and including 6.8
GHz and having any of the following:
b.3.a.1. A peak saturated power output
greater than 400 W (56 dBm) at any
frequency exceeding 2.7 GHz up to and
including 2.9 GHz;
b.3.a.2. A peak saturated power output
greater than 205 W (53.12 dBm) at any
frequency exceeding 2.9 GHz up to and
including 3.2 GHz;
b.3.a.3. A peak saturated power output
greater than 115 W (50.61 dBm) at any
frequency exceeding 3.2 GHz up to and
including 3.7 GHz; or
b.3.a.4. A peak saturated power output
greater than 60 W (47.78 dBm) at any
frequency exceeding 3.7 GHz up to and
including 6.8 GHz;
b.3.b. Rated for operation at frequencies
exceeding 6.8 GHz up to and including 31.8
GHz and having any of the following:
b.3.b.1. A peak saturated power output
greater than 50 W (47 dBm) at any frequency
exceeding 6.8 GHz up to and including 8.5
GHz;
b.3.b.2. A peak saturated power output
greater than 15 W (41.76 dBm) at any
frequency exceeding 8.5 GHz up to and
including 12 GHz;
b.3.b.3. A peak saturated power output
greater than 40 W (46 dBm) at any frequency
exceeding 12 GHz up to and including 16
GHz; or
b.3.b.4. A peak saturated power output
greater than 7 W (38.45 dBm) at any
frequency exceeding 16 GHz up to and
including 31.8 GHz;
b.3.c. Rated for operation with a peak
saturated power output greater than 0.5 W
(27 dBm) at any frequency exceeding 31.8
GHz up to and including 37 GHz;
b.3.d. Rated for operation with a peak
saturated power output greater than 1 W (30
dBm) at any frequency exceeding 37 GHz up
to and including 43.5 GHz; or
b.3.e. Rated for operation with a peak
saturated power output greater than 0.1 nW
(¥70 dBm) at any frequency exceeding 43.5
GHz;
Note 1: The control status of a transistor,
whose rated operating frequency includes
frequencies listed in more than one
frequency range, as defined by 3A001.b.3.a
through 3A001.b.3.e, is determined by the
lowest peak saturated power output control
threshold.
Note 1: [Reserved]
Note 2: The control status of the ‘‘MMIC’’
whose rated operating frequency includes
frequencies listed in more than one
frequency range, as defined by 3A001.b.2.a
through 3A001.b.2.h, is determined by the
lowest peak saturated power output control
threshold.
Note 3: Notes 1 and 2 following the
Category 3 heading for product group A.
Systems, Equipment, and Components mean
that 3A001.b.2 does not control ‘‘MMICs’’ if
they are ‘‘specially designed’’ for other
applications, e.g., telecommunications, radar,
automobiles.
b.3. Discrete microwave transistors that are
any of the following:
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Note 2: 3A001.b.3 includes bare dice, dice
mounted on carriers, or dice mounted in
packages. Some discrete transistors may also
be referred to as power amplifiers, but the
status of these discrete transistors is
determined by 3A001.b.3.
b.4. Microwave solid state amplifiers and
microwave assemblies/modules containing
microwave solid state amplifiers, that are any
of the following:
b.4.a. Rated for operation at frequencies
exceeding 2.7 GHz up to and including 6.8
GHz with a ‘‘fractional bandwidth’’ greater
than 15%, and having any of the following:
b.4.a.1. A peak saturated power output
greater than 500 W (57 dBm) at any
frequency exceeding 2.7 GHz up to and
including 2.9 GHz;
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b.4.a.2. A peak saturated power output
greater than 270 W (54.3 dBm) at any
frequency exceeding 2.9 GHz up to and
including 3.2 GHz;
b.4.a.3. A peak saturated power output
greater than 200 W (53 dBm) at any
frequency exceeding 3.2 GHz up to and
including 3.7 GHz; or
b.4.a.4. A peak saturated power output
greater than 90 W (49.54 dBm) at any
frequency exceeding 3.7 GHz up to and
including 6.8 GHz;
b.4.b. Rated for operation at frequencies
exceeding 6.8 GHz up to and including 31.8
GHz with a ‘‘fractional bandwidth’’ greater
than 10%, and having any of the following:
b.4.b.1. A peak saturated power output
greater than 70 W (48.54 dBm) at any
frequency exceeding 6.8 GHz up to and
including 8.5 GHz;
b.4.b.2. A peak saturated power output
greater than 50 W (47 dBm) at any frequency
exceeding 8.5 GHz up to and including 12
GHz;
b.4.b.3. A peak saturated power output
greater than 30 W (44.77 dBm) at any
frequency exceeding 12 GHz up to and
including 16 GHz; or
b.4.b.4. A peak saturated power output
greater than 20 W (43 dBm) at any frequency
exceeding 16 GHz up to and including 31.8
GHz;
b.4.c. Rated for operation with a peak
saturated power output greater than 0.5 W
(27 dBm) at any frequency exceeding 31.8
GHz up to and including 37 GHz;
b.4.d. Rated for operation with a peak
saturated power output greater than 2 W (33
dBm) at any frequency exceeding 37 GHz up
to and including 43.5 GHz, and with a
‘‘fractional bandwidth’’ of greater than 10%;
b.4.e. Rated for operation at frequencies
exceeding 43.5 GHz and having any of the
following:
b.4.e.1. A peak saturated power output
greater than 0.2 W (23 dBm) at any frequency
exceeding 43.5 GHz up to and including 75
GHz, and with a ‘‘fractional bandwidth’’ of
greater than 10%;
b.4.e.2. A peak saturated power output
greater than 20 mW (13 dBm) at any
frequency exceeding 75 GHz up to and
including 90 GHz, and with a ‘‘fractional
bandwidth’’ of greater than 5%; or
b.4.e.3. A peak saturated power output
greater than 0.1 nW (¥70 dBm) at any
frequency exceeding 90 GHz; or
b.4.f. [Reserved]
N.B.: 1. For ‘‘MMIC ’’ amplifiers see
3A001.b.2.
2. For ‘transmit/receive modules’ and
‘transmit modules’ see 3A001.b.12.
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Note 1: [Reserved]
Note 2: The control status of an item whose
rated operating frequency includes
frequencies listed in more than one
frequency range, as defined by 3A001.b.4.a
through 3A001.b.4.e, is determined by the
lowest peak saturated power output control
threshold.
b.5. Electronically or magnetically tunable
band-pass or band-stop filters, having more
than 5 tunable resonators capable of tuning
across a 1.5:1 frequency band (fmax/fmin) in
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less than 10 ms and having any of the
following:
b.5.a. A band-pass bandwidth of more than
0.5% of center frequency; or
b.5.b. A band-stop bandwidth of less than
0.5% of center frequency;
b.6. [Reserved]
b.7. Converters and harmonic mixers, that
are any of the following:
b.7.a. Designed to extend the frequency
range of ‘‘signal analyzers’’ beyond 90 GHz;
b.7.b. Designed to extend the operating
range of signal generators as follows:
b.7.b.1. Beyond 90 GHz;
b.7.b.2. To an output power greater than
100 mW (20 dBm) anywhere within the
frequency range exceeding 43.5 GHz but not
exceeding 90 GHz;
b.7.c. Designed to extend the operating
range of network analyzers as follows:
b.7.c.1. Beyond 110 GHz;
b.7.c.2. To an output power greater than
31.62 mW (15 dBm) anywhere within the
frequency range exceeding 43.5 GHz but not
exceeding 90 GHz;
b.7.c.3. To an output power greater than 1
mW (0 dBm) anywhere within the frequency
range exceeding 90 GHz but not exceeding
110 GHz; or
b.7.d. Designed to extend the frequency
range of microwave test receivers beyond 110
GHz;
b.8. Microwave power amplifiers
containing ‘vacuum electronic devices’
controlled by 3A001.b.1 and having all of the
following:
b.8.a. Operating frequencies above 3 GHz;
b.8.b. An average output power to mass
ratio exceeding 80 W/kg; and
b.8.c. A volume of less than 400 cm3;
Note: 3A001.b.8 does not control
equipment designed or rated for operation in
any frequency band which is ‘‘allocated by
the ITU’’ for radio-communications services,
but not for radio-determination.
b.9. Microwave Power Modules (MPM)
consisting of, at least, a traveling-wave
‘vacuum electronic device’, a ‘‘Monolithic
Microwave Integrated Circuit’’ (‘‘MMIC’’) and
an integrated electronic power conditioner
and having all of the following:
b.9.a. A ‘turn-on time’ from off to fully
operational in less than 10 seconds;
b.9.b. A volume less than the maximum
rated power in Watts multiplied by 10 cm3/
W; and
b.9.c. An ‘‘instantaneous bandwidth’’
greater than 1 octave (fmax. > 2fmin,) and
having any of the following:
b.9.c.1. For frequencies equal to or less
than 18 GHz, an RF output power greater
than 100 W; or
b.9.c.2. A frequency greater than 18 GHz;
Technical Notes: 1. To calculate the
volume in 3A001.b.9.b., the following
example is provided: for a maximum rated
power of 20 W, the volume would be: 20 W
× 10 cm3/W = 200 cm3.
2. The ‘turn-on time’ in 3A001.b.9.a. refers
to the time from fully-off to fully operational,
i.e., it includes the warm-up time of the
MPM.
b.10. Oscillators or oscillator assemblies,
specified to operate with a single sideband
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(SSB) phase noise, in dBc/Hz, less (better)
than—(126 + 20log10F¥20log10f) anywhere
within the range of 10 Hz ≤ F ≤ 10 kHz;
Technical Note: In 3A001.b.10, F is the
offset from the operating frequency in Hz and
f is the operating frequency in MHz.
b.11. ‘‘Frequency synthesizer’’ ‘‘electronic
assemblies’’ having a ‘‘frequency switching
time’’ as specified by any of the following:
b.11.a. Less than 143 ps;
b.11.b. Less than 100 ms for any frequency
change exceeding 2.2 GHz within the
synthesized frequency range exceeding 4.8
GHz but not exceeding 31.8 GHz;
b.11.c. [Reserved]
b.11.d. Less than 500 ms for any frequency
change exceeding 550 MHz within the
synthesized frequency range exceeding 31.8
GHz but not exceeding 37 GHz; or
b.11.e. Less than 100 ms for any frequency
change exceeding 2.2 GHz within the
synthesized frequency range exceeding 37
GHz but not exceeding 90 GHz; or
b.11.f. [Reserved]
b.11.g. Less than 1 ms within the
synthesized frequency range exceeding 90
GHz;
N.B.: For general purpose ‘‘signal
analyzers’’, signal generators, network
analyzers and microwave test receivers, see
3A002.c, 3A002.d, 3A002.e and 3A002.f,
respectively.
b.12. ‘Transmit/receive modules,’
‘transmit/receive MMICs,’ ‘transmit
modules,’ and ‘transmit MMICs,’ rated for
operation at frequencies above 2.7 GHz and
having all of the following:
b.12.a. A peak saturated power output (in
watts), Psat, greater than 505.62 divided by
the maximum operating frequency (in GHz)
squared [Psat > 505.62 W * GHz2/fGHz2] for
any channel;
b.12.b. A ‘‘fractional bandwidth’’ of 5% or
greater for any channel;
b.12.c. Any planar side with length d (in
cm) equal to or less than 15 divided by the
lowest operating frequency in GHz [d ≤ 15cm
* GHz * N/fGHz] where N is the number of
transmit or transmit/receive channels; and
b.12.d. An electronically variable phase
shifter per channel.
Technical Notes:
1. A ‘transmit/receive module’ is a
multifunction ‘‘electronic assembly’’ that
provides bi-directional amplitude and phase
control for transmission and reception of
signals.
2. A ‘transmit module’ is an ‘‘electronic
assembly’’ that provides amplitude and
phase control for transmission of signals.
3. A ‘transmit/receive MMIC’ is a
multifunction ‘‘MMIC’’ that provides bidirectional amplitude and phase control for
transmission and reception of signals.
4. A ‘transmit MMIC’ is a ‘‘MMIC’’ that
provides amplitude and phase control for
transmission of signals.
5. 2.7 GHz should be used as the lowest
operating frequency (fGHz) in the formula in
3A001.b.4.12.c for transmit/receive or
transmit modules that have a rated operation
range extending downward to 2.7 GHz and
below [d ≤ 15cm * GHz * N/2.7 GHz].
6. 3A001.b.12 applies to ‘transmit/receive
modules’ or ‘transmit modules’ with or
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without a heat sink. The value of d in
3A001.b.12.c does not include any portion of
the ‘transmit/receive module’ or ‘transmit
module’ that functions as a heat sink.
7. ‘Transmit/receive modules’ or ‘transmit
modules,’ ‘transmit/receive MMICs’ or
‘transmit MMICs’ may or may not have N
integrated radiating antenna elements where
N is the number of transmit or transmit/
receive channels.
c. Acoustic wave devices as follows and
‘‘specially designed’’ ‘‘components’’ therefor:
c.1. Surface acoustic wave and surface
skimming (shallow bulk) acoustic wave
devices, having any of the following:
c.1.a. A carrier frequency exceeding 6 GHz;
c.1.b. A carrier frequency exceeding 1 GHz,
but not exceeding 6 GHz and having any of
the following:
c.1.b.1. A ‘frequency side-lobe rejection’
exceeding 65 dB;
c.1.b.2. A product of the maximum delay
time and the bandwidth (time in ms and
bandwidth in MHz) of more than 100;
c.1.b.3. A bandwidth greater than 250
MHz; or
c.1.b.4. A dispersive delay of more than 10
ms; or
c.1.c. A carrier frequency of 1 GHz or less
and having any of the following:
c.1.c.1. A product of the maximum delay
time and the bandwidth (time in ms and
bandwidth in MHz) of more than 100;
c.1.c.2. A dispersive delay of more than 10
ms; or
c.1.c.3. A ‘frequency side-lobe rejection’
exceeding 65 dB and a bandwidth greater
than 100 MHz;
Technical Note: ‘Frequency side-lobe
rejection’ is the maximum rejection value
specified in data sheet.
c.2. Bulk (volume) acoustic wave devices
that permit the direct processing of signals at
frequencies exceeding 6 GHz;
c.3. Acoustic-optic ‘‘signal processing’’
devices employing interaction between
acoustic waves (bulk wave or surface wave)
and light waves that permit the direct
processing of signals or images, including
spectral analysis, correlation or convolution;
mstockstill on DSK30JT082PROD with RULES2
Note: 3A001.c does not control acoustic
wave devices that are limited to a single band
pass, low pass, high pass or notch filtering,
or resonating function.
d. Electronic devices and circuits
containing ‘‘components,’’ manufactured
from ‘‘superconductive’’ materials, ‘‘specially
designed’’ for operation at temperatures
below the ‘‘critical temperature’’ of at least
one of the ‘‘superconductive’’ constituents
and having any of the following:
d.1. Current switching for digital circuits
using ‘‘superconductive’’ gates with a
product of delay time per gate (in seconds)
and power dissipation per gate (in watts) of
less than 10¥14 J; or
d.2. Frequency selection at all frequencies
using resonant circuits with Q-values
exceeding 10,000;
e. High energy devices as follows:
e.1. ‘Cells’ as follows:
e.1.a. ‘Primary cells’ having an ‘energy
density’ exceeding 550 Wh/kg at 293 K (20
°C);
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e.1.b. ‘Secondary cells’ having an ‘energy
density’ exceeding 350 Wh/kg at 293 K (20
°C);
Technical Notes: 1. For the purpose of
3A001.e.1., ‘energy density’ (Wh/kg) is
calculated from the nominal voltage
multiplied by the nominal capacity in
ampere-hours (Ah) divided by the mass in
kilograms. If the nominal capacity is not
stated, energy density is calculated from the
nominal voltage squared then multiplied by
the discharge duration in hours divided by
the discharge load in Ohms and the mass in
kilograms.
2. For the purpose of 3A001.e.1., a ‘cell’ is
defined as an electrochemical device, which
has positive and negative electrodes, an
electrolyte, and is a source of electrical
energy. It is the basic building block of a
battery.
3. For the purpose of 3A001.e.1.a., a
‘primary cell’ is a ‘cell’ that is not designed
to be charged by any other source.
4. For the purpose of 3A001.e.1.b., a
‘secondary cell’ is a ‘cell’ that is designed to
be charged by an external electrical source.
Note: 3A001.e. does not control batteries,
including single-cell batteries.
e.2. High energy storage capacitors as
follows:
e.2.a. Capacitors with a repetition rate of
less than 10 Hz (single shot capacitors) and
having all of the following:
e.2.a.1. A voltage rating equal to or more
than 5 kV;
e.2.a.2. An energy density equal to or more
than 250 J/kg; and
e.2.a.3. A total energy equal to or more
than 25 kJ;
e.2.b. Capacitors with a repetition rate of
10 Hz or more (repetition rated capacitors)
and having all of the following:
e.2.b.1. A voltage rating equal to or more
than 5 kV;
e.2.b.2. An energy density equal to or more
than 50 J/kg;
e.2.b.3. A total energy equal to or more
than 100 J; and
e.2.b.4. A charge/discharge cycle life equal
to or more than 10,000;
e.3. ‘‘Superconductive’’ electromagnets and
solenoids, ‘‘specially designed’’ to be fully
charged or discharged in less than one
second and having all of the following:
Note: 3A001.e.3 does not control
‘‘superconductive’’ electromagnets or
solenoids ‘‘specially designed’’ for Magnetic
Resonance Imaging (MRI) medical
equipment.
e.3.a. Energy delivered during the
discharge exceeding 10 kJ in the first second;
e.3.b. Inner diameter of the current
carrying windings of more than 250 mm; and
e.3.c. Rated for a magnetic induction of
more than 8 T or ‘‘overall current density’’
in the winding of more than 300 A/mm2;
e.4. Solar cells, cell-interconnectcoverglass (CIC) assemblies, solar panels, and
solar arrays, which are ‘‘space-qualified,’’
having a minimum average efficiency
exceeding 20% at an operating temperature
of 301 K (28 °C) under simulated ‘AM0’
illumination with an irradiance of 1,367
Watts per square meter (W/m2);
PO 00000
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38789
Technical Note: ‘AM0,’ or ‘Air Mass Zero,’
refers to the spectral irradiance of sunlight in
the earth’s outer atmosphere when the
distance between the earth and sun is one
astronomical unit (AU).
f. Rotary input type absolute position
encoders having an ‘‘accuracy’’ equal to or
less (better) than ±1.0 second of arc and
‘‘specially designed’’ encoder rings, discs or
scales therefor;
g. Solid-state pulsed power switching
thyristor devices and ‘thyristor modules’,
using either electrically, optically, or electron
radiation controlled switch methods and
having any of the following:
g.1. A maximum turn-on current rate of
rise (di/dt) greater than 30,000 A/ms and offstate voltage greater than 1,100 V; or
g.2. A maximum turn-on current rate of
rise (di/dt) greater than 2,000 A/ms and
having all of the following:
g.2.a. An off-state peak voltage equal to or
greater than 3,000 V; and
g.2.b. A peak (surge) current equal to or
greater than 3,000 A;
Note 1: 3A001.g. includes:
—Silicon Controlled Rectifiers (SCRs)
—Electrical Triggering Thyristors (ETTs)
—Light Triggering Thyristors (LTTs)
—Integrated Gate Commutated Thyristors
(IGCTs)
—Gate Turn-off Thyristors (GTOs)
—MOS Controlled Thyristors (MCTs)
—Solidtrons
Note 2: 3A001.g. does not control thyristor
devices and ‘thyristor modules’ incorporated
into equipment designed for civil railway or
‘‘civil aircraft’’ applications.
Technical Note: For the purposes of
3A001.g, a ‘‘thyristor module’’ contains one
or more thyristor devices.
h. Solid-state power semiconductor
switches, diodes, or ‘modules’, having all of
the following:
h.1. Rated for a maximum operating
junction temperature greater than 488 K (215
°C);
h.2. Repetitive peak off-state voltage
(blocking voltage) exceeding 300 V; and
h.3. Continuous current greater than 1 A.
Technical Note: For the purposes of
3A001.h, ‘modules’ contain one or more
solid-state power semiconductor switches or
diodes.
Note 1: Repetitive peak off-state voltage in
3A001.h includes drain to source voltage,
collector to emitter voltage, repetitive peak
reverse voltage and peak repetitive off-state
blocking voltage.
Note 2: 3A001.h. includes:
—Junction Field Effect Transistors (JFETs)
—Vertical Junction Field Effect Transistors
(VJFETs)
—Metal Oxide Semiconductor Field Effect
Transistors (MOSFETs)
—Double Diffused Metal Oxide
Semiconductor Field Effect Transistor
(DMOSFET)
—Insulated Gate Bipolar Transistor (IGBT)
—High Electron Mobility Transistors
(HEMTs)
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—Bipolar Junction Transistors (BJTs)
—Thyristors and Silicon Controlled
Rectifiers (SCRs)
—Gate Turn-Off Thyristors (GTOs)
—Emitter Turn-Off Thyristors (ETOs)
—PiN Diodes
—Schottky Diodes
Note 3: 3A001.h. does not apply to
switches, diodes, or ‘modules’, incorporated
into equipment designed for civil
automobile, civil railway, or ‘‘civil aircraft’’
applications.
23. In Supplement No. 1 to part 774
(the Commerce Control List), Category 3,
ECCN 3A002 is revised to read as
follows:
■
3A002 General purpose ‘‘electronic
assemblies,’’ modules and equipment, as
follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, MT, AT
Control(s)
NS applies to entire
entry.
MT applies to 3A002.h
when the parameters
in 3A101.a.2.b are
met or exceeded.
AT applies to entire
entry.
Country chart
(see Supp. No. 1
to part 738)
NS Column 2
MT Column 1
AT Column 1
mstockstill on DSK30JT082PROD with RULES2
Special Conditions for STA
STA: License Exception STA may not be
used to ship any item in 3A002.g.1 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: See Category XV(e)(9) of
the USML for certain ‘‘space-qualified’’
atomic frequency standards ‘‘subject to the
ITAR’’ (see 22 CFR parts 120 through 130).
See also 3A101, 3A992 and 9A515.x.
Related Definitions: Constant percentage
bandwidth filters are also known as octave
or fractional octave filters.
Items:
a. Recording equipment and oscilloscopes,
as follows:
a.1–a.5 [Reserved]
N.B.: For waveform digitizers and transient
recorders, see 3A002.h.
Jkt 241001
Technical Notes: 1. For recorders with a
parallel bus architecture, the ‘continuous
throughput’ rate is the highest word rate
multiplied by the number of bits in a word.
2. ‘Continuous throughput’ is the fastest
data rate the instrument can record to disk
or solid-state drive memory without the loss
of any information while sustaining the input
digital data rate or digitizer conversion rate.
Note: 3A002.a.7 does not apply to
equivalent-time sampling oscilloscopes.
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
LVS: $3000: 3A002.a, .e, .f, and .g
$5000: 3A002.c to .d, and .h (unless
controlled for MT);
GBS: Yes, for 3A002.h (unless controlled for
MT)
CIV: Yes, for 3A002.h (unless controlled for
MT)
20:53 Aug 14, 2017
a.6. Digital data recorders having all of the
following:
a.6.a. A sustained ‘continuous throughput’
of more than 6.4 Gbit/s to disk or solid-state
drive memory; and
a.6.b. A processor that performs analysis of
radio frequency signal data while it is being
recorded;
a.7. Real-time oscilloscopes having a
vertical root-mean-square (rms) noise voltage
of less than 2% of full-scale at the vertical
scale setting that provides the lowest noise
value for any input 3dB bandwidth of 60 GHz
or greater per channel;
Reporting Requirements
See § 743.1 of the EAR for reporting
requirements for exports under License
Exceptions, and Validated End-User
authorizations.
VerDate Sep<11>2014
Technical Notes: 1. For those instruments
with a parallel bus architecture, the
‘continuous throughput’ rate is the highest
word rate multiplied by the number of bits
in a word.
2. ‘Continuous throughput’ is the fastest
data rate the instrument can output to mass
storage without the loss of any information
while sustaining the sampling rate and
analog-to-digital conversion.
3. For the purposes of 3A002.a.5.c,
acquisition can be triggered internally or
externally.
b. [Reserved]
c. ‘‘Signal analyzers’’ as follows:
c.1. ‘‘Signal analyzers’’ having a 3 dB
resolution bandwidth (RBW) exceeding 10
MHz anywhere within the frequency range
exceeding 31.8 GHz but not exceeding 37
GHz;
c.2. ‘‘Signal analyzers’’ having Displayed
Average Noise Level (DANL) less (better)
than—150 dBm/Hz anywhere within the
frequency range exceeding 43.5 GHz but not
exceeding 90 GHz;
c.3. ‘‘Signal analyzers’’ having a frequency
exceeding 90 GHz;
c.4. ‘‘Signal analyzers’’ having all of the
following:
c.4.a. ‘‘Real-time bandwidth’’ exceeding
170 MHz; and
c.4.b. Having any of the following:
c.4.b.1. 100% probability of discovery,
with less than a 3 dB reduction from full
amplitude due to gaps or windowing effects,
of signals having a duration of 15 ms or less;
or
c.4.b.2. A ‘‘frequency mask trigger’’
function, with 100% probability of trigger
(capture) for signals having a duration of 15
ms or less;
Technical Notes:
1. Probability of discovery in 3A002.c.4.b.1
is also referred to as probability of intercept
or probability of capture.
2. For the purposes of 3A002.c.4.b.1, the
duration for 100% probability of discovery is
equivalent to the minimum signal duration
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necessary for the specified level
measurement uncertainty.
Note: 3A002.c.4 does not apply to those
‘‘signal analyzers’’ using only constant
percentage bandwidth filters (also known as
octave or fractional octave filters).
c.5. [Reserved]
d. Signal generators having any of the
following:
d.1. Specified to generate pulse-modulated
signals having all of the following, anywhere
within the frequency range exceeding 31.8
GHz but not exceeding 37 GHz:
d.1.a. ‘Pulse duration’ of less than 25 ns;
and
d.1.b. On/off ratio equal to or exceeding 65
dB;
d.2. An output power exceeding 100 mW
(20 dBm) anywhere within the frequency
range exceeding 43.5 GHz but not exceeding
90 GHz;
d.3. A ‘‘frequency switching time’’ as
specified by any of the following:
d.3.a. [Reserved];
d.3.b. Less than 100 ms for any frequency
change exceeding 2.2 GHz within the
frequency range exceeding 4.8 GHz but not
exceeding 31.8 GHz;
d.3.c. [Reserved]
d.3.d. Less than 500 ms for any frequency
change exceeding 550 MHz within the
frequency range exceeding 31.8 GHz but not
exceeding 37 GHz; or
d.3.e. Less than 100 ms for any frequency
change exceeding 2.2 GHz within the
frequency range exceeding 37 GHz but not
exceeding 90 GHz;
d.3.f. [Reserved]
d.4. Single sideband (SSB) phase noise, in
dBc/Hz, specified as being any of the
following:
d.4.a. Less (better) than—(126 + 20 log10 F
¥ 20log10f) for anywhere within the range of
10 Hz ≤ F ≤ 10 kHz anywhere within the
frequency range exceeding 3.2 GHz but not
exceeding 90 GHz; or
d.4.b. Less (better) than—(206 ¥ 20log10f)
for anywhere within the range of 10 kHz <
F ≤ 100 kHz anywhere within the frequency
range exceeding 3.2 GHz but not exceeding
90 GHz; or
Technical Note: In 3A002.d.4, F is the
offset from the operating frequency in Hz and
f is the operating frequency in MHz.
d.5. A maximum frequency exceeding
90 GHz;
Note 1: For the purpose of 3A002.d, signal
generators include arbitrary waveform and
function generators.
Note 2: 3A002.d does not control
equipment in which the output frequency is
either produced by the addition or
subtraction of two or more crystal oscillator
frequencies, or by an addition or subtraction
followed by a multiplication of the result.
Technical Notes: 1. The maximum
frequency of an arbitrary waveform or
function generator is calculated by dividing
the sample rate, in samples/second, by a
factor of 2.5.
2. For the purposes of 3A002.d.1.a, ‘pulse
duration’ is defined as the time interval from
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the point on the leading edge that is 50% of
the pulse amplitude to the point on the
trailing edge that is 50% of the pulse
amplitude.
e. Network analyzers having any of the
following:
e.1. An output power exceeding 31.62 mW
(15 dBm) anywhere within the operating
frequency range exceeding 43.5 GHz but not
exceeding 90 GHz;
e.2. An output power exceeding 1 mW (0
dBm) anywhere within the operating
frequency range exceeding 90 GHz but not
exceeding 110 GHz;
e.3. ‘Nonlinear vector measurement
functionality’ at frequencies exceeding 50
GHz but not exceeding 110 GHz; or
mstockstill on DSK30JT082PROD with RULES2
Technical Note: ‘Nonlinear vector
measurement functionality’ is an
instrument’s ability to analyze the test results
of devices driven into the large-signal
domain or the non-linear distortion range.
e.4. A maximum operating frequency
exceeding 110 GHz;
f. Microwave test receivers having all of the
following:
f.1. Maximum operating frequency
exceeding 110 GHz; and
f.2. Being capable of measuring amplitude
and phase simultaneously;
g. Atomic frequency standards being any of
the following:
g.1. ‘‘Space-qualified’’;
g.2. Non-rubidium and having a long-term
stability less (better) than 1 × 10¥11/month; or
g.3. Non-‘‘space-qualified’’ and having all
of the following:
g.3.a. Being a rubidium standard;
g.3.b. Long-term stability less (better) than
1 × 10¥11/month; and
g.3.c. Total power consumption of less
than 1 Watt.
h. ‘‘Electronic assemblies,’’ modules or
equipment, specified to perform all of the
following:
h.1. Analog-to-digital conversions meeting
any of the following:
h.1.a. A resolution of 8 bit or more, but less
than 10 bit, with an input sample rate greater
than 1.3 billion samples per second;
h.1.b. A resolution of 10 bit or more, but
less than 12 bit, with an input sample rate
greater than 1.0 billion samples per second;
h.1.c. A resolution of 12 bit or more, but
less than 14 bit, with an input sample rate
greater than 1.0 billion samples per second;
h.1.d. A resolution of 14 bit or more but
less than 16 bit, with an input sample rate
greater than 400 million samples per second;
or
h.1.e. A resolution of 16 bit or more with
an input sample rate greater than 180 million
samples per second; and
h.2. Any of the following:
h.2.a. Output of digitized data;
h.2.b. Storage of digitized data; or
h.2.c. Processing of digitized data;
N.B.: Digital data recorders, oscilloscopes,
‘‘signal analyzers,’’ signal generators,
network analyzers and microwave test
receivers, are specified by 3A002.a.6,
3A002.a.7, 3A002.c, 3A002.d, 3A002.e and
3A002.f, respectively.
Technical Note: For multiple-channel
‘‘electronic assemblies’’ or modules, control
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status is determined by the highest singlechannel specified performance.
Note: 3A002.h includes ADC cards,
waveform digitizers, data acquisition cards,
signal acquisition boards and transient
recorders.
24. In Supplement No. 1 to part 774
(the Commerce Control List), Category 3,
ECCN 3A991 is revised to read as
follows:
■
3A991 Electronic devices, and
‘‘components’’ not controlled by 3A001.
License Requirements
Reason for Control: AT
Control(s)
AT applies to entire
entry.
Country chart
(See Supp. No. 1
to part 738)
AT Column 1
License Requirements Note: See § 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.
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items:
a. ‘‘Microprocessor microcircuits’’,
‘‘microcomputer microcircuits’’, and
microcontroller microcircuits having any of
the following:
a.1. A performance speed of 5 GFLOPS or
more and an arithmetic logic unit with an
access width of 32 bit or more;
a.2. A clock frequency rate exceeding 25
MHz; or
a.3. More than one data or instruction bus
or serial communication port that provides a
direct external interconnection between
parallel ‘‘microprocessor microcircuits’’ with
a transfer rate of 2.5 Mbyte/s.
b. Storage integrated circuits, as follows:
b.1. Electrical erasable programmable readonly memories (EEPROMs) with a storage
capacity;
b.1.a. Exceeding 16 Mbits per package for
flash memory types; or
b.1.b. Exceeding either of the following
limits for all other EEPROM types:
b.1.b.1. Exceeding 1 Mbit per package; or
b.1.b.2. Exceeding 256 kbit per package
and a maximum access time of less than 80
ns;
b.2. Static random access memories
(SRAMs) with a storage capacity:
b.2.a. Exceeding 1 Mbit per package; or
b.2.b. Exceeding 256 kbit per package and
a maximum access time of less than 25 ns;
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c. Analog-to-digital converters having any
of the following:
c.1. A resolution of 8 bit or more, but less
than 12 bit, with an output rate greater than
200 million words per second;
c.2. A resolution of 12 bit with an output
rate greater than 105 million words per
second;
c.3. A resolution of more than 12 bit but
equal to or less than 14 bit with an output
rate greater than 10 million words per
second; or
c.4. A resolution of more than 14 bit with
an output rate greater than 2.5 million words
per second.
d. Field programmable logic devices
having a maximum number of single-ended
digital input/outputs between 200 and 700;
e. Fast Fourier Transform (FFT) processors
having a rated execution time for a 1,024
point complex FFT of less than 1 ms.
f. Custom integrated circuits for which
either the function is unknown, or the
control status of the equipment in which the
integrated circuits will be used is unknown
to the manufacturer, having any of the
following:
f.1. More than 144 terminals; or
f.2. A typical ‘‘basic propagation delay
time’’ of less than 0.4 ns.
g. Traveling-wave ‘vacuum electronic
devices,’ pulsed or continuous wave, as
follows:
g.1. Coupled cavity devices, or derivatives
thereof;
g.2. Helix devices based on helix, folded
waveguide, or serpentine waveguide circuits,
or derivatives thereof, with any of the
following:
g.2.a. An ‘‘instantaneous bandwidth’’ of
half an octave or more; and
g.2.b. The product of the rated average
output power (expressed in kW) and the
maximum operating frequency (expressed in
GHz) of more than 0.2;
g.2.c. An ‘‘instantaneous bandwidth’’ of
less than half an octave; and
g.2.d. The product of the rated average
output power (expressed in kW) and the
maximum operating frequency (expressed in
GHz) of more than 0.4;
h. Flexible waveguides designed for use at
frequencies exceeding 40 GHz;
i. Surface acoustic wave and surface
skimming (shallow bulk) acoustic wave
devices (i.e., ‘‘signal processing’’ devices
employing elastic waves in materials), having
either of the following:
i.1. A carrier frequency exceeding 1 GHz;
or
i.2. A carrier frequency of 1 GHz or less;
and
i.2.a. A frequency side-lobe rejection
exceeding 55 Db;
i.2.b. A product of the maximum delay
time and bandwidth (time in microseconds
and bandwidth in MHz) of more than 100; or
i.2.c. A dispersive delay of more than 10
microseconds.
j. Cells as follows:
j.1. Primary cells having an energy density
of 550 Wh/kg or less at 293 K (20 °C);
j.2. Secondary cells having an energy
density of 300 Wh/kg or less at 293 K (20 °C).
Note : 3A991.j. does not control batteries,
including single cell batteries.
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Technical Notes: 1. For the purpose of
3A991.j energy density (Wh/kg) is calculated
from the nominal voltage multiplied by the
nominal capacity in ampere-hours divided by
the mass in kilograms. If the nominal
capacity is not stated, energy density is
calculated from the nominal voltage squared
then multiplied by the discharge duration in
hours divided by the discharge load in Ohms
and the mass in kilograms.
2. For the purpose of 3A991.j, a ‘cell’ is
defined as an electrochemical device, which
has positive and negative electrodes, and
electrolyte, and is a source of electrical
energy. It is the basic building block of a
battery.
3. For the purpose of 3A991.j.1, a ‘primary
cell’ is a ‘cell’ that is not designed to be
charged by any other source.
4. For the purpose of 3A991.j.2., a
‘secondary cell’ is a ‘cell’ that is designed to
be charged by an external electrical source.
k. ‘‘Superconductive’’ electromagnets or
solenoids ‘‘specially designed’’ to be fully
charged or discharged in less than one
minute, having all of the following:
Note: 3A991.k does not control
‘‘superconductive’’ electromagnets or
solenoids designed for Magnetic Resonance
Imaging (MRI) medical equipment.
mstockstill on DSK30JT082PROD with RULES2
k.1. Maximum energy delivered during the
discharge divided by the duration of the
discharge of more than 500 kJ per minute;
k.2. Inner diameter of the current carrying
windings of more than 250 mm; and
k.3. Rated for a magnetic induction of more
than 8T or ‘‘overall current density’’ in the
winding of more than 300 A/mm2.
l. Circuits or systems for electromagnetic
energy storage, containing ‘‘components’’
manufactured from ‘‘superconductive’’
materials ‘‘specially designed’’ for operation
at temperatures below the ‘‘critical
temperature’’ of at least one of their
‘‘superconductive’’ constituents, having all of
the following:
l.1. Resonant operating frequencies
exceeding 1 MHz;
l.2. A stored energy density of 1 MJ/M3 or
more; and
l.3. A discharge time of less than 1 ms;
m. Hydrogen/hydrogen-isotope thyratrons
of ceramic-metal construction and rate for a
peak current of 500 A or more;
n. Digital integrated circuits based on any
compound semiconductor having an
equivalent gate count of more than 300 (2
input gates).
o. Solar cells, cell-interconnect-coverglass
(CIC) assemblies, solar panels, and solar
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arrays, which are ‘‘space qualified’’ and not
controlled by 3A001.e.4.
25. In Supplement No. 1 to part 774
(the Commerce Control List), Category 3,
ECCN 3B001 is revised to read as
follows:
■
3B001 Equipment for the manufacturing of
semiconductor devices or materials, as
follows (see List of Items Controlled)
and ‘‘specially designed’’ ‘‘components’’
and ‘‘accessories’’ therefor.
License Requirements
Reason for Control: NS, AT
Control(s)
NS applies to entire
entry.
AT applies to entire
entry.
Country chart
(see Supp. No. 1
to part 738)
NS Column 2
AT Column 1
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
LVS: $500
GBS: Yes, except a.3 (molecular beam
epitaxial growth equipment using gas
sources), .e (automatic loading multichamber central wafer handling systems
only if connected to equipment controlled
by 3B001. a.3, or .f), and .f (lithography
equipment).
CIV: Yes for equipment controlled by
3B001.a.1 and a.2.
List of Items Controlled
Related Controls: See also 3B991.
Related Definitions: N/A
Items:
a. Equipment designed for epitaxial growth
as follows:
a.1. Equipment designed or modified to
produce a layer of any material other than
silicon with a thickness uniform to less than
±2.5% across a distance of 75 mm or more;
Note: 3B001.a.1 includes atomic layer
epitaxy (ALE) equipment.
a.2. Metal Organic Chemical Vapor
Deposition (MOCVD) reactors designed for
compound semiconductor epitaxial growth of
material having two or more of the following
elements: aluminum, gallium, indium,
arsenic, phosphorus, antimony, or nitrogen;
a.3. Molecular beam epitaxial growth
equipment using gas or solid sources;
b. Equipment designed for ion
implantation and having any of the
following:
b.1. [Reserved];
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b.2. Being designed and optimized to
operate at a beam energy of 20 keV or more
and a beam current of 10 mA or more for
hydrogen, deuterium, or helium implant;
b.3. Direct write capability;
b.4. A beam energy of 65 keV or more and
a beam current of 45 mA or more for high
energy oxygen implant into a heated
semiconductor material ‘‘substrate’’; or
b.5. Being designed and optimized to
operate at beam energy of 20keV or more and
a beam current of 10mA or more for silicon
implant into a semiconductor material
‘‘substrate’’ heated to 600 °C or greater;
c. [Reserved]
d. [Reserved]
e. Automatic loading multi-chamber
central wafer handling systems having all of
the following:
e.1. Interfaces for wafer input and output,
to which more than two functionally
different ‘semiconductor process tools’
controlled by 3B001.a.1, 3B001.a.2, 3B001.a.3
or 3B001.b are designed to be connected; and
e.2. Designed to form an integrated system
in a vacuum environment for ‘sequential
multiple wafer processing’;
Note: 3B001.e does not control automatic
robotic wafer handling systems ‘‘specially
designed’’ for parallel wafer processing.
Technical Notes:
1. For the purpose of 3B001.e,
‘semiconductor process tools’ refers to
modular tools that provide physical
processes for semiconductor production that
are functionally different, such as deposition,
implant or thermal processing.
2. For the purpose of 3B001.e, ‘sequential
multiple wafer processing’ means the
capability to process each wafer in different
‘semiconductor process tools’, such as by
transferring each wafer from one tool to a
second tool and on to a third tool with the
automatic loading multi-chamber central
wafer handling systems.
f. Lithography equipment as follows:
f.1. Align and expose step and repeat
(direct step on wafer) or step and scan
(scanner) equipment for wafer processing
using photo-optical or X-ray methods and
having any of the following:
f.1.a. A light source wavelength shorter
than 193 nm; or
f.1.b. Capable of producing a pattern with
a ‘‘Minimum Resolvable Feature size’’ (MRF)
of 45 nm or less;
Technical Note: The ‘Minimum Resolvable
Feature size’ (MRF) is calculated by the
following formula:
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Exceptions, and Validated End-User
authorizations
where the K factor = 0.35
f.2 Imprint lithography equipment capable
of production features of 45 nm or less;
Note: 3B001.f.2 includes:
— Micro contact printing tools
— Hot embossing tools
— Nano-imprint lithography tools
— Step and flash imprint lithography (S–
FIL) tools
f.3. Equipment ‘‘specially designed’’ for
mask making having all of the following:
f.3.a. A deflected focused electron beam,
ion beam or ‘‘laser’’ beam; and
f.3.b. Having any of the following:
f.3.b.1. A Full-Width Half-Maximum
(FWHM) spot size smaller than 65 nm and an
image placement less than 17 nm (mean + 3
sigma); or
f.3.b.2. [Reserved]
f.3.b.3. A second-layer overlay error of less
than 23 nm (mean + 3 sigma) on the mask;
f.4. Equipment designed for device
processing using direct writing methods,
having all of the following:
f.4.a. A deflected focused electron beam;
and
f.4.b. Having any of the following:
f.4.b.1. A minimum beam size equal to or
smaller than 15 nm; or
f.4.b.2. An overlay error less than 27 nm
(mean + 3 sigma);
g. Masks and reticles, designed for
integrated circuits controlled by 3A001;
h. Multi-layer masks with a phase shift
layer not specified by 3B001.g and having
any of the following:
h.1. Made on a mask ‘‘substrate blank’’
from glass specified as having less than 7
nm/cm birefringence; or
h.2. Designed to be used by lithography
equipment having a light source wavelength
less than 245 nm;
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
LVS: $3000
GBS: N/A
CIV: N/A
List of Items Controlled
Related Controls: This entry does not control
equipment or material whose functionality
has been unalterably disabled are not
controlled.
Related Definitions: N/A
Items:
a. Silicon (Si);
b. Germanium (Ge);
c. Silicon Carbide (SiC); or
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 GaN, InGaN, AlGaN,
InAlN, InAlGaN, GaP, GaAs, AlGaAs, InP,
InGaP, AlInP or InGaAlP, independent of the
sequence of the elements, except if the P-type
epitaxial layer is between N-type layers.
27. In Supplement No. 1 to part 774
(the Commerce Control List), Category 3,
ECCN 3E001 is revised to read as
follows:
■
3E001 ‘‘Technology’’ according to the
General Technology Note for the
‘‘development’’ or ‘‘production’’ of
equipment or materials 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, AT
Note: 3B001.h. does not control multi-layer
masks with a phase shift layer designed for
the fabrication of memory devices not
controlled by 3A001.
i. Imprint lithography templates designed
for integrated circuits by 3A001.
26. In Supplement No. 1 to part 774
(the Commerce Control List), Category 3,
ECCN 3C001 is revised to read as
follows:
■
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
mstockstill on DSK30JT082PROD with RULES2
Control(s)
NS applies to entire
entry.
AT applies to entire
entry.
Country chart
(See Supp. No. 1
to part 738)
NS Column 2
AT Column 1
Reporting Requirements
See § 743.1 of the EAR for reporting
requirements for exports under License
VerDate Sep<11>2014
20:53 Aug 14, 2017
Jkt 241001
Country chart
(See Supp. No. 1
to
part 738)
Control(s)
NS applies to ‘‘technology’’ for items controlled by 3A001,
3A002, 3A003,
3B001, 3B002, or
3C001 to 3C006.
MT applies to ‘‘technology’’ for equipment
controlled by 3A001
or 3A101 for MT reasons.
NP applies to ‘‘technology’’ for equipment
controlled by 3A001,
3A201, or 3A225 to
3A234 for NP reasons.
AT applies to entire
entry.
NS Column 1
MT Column 1
NP Column 1
AT Column 1
License Requirements Note: See § 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
PO 00000
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38793
‘‘technology’’ for the ‘‘production’’ or
‘‘development’’ of such microprocessors.
Reporting Requirements
See § 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)
CIV: Yes for ‘‘technology’’ for equipment in
3B001.c.
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, coverglassinterconnect-cells or covered-interconnectcells (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.12, having all of
the following:
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(a) Using ‘‘technology’’ at or above 0.130
mm; and
(b) Incorporating multi-layer structures
with three or fewer metal layers.
28. In Supplement No. 1 to part 774
(the Commerce Control List), Category 3,
ECCN 3E002 is revised to read as
follows:
■
3E002 ‘‘Technology’’ according to the
General Technology Note other than
that controlled in 3E001 for the
‘‘development’’ or ‘‘production’’ of a
‘‘microprocessor microcircuit,’’ ‘‘microcomputer microcircuit’’ and
microcontroller microcircuit core,
having an arithmetic logic unit with an
access width of 32 bits or more and any
of the following features or
characteristics (see List of Items
Controlled).
License Requirements
Reason for Control: NS, AT
Control(s)
NS applies to entire
entry.
AT applies to entire
entry.
Country chart
(See Supp. No. 1
to
part 738)
NS Column 1
AT Column 1
mstockstill on DSK30JT082PROD with RULES2
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
CIV: Yes, for deemed exports, as described in
§ 734.13(a)(2) of the EAR, of ‘‘technology’’
for the ‘‘development’’ or ‘‘production’’ of
general purpose microprocessor cores with
a vector processor unit with operand
length of 64-bit or less, 64-bit floating
operations not exceeding 50 GFLOPS, or
16-bit or more floating-point operations not
exceeding 50 GMACS (billions of 16-bit
fixed-point multiply-accumulate
operations per second). License Exception
CIV does not apply to ECCN 3E002
technology also required for the
development or production of items
controlled under ECCNs beginning with
3A, 3B, or 3C, or to ECCN 3E002
technology also controlled under ECCN
3E003.
TSR: Yes.
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items:
a. A ‘vector processor unit’ designed to
perform more than two calculations on
floating-point vectors (one dimensional
arrays of 32-bit or larger numbers)
simultaneously;
20:53 Aug 14, 2017
b. Designed to perform more than four 64bit or larger floating-point operation results
per cycle; or
c. Designed to perform more than eight 16bit fixed-point multiply-accumulate results
per cycle (e.g., digital manipulation of analog
information that has been previously
converted into digital form, also known as
digital ‘‘signal processing’’).
Note 1: 3E002 does not control
‘‘technology’’ for multimedia extensions.
Note 2: 3E002 does not control
‘‘technology’’ for microprocessor cores,
having all of the following:
a. Using ‘‘technology’’ at or above 0.130
mm; and
b. Incorporating multi-layer structures with
five or fewer metal layers.
Note 3: 3E002 includes ‘‘technology’’ for
the ‘‘development’’ or ‘‘production’’ of digital
signal processors and digital array
processors.
29. In Supplement No. 1 to part 774
(the Commerce Control List), Category 3,
ECCN 3E003 is revised to read as
follows:
■
License Requirements Note: See § 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.
VerDate Sep<11>2014
Technical Note: A ‘vector processor unit’ is
a processor element with built-in instructions
that perform multiple calculations on
floating-point vectors (one-dimensional
arrays of 32-bit or larger numbers)
simultaneously, having at least one vector
arithmetic logic unit and vector registers of
at least 32 elements each.
Jkt 241001
3E003 Other ‘‘technology’’ for the
‘‘development’’ or ‘‘production’’ of the
following (see List of Items Controlled).
License Requirements
Reason for Control: NS, AT
Control(s)
NS applies to entire
entry.
AT applies to entire
entry.
Country chart
(See Supp. No.1
to part 738)
NS Column 1
AT Column 1
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
CIV: N/A
TSR: Yes, except .f and .g
List of Items Controlled
Related Controls: See 3E001 for silicon-oninsulation (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
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bipolar transistors (HBT) operating at
frequencies lower than 31.8 GHz.
c. ‘‘Superconductive’’ electronic devices;
d. Substrates of films of diamond for
electronic components;
e. Substrates of silicon-on-insulator (SOI)
for integrated circuits in which the insulator
is silicon dioxide;
f. Substrates of silicon carbide for
electronic components;
g. ‘Vacuum electronic devices’ operating at
frequencies of 31.8 GHz or higher.
30. In Supplement No. 1 to part 774
(the Commerce Control List), Category 4,
ECCN 4A003 is revised to read as
follows:
■
4A003 ‘‘Digital computers,’’ ‘‘electronic
assemblies,’’ and related equipment
therefor, as follows (see List of Items
Controlled) and ‘‘specially designed’’
‘‘components’’ therefor.
License Requirements
Reason for Control: NS, CC, AT
Control(s)
NS applies to 4A003.b
and .c.
NS applies to 4A003.e
and .g.
CC applies to ‘‘digital
computers’’ for computerized finger-print
equipment.
AT applies to entire
entry (refer to 4A994
for controls on ‘‘digital
computers’’ with an
APP > 0.0128 but ≤
16 WT).
Country chart
(See Supp. No.1
to part 738)
NS Column 1
NS Column 2
CC Column 1
AT Column 1
Note: For all destinations, except those
countries in Country Group E:1 or E:2 of
Supplement No. 1 to part 740 of the EAR, no
license is required (NLR) for computers with
an ‘‘Adjusted Peak Performance’’ (‘‘APP’’) not
exceeding 16 Weighted TeraFLOPS (WT) and
for ‘‘electronic assemblies’’ described in
4A003.c that are not capable of exceeding an
‘‘Adjusted Peak Performance’’ (‘‘APP’’)
exceeding 16 Weighted TeraFLOPS (WT) in
aggregation, except certain transfers as set
forth in § 746.3 (Iraq).
Reporting Requirements
Special Post Shipment Verification reporting
and recordkeeping requirements for
exports of computers to destinations in
Computer Tier 3 may be found in § 743.2
of the EAR.
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
LVS: $5000; N/A for 4A003.b and .c.
GBS: Yes, for 4A003.g and ‘‘specially
designed’’ ‘‘parts’’ and ‘‘components’’
therefor, exported separately or as part of
a system.
APP: Yes, for computers controlled by
4A003.b, and ‘‘electronic assemblies’’
controlled by 4A003.c, to the exclusion of
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other technical parameters. See § 740.7 of
the EAR.
CIV: Yes, for 4A003.g.
buses) passive interconnection equipment,
‘‘network access controllers’’ or
‘‘communication channel controllers.’’
List of Items Controlled
Related Controls: See also 4A994 and 4A980
Related Definitions: N/A
Items:
■
Note 1: 4A003 includes the following:
—‘Vector processors’ (as defined in Note 7
of the ‘‘Technical Note on ‘‘Adjusted Peak
Performance’’ (‘‘APP’’)’’);
—Array processors;
—Digital signal processors;
—Logic processors;
—Equipment designed for ‘‘image
enhancement.’’
Note 2: The control status of the ‘‘digital
computers’’ and related equipment described
in 4A003 is determined by the control status
of other equipment or systems provided:
a. The ‘‘digital computers’’ or related
equipment are essential for the operation of
the other equipment or systems;
b. The ‘‘digital computers’’ or related
equipment are not a ‘‘principal element’’ of
the other equipment or systems; and
N.B. 1: The control status of ‘‘signal
processing’’ or ‘‘image enhancement’’
equipment ‘‘specially designed’’ for other
equipment with functions limited to those
required for the other equipment is
determined by the control status of the other
equipment even if it exceeds the ‘‘principal
element’’ criterion.
N.B. 2: For the control status of ‘‘digital
computers’’ or related equipment for
telecommunications equipment, see Category
5, Part 1 (Telecommunications).
c. The ‘‘technology’’ for the ‘‘digital
computers’’ and related equipment is
determined by 4E.
a. [Reserved]
b. ‘‘Digital computers’’ having an
‘‘Adjusted Peak Performance’’ (‘‘APP’’)
exceeding 16 weighted TeraFLOPS (WT);
c. ‘‘Electronic assemblies’’ ‘‘specially
designed’’ or modified to be capable of
enhancing performance by aggregation of
processors so that the ‘‘APP’’ of the
aggregation exceeds the limit in 4A003.b;
Note 1: 4A003.c applies only to ‘‘electronic
assemblies’’ and programmable
interconnections not exceeding the limit in
4A003.b when shipped as unintegrated
‘‘electronic assemblies.’’
mstockstill on DSK30JT082PROD with RULES2
Note 2: 4A003.c does not control
‘‘electronic assemblies’’ ‘‘specially designed’’
for a product or family of products whose
maximum configuration does not exceed the
limit of 4A003.b.
d. to f. [Reserved]
N.B.: For ‘‘electronic assemblies,’’ modules
or equipment, performing analog-to-digital
conversions, see 3A002.h.
g. Equipment ‘‘specially designed’’ for
aggregating the performance of ‘‘digital
computers’’ by providing external
interconnections which allow
communications at unidirectional data rates
exceeding 2.0 Gbyte/s per link.
Note: 4A003.g does not control internal
interconnection equipment (e.g., backplanes,
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Jkt 241001
31. In Supplement No. 1 to part 774
(the Commerce Control List), Category 4,
ECCN 4D001 is revised to read as
follows:
4D001 ‘‘Software’’ as follows (see List of
Items Controlled).
License Requirements
Reason for Control: NS, CC, AT
Control(s)
Country chart
(See Supp. No.1
to part 738)
NS applies to entire
NS Column 1
entry.
CC applies to ‘‘softCC Column 1
ware’’ for computerized finger-print equipment controlled by
4A003 for CC reasons.
AT applies to entire
AT Column 1
entry.
Reporting Requirements
See § 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)
CIV: N/A
TSR: Yes, except for ‘‘software’’ for the
‘‘development’’ or ‘‘production’’ of
commodities with an ‘‘Adjusted Peak
Performance’’ (‘‘APP’’) exceeding 16 WT.
APP: Yes to specific countries (see § 740.7 of
the EAR for eligibility criteria)
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 ECCN 4A001.a.2 or
for the ‘‘development’’ or ‘‘production’’ of
‘‘digital computers’’ having an ‘Adjusted
Peak Performance’ (‘APP’) exceeding 16
Weighted TeraFLOPS (WT) 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:
a. ‘‘Software’’ ‘‘specially designed’’ or
modified for the ‘‘development’’ or
‘‘production’’, of equipment or ‘‘software’’
controlled by 4A001, 4A003, 4A004, or 4D
(except 4D980, 4D993 or 4D994).
b. ‘‘Software’’, other than that controlled by
4D001.a, ‘‘specially designed’’ or modified
for the ‘‘development’’ or ‘‘production’’ of
equipment as follows:
b.1. ‘‘Digital computers’’ having an
‘‘Adjusted Peak Performance’’ (‘‘APP’’)
exceeding 8.0 Weighted TeraFLOPS (WT);
b.2. ‘‘Electronic assemblies’’ ‘‘specially
designed’’ or modified for enhancing
performance by aggregation of processors so
PO 00000
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Fmt 4701
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38795
that the ‘‘APP’’ of the aggregation exceeds the
limit in 4D001.b.1.
32. In Supplement No. 1 to part 774
(the Commerce Control List), Category 4,
ECCN 4D993 is revised to read as
follows:
■
4D993 ‘‘Program’’ proof and validation
‘‘software,’’ ‘‘software’’ allowing the
automatic generation of ‘‘source codes,’’
and operating system ‘‘software’’ that
are ‘‘specially designed’’ for ‘‘real-time
processing’’ equipment (see List of Items
Controlled).
License Requirements
Reason for Control: AT
Control(s)
AT applies to entire
entry.
Country chart
(see Supp. No. 1
to part 738)
AT Column 1
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
CIV: N/A
TSR: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: ‘‘Global interrupt latency
time’’ is the time taken by the computer
system to recognize an interrupt due to the
event, service the interrupt and perform a
context switch to an alternate memoryresident task waiting on the interrupt.
Items:
a. ‘‘Program’’ proof and validation
‘‘software’’ using mathematical and
analytical techniques and designed or
modified for ‘‘programs’’ having more than
500,000 ‘‘source code’’ instructions;
b. ‘‘Software’’ allowing the automatic
generation of ‘‘source codes’’ from data
acquired online from external sensors
described in the Commerce Control List; or
c. Operating system ‘‘software’’ ‘‘specially
designed’’ for ‘‘real-time processing’’
equipment that guarantees a ‘‘global interrupt
latency time’’ of less than 20 microseconds.
33. In Supplement No. 1 to part 774
(the Commerce Control List), Category 4,
ECCN 4E001 is revised to read as
follows:
■
4E001 ‘‘Technology’’ as follows (see List of
Items Controlled).
License Requirements
Reason for Control: NS, MT, CC, AT
Control(s)
NS applies to entire
entry.
MT applies to ‘‘technology’’ for items controlled by 4A001.a
and 4A101 for MT
reasons.
E:\FR\FM\15AUR2.SGM
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Country chart
(see Supp. No. 1
to part 738)
NS Column 1
MT Column 1
38796
Federal Register / Vol. 82, No. 156 / Tuesday, August 15, 2017 / Rules and Regulations
Control(s)
Country chart
(see Supp. No. 1
to part 738)
CC applies to ‘‘softCC Column 1
ware’’ for computerized finger-print equipment controlled by
4A003 for CC reasons.
AT applies to entire
AT Column 1
entry.
Reporting Requirements
See § 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)
CIV: N/A
TSR: Yes, except for ‘‘technology’’ for the
‘‘development’’ or ‘‘production’’ of
commodities with an ‘‘Adjusted Peak
Performance’’ (‘‘APP’’) exceeding 16 WT.
APP: Yes to specific countries (see § 740.7 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 16 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).
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 8.0 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.
34. In Supplement No. 1 to part 774
(the Commerce Control List), Category
5—Part 1, ECCN 5A001 is revised to
read as follows:
■
5A001 Telecommunications systems,
equipment, ‘‘components’’ and
‘‘accessories,’’ as follows (see List of
Items Controlled).
License Requirements
Reason for Control: NS, SL, AT
Control(s)
Country chart
(see Supp. No. 1 to part 738)
NS applies to 5A001.a, .e, .b.5, f.3 and .h ...............................................
NS applies to 5A001.b (except .b.5), .c, .d, .f (except f.3), and .g ..........
SL applies to 5A001.f.1 ............................................................................
NS Column 1
NS Column 2
A license is required for all destinations, as specified in § 742.13 of the
EAR. Accordingly, a column specific to this control does not appear
on the Commerce Country Chart (Supplement No. 1 to Part 738 of
the EAR)
Note to SL paragraph: This licensing requirement does not supersede, nor does it implement, construe or limit the scope of any criminal statute, including, but not limited to the Omnibus Safe Streets
Act of 1968, as amended
AT Column 1
AT applies to entire entry .........................................................................
Reporting Requirements
See § 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)
LVS: N/A for 5A001.a, b.5, .e, f.3 and .h;
$5000 for 5A001.b.1, .b.2, .b.3, .b.6, .d, f.2,
f.4, and .g; $3000 for 5A001.c.
GBS: Yes, except 5A001.a, b.5, e, and h.
CIV: Yes, except 5A001.a, b.3, b.5, e, and h.
mstockstill on DSK30JT082PROD with RULES2
Special Conditions for STA
STA: License Exception STA may not be
used to ship any commodity in 5A001.b.3,
.b.5 or .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) See USML Category XI
for controls on direction-finding
‘‘equipment’’ including types of
‘‘equipment’’ in ECCN 5A001.e and any
other military or intelligence electronic
‘‘equipment’’ that is ‘‘subject to the ITAR.’’
(2) See USML Category XI(a)(4)(iii) for
controls on electronic attack and jamming
‘‘equipment’’ defined in 5A001.f and .h
that are subject to the ITAR. (3) See also
ECCNs 5A101, 5A980, and 5A991.
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20:53 Aug 14, 2017
Jkt 241001
Related Definitions: N/A
Items:
a. Any type of telecommunications
equipment having any of the following
characteristics, functions or features:
a.1. ‘‘Specially designed’’ to withstand
transitory electronic effects or
electromagnetic pulse effects, both arising
from a nuclear explosion;
a.2. Specially hardened to withstand
gamma, neutron or ion radiation; or
a.3. ‘‘Specially designed’’ to operate
outside the temperature range from 218 K
(¥55 °C) to 397 K (124 °C).
Note: 5A001.a.3 applies only to electronic
equipment.
b. Telecommunication systems and
equipment, and ‘‘specially designed’’
‘‘components’’ and ‘‘accessories’’ therefor,
having any of the following characteristics,
functions or features:
b.1 Being underwater untethered
communications systems having any of the
following:
b.1.a. An acoustic carrier frequency outside
the range from 20 kHz to 60 kHz;
b.1.b. Using an electromagnetic carrier
frequency below 30 kHz; or
b.1.c. Using electronic beam steering
techniques; or
b.1.d. Using ‘‘lasers’’ or light-emitting
diodes (LEDs), with an output wavelength
PO 00000
Frm 00034
Fmt 4701
Sfmt 4700
greater than 400 nm and less than 700 nm,
in a ‘‘local area network’’;
b.2. Being radio equipment operating in the
1.5 MHz to 87.5 MHz band and having all of
the following:
b.2.a. Automatically predicting and
selecting frequencies and ‘‘total digital
transfer rates’’ per channel to optimize the
transmission; and
b.2.b. Incorporating a linear power
amplifier configuration having a capability to
support multiple signals simultaneously at
an output power of 1 kW or more in the
frequency range of 1.5 MHz or more but less
than 30 MHz, or 250 W or more in the
frequency range of 30 MHz or more but not
exceeding 87.5 MHz, over an ‘‘instantaneous
bandwidth’’ of one octave or more and with
an output harmonic and distortion content of
better than ¥80 dB;
b.3. Being radio equipment employing
‘‘spread spectrum’’ techniques, including
‘‘frequency hopping’’ techniques, not
controlled in 5A001.b.4 and having any of
the following:
b.3.a. User programmable spreading codes;
or
b.3.b. A total transmitted bandwidth which
is 100 or more times the bandwidth of any
one information channel and in excess of 50
kHz;
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Federal Register / Vol. 82, No. 156 / Tuesday, August 15, 2017 / Rules and Regulations
Note: 5A001.b.3.b does not control radio
equipment ‘‘specially designed’’ for use with
any of the following:
a. Civil cellular radio-communications
systems; or
b. Fixed or mobile satellite Earth stations
for commercial civil telecommunications.
Note: 5A001.b.3 does not control
equipment operating at an output power of
1 W or less.
b.4 Being radio equipment employing
ultra-wideband modulation techniques,
having user programmable channelizing
codes, scrambling codes, or network
identification codes and having any of the
following:
b.4.a. A bandwidth exceeding 500 MHz; or
b.4.b. A ‘‘fractional bandwidth’’ of 20% or
more;
b.5. Being digitally controlled radio
receivers having all of the following:
b.5.a. More than 1,000 channels;
b.5.b. A ‘channel switching time’ of less
than 1 ms;
b.5.c. Automatic searching or scanning of
a part of the electromagnetic spectrum; and
b.5.d. Identification of the received signals
or the type of transmitter; or
Note: 5A001.b.5 does not control radio
equipment ‘‘specially designed’’ for use with
civil cellular radio-communications systems.
Technical Note: ‘Channel switching time’:
the time (i.e., delay) to change from one
receiving frequency to another, to arrive at or
within ±0.05% of the final specified
receiving frequency. Items having a specified
frequency range of less than ±0.05% around
their center frequency are defined to be
incapable of channel frequency switching.
b.6. Employing functions of digital ‘‘signal
processing’’ to provide ‘voice coding’ output
at rates of less than 700 bit/s.
Technical Notes:
1. For variable rate ‘voice coding’,
5A001.b.6 applies to the ‘voice coding’
output of continuous speech.
2. For the purpose of 5A001.b.6, ‘voice
coding’ is defined as the technique to take
samples of human voice and then convert
these samples of human voice into a digital
signal taking into account specific
characteristics of human speech.
mstockstill on DSK30JT082PROD with RULES2
c. Optical fibers of more than 500 m in
length and specified by the manufacturer as
being capable of withstanding a ‘proof test’
tensile stress of 2 × 109 N/m2 or more;
N.B.: For underwater umbilical cables, see
8A002.a.3.
Technical Note: ‘Proof Test’: On-line or offline production screen testing that
dynamically applies a prescribed tensile
stress over a 0.5 to 3 m length of fiber at a
running rate of 2 to 5 m/s while passing
between capstans approximately 150 mm in
diameter. The ambient temperature is a
nominal 293 K (20 °C) and relative humidity
40%. Equivalent national standards may be
used for executing the proof test.
d. ‘‘Electronically steerable phased array
antennas’’ as follows:
d.1. Rated for operation above 31.8 GHz,
but not exceeding 57 GHz, and having an
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Jkt 241001
Effective Radiated Power (ERP) equal to or
greater than +20 dBm (22.15 dBm Effective
Isotropic Radiated Power (EIRP));
d.2. Rated for operation above 57 GHz, but
not exceeding 66 GHz, and having an ERP
equal to or greater than +24 dBm (26.15 dBm
EIRP);
d.3. Rated for operation above 66 GHz, but
not exceeding 90 GHz, and having an ERP
equal to or greater than +20 dBm (22.15 dBm
EIRP);
d.4. Rated for operation above 90 GHz;
Note: 5A001.d does not control
‘‘electronically steerable phased array
antennas’’ for landing systems with
instruments meeting ICAO standards
covering Microwave Landing Systems (MLS).
e. Radio direction finding equipment
operating at frequencies above 30 MHz and
having all of the following, and ‘‘specially
designed’’ ‘‘components’’ therefor:
e.1. ‘‘Instantaneous bandwidth’’ of 10 MHz
or more; and
e.2. Capable of finding a Line Of Bearing
(LOB) to non-cooperating radio transmitters
with a signal duration of less than 1 ms;
f. Mobile telecommunications interception
or jamming equipment, and monitoring
equipment therefor, as follows, and
‘‘specially designed’’ ‘‘components’’ therefor:
f.1. Interception equipment designed for
the extraction of voice or data, transmitted
over the air interface;
f.2. Interception equipment not specified in
5A001.f.1, designed for the extraction of
client device or subscriber identifiers (e.g.,
IMSI, TIMSI or IMEI), signaling, or other
metadata transmitted over the air interface;
f.3. Jamming equipment ‘‘specially
designed’’ or modified to intentionally and
selectively interfere with, deny, inhibit,
degrade or seduce mobile telecommunication
services and performing any of the following:
f.3.a. Simulate the functions of Radio
Access Network (RAN) equipment;
f.3.b. Detect and exploit specific
characteristics of the mobile
telecommunications protocol employed (e.g.,
GSM); or
f.3.c. Exploit specific characteristics of the
mobile telecommunications protocol
employed (e.g., GSM);
f.4. Radio Frequency (RF) monitoring
equipment designed or modified to identify
the operation of items specified in 5A001.f.1,
5A001.f.2 or 5A001.f.3.
Note: 5A001.f.1 and 5A001.f.2 do not apply
to any of the following:
a. Equipment ‘‘specially designed’’ for the
interception of analog Private Mobile Radio
(PMR), IEEE 802.11 WLAN;
b. Equipment designed for mobile
telecommunications network operators; or
c. Equipment designed for the
‘‘development’’ or ‘‘production’’ of mobile
telecommunications equipment or systems.
N.B. 1: See also the International Traffic in
Arms Regulations (ITAR) (22 CFR parts 120–
130). For items specified by 5A001.f.1
(including as previously specified by
5A001.i), see also5A980 and the U.S.
Munitions List (22 CFR part 121).
N.B. 2: For radio receivers see 5A001.b.5.
g. Passive Coherent Location (PCL) systems
or equipment, ‘‘specially designed’’ for
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38797
detecting and tracking moving objects by
measuring reflections of ambient radio
frequency emissions, supplied by non-radar
transmitters.
Technical Note: Non-radar transmitters
may include commercial radio, television or
cellular telecommunications base stations.
Note: 5A001.g. does not control:
a. Radio-astronomical equipment; or
b. Systems or equipment, that require any
radio transmission from the target.
h. Counter Improvised Explosive Device
(IED) equipment and related equipment, as
follows:
h.1. Radio Frequency (RF) transmitting
equipment, not specified by 5A001.f,
designed or modified for prematurely
activating or preventing the initiation of
Improvised Explosive Devices (IEDs);
h.2. Equipment using techniques designed
to enable radio communications in the same
frequency channels on which co-located
equipment specified by 5A001.h.1 is
transmitting.
N.B.: See also Category XI of the
International Traffic in Arms Regulations
(ITAR) (22 CFR parts 120–130).
i. [Reserved]
N.B.: See 5A001.f.1 for items previously
specified by 5A001.i.
35. In Supplement No. 1 to part 774
(the Commerce Control List), Category
5—Part 1, ECCN 5B001 is revised to
read as follows:
■
5B001 Telecommunication test, inspection
and production equipment,
‘‘components’’ and ‘‘accessories,’’ as
follows (See List of Items Controlled).
License Requirements
Reason for Control: NS, AT
Control(s)
NS applies to entire
entry.
AT applies to entire
entry.
Country chart
(see Supp. No. 1
to part 738)
NS Column 2
AT Column 1
Reporting Requirements
See § 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)
LVS: $5000
GBS: Yes
CIV: Yes
Special Conditions for STA
STA: License Exception STA may not be
used to ship 5B001.a equipment and
‘‘specially designed’’ ‘‘components’’ or
‘‘accessories’’ therefor, ‘‘specially
designed’’ for the ‘‘development,’’ or
‘‘production’’ of equipment, functions or
features specified by in ECCN 5A001.b.3,
.b.5 or .h to any of the destinations listed
in Country Group A:6 (See Supplement No.
1 to part 740 of the EAR).
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Federal Register / Vol. 82, No. 156 / Tuesday, August 15, 2017 / Rules and Regulations
List of Items Controlled
Related Controls: See also 5B991.
Related Definition: N/A
Items:
a. Equipment and ‘‘specially designed’’
‘‘components’’ or ‘‘accessories’’ therefor,
‘‘specially designed’’ for the ‘‘development’’
or ‘‘production’’ of equipment, functions or
features, controlled by 5A001;
Note: 5B001.a does not apply to optical
fiber characterization equipment.
b. Equipment and ‘‘specially designed’’
‘‘components’’ or ‘‘accessories’’ therefor,
b.3. [Reserved]
b.4. Radio equipment employing
Quadrature-Amplitude-Modulation (QAM)
techniques above level 1,024.
‘‘specially designed’’ for the ‘‘development’’
of any of the following telecommunication
transmission or switching equipment:
b.1. [Reserved]
b.2. Equipment employing a ‘‘laser’’ and
having any of the following:
b.2.a. A transmission wavelength
exceeding 1750 nm; or
b.2.b. [Reserved]
b.2.c. [Reserved]
b.2.d. Employing analog techniques and
having a bandwidth exceeding 2.5 GHz; or
Note: 5B001.b.2.d. does not include
equipment ‘‘specially designed’’ for the
‘‘development’’ of commercial TV systems.
36. In Supplement No. 1 to part 774
(the Commerce Control List), Category
5—Part 1, ECCN 5E001 is revised to
read as follows:
■
5E001 ‘‘Technology’’ as follows (see
List of Items Controlled).
License Requirements
Reason for Control: NS, SL, AT
Control(s)
Country chart
(see Supp. No.1 to part 738)
NS applies to entire entry .........................................................................
SL applies to ‘‘technology’’ for the ‘‘development’’ or ‘‘production’’ of
equipment, functions or features controlled by 5A001.f.1, or for the
‘‘development’’ or ‘‘production’’ of ‘‘software’’ controlled by ECCN
5D001.a (for 5A001.f.1).
NS Column 1
A license is required for all destinations, as specified in § 742.13 of the
EAR. Accordingly, a column specific to this control does not appear
on the Commerce Country Chart (Supplement No. 1 to Part 738 of
the EAR)
Note to SL paragraph: This licensing requirement does not supersede, nor does it implement, construe or limit the scope of any criminal statute, including, but not limited to the Omnibus Safe Streets
Act of 1968, as amended
AT Column 1
AT applies to entire entry .........................................................................
Reporting Requirements
See § 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)
CIV: N/A
TSR: Yes, except for exports or reexports to
destinations outside of those countries
listed in Country Group A:5 (See
Supplement No. 1 to part 740 of the EAR)
of ‘‘technology’’ controlled by 5E001.a for
the ‘‘development’’ or ‘‘production’’ of the
following:
(1) Items controlled by 5A001.b.5 or 5A001.h;
or
(2) ‘‘Software’’ controlled by 5D001.a that is
‘‘specially designed’’ for the
‘‘development’’ or ‘‘production’’ of
equipment, functions or features controlled
by 5A001.b.5 or 5A001.h.
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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, functions or features specified
by 5A001.b.3, .b.5 or .h; or for ‘‘software’’
in 5D001.a that is specified in the STA
paragraph in the License Exception section
of ECCN 5D001 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) See also 5E101, 5E980
and 5E991. (2) ‘‘Technology’’ for
‘‘development’’ or ‘‘production’’ of
‘‘Monolithic Microwave Integrated Circuit’’
(‘‘MMIC’’) amplifiers that meet the control
criteria given at 3A001.b.2 is controlled in
3E001; 5E001.d refers only to that
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additional ‘‘technology’’ ‘‘required’’ for
telecommunications.
Related Definitions: N/A
Items:
a. ‘‘Technology’’ according to the General
Technology Note for the ‘‘development’’,
‘‘production’’ or ‘‘use’’ (excluding operation)
of equipment, functions or features,
controlled by 5A001 or ‘‘software’’ controlled
by 5D001.a..
b. Specific ‘‘technology’’, as follows:
b.1. ‘‘Technology’’ ‘‘required’’ for the
‘‘development’’ or ‘‘production’’ of
telecommunications equipment ‘‘specially
designed’’ to be used on board satellites;
b.2. ‘‘Technology’’ for the ‘‘development’’
or ‘‘use’’ of ‘‘laser’’ communication
techniques with the capability of
automatically acquiring and tracking signals
and maintaining communications through
exoatmosphere or sub-surface (water) media;
b.3. ‘‘Technology’’ for the ‘‘development’’
of digital cellular radio base station receiving
equipment whose reception capabilities that
allow multi-band, multi-channel, multimode, multi-coding algorithm or multiprotocol operation can be modified by
changes in ‘‘software’’;
b.4. ‘‘Technology’’ for the ‘‘development’’
of ‘‘spread spectrum’’ techniques, including
‘‘frequency hopping’’ techniques.
Note: 5E001.b.4 does not apply to
‘‘technology’’ for the ‘‘development’’ of any
of the following:
a. Civil cellular radio-communications
systems; or
b. Fixed or mobile satellite Earth stations
for commercial civil telecommunications.
c. ‘‘Technology’’ according the General
Technology Note for the ‘‘development’’ or
‘‘production’’ of any of the following:
c.1. [Reserved]
c.2. Equipment employing a ‘‘laser’’ and
having any of the following:
PO 00000
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c.2.a. A transmission wavelength
exceeding 1,750 nm;
c.2.b. [Reserved]
c.2.c. [Reserved]
c.2.d. Employing wavelength division
multiplexing techniques of optical carriers at
less than 100 GHz spacing; or
c.2.e. Employing analog techniques and
having a bandwidth exceeding 2.5 GHz;
Note: 5E001.c.2.e does not control
‘‘technology’’ for commercial TV systems.
N.B.: For ‘‘technology’’ for the
‘‘development’’ or ‘‘production’’ of nontelecommunications equipment employing a
‘‘laser’’, see Product Group E of Category 6,
e.g., 6E00x
c.3. Equipment employing ‘‘optical
switching’’ and having a switching time less
than 1 ms; or
c.4. Radio equipment having any of the
following:
c.4.a. Quadrature-Amplitude-Modulation
(QAM) techniques above level 1,024; or
c.4.b. Operating at input or output
frequencies exceeding 31.8 GHz; or
Note: 5E001.c.4.b does not control
‘‘technology’’ for equipment designed or
modified for operation in any frequency band
which is ‘‘allocated by the ITU’’ for radiocommunications services, but not for radiodetermination.
c.4.c. Operating in the 1.5 MHz to 87.5
MHz band and incorporating adaptive
techniques providing more than 15 dB
suppression of an interfering signal; or
c.5. [Reserved]
c.6. Mobile equipment having all of the
following:
c.6.a. Operating at an optical wavelength
greater than or equal to 200nm and less than
or equal to 400nm; and
c.6.b. Operating as a ‘‘local area network’’;
d. ‘‘Technology’’ according to the General
Technology Note for the ‘‘development’’ or
‘‘production’’ of ‘‘Monolithic Microwave
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Integrated Circuit’’ (‘‘MMIC’’) amplifiers
‘‘specially designed’’ for telecommunications
and that are any of the following:
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Technical Note: For purposes of 5E001.d,
the parameter peak saturated power output
may also be referred to on product data
sheets as output power, saturated power
output, maximum power output, peak power
output, or peak envelope power output.
d.1. Rated for operation at frequencies
exceeding 2.7 GHz up to and including 6.8
GHz with a ‘‘fractional bandwidth’’ greater
than 15%, and having any of the following:
d.1.a. A peak saturated power output
greater than 75 W (48.75 dBm) at any
frequency exceeding 2.7 GHz up to and
including 2.9 GHz;
d.1.b. A peak saturated power output
greater than 55 W (47.4 dBm) at any
frequency exceeding 2.9 GHz up to and
including 3.2 GHz;
d.1.c. A peak saturated power output
greater than 40 W (46 dBm) at any frequency
exceeding 3.2 GHz up to and including 3.7
GHz; or
d.1.d. A peak saturated power output
greater than 20 W (43 dBm) at any frequency
exceeding 3.7 GHz up to and including 6.8
GHz;
d.2. Rated for operation at frequencies
exceeding 6.8 GHz up to and including 16
GHz with a ‘‘fractional bandwidth’’ greater
than 10%, and having any of the following:
d.2.a. A peak saturated power output
greater than 10W (40 dBm) at any frequency
exceeding 6.8 GHz up to and including 8.5
GHz; or
d.2.b. A peak saturated power output
greater than 5W (37 dBm) at any frequency
exceeding 8.5 GHz up to and including 16
GHz;
d.3. Rated for operation with a peak
saturated power output greater than 3 W
(34.77 dBm) at any frequency exceeding 16
GHz up to and including 31.8 GHz, and with
a ‘‘fractional bandwidth’’ of greater than
10%;
d.4. Rated for operation with a peak
saturated power output greater than 0.1n W
(¥70 dBm) at any frequency exceeding 31.8
GHz up to and including 37 GHz;
d.5. Rated for operation with a peak
saturated power output greater than 1 W (30
dBm) at any frequency exceeding 37 GHz up
to and including 43.5 GHz, and with a
‘‘fractional bandwidth’’ of greater than 10%;
d.6. Rated for operation with a peak
saturated power output greater than 31.62
mW (15 dBm) at any frequency exceeding
43.5 GHz up to and including 75 GHz, and
with a ‘‘fractional bandwidth’’ of greater than
10%;
d.7. Rated for operation with a peak
saturated power output greater than 10 mW
(10 dBm) at any frequency exceeding 75 GHz
up to and including 90 GHz, and with a
‘‘fractional bandwidth’’ of greater than 5%; or
d.8. Rated for operation with a peak
saturated power output greater than 0.1 nW
(¥70 dBm) at any frequency exceeding 90
GHz;
e. ‘‘Technology’’ according to the General
Technology Note for the ‘‘development’’ or
‘‘production’’ of electronic devices and
circuits, ‘‘specially designed’’ for
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telecommunications and containing
‘‘components’’ manufactured from
‘‘superconductive’’ materials, ‘‘specially
designed’’ for operation at temperatures
below the ‘‘critical temperature’’ of at least
one of the ‘‘superconductive’’ constituents
and having any of the following:
e.1. Current switching for digital circuits
using ‘‘superconductive’’ gates with a
product of delay time per gate (in seconds)
and power dissipation per gate (in watts) of
less than 10¥14 J; or
e.2. Frequency selection at all frequencies
using resonant circuits with Q-values
exceeding 10,000.
37. In Supplement No. 1 to part 774
(the Commerce Control List),
Category5—Part 2 is amended by
revising the Notes at the beginning of
Part 2 to read as follows:
■
Part 2—Information Security
Note 1: [Reserved]
Note 2: Category 5—Part 2, ‘‘information
security’’ products, when accompanying
their user for the user’s personal use or as
tools of trade, are eligible for License
Exceptions TMP or BAG, subject to the terms
and conditions of these license exceptions.
Note 3: Cryptography Note: ECCNs 5A002,
5D002.a.1, .b, and .c.1, do not control items
as follows:
a. Items meeting all of the following:
1. Generally available to the public by
being sold, without restriction, from stock at
retail selling points by means of any of the
following:
a. Over-the-counter transactions;
b. Mail order transactions;
c. Electronic transactions; or
d. Telephone call transactions;
2. The cryptographic functionality cannot
be easily changed by the user;
3. Designed for installation by the user
without further substantial support by the
supplier; and
4. When necessary, details of the items are
accessible and will be provided, upon
request, to the appropriate authority in the
exporter’s country in order to ascertain
compliance with conditions described in
paragraphs a.1 through a.3 of this Note;
b. Hardware components or ‘executable
software’, of existing items described in
paragraph a. of this Note, that have been
designed for these existing items, and
meeting all of the following:
1. ‘‘Information security’’ is not the
primary function or set of functions of the
component or ‘executable software’;
2. The component or ‘executable software’
does not change any cryptographic
functionality of the existing items, or add
new cryptographic functionality to the
existing items;
3. The feature set of the component or
‘executable software’ is fixed and is not
designed or modified to customer
specification; and
4. When necessary, as determined by the
appropriate authority in the exporter’s
country, details of the component or
‘executable software’, and details of relevant
end-items are accessible and will be provided
PO 00000
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38799
to the authority upon request, in order to
ascertain compliance with conditions
described above.
Technical Note: For the purpose of the
Cryptography Note, ‘executable software’
means ‘‘software’’ in executable form, from
an existing hardware component excluded
from 5A002, by the Cryptography Note.
Note: ‘Executable software’ does not
include complete binary images of the
‘‘software’’ running on an end-item.
Note to the Cryptography Note:
1. To meet paragraph a. of Note 3, all of
the following must apply:
a. The item is of potential interest to a wide
range of individuals and businesses; and
b. The price and information about the
main functionality of the item are available
before purchase without the need to consult
the vendor or supplier. A simple price
inquiry is not considered to be a
consultation.
2. In determining eligibility of paragraph a.
of Note 3, BIS may take into account relevant
factors such as quantity, price, required
technical skill, existing sales channels,
typical customers, typical use or any
exclusionary practices of the supplier.
N.B. to Note 3 (Cryptography Note): You
must submit a classification request or selfclassification report to BIS for mass market
encryption commodities and software
eligible for the Cryptography Note employing
a key length greater than 64 bits for the
symmetric algorithm (or, for commodities
and software not implementing any
symmetric algorithms, employing a key
length greater than 768 bits for asymmetric
algorithms or greater than 128 bits for elliptic
curve algorithms) in accordance with the
requirements of § 740.17(b) of the EAR in
order to be released from the ‘‘EI’’ and ‘‘NS’’
controls of ECCN 5A002 or 5D002.
38. In Supplement No. 1 to part 774
(the Commerce Control List), Category
5—Part 2, ECCN 5A002 is revised to
read as follows:
■
5A002 ‘‘Information security’’ systems,
equipment and ‘‘components,’’ as
follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, AT, EI
Control(s)
NS applies to entire
entry.
AT applies to entire
entry.
EI applies to entire entry
Country chart
(See Supp. No. 1
to part 738)
NS Column 1
AT Column 1
Refer to § 742.15
of the EAR
License Requirements Note: See § 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
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Federal Register / Vol. 82, No. 156 / Tuesday, August 15, 2017 / Rules and Regulations
‘‘technology’’ for the ‘‘production’’ or
‘‘development’’ of such microprocessors.
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
LVS: Yes: $500 for ‘‘components’’. N/A for
systems and equipment.
GBS: N/A
CIV: N/A
ENC: Yes for certain EI controlled
commodities, see § 740.17 of the EAR for
eligibility.
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List of Items Controlled
Related Controls: (1) ECCN 5A002.a controls
‘‘components’’ providing the means or
functions necessary for ‘‘information
security.’’ All such ‘‘components’’ are
presumptively ‘‘specially designed’’ and
controlled by 5A002.a. (2) See USML
Categories XI (including XI(b)) and XIII(b)
(including XIII(b)(2)) for controls on
systems, equipment, and components
described in 5A002.d or .e that are subject
to the ITAR. (3) For Global Navigation
Satellite Systems (GNSS) receiving
equipment containing or employing
decryption see 7A005, and for related
decryption ‘‘software’’ and ‘‘technology’’
see 7D005 and 7E001. (4) Noting that items
may be controlled elsewhere on the CCL,
examples of items not controlled by ECCN
5A002.a.4 include the following: (a) An
automobile where the only ‘cryptography
for data confidentiality’ ‘in excess of 56
bits of symmetric key length, or equivalent’
is performed by a Category 5—Part 2 Note
3 eligible mobile telephone that is built
into the car. In this case, secure phone
communications support a non-primary
function of the automobile but the mobile
telephone (equipment), as a standalone
item, is not controlled by ECCN 5A002
because it is excluded by the Cryptography
Note (Note 3) (See ECCN 5A992.c). (b) An
exercise bike with an embedded Category
5—Part 2 Note 3 eligible web browser,
where the only controlled cryptography is
performed by the web browser. In this case,
secure web browsing supports a nonprimary function of the exercise bike but
the web browser (‘‘software’’), as a
standalone item, is not controlled by ECCN
5D002 because it is excluded by the
Cryptography Note (Note 3) (See ECCN
5D992.c). (5) After classification or selfclassification in accordance with
§ 740.17(b) of the EAR, mass market
encryption commodities that meet
eligibility requirements are released from
‘‘EI’’ and ‘‘NS’’ controls. These
commodities are designated 5A992.c.
Related Definitions: N/A
Items:
a. Designed or modified to use
‘cryptography for data confidentiality’ having
‘in excess of 56 bits of symmetric key length,
or equivalent’, where that cryptographic
capability is usable without ‘‘cryptographic
activation’’ or has been activated, as follows:
a.1. Items having ‘‘information security’’ as
a primary function;
a.2. Digital communication or networking
systems, equipment or components, not
specified in paragraph 5A002.a.1;
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a.3. Computers, other items having
information storage or processing as a
primary function, and components therefor,
not specified in paragraphs 5A002.a.1 or .a.2;
N.B.: For operating systems see also
5D002.a.1 and .c.1.
a.4. Items, not specified in paragraphs
5A002.a.1 to a.3, where the ‘cryptography for
data confidentiality’ having ‘in excess of 56
bits of symmetric key length, or equivalent’
meets all of the following:
a.4.a. It supports a non-primary function of
the item; and
a.4.b. It is performed by incorporated
equipment or ‘‘software’’ that would, as a
standalone item, be specified by ECCNs
5A002, 5A003, 5A004, 5B002 or 5D002.
N.B. to paragraph a.4: See Related Control
Paragraph (4) of this ECCN 5A002 for
examples of items not controlled by
5A002.a.4.
Technical Notes: 1. For the purposes of
5A002.a, ‘cryptography for data
confidentiality’ means ‘‘cryptography’’ that
employs digital techniques and performs any
cryptographic function other than any of the
following:
1.a. ‘‘Authentication;’’
1.b. Digital signature;
1.c. Data integrity;
1.d. Non-repudiation;
1.e. Digital rights management, including
the execution of copy-protected ‘‘software;’’
1.f. Encryption or decryption in support of
entertainment, mass commercial broadcasts
or medical records management; or
1.g. Key management in support of any
function described in paragraphs 1.a to 1.f of
this Technical Note paragraph 1.
2. For the purposes of 5A002.a, ‘in excess
of 56 bits of symmetric key length, or
equivalent’ means any of the following:
2.a. A ‘‘symmetric algorithm’’ employing a
key length in excess of 56 bits, not including
parity bits; or
2.b. An ‘‘asymmetric algorithm’’ where the
security of the algorithm is based on any of
the following:
2.b.1. Factorization of integers in excess of
512 bits (e.g., RSA);
2.b.2. Computation of discrete logarithms
in a multiplicative group of a finite field of
size greater than 512 bits (e.g., Diffie-Hellman
over Z/pZ); or
2.b.3. Discrete logarithms in a group other
than mentioned in paragraph 2.b.2 of this
Technical Note in excess of 112 bits (e.g.,
Diffie-Hellman over an elliptic curve).
Note 1: Details of items must be accessible
and provided upon request, in order to
establish any of the following:
a. Whether the item meets the criteria of
5A002.a.1 to a.4; or
b. Whether the cryptographic capability for
data confidentiality specified by 5A002.a is
usable without ‘‘cryptographic activation.’’
Note 2: 5A002.a does not control any of the
following items, or specially designed
‘‘information security’’ components therefor:
a. Smart cards and smart card ‘readers/
writers’ as follows:
a.1. A smart card or an electronically
readable personal document (e.g., token coin,
e-passport) that meets any of the following:
a.1.a. The cryptographic capability meets
all of the following:
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a.1.a.1. It is restricted for use in any of the
following:
a.1.a.1.a. Equipment or systems, not
described by 5A002.a.1 to a.4;
a.1.a.1.b. Equipment or systems, not using
‘cryptography for data confidentiality’ having
‘in excess of 56 bits of symmetric key length,
or equivalent;’ or
a.1.a.1.c. Equipment or systems, excluded
from 5A002.a by entries b. to f. of this Note;
and
a.1.a.2. It cannot be reprogrammed for any
other use; or
a.1.b. Having all of the following:
a.1.b.1. It is specially designed and limited
to allow protection of ‘personal data’ stored
within;
a.1.b.2. Has been, or can only be,
personalized for public or commercial
transactions or individual identification; and
a.1.b.3. Where the cryptographic capability
is not user-accessible;
Technical Note to paragraph a.1.b of Note
2: ‘Personal data’ includes any data specific
to a particular person or entity, such as the
amount of money stored and data necessary
for ‘‘authentication.’’
a.2. ‘Readers/writers’ specially designed or
modified, and limited, for items specified by
paragraph a.1 of this Note;
Technical Note to paragraph a.2 of Note 2:
‘Readers/writers’ include equipment that
communicates with smart cards or
electronically readable documents through a
network.
b. Cryptographic equipment specially
designed and limited for banking use or
‘money transactions’;
Technical Note to paragraph b. of Note 2:
‘Money transactions’ in 5A002 Note 2
paragraph b. includes the collection and
settlement of fares or credit functions.
c. Portable or mobile radiotelephones for
civil use (e.g., for use with commercial civil
cellular radio communication systems) that
are not capable of transmitting encrypted
data directly to another radiotelephone or
equipment (other than Radio Access Network
(RAN) equipment), nor of passing encrypted
data through RAN equipment (e.g., Radio
Network Controller (RNC) or Base Station
Controller (BSC));
d. Cordless telephone equipment not
capable of end-to-end encryption where the
maximum effective range of unboosted
cordless operation (i.e., a single, unrelayed
hop between terminal and home base station)
is less than 400 meters according to the
manufacturer’s specifications;
e. Portable or mobile radiotelephones and
similar client wireless devices for civil use,
that implement only published or
commercial cryptographic standards (except
for anti-piracy functions, which may be nonpublished) and also meet the provisions of
paragraphs a.2 to a.4 of the Cryptography
Note (Note 3 in Category 5—Part 2), that have
been customized for a specific civil industry
application with features that do not affect
the cryptographic functionality of these
original non-customized devices;
f. Items, where the ‘‘information security’’
functionality is limited to wireless ‘‘personal
area network’’ functionality, meeting all of
the following:
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f.1. Implement only published or
commercial cryptographic standards; and
f.2. The cryptographic capability is limited
to a nominal operating range not exceeding
30 meters according to the manufacturer’s
specifications, or not exceeding 100 meters
according to the manufacturer’s
specifications for equipment that cannot
interconnect with more than seven devices;
g. Mobile telecommunications Radio
Access Network (RAN) equipment designed
for civil use, which also meet the provisions
of paragraphs a.2 to a.4 of the Cryptography
Note (Note 3 in Category 5—Part 2), having
an RF output power limited to 0.1W (20
dBm) or less, and supporting 16 or fewer
concurrent users;
h. Routers, switches or relays, where the
‘‘information security’’ functionality is
limited to the tasks of ‘‘Operations,
Administration or Maintenance’’ (‘‘OAM’’)
implementing only published or commercial
cryptographic standards; or
i. General purpose computing equipment
or servers, where the ‘‘information security’’
functionality meets all of the following:
i.1. Uses only published or commercial
cryptographic standards; and
i.2. Is any of the following:
i.2.a. Integral to a CPU that meets the
provisions of Note 3 in Category 5—Part 2;
i.2.b. Integral to an operating system that
is not specified by 5D002; or
i.2.c. Limited to ‘‘OAM’’ of the equipment.
b. Designed or modified to enable, by
means of ‘‘cryptographic activation,’’ an item
to achieve or exceed the controlled
performance levels for functionality specified
by 5A002.a that would not otherwise be
enabled;
c. Designed or modified to use or perform
‘‘quantum cryptography;’’
Technical Note: ‘‘Quantum cryptography’’
is also known as Quantum Key Distribution
(QKD).
d. Designed or modified to use
cryptographic techniques to generate
channelizing codes, scrambling codes or
network identification codes, for systems
using ultra-wideband modulation techniques
and having any of the following:
d.1. A bandwidth exceeding 500 MHz; or
d.2. A ‘‘fractional bandwidth’’ of 20% or
more;
e. Designed or modified to use
cryptographic techniques to generate the
spreading code for ‘‘spread spectrum’’
systems, not specified by 5A002.d, including
the hopping code for ‘‘frequency hopping’’
systems.
39. In Supplement No. 1 to part 774
(the Commerce Control List), Category
5—Part 2, ECCN 5A003 is revised to
read as follows:
■
5A003 ‘‘Systems,’’ ‘‘equipment’’ and
‘‘components,’’ for non-cryptographic
‘‘information security,’’ as follows (see
List of Items Controlled).
NS applies to entire
entry.
AT applies to entire
entry.
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
LVS: Yes: $500 for ‘‘components.’’
N/A for systems and equipment.
GBS: N/A
CIV: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items:
a. Communications cable systems designed
or modified using mechanical, electrical or
electronic means to detect surreptitious
intrusion;
Note: 5A003.a applies only to physical
layer security. For the purpose of 5A003.a,
the physical layer includes Layer 1 of the
Reference Model of Open Systems
Interconnection (OSI) (ISO/IEC 7498–1).
b. ‘‘Specially designed’’ or modified to
reduce the compromising emanations of
information-bearing signals beyond what is
necessary for health, safety or
electromagnetic interference standards.
40. In Supplement No. 1 to part 774
(the Commerce Control List), Category
5—Part 2, ECCN 5D002 is revised to
read as follows:
■
License Requirements
Reason for Control: NS, AT
Control(s)
38801
Country chart
(see Supp. No. 1
to part 738)
5D002 ‘‘Software’’ as follows (see List of
Items Controlled).
License Requirements
NS Column 2
Reason for Control: NS, AT, EI
AT Column 1
Control(s)
Country chart
(see Supp. No. 1 to part 738)
NS applies to entire entry .........................................................................
AT applies to entire entry .........................................................................
EI applies to ‘‘software’’ in 5D002.a.1, a.3, .b, c.1 and c.3, for commodities or ‘‘software’’ controlled for EI reasons in ECCNs 5A002, 5A004
or 5D002.
NS Column 1
AT Column 1
Refer to § 742.15 of the EAR
Note: Encryption software is controlled because of its functional capacity, and not because of any informational value of such software;
such software is not accorded the same treatment under the EAR as
other ‘‘software’; and for export licensing purposes, encryption software is treated under the EAR in the same manner as a commodity
included in ECCN 5A002
mstockstill on DSK30JT082PROD with RULES2
License Requirements Note: See § 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.
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
CIV: N/A
TSR: N/A
ENC: Yes for certain EI controlled software,
see § 740.17 of the EAR for eligibility.
VerDate Sep<11>2014
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Jkt 241001
List of Items Controlled
Related Controls: After classification or selfclassification in accordance with
§ 740.17(b) of the EAR, mass market
encryption software that meet eligibility
requirements are released from ‘‘EI’’ and
‘‘NS’’ controls. This software is designated
as 5D992.c.
Related Definitions: 5D002.a controls
‘‘software’’ designed or modified to use
‘‘cryptography’’ employing digital or
analog techniques to ensure ‘‘information
security.’’
Items:
a. ‘‘Software’’ ‘‘specially designed’’ or
modified for the ‘‘development,’’
‘‘production’’ or ‘‘use’’ of any of the
following:
a.1. Equipment specified by 5A002 or
‘‘software’’ specified by 5D002.c.1;
PO 00000
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a.2. Equipment specified by 5A003 or
‘‘software’’ specified by 5D002.c.2; or
a.3. Equipment specified by 5A004 or
‘‘software’’ specified by 5D002.c.3;
b. ‘‘Software’’ designed or modified to
enable, by means of ‘‘cryptographic
activation,’’ an item to meet the criteria for
functionality specified by 5A002.a, that
would not otherwise be met;
c. ‘‘Software’’ having the characteristics of,
or performing or simulating the functions of,
any of the following:
c.1. Equipment specified by 5A002.a, .c, .d
or .e;
Note: 5D002.c.1 does not apply to
‘‘software’’ limited to the tasks of ‘‘OAM’’
implementing only published or commercial
cryptographic standards.
c.2. Equipment specified by 5A003; or
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c.3. Equipment specified by 5A004.
d. [Reserved]
N.B.: See 5D002.b for items formerly
specified in 5D002.d.
41. In Supplement No. 1 to part 774
(the Commerce Control List), Category
5—Part 2, ECCN 5E002 is revised to
read as follows:
■
5E002 ‘‘Technology’’ as follows (see List of
Items Controlled).
License Requirements
Reason for Control: NS, AT, EI
Control(s)
NS applies to entire
entry.
AT applies to entire
entry.
EI applies to ‘‘technology’’ in 5E002.a for
commodities or ‘‘software’’ controlled for EI
reasons in ECCNs
5A002, 5A004 or
5D002, and to ‘‘technology’’ in 5E002.b.
Country chart (See
Supp. No. 1 to
part 738)
NS Column 1
AT Column 1
Refer to § 742.15
of the EAR
List of Items Controlled
mstockstill on DSK30JT082PROD with RULES2
6A001 Acoustic systems, equipment and
‘‘components,’’ as follows (see List of
Items Controlled).
Control(s)
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
CIV: N/A
TSR: N/A
ENC: Yes for certain EI controlled
technology, see § 740.17 of the EAR for
eligibility.
Related Controls: See also 5E992. This entry
does not control ‘‘technology’’ ‘‘required’’
for the ‘‘use’’ of equipment excluded from
control under the Related Controls
paragraph or the Technical Notes in ECCN
5A002 or ‘‘technology’’ related to
equipment excluded from control under
ECCN 5A002.
Related Definitions: N/A
20:53 Aug 14, 2017
42. In Supplement No. 1 to part 774
(the Commerce Control List), Category 6,
ECCN 6A001 is revised to read as
follows:
■
License Requirements
Reason for Control: NS, AT
License Requirements Notes:
(1) See § 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.
(2) When a person performs or provides
technical assistance that incorporates, or
otherwise draws upon, ‘‘technology’’ that
was either obtained in the United States or
is of US-origin, then a release of the
‘‘technology’’ takes place. Such technical
assistance, when rendered with the intent to
aid in the ‘‘development’’ or ‘‘production’’ of
encryption commodities or software that
would be controlled for ‘‘EI’’ reasons under
ECCN 5A002, 5A004 or 5D002, may require
authorization under the EAR even if the
underlying encryption algorithm to be
implemented is from the public domain or is
not of U.S.-origin.
VerDate Sep<11>2014
Items:
a. ‘‘Technology’’ according to the General
Technology Note for the ‘‘development,’’
‘‘production’’ or ‘‘use’’ of equipment
controlled by 5A002, 5A003, 5A004 or
5B002, or of ‘‘software’’ controlled by
5D002.a or 5D002.c.
b. ‘‘Technology’’ to enable, by means of
‘‘cryptographic activation,’’ an item to meet
the criteria for functionality specified by
5A002.a, that would not otherwise be met.
Note: 5E002 includes ‘‘information
security’’ technical data resulting from
procedures carried out to evaluate or
determine the implementation of functions,
features or techniques specified in Category
5—Part 2.
Jkt 241001
NS applies to entire
entry.
AT applies to entire
entry.
Country chart
(see Supp. No. 1 to
part 738)
NS Column 2
AT Column 1
Reporting Requirements
See § 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)
LVS: $3000; N/A for 6A001.a.1.b.1 object
detection and location systems having a
transmitting frequency below 5 kHz or a
sound pressure level exceeding 210 dB
(reference 1 mPa at 1 m) for equipment with
an operating frequency in the band from 30
kHz to 2 kHz inclusive; 6A001.a.1.e,
6A001.a.2.a.1, a.2.a.2, 6A001.a.2.a.3,
a.2.a.5, a.2.a.6, 6A001.a.2.b; processing
equipment controlled by 6A001.a.2.c, and
‘‘specially designed’’ for real-time
application with towed acoustic
hydrophone arrays; a.2.e.1, a.2.e.2; and
bottom or bay cable systems controlled by
6A001.a.2.f and having processing
equipment ‘‘specially designed’’ for realtime application with bottom or bay cable
systems.
GBS: Yes for 6A001.a.1.b.4.
CIV: Yes for 6A001.a.1.b.4.
Special Conditions for STA
STA: License Exception STA may not be
used to ship commodities in 6A001.a.1.b,
6A001.a.1.e or 6A001.a.2 (except .a.2.a.4)
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: See also 6A991
PO 00000
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Related Definitions: N/A
Items:
a. Marine acoustic systems, equipment and
‘‘specially designed’’ ‘‘components’’ therefor,
as follows:
a.1. Active (transmitting or transmittingand-receiving) systems, equipment and
‘‘specially designed’’ ‘‘components’’ therefor,
as follows:
Note: 6A001.a.1 does not control
equipment as follows:
a. Depth sounders operating vertically
below the apparatus, not including a
scanning function exceeding ± 20°, and
limited to measuring the depth of water, the
distance of submerged or buried objects or
fish finding;
b. Acoustic beacons, as follows:
1. Acoustic emergency beacons;
2. Pingers ‘‘specially designed’’ for
relocating or returning to an underwater
position.
a.1.a. Acoustic seabed survey equipment as
follows:
a.1.a.1. Surface vessel survey equipment
designed for sea bed topographic mapping
and having all of the following:
a.1.a.1.a. Designed to take measurements at
an angle exceeding 20° from the vertical;
a.1.a.1.b. Designed to measure seabed
topography at seabed depths exceeding 600
m;
a.1.a.1.c.‘Sounding resolution’ less than 2;
and
a.1.a.1.d. ‘Enhancement’ of the depth
‘‘accuracy’’ through compensation for all the
following:
a.1.a.1.d.1. Motion of the acoustic sensor;
a.1.a.1.d.2. In-water propagation from
sensor to the seabed and back; and
a.1.a.1.d.3. Sound speed at the sensor;
Technical Notes:
1. ‘Sounding resolution’ is the swath width
(degrees) divided by the maximum number of
soundings per swath.
2. ‘Enhancement’ includes the ability to
compensate by external means.
a.1.a.2. Underwater survey equipment
designed for seabed topographic mapping
and having any of the following:
Technical Note: The acoustic sensor
pressure rating determines the depth rating of
the equipment specified by 6A001.a.1.a.2.
a.1.a.2.a. Having all of the following:
a.1.a.2.a.1. Designed or modified to operate
at depths exceeding 300 m; and
a.1.a.2.a.2. ‘Sounding rate’ greater than
3,800 m/s; or
Technical Note: ‘Sounding rate’ is the
product of the maximum speed (m/s) at
which the sensor can operate and the
maximum number of soundings per swath
assuming 100% coverage. For systems that
produce soundings in two directions (3D
sonars), the maximum of the ‘sounding rate’
in either direction should be used.
a.1.a.2.b. Survey equipment, not specified
by 6A001.a.1.a.2.a, having all of the
following:
a.1.a.2.b.1. Designed or modified to operate
at depths exceeding 100 m;
a.1.a.2.b.2. Designed to take measurements
at an angle exceeding 20° from the vertical;
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a.1.a.2.b.3. Having any of the following:
a.1.a.2.b.3.a. Operating frequency below
350 kHz; or
a.1.a.2.b.3.b. Designed to measure seabed
topography at a range exceeding 200 m from
the acoustic sensor; and
a.1.a.2.b.4. ‘Enhancement’ of the depth
‘‘accuracy’’ through compensation of all of
the following:
a.1.a.2.b.4.a. Motion of the acoustic sensor;
a.1.a.2.b.4.b. In-water propagation from
sensor to the seabed and back; and
a.1.a.2.b.4.c. Sound speed at the sensor.
a.1.a.3. Side Scan Sonar (SSS) or Synthetic
Aperture Sonar (SAS), designed for seabed
imaging and having all of the following, and
specially designed transmitting and receiving
acoustic arrays therefor:
a.1.a.3.a. Designed or modified to operate
at depths exceeding 500 m; and
a.1.a.3.b. An ‘area coverage rate’ of greater
than 570 m2/s while operating at the
maximum range that it can operate with an
‘along track resolution’ of less than 15 cm;
and
a.1.a.3.c. An ‘across track resolution’ of less
than 15 cm;
mstockstill on DSK30JT082PROD with RULES2
Technical Notes:
1. ‘Area coverage rate’ (m2/s) is twice the
product of the sonar range (m) and the
maximum speed (m/s) at which the sensor
can operate at that range.
2. ‘Along track resolution’ (cm), for SSS
only, is the product of azimuth (horizontal)
beamwidth (degrees) and sonar range (m) and
0.873.
3. ‘Across track resolution’ (cm) is 75
divided by the signal bandwidth (kHz).
a.1.b Systems or transmitting and receiving
arrays, designed for object detection or
location, having any of the following:
a.1.b.1. A transmitting frequency below 10
kHz;
a.1.b.2. Sound pressure level exceeding
224dB (reference 1 mPa at 1 m) for equipment
with an operating frequency in the band from
10 kHz to 24 kHz inclusive;
a.1.b.3. Sound pressure level exceeding
235 dB (reference 1 mPa at 1 m) for
equipment with an operating frequency in
the band between 24 kHz and 30 kHz;
a.1.b.4. Forming beams of less than 1° on
any axis and having an operating frequency
of less than 100 kHz;
a.1.b.5. Designed to operate with an
unambiguous display range exceeding 5,120
m; or
a.1.b.6. Designed to withstand pressure
during normal operation at depths exceeding
1,000 m and having transducers with any of
the following:
a.1.b.6.a. Dynamic compensation for
pressure; or
a.1.b.6.b. Incorporating other than lead
zirconate titanate as the transduction
element;
a.1.c. Acoustic projectors, including
transducers, incorporating piezoelectric,
magnetostrictive, electrostrictive,
electrodynamic or hydraulic elements
operating individually or in a designed
combination and having any of the following:
Notes:
1. The control status of acoustic projectors,
including transducers, ‘‘specially designed’’
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20:53 Aug 14, 2017
Jkt 241001
for other equipment is determined by the
control status of the other equipment.
2. 6A001.a.1.c does not control electronic
sources that direct the sound vertically only,
or mechanical (e.g., air gun or vapor-shock
gun) or chemical (e.g., explosive) sources.
3. Piezoelectric elements specified in
6A001.a.1.c include those made from leadmagnesium-niobate/lead-titanate (Pb(Mg1/
3Nb2/3)O3-PbTiO3, or PMN-PT) single crystals
grown from solid solution or lead-indiumniobate/lead-magnesium niobate/leadtitanate (Pb(In1/2Nb1/2)O3-Pb(Mg1/3Nb2/3)O3PbTiO3, or PIN-PMN-PT) single crystals
grown from solid solution.
a.1.c.1. Operating at frequencies below 10
kHz and having any of the following:
a.1.c.1.a. Not designed for continuous
operation at 100% duty cycle and having a
radiated ‘free-field Source Level (SLRMS)’
exceeding (10log(f) + 169.77)dB (reference 1
mPa at 1 m) where f is the frequency in Hertz
of maximum Transmitting Voltage Response
(TVR) below 10 kHz; or
a.1.c.1.b. Designed for continuous
operation at 100% duty cycle and having a
continuously radiated ‘free-field Source
Level (SLRMS)’ at 100% duty cycle
exceeding (10log(f) + 159.77)dB (reference 1
mPa at 1 m) where f is the frequency in Hertz
of maximum Transmitting Voltage Response
(TVR) below 10 kHz; or
Technical Note: The ‘free-field Source
Level (SLRMS)’ is defined along the maximum
response axis and in the far field of the
acoustic projector. It can be obtained from
the Transmitting Voltage Response using the
following equation: SLRMS = (TVR + 20log
VRMS) dB (ref 1mPa at 1 m), where SLRMS is
the source level, TVR is the Transmitting
Voltage Response and VRMS is the Driving
Voltage of the Projector.
a.1.c.2. [Reserved]
N.B. See 6A001.a.1.c.1 for items previously
specified in 6A001.a.1.c.2.
a.1.c.3. Side-lobe suppression exceeding 22
dB;
a.1.d. Acoustic systems and equipment,
designed to determine the position of surface
vessels or underwater vehicles and having all
of the following, and ‘‘specially designed’’
‘‘components’’ therefor:
a.1.d.1. Detection range exceeding 1,000 m;
and
a.1.d.2. Determined position error of less
than 10 m rms (root mean square) when
measured at a range of 1,000 m;
Note: 6A001.a.1.d includes:
a. Equipment using coherent ‘‘signal
processing’’ between two or more beacons
and the hydrophone unit carried by the
surface vessel or underwater vehicle;
b. Equipment capable of automatically
correcting speed-of-sound propagation errors
for calculation of a point.
a.1.e. Active individual sonars, ‘‘specially
designed’’ or modified to detect, locate and
automatically classify swimmers or divers,
having all of the following, and ‘‘specially
designed’’ transmitting and receiving
acoustic arrays therefor:
a.1.e.1. Detection range exceeding 530 m;
a.1.e.2. Determined position error of less
than 15 m rms (root mean square) when
measured at a range of 530 m; and
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a.1.e.3. Transmitted pulse signal
bandwidth exceeding 3 kHz;
N.B.: For diver detection systems ‘‘specially
designed’’ or modified for military use, see
the U.S. Munitions List in the International
Traffic in Arms Regulations (ITAR) (22 CFR
part 121).
Note: For 6A001.a.1.e, where multiple
detection ranges are specified for various
environments, the greatest detection range is
used.
a.2. Passive systems, equipment and
‘‘specially designed’’ ‘‘components’’ therefor,
as follows:
a.2.a. Hydrophones having any of the
following:
Note: The control status of hydrophones
‘‘specially designed’’ for other equipment is
determined by the control status of the other
equipment.
Technical Note: Hydrophones consist of
one or more sensing elements producing a
single acoustic output channel. Those that
contain multiple elements can be referred to
as a hydrophone group.
a.2.a.1. Incorporating continuous flexible
sensing elements;
a.2.a.2. Incorporating flexible assemblies of
discrete sensing elements with either a
diameter or length less than 20 mm and with
a separation between elements of less than 20
mm;
a.2.a.3. Having any of the following sensing
elements:
a.2.a.3.a. Optical fibers;
a.2.a.3.b. ‘Piezoelectric polymer films’
other than polyvinylidene-fluoride (PVDF)
and its co-polymers {P(VDF-TrFE) and
P(VDF-TFE)};
a.2.a.3.c. ‘Flexible piezoelectric
composites’;
a.2.a.3.d. Lead-magnesium- niobate/leadtitanate (i.e., Pb(Mg1/3Nb2/3)O3-PbTiO3, or
PMN-PT) piezoelectric single crystals grown
from solid solution; or
a.2.a.3.e. Lead-indium-niobate/leadmagnesium niobate/lead-titanate (i.e., Pb(In1/
2Nb1/2)O3-Pb(Mg1/3Nb2/3)O3-PbTiO3, or PINPMN-PT) piezoelectric single crystals grown
from solid solution;
a.2.a.4. A ‘hydrophone sensitivity’ better
than ¥180dB at any depth with no
acceleration compensation;
a.2.a.5. Designed to operate at depths
exceeding 35 m with acceleration
compensation; or
a.2.a.6. Designed for operation at depths
exceeding 1,000 m;
Technical Notes:
1. ‘Piezoelectric polymer film’ sensing
elements consist of polarized polymer film
that is stretched over and attached to a
supporting frame or spool (mandrel).
2. ‘Flexible piezoelectric composite’
sensing elements consist of piezoelectric
ceramic particles or fibers combined with an
electrically insulating, acoustically
transparent rubber, polymer or epoxy
compound, where the compound is an
integral part of the sensing elements.
3. ‘Hydrophone sensitivity’ is defined as
twenty times the logarithm to the base 10 of
the ratio of rms output voltage to a 1 V rms
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reference, when the hydrophone sensor,
without a pre-amplifier, is placed in a plane
wave acoustic field with an rms pressure of
1 mPa. For example, a hydrophone of ¥160
dB (reference 1 V per mPa) would yield an
output voltage of 10¥8 V in such a field,
while one of ¥180 dB sensitivity would
yield only 10¥9 V output. Thus, ¥160 dB is
better than ¥180 dB.
a.2.b. Towed acoustic hydrophone arrays
having any of the following:
Technical Note: Hydrophones arrays
consist of a number of hydrophones
providing multiple acoustic output channels.
a.2.b.1. Hydrophone group spacing of less
than 12.5 m or ‘able to be modified’ to have
hydrophone group spacing of less than 12.5
m;
a.2.b.2. Designed or ‘able to be modified’ to
operate at depths exceeding 35m;
Technical Note: ‘Able to be modified’ in
6A001.a.2.b means having provisions to
allow a change of the wiring or
interconnections to alter hydrophone group
spacing or operating depth limits. These
provisions are: Spare wiring exceeding 10%
of the number of wires, hydrophone group
spacing adjustment blocks or internal depth
limiting devices that are adjustable or that
control more than one hydrophone group.
a.2.b.3. Heading sensors controlled by
6A001.a.2.d;
a.2.b.4. Longitudinally reinforced array
hoses;
a.2.b.5. An assembled array of less than 40
mm in diameter;
a.2.b.6. [Reserved];
a.2.b.7. Hydrophone characteristics
controlled by 6A001.a.2.a; or
a.2.b.8. Accelerometer-based hydroacoustic sensors specified by 6A001.a.2.g;
a.2.c. Processing equipment, ‘‘specially
designed’’ for towed acoustic hydrophone
arrays, having ‘‘user-accessible
programmability’’ and time or frequency
domain processing and correlation, including
spectral analysis, digital filtering and
beamforming using Fast Fourier or other
transforms or processes;
a.2.d. Heading sensors having all of the
following:
a.2.d.1. An ‘‘accuracy’’ of better than ± 0.5°;
and
a.2.d.2. Designed to operate at depths
exceeding 35 m or having an adjustable or
removable depth sensing device in order to
operate at depths exceeding 35 m;
N.B.: For inertial heading systems, see
7A003.c.
a.2.e. Bottom or bay-cable hydrophone
arrays having any of the following:
a.2.e.1. Incorporating hydrophones
controlled by 6A001.a.2.a;
a.2.e.2. Incorporating multiplexed
hydrophone group signal modules having all
of the following characteristics:
a.2.e.2.a. Designed to operate at depths
exceeding 35 m or having an adjustable or
removal depth sensing device in order to
operate at depths exceeding 35 m; and
a.2.e.2.b. Capable of being operationally
interchanged with towed acoustic
hydrophone array modules; or
a.2.e.3. Incorporating accelerometer-based
hydro-acoustic sensors specified by
6A001.a.2.g;
a.2.f. Processing equipment, ‘‘specially
designed’’ for bottom or bay cable systems,
having ‘‘user-accessible programmability’’
and time or frequency domain processing
and correlation, including spectral analysis,
digital filtering and beamforming using Fast
Fourier or other transforms or processes;
a.2.g. Accelerometer-based hydro-acoustic
sensors having all of the following:
a.2.g.1. Composed of three accelerometers
arranged along three distinct axes;
a.2.g.2. Having an overall ‘acceleration
sensitivity’ better than 48 dB (reference 1,000
mV rms per 1g);
a.2.g.3. Designed to operate at depths
greater than 35 meters; and
a.2.g.4. Operating frequency below 20 kHz;
Note: 6A001.a.2.g does not apply to
particle velocity sensors or geophones.
Note: 6A001.a.2 also applies to receiving
equipment, whether or not related in normal
application to separate active equipment, and
‘‘specially designed’’ ‘‘components’’ therefor.
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NS applies to entire entry .........................................................................
NP applies to cameras controlled by 6A003.a.2, a.3 or a.4 and to plugins in 6A003.a.6 for cameras controlled by 6A003.a.3 or a.4.
RS applies to 6A003.b.3, 6A003.b.4.a, 6A003.b.4.c and to items controlled in 6A003.b.4.b that have a frame rate greater than 60 Hz or
that incorporate a focal plane array with more than 111,000 elements, or to items in 6A003.b.4.b when being exported or reexported
to be embedded in a civil product. (But see § 742.6(a)(2)(iii) and (v)
for certain exemptions).
RS applies to items controlled in 6A003.b.4.b that have a frame rate of
60 Hz or less and that incorporate a focal plane array with not more
than 111,000 elements if not being exported or reexported to be embedded in a civil product.
AT applies to entire entry .........................................................................
UN applies to 6A003.b.3 and b.4 .............................................................
License Requirement Note: Commodities
that are not subject to the ITAR but are of the
type described in USML Category XII(c) are
20:53 Aug 14, 2017
Jkt 241001
b. Correlation-velocity and Dopplervelocity sonar log equipment designed to
measure the horizontal speed of the
equipment carrier relative to the sea bed, as
follows:
b.1. Correlation-velocity sonar log
equipment having any of the following
characteristics:
b.1.a. Designed to operate at distances
between the carrier and the sea bed
exceeding 500 m; or
b.1.b. Having speed ‘‘accuracy’’ better than
1% of speed;
b.2. Doppler-velocity sonar log equipment
having speed ‘‘accuracy’’ better than 1% of
speed;
Note 1: 6A001.b does not apply to depth
sounders limited to any of the following:
a. Measuring the depth of water;
b. Measuring the distance of submerged or
buried objects; or
c. Fish finding.
Note 2: 6A001.b does not apply to
equipment ‘‘specially designed’’ for
installation on surface vessels.
c. [Reserved]
N.B.: For diver deterrent acoustic systems,
see 8A002.r.
43. In Supplement No. 1 to part 774
(the Commerce Control List), Category 6,
ECCN 6A003 is revised to read as
follows:
■
6A003 Cameras, systems or equipment,
and ‘‘components’’ therefor, as follows
(see List of Items Controlled).
License Requirements
Reason for Control: NS, NP, RS, AT, UN
Country chart
(See Supp. No. 1 to part 738)
Control(s)
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Technical Notes:
1. Accelerometer-based hydro-acoustic
sensors are also known as vector sensors.
2. ‘Acceleration sensitivity’ is defined as
twenty times the logarithm to the base 10 of
the ratio of rms output voltage to a 1 V rms
reference, when the hydro-acoustic sensor,
without a preamplifier, is placed in a plane
wave acoustic field with an rms acceleration
of 1 g (i.e., 9.81 m/s2).
NS Column 2
NP Column 1
RS Column 1
RS Column 2
AT Column 1
See § 746.1(b) for UN controls.
controlled as cameras in ECCN 6A003 when
they incorporate a camera controlled in this
ECCN.
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Reporting Requirements
See § 743.3 of the EAR for thermal camera
reporting for exports that are not
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authorized by an individually validated
license of thermal imaging cameras
controlled by ECCN 6A003.b.4.b to
destinations in Country Group A:1 (see
Supplement No. 1 to part 740), must be
reported to BIS.
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
LVS: $1500, except N/A for 6A003.a.2
through a.6, b.1, b.3 and b.4
GBS: Yes for 6A003.a.1
CIV: Yes for 6A003.a.1
Special Conditions for STA
STA: License Exception STA may not be
used to ship any commodity in 6A003.b.3
or b.4 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) See ECCNs 6E001
(‘‘development’’), 6E002 (‘‘production’’),
and 6E201 (‘‘use’’) for technology for items
controlled under this entry. (2) Also see
ECCN 6A203. (3) See ECCN 0A919 for
foreign made military commodities that
incorporate cameras described in 6A003.
(4) Section 744.9 imposes a license
requirement on cameras described in
6A003 if being exported, reexported, or
transferred (in-country) for use by a
military end-user or for incorporation into
a commodity controlled by ECCN 0A919.
(5) See USML Category XII(c) and (e) for
cameras subject to the ITAR.
Related Definitions: N/A
Items:
a. Instrumentation cameras and ‘‘specially
designed’’ ‘‘components’’ therefor, as follows:
Note: Instrumentation cameras, controlled
by 6A003.a.3 to 6A003.a.5, with modular
structures should be evaluated by their
maximum capability, using plug-ins available
according to the camera manufacturer’s
specifications.
a.1. High-speed cinema recording cameras
using any film format from 8 mm to 16 mm
inclusive, in which the film is continuously
advanced throughout the recording period,
and that are capable of recording at framing
rates exceeding 13,150 frames/s;
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Note: 6A003.a.1 does not control cinema
recording cameras designed for civil
purposes.
a.2. Mechanical high speed cameras, in
which the film does not move, capable of
recording at rates exceeding 1,000,000
frames/s for the full framing height of 35 mm
film, or at proportionately higher rates for
lesser frame heights, or at proportionately
lower rates for greater frame heights;
a.3. Mechanical or electronic streak
cameras as follows:
a.3.a. Mechanical streak cameras having
writing speeds exceeding 10 mm/ms;
a.3.b. Electronic streak cameras having
temporal resolution better than 50 ns;
a.4. Electronic framing cameras having a
speed exceeding 1,000,000 frames/s;
a.5. Electronic cameras having all of the
following:
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a.5.a. An electronic shutter speed (gating
capability) of less than 1ms per full frame;
and
a.5.b. A read out time allowing a framing
rate of more than 125 full frames per second;
a.6. Plug-ins having all of the following
characteristics:
a.6.a. ‘‘Specially designed’’ for
instrumentation cameras which have
modular structures and that are controlled by
6A003.a; and
a.6.b. Enabling these cameras to meet the
characteristics specified by 6A003.a.3,
6A003.a.4 or 6A003.a.5, according to the
manufacturer’s specifications;
b. Imaging cameras as follows:
Note: 6A003.b does not control television
or video cameras ‘‘specially designed’’ for
television broadcasting.
b.1. Video cameras incorporating solid
state sensors, having a peak response in the
wavelength range exceeding 10 nm, but not
exceeding 30,000 nm and having all of the
following:
b.1.a. Having any of the following:
b.1.a.1. More than 4 × 106 ‘‘active pixels’’
per solid state array for monochrome (black
and white) cameras;
b.1.a.2. More than 4 × 106 ‘‘active pixels’’
per solid state array for color cameras
incorporating three solid state arrays; or
b.1.a.3. More than 12 × 106 ‘‘active pixels’’
for solid state array color cameras
incorporating one solid state array; and
b.1.b. Having any of the following:
b.1.b.1. Optical mirrors controlled by
6A004.a.;
b.1.b.2. Optical control equipment
controlled by 6A004.d.; or
b.1.b.3. The capability for annotating
internally generated ‘camera tracking data’;
Technical Notes:
1. For the purposes of this entry, digital
video cameras should be evaluated by the
maximum number of ‘‘active pixels’’ used for
capturing moving images.
2. For the purpose of this entry, ‘camera
tracking data’ is the information necessary to
define camera line of sight orientation with
respect to the earth. This includes: (1) The
horizontal angle the camera line of sight
makes with respect to the earth’s magnetic
field direction and; (2) the vertical angle
between the camera line of sight and the
earth’s horizon.
b.2. Scanning cameras and scanning
camera systems, having all of the following:
b.2.a. A peak response in the wavelength
range exceeding 10 nm, but not exceeding
30,000 nm;
b.2.b. Linear detector arrays with more
than 8,192 elements per array; and
b.2.c. Mechanical scanning in one
direction;
Note: 6A003.b.2 does not apply to scanning
cameras and scanning camera systems,
‘‘specially designed’’ for any of the following:
a. Industrial or civilian photocopiers;
b. Image scanners ‘‘specially designed’’ for
civil, stationary, close proximity scanning
applications (e.g., reproduction of images or
print contained in documents, artwork or
photographs); or
c. Medical equipment.
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b.3. Imaging cameras incorporating image
intensifier tubes having the characteristics
listed in 6A002.a.2.a or 6A002.a.2.b;
b.4. Imaging cameras incorporating ‘‘focal
plane arrays’’ having any of the following:
b.4.a. Incorporating ‘‘focal plane arrays’’
controlled by 6A002.a.3.a to 6A002.a.3.e;
b.4.b. Incorporating ‘‘focal plane arrays’’
controlled by 6A002.a.3.f; or
b.4.c. Incorporating ‘‘focal plane arrays’’
controlled by 6A002.a.3.g;
Note 1: Imaging cameras described in
6A003.b.4 include ‘‘focal plane arrays’’
combined with sufficient ‘‘signal processing’’
electronics, beyond the read out integrated
circuit, to enable as a minimum the output
of an analog or digital signal once power is
supplied.
Note 2: 6A003.b.4.a does not control
imaging cameras incorporating linear ‘‘focal
plane arrays’’ with 12 elements or fewer, not
employing time-delay-and-integration within
the element and designed for any of the
following:
a. Industrial or civilian intrusion alarm,
traffic or industrial movement control or
counting systems;
b. Industrial equipment used for inspection
or monitoring of heat flows in buildings,
equipment or industrial processes;
c. Industrial equipment used for
inspection, sorting or analysis of the
properties of materials;
d. Equipment ‘‘specially designed’’ for
laboratory use; or
e. Medical equipment.
Note 3: 6A003.b.4.b does not control
imaging cameras having any of the following:
a. A maximum frame rate equal to or less
than 9 Hz;
b. Having all of the following:
1. Having a minimum horizontal or vertical
‘Instantaneous-Field-of-View (IFOV)’ of at
least 10 mrad (milliradians);
2. Incorporating a fixed focal-length lens
that is not designed to be removed;
3. Not incorporating a ‘direct view’ display;
and
Technical Note: ‘Direct view’ refers to an
imaging camera operating in the infrared
spectrum that presents a visual image to a
human observer using a near-to-eye micro
display incorporating any light-security
mechanism.
4. Having any of the following:
a. No facility to obtain a viewable image of
the detected field-of-view; or
b. The camera is designed for a single kind
of application and designed not to be user
modified; or
Technical Note:
‘Instantaneous Field of View (IFOV)’
specified in Note 3.b is the lesser figure of
the ‘Horizontal FOV’ or the ‘Vertical FOV’.
‘Horizontal IFOV’ = horizontal Field of
View (FOV)/number of horizontal detector
elements
‘Vertical IFOV’= vertical Field of View
(FOV)/number of vertical detector elements.
c. The camera is ‘‘specially designed’’ for
installation into a civilian passenger land
vehicle and having all of the following:
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1. The placement and configuration of the
camera within the vehicle are solely to assist
the driver in the safe operation of the vehicle;
2. Is operable only when installed in any
of the following:
a. The civilian passenger land vehicle for
which it was intended and the vehicle
weighs less than 4,500 kg (gross vehicle
weight); or
b. A ‘‘specially designed’’, authorized
maintenance test facility; and
3. Incorporates an active mechanism that
forces the camera not to function when it is
removed from the vehicle for which it was
intended.
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Note: When necessary, details of the items
will be provided, upon request, to the Bureau
of Industry and Security in order to ascertain
compliance with the conditions described in
Note 3.b.4 and Note 3.c in this Note to
6A003.b.4.b.
Note 4: 6A003.b.4.c does not apply to
‘imaging cameras’ having any of the
following characteristics:
a. Having all of the following:
1. Where the camera is ‘‘specially
designed’’ for installation as an integrated
component into indoor and wall-plugoperated systems or equipment, limited by
design for a single kind of application, as
follows:
a. Industrial process monitoring, quality
control, or analysis of the properties of
materials;
b. Laboratory equipment ‘‘specially
designed’’ for scientific research;
c. Medical equipment;
d. Financial fraud detection equipment;
and
2. Is only operable when installed in any
of the following:
a. The system(s) or equipment for which it
was intended; or
b. A ‘‘specially designed,’’ authorized
maintenance facility; and
3. Incorporates an active mechanism that
forces the camera not to function when it is
removed from the system(s) or equipment for
which it was intended;
b. Where the camera is ‘‘specially
designed’’ for installation into a civilian
passenger land vehicle or passenger and
vehicle ferries and having all of the
following:
1. The placement and configuration of the
camera within the vehicle or ferry are solely
to assist the driver or operator in the safe
operation of the vehicle or ferry;
2. Is only operable when installed in any
of the following:
a. The civilian passenger land vehicle for
which it was intended and the vehicle
weighs less than 4,500 kg (gross vehicle
weight);
b. The passenger and vehicle ferry for
which it was intended and having a length
overall (LOA) 65 m or greater; or
c. A ‘‘specially designed’’, authorized
maintenance test facility; and
3. Incorporates an active mechanism that
forces the camera not to function when it is
removed from the vehicle for which it was
intended;
c. Limited by design to have a maximum
‘‘radiant sensitivity’’ of 10 mA/W or less for
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Jkt 241001
wavelengths exceeding 760 nm, having all of
the following:
1. Incorporating a response limiting
mechanism designed not to be removed or
modified; and
2. Incorporates an active mechanism that
forces the camera not to function when the
response limiting mechanism is removed;
and
3. Not ‘‘specially designed’’ or modified for
underwater use; or
d. Having all of the following:
1. Not incorporating a ‘direct view’ or
electronic image display;
2. Has no facility to output a viewable
image of the detected field of view;
3. The ‘‘focal plane array’’ is only operable
when installed in the camera for which it
was intended; and
4. The ‘‘focal plane array’’ incorporates an
active mechanism that forces it to be
permanently inoperable when removed from
the camera for which it was intended.
Note: When necessary, details of the item
will be provided, upon request, to the Bureau
of Industry and Security in order to ascertain
compliance with the conditions described in
Note 4 above.
b.5. Imaging cameras incorporating solidstate detectors specified by 6A002.a.1.
44. In Supplement No. 1 to part 774
(the Commerce Control List), Category 6,
ECCN 6A005 is revised to read as
follows:
■
6A005 ‘‘Lasers,’’ ‘‘components’’ and optical
equipment, as follows (see List of Items
Controlled), excluding items that are
subject to the export licensing authority
of the Nuclear Regulatory Commission
(see 10 CFR part 110).
License Requirements
Reason for Control: NS, NP, AT
Control(s)
NS applies to entire
entry.
NP applies to lasers
controlled by
6A005.a.2, a.3, a.4,
b.2.b, b.3, b.4, b.6.c,
c.1.b, c.2.b, d.2, d.3.c,
or d.4.c that meet or
exceed the technical
parameters described
in 6A205.
AT applies to entire
entry.
Country chart
(See Supp. No. 1
to
part 738)
NS Column 2
NP Column 1
AT Column 1
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
LVS: N/A for NP items; $3,000 for all other
item
GBS: Neodymium-doped (other than glass)
‘‘lasers’’ controlled by 6A005.b.6.d.2
(except 6A005.b.6.d.2.b) that have an
output wavelength exceeding 1,000 nm,
but not exceeding 1,100 nm, and an
average or CW output power not exceeding
2kW, and operate in a pulse-excited, non-
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‘‘Q-switched’’ multiple-transverse mode, or
in a continuously excited, multipletransverse mode; Dye and Liquid Lasers
controlled by 6A005.c.1, c.2 and c.3,
except for a pulsed single longitudinal
mode oscillator having an average output
power exceeding 1 W and a repetition rate
exceeding 1 kHz if the ‘‘pulse duration’’ is
less than 100 ns; CO ‘‘lasers’’ controlled by
6A005.d.2 having a CW maximum rated
single or multimode output power not
exceeding 10 kW; CO2 or CO/CO2 ‘‘lasers’’
controlled by 6A005.d.3 having an output
wavelength in the range from 9,000 to
11,000 nm and having a pulsed output not
exceeding 2 J per pulse and a maximum
rated average single or multimode output
power not exceeding 5 kW; CO2 ‘‘lasers’’
controlled by 6A005.d.3 that operate in CW
multiple-transverse mode, and having a
CW output power not exceeding 15kW;
and 6A005.f.1.
CIV: Neodymium-doped (other than glass)
‘‘lasers’’ controlled by 6A005.b.6.d.2
(except 6A005.b.6.d.2.b) that have an
output wavelength exceeding 1,000 nm,
but not exceeding 1,100 nm, and an
average or CW output power not exceeding
2kW, and operate in a pulse-excited, non‘‘Q-switched’’ multiple-transverse mode, or
in a continuously excited, multipletransverse mode; Dye and Liquid Lasers
controlled by 6A005.c.1, c.2 and c.3,
except for a pulsed single longitudinal
mode oscillator having an average output
power exceeding 1 W and a repetition rate
exceeding 1 kHz if the ‘‘pulse duration’’ is
less than 100 ns; CO ‘‘lasers’’ controlled by
6A005.d.2 having a CW maximum rated
single or multimode output power not
exceeding 10 kW; CO2 or CO/CO2 ‘‘lasers’’
controlled by 6A005.d.3 having an output
wavelength in the range from 9,000 to
11,000 nm and having a pulsed output not
exceeding 2 J per pulse and a maximum
rated average single or multimode output
power not exceeding 5 kW; CO2 ‘‘lasers’’
controlled by 6A005.d.3 that operate in CW
multiple-transverse mode, and having a
CW output power not exceeding 15kW;
and 6A005.f.1.
List of Items Controlled
Related Controls: (1) See ECCN 6D001 for
‘‘software’’ for items controlled under this
entry. (2) See ECCNs 6E001
(‘‘development’’), 6E002 (‘‘production’’),
and 6E201 (‘‘use’’) for technology for items
controlled under this entry. (3) Also see
ECCNs 6A205 and 6A995. (4) See ECCN
3B001 for excimer ‘‘lasers’’ ‘‘specially
designed’’ for lithography equipment. (5)
‘‘Lasers’’ ‘‘specially designed’’ or prepared
for use in isotope separation are subject to
the export licensing authority of the
Nuclear Regulatory Commission (see 10
CFR part 110). (6) See USML Category
XII(b) and (e) for laser systems or lasers
subject to the ITAR. (7) See USML Category
XVIII for certain laser-based directed
energy weapon systems, equipment, and
components subject to the ITAR.
Related Definitions: (1) ‘Wall-plug efficiency’
is defined as the ratio of ‘‘laser’’ output
power (or ‘‘average output power’’) to total
electrical input power required to operate
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with output power exceeding 2kW and not
exceeding 6 kW with a total mass greater
than 1,200 kg. For the purpose of this note,
total mass includes all ‘‘components’’
required to operate the ‘‘laser,’’ e.g., ‘‘laser,’’
power supply, heat exchanger, but excludes
external optics for beam conditioning and/or
delivery.
the ‘‘laser’’, including the power supply/
conditioning and thermal conditioning/
heat exchanger, see 6A005.a.6.b.1 and
6A005.b.6; (2) ‘Non-repetitive pulsed’
refers to ‘‘lasers’’ that produce either a
single output pulse or that have a time
interval between pulses exceeding one
minute, see Note 2 of 6A005 and
6A005.d.6.
Items:
Note:
1. Pulsed ‘‘lasers’’ include those that run in
a continuous wave (CW) mode with pulses
superimposed.
2. Excimer, semiconductor, chemical, CO,
CO2, and ‘non-repetitive pulsed’ Nd:glass
‘‘lasers’’ are only specified by 6A005.d.
Technical Note: ‘Non-repetitive pulsed’
refers to ‘‘lasers’’ that produce either a single
output pulse or that have a time interval
between pulses exceeding one minute.
3. 6A005 includes fiber ‘‘lasers’’.
4. The control status of ‘‘lasers’’
incorporating frequency conversion (i.e.,
wavelength change) by means other than one
‘‘laser’’ pumping another ‘‘laser’’ is
determined by applying the control
parameters for both the output of the source
‘‘laser’’ and the frequency-converted optical
output.
5. 6A005 does not control ‘‘lasers’’ as
follows:
a. Ruby with output energy below 20 J;
b. Nitrogen;
c. Krypton.
a. Non-‘‘tunable’’ continuous wave ‘‘(CW)
lasers’’ having any of the following:
a.1. Output wavelength less than 150 nm
and output power exceeding 1W;
a.2. Output wavelength of 150 nm or more
but not exceeding 510 nm and output power
exceeding 30 W;
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Note: 6A005.a.2 does not control Argon
‘‘lasers’’ having an output power equal to or
less than 50 W.
a.3. Output wavelength exceeding 510 nm
but not exceeding 540 nm and any of the
following:
a.3.a. Single transverse mode output and
output power exceeding 50 W; or
a.3.b. Multiple transverse mode output and
output power exceeding 150 W;
a.4. Output wavelength exceeding 540 nm
but not exceeding 800 nm and output power
exceeding 30 W;
a.5. Output wavelength exceeding 800 nm
but not exceeding 975 nm and any of the
following:
a.5.a. Single transverse mode output and
output power exceeding 50 W; or
a.5.b. Multiple transverse mode output and
output power exceeding 80 W;
a.6. Output wavelength exceeding 975 nm
but not exceeding 1,150 nm and any of the
following;
a.6.a. Single transverse mode output and
output power exceeding 500 W; or
a.6.b. Multiple transverse mode output and
any of the following:
a.6.b.1. ‘Wall-plug efficiency’ exceeding
18% and output power exceeding 500 W; or
a.6.b.2. Output power exceeding 2 kW;
Note 1: 6A005.a.6.b does not control
multiple transverse mode, industrial ‘‘lasers’’
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Note 2: 6A005.a.6.b does not apply to
multiple transverse mode, industrial ‘‘lasers’’
having any of the following:
a. Output power exceeding 500 W but not
exceeding 1 kW and having all of the
following:
1. Beam Parameter Product (BPP)
exceeding 0.7 mm•mrad; and
2. ‘Brightness’ not exceeding 1024 W/
(mm•mrad)2;
b. Output power exceeding 1 kW but not
exceeding 1.6 kW and having a BPP
exceeding 1.25 mm•mrad;
c. Output power exceeding 1.6 kW but not
exceeding 2.5 kW and having a BPP
exceeding 1.7 mm•mrad;
d. Output power exceeding 2.5 kW but not
exceeding 3.3 kW and having a BPP
exceeding 2.5 mm•mrad;
e. Output power exceeding 3.3 kW but not
exceeding 4 kW and having a BPP exceeding
3.5 mm•mrad;
f. Output power exceeding 4 kW but not
exceeding 5 kW and having a BPP exceeding
5 mm•mrad;
g. Output power exceeding 5 kW but not
exceeding 6 kW and having a BPP exceeding
7.2 mm•mrad;
h. Output power exceeding 6 kW but not
exceeding 8 kW and having a BPP exceeding
12 mm•mrad; or
i. Output power exceeding 8 kW but not
exceeding 10 kW and having a BPP
exceeding 24 mm•mrad;
Technical Note: For the purpose of
6A005.a.6.b, Note 2 (a)(2), ‘brightness’ is
defined as the output power of the ‘‘laser’’
divided by the squared Beam Parameter
Product (BPP), i.e., (output power)/BPP2.
a.7. Output wavelength exceeding 1,150
nm but not exceeding 1,555 nm and any of
the following:
a.7.a. Single transverse mode and output
power exceeding 50 W; or
a.7.b. Multiple transverse mode and output
power exceeding 80 W;
a.8. Output wavelength exceeding 1,555
nm but not exceeding 1,850 nm and output
power exceeding 1 W;
a.9. Output wavelength exceeding 1,850
nm but not exceeding 2,100 nm, and any of
the following:
a.9.a. Single transverse mode and output
power exceeding 1 W; or
a.9. b. Multiple transverse mode output
and output power exceeding 120 W; or
a.10. Output wavelength exceeding 2,100
nm and output power exceeding 1 W;
b. Non-‘‘tunable’’ ‘‘pulsed lasers’’ having
any of the following:
b.1. Output wavelength less than 150 nm
and any of the following:
b.1.a. Output energy exceeding 50 mJ per
pulse and ‘‘peak power’’ exceeding 1 W; or
b.1.b. ‘‘Average output power’’ exceeding 1
W;
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b.2. Output wavelength of 150 nm or more
but not exceeding 510 nm and any of the
following:
b.2.a. Output energy exceeding 1.5 J per
pulse and ‘‘peak power’’ exceeding 30 W; or
b.2.b. ‘‘Average output power’’ exceeding
30 W;
Note: 6A005.b.2.b does not control Argon
‘‘lasers’’ having an ‘‘average output power’’
equal to or less than 50 W.
b.3. Output wavelength exceeding 510 nm,
but not exceeding 540 nm and any of the
following:
b.3.a. Single transverse mode output and
any of the following:
b.3.a.1. Output energy exceeding 1.5 J per
pulse and ‘‘peak power’’ exceeding 50 W; or
b.3.a.2. ‘‘Average output power’’ exceeding
50 W; or
b.3.b. Multiple transverse mode output and
any of the following:
b.3.b.1. Output energy exceeding 1.5 J per
pulse and ‘‘peak power’’ exceeding 150 W; or
b.3.b.2. ‘‘Average output power’’ exceeding
150 W;
b.4. Output wavelength exceeding 540 nm
but not exceeding 800 nm and any of the
following:
b.4.a. ‘‘Pulse duration’’ less than 1 ps and
any of the following:
b.4.a.1. Output energy exceeding 0.005 J
per pulse and ‘‘peak power’’ exceeding 5 GW;
or
b.4.a.2. ‘‘Average output power’’ exceeding
20 W; or
b.4.b. ‘‘Pulse duration’’ equal to or
exceeding 1 ps and any of the following:
b.4.b.1. Output energy exceeding 1.5 J per
pulse and ‘‘peak power’’ exceeding 30 W; or
b.4.b.2. ‘‘Average output power’’ exceeding
30 W;
b.5. Output wavelength exceeding 800 nm
but not exceeding 975 nm and any of the
following:
b.5.a. ‘‘Pulse duration’’ less than 1ps and
any of the following:
b.5.a.1. Output energy exceeding 0.005 J
per pulse and ‘‘peak power’’ exceeding 5 GW;
or
b.5.a.2. Single transverse mode output and
‘‘average output power’’ exceeding 20 W;
b.5.b. ‘‘Pulse duration’’ equal to or
exceeding 1 ps and not exceeding 1 ms and
any of the following:
b.5.b.1. Output energy exceeding 0.5 J per
pulse and ‘‘peak power’’ exceeding 50 W;
b.5.b.2. Single transverse mode output and
‘‘average output power’’ exceeding 20 W; or
b.5.b.3. Multiple transverse mode output
and ‘‘average output power’’ exceeding 50 W;
or
b.5.c. ‘‘Pulse duration’’ exceeding 1 ms and
any of the following:
b.5.c.1. Output energy exceeding 2 J per
pulse and ‘‘peak power’’ exceeding 50 W;
b.5.c.2. Single transverse mode output and
‘‘average output power’’ exceeding 50 W; or
b.5.c.3. Multiple transverse mode output
and ‘‘average output power’’ exceeding 80 W.
b.6. Output wavelength exceeding 975 nm
but not exceeding 1,150 nm and any of the
following:
b.6.a. ‘‘Pulse duration’’ of less than 1 ps,
and any of the following:
b.6.a.1. Output ‘‘peak power’’ exceeding 2
GW per pulse;
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b.6.a.2. ‘‘Average output power’’ exceeding
30 W; or
b.6.a.3. Output energy exceeding 0.002 J
per pulse;
b.6.b. ‘‘Pulse duration’’ equal to or
exceeding 1 ps and less than 1 ns, and any
of the following:
b.6.b.1. Output ‘‘peak power’’ exceeding 5
GW per pulse;
b.6.b.2. ‘‘Average output power’’ exceeding
50 W; or
b.6.b.3. Output energy exceeding 0.1 J per
pulse;
b.6.c. ‘‘Pulse duration’’ equal to or
exceeding 1 ns but not exceeding 1 ms and
any of the following:
b.6.c.1. Single transverse mode output and
any of the following:
b.6.c.1.a. ‘‘Peak power’’ exceeding 100
MW;
b.6.c.1.b. ‘‘Average output power’’
exceeding 20 W limited by design to a
maximum pulse repetition frequency less
than or equal to 1 kHz;
b.6.c.1.c. ‘Wall-plug efficiency’ exceeding
12%, ‘‘average output power’’ exceeding 100
W and capable of operating at a pulse
repetition frequency greater than 1 kHz;
b.6.c.1.d. ‘‘Average output power’’
exceeding 150 W and capable of operating at
a pulse repetition frequency greater than 1
kHz; or
b.6.c.1.e. Output energy exceeding 2 J per
pulse; or
b.6.c.2. Multiple transverse mode output
and any of the following:
b.6.c.2.a. ‘‘Peak power’’ exceeding 400
MW;
b.6.c.2.b. ‘Wall-plug efficiency’ exceeding
18% and ‘‘average output power’’ exceeding
500 W;
b.6.c.2.c. ‘‘Average output power’’
exceeding 2 kW; or
b.6.c.2.d. Output energy exceeding 4 J per
pulse; or
b.6.d. ‘‘Pulse duration’’ exceeding 1 ms and
any of the following:
b.6.d.1. Single transverse mode output and
any of the following:
b.6.d.1.a. ‘‘Peak power’’ exceeding 500 kW;
b.6.d.1.b. ‘Wall-plug efficiency’ exceeding
12% and ‘‘average output power’’ exceeding
100 W; or
b.6.d.1.c. ‘‘Average output power’’
exceeding 150 W; or
b.6.d.2. Multiple transverse mode output
and any of the following:
b.6.d.2.a. ‘‘Peak power’’ exceeding 1 MW;
b.6.d.2.b. ‘Wall-plug efficiency’ exceeding
18% and ‘‘average output power’’ exceeding
500 W; or
b.6.d.2.c. ‘‘Average output power’’
exceeding 2 kW;
b.7. Output wavelength exceeding 1,150
nm but not exceeding 1,555 nm and any of
the following:
b.7.a. ‘‘Pulse duration’’ not exceeding 1 ms
and any of the following:
b.7.a.1. Output energy exceeding 0.5 J per
pulse and ‘‘peak power’’ exceeding 50 W;
b.7.a.2. Single transverse mode output and
‘‘average output power’’ exceeding 20 W; or
b.7.a.3. Multiple transverse mode output
and ‘‘average output power’’ exceeding 50 W;
or
b.7.b. ‘‘Pulse duration’’ exceeding 1 ms and
any of the following:
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b.7.b.1. Output energy exceeding 2 J per
pulse and ‘‘peak power’’ exceeding 50 W;
b.7.b.2. Single transverse mode output and
‘‘average output power’’ exceeding 50 W; or
b.7.b.3. Multiple transverse mode output
and ‘‘average output power’’ exceeding 80 W;
b.8. Output wavelength exceeding 1,555
nm but not exceeding 1,850 nm, and any of
the following:
b.8.a. Output energy exceeding 100 mJ per
pulse and ‘‘peak power’’ exceeding 1 W; or
b.8.b. ‘‘Average output power’’ exceeding 1
W;
b.9. Output wavelength exceeding 1,850
nm but not exceeding 2,100 nm, and any of
the following:
b.9.a. Single transverse mode and any of
the following:
b.9.a.1. Output energy exceeding 100 mJ
per pulse and ‘‘peak power’’ exceeding 1 W;
or
b.9.a.2. ‘‘Average output power’’ exceeding
1 W;
b.9.b. Multiple transverse mode and any of
the following:
b.9.b.1. Output energy exceeding 100 mJ
per pulse and ‘‘peak power’’ exceeding 10
kW; or
b.9.b.2. ‘‘Average output power’’ exceeding
120 W; or
b.10. Output wavelength exceeding 2,100
nm and any of the following:
b.10.a. Output energy exceeding 100 mJ per
pulse and ‘‘peak power’’ exceeding 1 W; or
b.10.b. ‘‘Average output power’’ exceeding
1 W;
c. ‘‘Tunable’’ lasers having any of the
following:
c.1. Output wavelength less than 600 nm
and any of the following:
c.1.a. Output energy exceeding 50 mJ per
pulse and ‘‘peak power’’ exceeding 1 W; or
c.1.b. Average or CW output power
exceeding 1W;
Note: 6A005.c.1 does not apply to dye
‘‘lasers’’ or other liquid ‘‘lasers,’’ having a
multimode output and a wavelength of 150
nm or more but not exceeding 600 nm and
all of the following:
1. Output energy less than 1.5 J per pulse
or a ‘‘peak power’’ less than 20 W; and
2. Average or CW output power less than
20 W.
c.2. Output wavelength of 600 nm or more
but not exceeding 1,400 nm, and any of the
following:
c.2.a. Output energy exceeding 1 J per
pulse and ‘‘peak power’’ exceeding 20 W; or
c.2.b. Average or CW output power
exceeding 20 W; or
c.3. Output wavelength exceeding 1,400
nm and any of the following:
c.3.a. Output energy exceeding 50 mJ per
pulse and ‘‘peak power’’ exceeding 1 W; or
c.3.b. Average or CW output power
exceeding 1 W;
d. Other ‘‘lasers’’, not controlled by
6A005.a, 6A005.b, or 6A005.c as follows:
d.1. Semiconductor ‘‘lasers’’ as follows:
Note:
1. 6A005.d.1 includes semiconductor
‘‘lasers’’ having optical output connectors
(e.g., fiber optic pigtails).
2. The control status of semiconductor
‘‘lasers’’ ‘‘specially designed’’ for other
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equipment is determined by the control
status of the other equipment.
d.1.a. Individual single transverse mode
semiconductor ‘‘lasers’’ having any of the
following:
d.1.a.1. Wavelength equal to or less than
1,510 nm and average or CW output power,
exceeding 1.5 W; or
d.1.a.2. Wavelength greater than 1,510 nm
and average or CW output power, exceeding
500 mW;
d.1.b. Individual, multiple-transverse mode
semiconductor ‘‘lasers’’ having any of the
following:
d.1.b.1. Wavelength of less than 1,400 nm
and average or CW output power, exceeding
15 W;
d.1.b.2. Wavelength equal to or greater than
1,400 nm and less than 1,900 nm and average
or CW output power, exceeding 2.5 W; or
d.1.b.3. Wavelength equal to or greater than
1,900 nm and average or CW output power,
exceeding 1 W;
d.1.c. Individual semiconductor ‘‘laser’’
‘bars’ having any of the following:
d.1.c.1. Wavelength of less than 1,400 nm
and average or CW output power, exceeding
100 W;
d.1.c.2. Wavelength equal to or greater than
1,400 nm and less than 1,900 nm and average
or CW output power, exceeding 25 W; or
d.1.c.3. Wavelength equal to or greater than
1,900 nm and average or CW output power,
exceeding 10 W;
d.1.d. Semiconductor ‘‘laser’’ ‘stacked
arrays’ (two dimensional arrays) having any
of the following:
d.1.d.1. Wavelength less than 1,400 nm
and having any of the following:
d.1.d.1.a. Average or CW total output
power less than 3 kW and having average or
CW output ‘power density’ greater than 500
W/cm2;
d.1.d.1.b. Average or CW total output
power equal to or exceeding 3 kW but less
than or equal to 5 kW, and having average
or CW output ‘power density’ greater than
350W/cm2;
d.1.d.1.c. Average or CW total output
power exceeding 5 kW;
d.1.d.1.d. Peak pulsed ‘power density’
exceeding 2,500 W/cm2; or
Note: 6A005.d.1.d.1.d does not apply to
epitaxially-fabricated monolithic devices.
d.1.d.1.e. Spatially coherent average or CW
total output power, greater than 150 W;
d.1.d.2. Wavelength greater than or equal
to 1,400 nm but less than 1,900 nm, and
having any of the following:
d.1.d.2.a. Average or CW total output
power less than 250 W and average or CW
output ‘power density’ greater than 150 W/
cm2;
d.1.d.2.b. Average or CW total output
power equal to or exceeding 250 W but less
than or equal to 500 W, and having average
or CW output ‘power density’ greater than
50W/cm2;
d.1.d.2.c. Average or CW total output
power exceeding 500 W;
d.1.d.2.d. Peak pulsed ‘power density’
exceeding 500 W/cm2; or
Note: 6A005.d.1.d.2.d does not apply to
epitaxially-fabricated monolithic devices.
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d.1.d.2.e. Spatially coherent average or CW
total output power, exceeding 15 W;
d.1.d.3. Wavelength greater than or equal
to 1,900 nm and having any of the following:
d.1.d.3.a. Average or CW output ‘power
density’ greater than 50 W/cm2;
d.1.d.3.b. Average or CW output power
greater than 10 W; or
d.1.d.3.c. Spatially coherent average or CW
total output power, exceeding 1.5 W; or
d.1.d.4. At least one ‘‘laser’’ ‘bar’ specified
by 6A005.d.1.c;
Technical Note: For the purposes of
6A005.d.1.d, ‘power density’ means the total
‘‘laser’’ output power divided by the emitter
surface area of the ‘stacked array’.
d.1.e. Semiconductor ‘‘laser’’ ‘stacked
arrays’, other than those specified by
6.A005.d.1.d., having all of the following:
d.1.e.1. ‘‘Specially designed’’ or modified
to be combined with other ‘stacked arrays’ to
form a larger ‘stacked array’; and
d.1.e.2. Integrated connections, common
for both electronics and cooling;
Note 1: ‘Stacked arrays’, formed by
combining semiconductor ‘‘laser’’ ‘stacked
arrays’ specified by 6A005.d.1.e, that are not
designed to be further combined or modified
are specified by 6A005.d.1.d.
Note 2: ‘Stacked arrays’, formed by
combining semiconductor ‘‘laser’’ ‘stacked
arrays’ specified by 6A005.d.1.e, that are
designed to be further combined or modified
are specified by 6A005.d.1.e.
Note 3: 6A005.d.1.e does not apply to
modular assemblies of single ‘bars’ designed
to be fabricated into end to end stacked linear
arrays.
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Technical Notes:
1. Semiconductor ‘‘lasers’’ are commonly
called ‘‘laser’’ diodes.
2. A ‘bar’ (also called a semiconductor
‘‘laser’’ ‘bar’, a ‘‘laser’’ diode ‘bar’ or diode
‘bar’) consists of multiple semiconductor
‘‘lasers’’ in a one dimensional array.
3. A ‘stacked array’ consists of multiple
‘bars’ forming a two dimensional array of
semiconductor ‘‘lasers’’.
d.2. Carbon monoxide (CO) ‘‘lasers’’ having
any of the following:
d.2.a. Output energy exceeding 2 J per
pulse and ‘‘peak power’’ exceeding 5 kW; or
d.2.b. Average or CW output power,
exceeding 5 kW;
d.3. Carbon dioxide (CO2) ‘‘lasers’’ having
any of the following:
d.3.a. CW output power exceeding 15 kW;
d.3.b. Pulsed output with ‘‘pulse duration’’
exceeding 10 ms and any of the following:
d.3.b.1. ‘‘Average output power’’ exceeding
10 kW; or
d.3.b.2. ‘‘Peak power’’ exceeding 100 kW;
or
d.3.c. Pulsed output with a ‘‘pulse
duration’’ equal to or less than 10 ms and any
of the following:
d.3.c.1. Pulse energy exceeding 5 J per
pulse; or
d.3.c.2. ‘‘Average output power’’ exceeding
2.5 kW;
d.4. Excimer ‘‘lasers’’ having any of the
following:
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d.4.a. Output wavelength not exceeding
150 nm and any of the following:
d.4.a.1. Output energy exceeding 50 mJ per
pulse; or
d.4.a.2. ‘‘Average output power’’ exceeding
1 W;
d.4.b. Output wavelength exceeding 150
nm but not exceeding 190 nm and any of the
following:
d.4.b.1. Output energy exceeding 1.5 J per
pulse; or
d.4.b.2. ‘‘Average output power’’ exceeding
120 W;
d.4.c. Output wavelength exceeding 190
nm but not exceeding 360 nm and any of the
following:
d.4.c.1. Output energy exceeding 10 J per
pulse; or
d.4.c.2. ‘‘Average output power’’ exceeding
500 W; or
d.4.d. Output wavelength exceeding 360
nm and any of the following:
d.4.d.1. Output energy exceeding 1.5 J per
pulse; or
d.4.d.2. ‘‘Average output power’’ exceeding
30 W;
Note: For excimer ‘‘lasers’’ ‘‘specially
designed’’ for lithography equipment, see
3B001.
d.5. ‘‘Chemical lasers’’ as follows:
d.5.a. Hydrogen Fluoride (HF) ‘‘lasers’;
d.5.b. Deuterium Fluoride (DF) ‘‘lasers’’;
d.5.c. ‘‘Transfer lasers’’ as follows:
d.5.c.1. Oxygen Iodine (O2-I) ‘‘lasers’’;
d.5.c.2. Deuterium Fluoride-Carbon
dioxide (DF-CO2) ‘‘lasers’’;
d.6. ‘Non-repetitive pulsed’ Neodymium
(Nd) glass ‘‘lasers’’ having any of the
following:
d.6.a. A ‘‘pulse duration’’ not exceeding 1
ms and output energy exceeding 50 J per
pulse; or
d.6.b. A ‘‘pulse duration’’ exceeding 1 ms
and output energy exceeding 100 J per pulse;
e. ‘‘Components’’ as follows:
e.1. Mirrors cooled either by ‘active
cooling’ or by heat pipe cooling;
Technical Note: ‘Active cooling’ is a
cooling technique for optical ‘‘components’’
using flowing fluids within the subsurface
(nominally less than 1 mm below the optical
surface) of the optical component to remove
heat from the optic.
e.2. Optical mirrors or transmissive or
partially transmissive optical or electrooptical-’’components,’’ other than fused
tapered fiber combiners and Multi-Layer
Dielectric gratings (MLDs), ‘‘specially
designed’’ for use with controlled ‘‘lasers’’;
Note to 6A005.e.2: Fiber combiners and
MLDs are specified by 6A005.e.3.
e.3. Fiber ‘‘laser’’ ‘‘components’’ as follows:
e.3.a. Multimode to multimode fused
tapered fiber combiners having all of the
following:
e.3.a.1. An insertion loss better (less) than
or equal to 0.3 dB maintained at a rated total
average or CW output power (excluding
output power transmitted through the single
mode core if present) exceeding 1,000 W; and
e.3.a.2. Number of input fibers equal to or
greater than 3;
e.3.b. Single mode to multimode fused
tapered fiber combiners having all of the
following:
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38809
e.3.b.1. An insertion loss better (less) than
0.5 dB maintained at a rated total average or
CW output power exceeding 4,600 W;
e.3.b.2. Number of input fibers equal to or
greater than 3; and
e.3.b.3. Having any of the following:
e.3.b.3.a. A Beam Parameter Product (BPP)
measured at the output not exceeding 1.5 mm
mrad for a number of input fibers less than
or equal to 5; or
e.3.b.3.b. A BPP measured at the output not
exceeding 2.5 mm mrad for a number of
input fibers greater than 5;
e.3.c. MLDs having all of the following:
e.3.c.1. Designed for spectral or coherent
beam combination of 5 or more fiber ‘‘lasers;’’
and
e.3.c.2. CW ‘‘Laser’’ Induced Damage
Threshold (LIDT) greater than or equal to 10
kW/cm2;
f. Optical equipment as follows:
N.B.: For shared aperture optical elements,
capable of operating in ‘‘Super-High Power
Laser’’ (‘‘SHPL’’) applications, see the U.S.
Munitions List (22 CFR part 121).
f.1. Dynamic wavefront (phase) measuring
equipment capable of mapping at least 50
positions on a beam wavefront having any
the following:
f.1.a. Frame rates equal to or more than 100
Hz and phase discrimination of at least 5%
of the beam’s wavelength; or
f.1.b. Frame rates equal to or more than
1,000 Hz and phase discrimination of at least
20% of the beam’s wavelength;
f.2. ‘‘Laser’’ diagnostic equipment capable
of measuring ‘‘SHPL’’ system angular beam
steering errors of equal to or less than 10
mrad;
f.3. Optical equipment and ‘‘components,’’
‘‘specially designed’’ for a phased-array
‘‘SHPL’’ system for coherent beam
combination to an ‘‘accuracy’’ of l/10 at the
designed wavelength, or 0.1 mm, whichever
is the smaller;
f.4. Projection telescopes ‘‘specially
designed’’ for use with ‘‘SHPL’’ systems;
g. ‘Laser acoustic detection equipment’
having all of the following:
g.1. CW ‘‘laser’’ output power greater than
or equal to 20 mW;
g.2. ‘‘Laser’’ frequency stability equal to or
better (less) than 10 MHz;
g.3. ‘‘Laser’’ wavelengths equal to or
exceeding 1,000 nm but not exceeding 2,000
nm;
g.4. Optical system resolution better (less)
than 1 nm; and
g.5. Optical Signal to Noise ratio equal or
exceeding to 103.
Technical Note: ‘Laser acoustic detection
equipment’ is sometimes referred to as a
‘‘Laser’’ Microphone or Particle Flow
Detection Microphone.
45. In Supplement No. 1 to part 774
(the Commerce Control List), Category 6,
ECCN 6A008 is revised to read as
follows:
■
6A008 Radar systems, equipment and
assemblies, having any of the following
(see List of Items Controlled), and
‘‘specially designed’’ ‘‘components’’
therefor.
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License Requirements
Reason for Control: NS, MT, RS, AT
Control(s)
NS applies to entire
entry.
MT applies to items that
are designed for airborne applications
and that are usable in
systems controlled for
MT reasons.
RS applies to 6A008.j.1
AT applies to entire
entry.
Country chart
(See Supp. No.1
to part 738)
NS Column 2
MT Column 1
RS Column 1
AT Column 1
Reporting Requirements
See § 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)
LVS: $5000; N/A for MT and for 6A008.j.1.
GBS: Yes, for 6A008.b, .c, and l.1 only
CIV: Yes, for 6A008.b, .c, and l.1 only
Special Conditions for STA
STA: License Exception STA may not be
used to ship any commodity in 6A008.d,
6A008.h or 6A008.k 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) See also ECCNs 6A108
and 6A998. ECCN 6A998 controls, inter
alia, the Light Detection and Ranging
(LIDAR) equipment excluded by the note
to paragraph j of this ECCN (6A008). (2)
See USML Category XII(b) for certain
LIDAR, Laser Detection and Ranging
(LADAR), or range-gated systems subject to
the ITAR.
Related Definitions: N/A
Items:
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Note: 6A008 does not control:
—Secondary surveillance radar (SSR);
—Civil Automotive Radar;
—Displays or monitors used for air traffic
control (ATC);
—Meteorological (weather) radar;
—Precision Approach Radar (PAR)
equipment conforming to ICAO standards
and employing electronically steerable linear
(1-dimensional) arrays or mechanically
positioned passive antennas.
a. Operating at frequencies from 40 GHz to
230 GHz and having any of the following:
a.1. An ‘‘average output power’’ exceeding
100 mW; or
a.2. Locating ‘‘accuracy’’ of 1 m or less
(better) in range and 0.2 degree or less (better)
in azimuth;
b. A tunable bandwidth exceeding ±6.25%
of the ‘center operating frequency’;
Technical Note: The ‘center operating
frequency’ equals one half of the sum of the
highest plus the lowest specified operating
frequencies.
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c. Capable of operating simultaneously on
more than two carrier frequencies;
d. Capable of operating in synthetic
aperture (SAR), inverse synthetic aperture
(ISAR) radar mode, or sidelooking airborne
(SLAR) radar mode;
e. Incorporating electronically steerable
array antennas;
f. Capable of heightfinding non-cooperative
targets;
g. ‘‘Specially designed’’ for airborne
(balloon or airframe mounted) operation and
having Doppler ‘‘signal processing’’ for the
detection of moving targets;
h. Employing processing of radar signals
and using any of the following:
h.1. ‘‘Radar spread spectrum’’ techniques;
or
h.2. ‘‘Radar frequency agility’’ techniques;
i. Providing ground-based operation with a
maximum ‘‘instrumented range’’ exceeding
185 km;
Note: 6A008.i does not control:
a. Fishing ground surveillance radar;
b. Ground radar equipment ‘‘specially
designed’’ for en route air traffic control, and
having all of the following:
1. A maximum ‘‘instrumented range’’ of
500 km or less;
2. Configured so that radar target data can
be transmitted only one way from the radar
site to one or more civil ATC centers;
3. Contains no provisions for remote
control of the radar scan rate from the en
route ATC center; and
4. Permanently installed;
c. Weather balloon tracking radars.
j. Being ‘‘laser’’ radar or Light Detection
and Ranging (LIDAR) equipment and having
any of the following:
j.1. ‘‘Space-qualified’’;
j.2. Employing coherent heterodyne or
homodyne detection techniques and having
an angular resolution of less (better) than 20
mrad (microradians); or
j.3. Designed for carrying out airborne
bathymetric littoral surveys to International
Hydrographic Organization (IHO) Order 1a
Standard (5th Edition February 2008) for
Hydrographic Surveys or better, and using
one or more ‘‘lasers’’ with a wavelength
exceeding 400 nm but not exceeding 600 nm;
Note 1: LIDAR equipment ‘‘specially
designed’’ for surveying is only specified by
6A008.j.3.
Note 2: 6A008.j does not apply to LIDAR
equipment ‘‘specially designed’’ for
meteorological observation.
Note 3: Parameters in the IHO Order 1a
Standard 5th Edition February 2008 are
summarized as follows:
Horizontal Accuracy (95% Confidence
Level) = 5 m + 5% of depth.
Depth Accuracy for Reduced Depths (95%
confidence level) = ±√(a2+(b*d)2) where:
a = 0.5 m = constant depth error, i.e. the
sum of all constant depth errors
b = 0.013 = factor of depth dependant error
b*d = depth dependant error, i.e. the sum
of all depth dependant errors
d = depth
Feature Detection = Cubic features > 2 m
in depths up to 40 m; 10% of depth beyond
40 m.
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k. Having ‘‘signal processing’’ sub-systems
using ‘‘pulse compression’’ and having any of
the following:
k.1. A ‘‘pulse compression’’ ratio exceeding
150; or
k.2. A compressed pulse width of less than
200 ns; or
Note: 6A008.k.2 does not apply to two
dimensional ‘marine radar’ or ‘vessel traffic
service’ radar, having all of the following:
a. ‘‘Pulse compression’’ ratio not exceeding
150;
b. Compressed pulse width of greater than
30 ns;
c. Single and rotating mechanically
scanned antenna;
d. Peak output power not exceeding 250 W;
and
e. Not capable of ‘‘frequency hopping’’.
l. Having data processing sub-systems and
having any of the following:
l.1. ‘‘Automatic target tracking’’ providing,
at any antenna rotation, the predicted target
position beyond the time of the next antenna
beam passage; or
Note: 6A008.l.1 does not control conflict
alert capability in ATC systems, or ‘marine
radar’.
l.2. [Reserved]
l.3. [Reserved]
l.4. Configured to provide superposition
and correlation, or fusion, of target data
within six seconds from two or more
‘‘geographically dispersed’’ radar sensors to
improve the aggregate performance beyond
that of any single sensor specified by
6A008.f, or 6A008.i.
N.B.: See also the U.S. Munitions List (22
CFR part 121).
Note: 6A008.l does not apply to systems,
equipment and assemblies designed for
‘vessel traffic services’.
Technical Notes:
1. For the purposes of 6A008, ‘marine
radar’ is a radar that is used to navigate safely
at sea, inland waterways or near-shore
environments.
2. For the purposes of 6A008, ‘vessel traffic
service’ is a vessel traffic monitoring and
control service similar to air traffic control
for ‘‘aircraft.’’
46. In Supplement No. 1 to part 774
(the Commerce Control List), Category 6,
ECCN 6D003 is revised to read as
follows:
■
6D003 Other ‘‘software’’ as follows (see List
of Items Controlled).
License Requirements
Reason for Control: NS, RS, AT
Control(s)
NS applies to entire
entry.
RS applies to paragraph
c.
AT applies to entire
entry.
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(See Supp. No.1
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RS Column 1
AT Column 1
Federal Register / Vol. 82, No. 156 / Tuesday, August 15, 2017 / Rules and Regulations
Reporting Requirements
Magnetic and Electric Field Sensors
See § 743.1 of the EAR for reporting
requirements for exports under License
Exceptions, and Validated End-User
authorizations
f. ‘‘Software’’ as follows:
f.1. ‘‘Software’’ ‘‘specially designed’’ for
magnetic and electric field ‘‘compensation
systems’’ for magnetic sensors designed to
operate on mobile platforms;
f.2. ‘‘Software’’ ‘‘specially designed’’ for
magnetic and electric field anomaly detection
on mobile platforms;
f.3. ‘‘Software’’ ‘‘specially designed’’ for
‘‘real-time processing’’ of electromagnetic
data using underwater electromagnetic
receivers specified by 6A006.e;
f.4. ‘‘Source code’’ for ‘‘real-time
processing’’ of electromagnetic data using
underwater electromagnetic receivers
specified by 6A006.e;
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
CIV: Yes for 6D003.h.1
TSR: Yes, except for 6D003.c and exports or
reexports to destinations outside of those
countries listed in Country Group A:5 (See
Supplement No. 1 to part 740 of the EAR)
of ‘‘software’’ for items controlled by
6D003.a.
Special Conditions for STA
STA: License Exception STA may not be
used to ship or transmit software in
6D003.a to any of the destinations listed in
Country Group A:6 (See Supplement No.1
to part 740 of the EAR).
Gravimeters
g. ‘‘Software’’ ‘‘specially designed’’ to
correct motional influences of gravity meters
or gravity gradiometers;
List of Items Controlled
Radar
Related Controls: See also ECCNs 6D103,
6D991, and 6D993.
Related Definitions: N/A
Items:
h. ‘‘Software’’ as follows:
h.1. Air Traffic Control (ATC) ‘‘software’’
application ‘‘programs’’ designed to be
hosted on general purpose computers located
at Air Traffic Control centers and capable of
accepting radar target data from more than
four primary radars;
h.2. ‘‘Software’’ for the design or
‘‘production’’ of radomes and having all of
the following:
h.2.a. ‘‘Specially designed’’ to protect the
‘‘electronically steerable phased array
antennae’’ controlled by 6A008.e.; and
h.2.b. Resulting in an antenna pattern
having an ‘average side lobe level’ more than
40 dB below the peak of the main beam level.
Acoustics
a. ‘‘Software’’ as follows:
a.1. ‘‘Software’’ ‘‘specially designed’’ for
acoustic beam forming for the ‘‘real-time
processing’’ of acoustic data for passive
reception using towed hydrophone arrays;
a.2. ‘‘Source code’’ for the ‘‘real-time
processing’’ of acoustic data for passive
reception using towed hydrophone arrays;
a.3. ‘‘Software’’ ‘‘specially designed’’ for
acoustic beam forming for the ‘‘real-time
processing’’ of acoustic data for passive
reception using bottom or bay cable systems;
a.4. ‘‘Source code’’ for the ‘‘real-time
processing’’ of acoustic data for passive
reception using bottom or bay cable systems;
a.5. ‘‘Software’’ or ‘‘source code’’,
‘‘specially designed’’ for all of the following:
a.5.a. ‘‘Real-time processing’’ of acoustic
data from sonar systems controlled by
6A001.a.1.e; and
a.5.b. Automatically detecting, classifying
and determining the location of divers or
swimmers;
N.B.: For diver detection ‘‘software’’ or
‘‘source code’’, ‘‘specially designed’’ or
modified for military use, see the U.S.
Munitions List of the International Traffic in
Arms Regulations (ITAR) (22 CFR part 121).
b. Optical sensors. None.
Technical Note: ‘Average side lobe level’ in
6D003.h.2.b is measured over the entire array
excluding the angular extent of the main
beam and the first two side lobes on either
side of the main beam.
6E003 Other ‘‘technology’’ as follows (see
List of Items Controlled).
License Requirements
Reason for Control: NS, AT
Control(s)
mstockstill on DSK30JT082PROD with RULES2
NS applies to entire
entry.
AT applies to entire
entry.
Optics
d. ‘‘Software’’ specially designed to
maintain the alignment and phasing of
segmented mirror systems consisting of
mirror segments having a diameter or major
axis length equal to or larger than 1 m;
e. Lasers. None.
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Acoustics
a. [Reserved]
Optical Sensors
b. [Reserved]
Cameras
c. [Reserved]
Optics
d. ‘‘Technology’’ as follows:
d.1. ‘‘Technology’’ ‘‘required’’ for the
coating and treatment of optical surfaces to
achieve an ‘optical thickness’ uniformity of
99.5% or better for optical coatings 500 mm
or more in diameter or major axis length and
with a total loss (absorption and scatter) of
less than 5 × 10¥3;
N.B.: See also 2E003.f.
Technical Note: ‘Optical thickness’ is the
mathematical product of the index of
refraction and the physical thickness of the
coating.
d.2. ‘‘Technology’’ for the fabrication of
optics using single point diamond turning
techniques to produce surface finish
‘‘accuracies’’ of better than 10 nm rms on
non-planar surfaces exceeding 0.5 m2;
Lasers
e. ‘‘Technology’’ ‘‘required’’ for the
‘‘development,’’ ‘‘production’’ or ‘‘use’’ of
‘‘specially designed’’ diagnostic instruments
or targets in test facilities for ‘‘SHPL’’ testing
or testing or evaluation of materials
irradiated by ‘‘SHPL’’ beams;
Magnetic and Electric Field Sensors
f. [Reserved]
Gravimeters
g. [Reserved]
Radar
h. [Reserved]
48. In Supplement No. 1 to part 774
(the Commerce Control List), Category 7,
ECCN 7D003 is revised to read as
follows:
■
47. In Supplement No. 1 to part 774
(the Commerce Control List), Category 6,
ECCN 6E003 is revised to read as
follows:
■
Cameras
c. ‘‘Software’’ designed or modified for
cameras incorporating ‘‘focal plane arrays’’
specified by 6A002.a.3.f and designed or
modified to remove a frame rate restriction
and allow the camera to exceed the frame
rate specified in 6A003.b.4 Note 3.a;
38811
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(See Supp. No.1
to part 738)
NS Column 1
AT Column 1
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
CIV: N/A
TSR: Yes
List of Items Controlled
Related Controls: See also 6E993
Related Definitions: N/A
Items:
PO 00000
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7D003 Other ‘‘software’’ as follows (see List
of Items Controlled).
License Requirements
Reason for Control: NS, MT, AT
Control(s)
NS applies to entire
entry.
MT applies to ‘‘software’’ for equipment
controlled for MT reasons. MT does not
apply to ‘‘software’’ for
equipment controlled
by 7A008.
AT applies to entire
entry.
Country chart
(See Supp. No.1
to part 738)
NS Column 1
MT Column 1
AT Column 1
Reporting Requirements
See § 743.1 of the EAR for reporting
requirements for exports under License
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Exceptions, and Validated End-User
authorizations.
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
CIV: N/A
TSR: N/A
Special Conditions for STA
STA: License Exception STA may not be
used to ship or transmit software in
7D003.a or .b 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: See also 7D103 and 7D994.
Related Definitions: ‘Data-Based Referenced
Navigation’ (‘DBRN’) systems are systems
which use various sources of previously
measured geo-mapping data integrated to
provide accurate navigation information
under dynamic conditions. Data sources
include bathymetric maps, stellar maps,
gravity maps, magnetic maps or 3–D digital
terrain maps.
Items:
a. ‘‘Software’’ ‘‘specially designed’’ or
modified to improve the operational
performance or reduce the navigational error
of systems to the levels controlled by 7A003,
7A004 or 7A008;
b. ‘‘Source code’’ for hybrid integrated
systems which improves the operational
performance or reduces the navigational error
of systems to the level controlled by 7A003
or 7A008 by continuously combining
heading data with any of the following:
b.1. Doppler radar or sonar velocity data;
b.2. Global Navigation Satellite Systems
(GNSS) reference data; or
b.3. Data from ‘Data-Based Referenced
Navigation’ (‘DBRN’’) systems;
c. [Reserved]
d. [Reserved]
N.B. For flight control ‘‘source code,’’ see
7D004.
e. Computer-Aided-Design (CAD)
‘‘software’’ ‘‘specially designed’’ for the
‘‘development’’ of ‘‘active flight control
systems’’, helicopter multi-axis fly-by-wire or
fly-by-light controllers or helicopter
‘‘circulation controlled anti-torque or
circulation-controlled direction control
systems’’, whose ‘‘technology’’ is controlled
by 7E004.b.1, 7E004.b.3 to b.5, 7E004.b.7 to
b.8, 7E004.c.1 or 7E004.c.2.
49. In Supplement No. 1 to part 774
(the Commerce Control List), Category 7,
ECCN 7D004 is revised to read as
follows:
■
mstockstill on DSK30JT082PROD with RULES2
7D004 ‘‘Source code’’ incorporating
‘‘development’’ ‘‘technology’’ specified
by 7E004.a.2, a.3, a.5, a.6 or 7E004.b, for
any of the following: (see List of Items
Controlled).
License Requirements
Reason for Control: NS, AT
Control(s)
NS applies to entire
entry.
VerDate Sep<11>2014
Country chart
(See Supp. No.1
to part 738)
NS Column 1
20:53 Aug 14, 2017
Jkt 241001
Country chart
(See Supp. No.1
to part 738)
Control(s)
AT applies to entire
entry.
AT Column 1
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
CIV: N/A
TSR: N/A
Special Conditions for STA
STA: License Exception STA may not be
used to ship or transmit ‘‘software’’ in
7D004.a to .d and .g 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: See 7D103 and 7D994
Related Definitions: N/A
Items:
a. Digital flight management systems for
‘‘total control of flight’’;
b. Integrated propulsion and flight control
systems;
c. ‘‘Fly-by-wire systems’’ or ‘‘fly-by-light
systems‘‘;
d. Fault-tolerant or self-reconfiguring
‘‘active flight control systems’’;
e. [Reserved];
f. Air data systems based on surface static
data; or
g. Three dimensional displays.
Note: 7D004 does not apply to ‘‘source
code’’ associated with common computer
elements and utilities (e.g., input signal
acquisition, output signal transmission,
computer program and data loading, built-in
test, task scheduling mechanisms) not
providing a specific flight control system
function.
50. In Supplement No. 1 to part 774
(the Commerce Control List), Category 7,
ECCN 7E001 is revised to read as
follows:
■
7E001 ‘‘Technology’’ according to the
General Technology Note for the
‘‘development’’ of equipment or
‘‘software,’’ specified by 7A. (except
7A994), 7B. (except 7B994), 7D001,
7D002, 7D003 or 7D005.
License Requirements
Reason for Control: NS, MT, RS, AT
Control(s)
NS applies to ‘‘technology’’ for items controlled by 7A001 to
7A004, 7A006,
7A008, 7B001 to
7B003, 7D001 to
7D005.
PO 00000
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(See Supp. No.1
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NS Column 1
Country chart
(See Supp. No.1
to part 738)
Control(s)
MT applies to technology for equipment
controlled for MT reasons. MT does not
apply to ‘‘technology’’
for equipment controlled by 7A008. MT
does apply to ‘‘technology’’ for equipment
specified in 7A001,
7A002 or 7A003.d
that meets or exceeds
parameters of 7A101,
7A102 or 7A103.
RS applies to ‘‘technology’’ for inertial
navigation systems or
inertial equipment,
and ‘‘components’’
therefor, for 9A991.b
aircraft.
AT applies to entire
entry.
MT Column 1
RS Column 1
AT Column 1
Reporting Requirements
See § 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)
CIV: N/A
TSR: N/A
Special Conditions for STA
STA: License Exception STA may not be
used to ship or transmit any technology in
this entry 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) See also 7E101 and
7E994. (2) The ‘‘technology’’ related to
7A003.b, 7A005, 7A103.b, 7A105, 7A106,
7A115, 7A116, 7A117, 7B103, software in
7D101 specified in the Related Controls
paragraph of ECCN 7D101, 7D102.a, or
7D103 is ‘‘subject to the ITAR’’ (see 22 CFR
parts 120 through 130).
Related Definitions: N/A
Items:
The list of items controlled is contained in
the ECCN heading.
Note: 7E001 includes key management
‘‘technology’’ exclusively for equipment
specified in 7A005.a.
51. In Supplement No. 1 to part 774
(the Commerce Control List), Category 7,
ECCN 7E003 is revised to read as
follows:
■
7E003 ‘‘Technology’’ according to the
General Technology Note for the repair,
refurbishing or overhaul of equipment
controlled by 7A001 to 7A004.
License Requirements
Reason for Control: NS, MT, AT
Sfmt 4700
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Control(s)
NS applies to entire
entry.
MT applies to entire
entry.
AT applies to entire
entry.
Country chart
(See Supp. No.1
to part 738)
NS Column 1
MT Column 1
AT Column 1
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
CIV: N/A
TSR: N/A
List of Items Controlled
Related Controls: See also 7E994. This entry
does not control ‘‘technology’’ for
maintenance directly associated with
calibration, removal or replacement of
damaged or unserviceable LRUs and SRAs
of a ‘‘civil aircraft’’ as described in
‘Maintenance Level I’ or ‘Maintenance
Level II’.
Related Definition: Refer to the Related
Definitions for 7B001 for ‘Maintenance
Level I’ or ‘Maintenance Level II’.
Items:
The list of items controlled is contained in
the ECCN heading.
52. In Supplement No. 1 to part 774
(the Commerce Control List), Category 7,
ECCN 7E004 is revised to read as
follows:
■
7E004 Other ‘‘technology’’ as follows (see
List of Items Controlled).
License Requirements
Reason for Control: NS, MT, AT
Control(s)
NS applies to entire
entry.
MT applies to ‘‘technology’’ for equipment
or systems controlled
for MT reasons.
AT applies to entire
entry.
Country chart
(See Supp. No.1
to part 738)
NS Column 1
MT Column 1
AT Column 1
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
CIV: N/A
TSR: N/A
mstockstill on DSK30JT082PROD with RULES2
Special Conditions for STA
STA: (1) Paragraph (c)(1) of License
Exception STA (§ 740.20(c)(1) of the EAR)
may not be used for 7E004, except for
7E004.a.7. (2) Paragraph (c)(2) of License
Exception STA (§ 740.20(c)(2) of the EAR)
may not be used for 7E004, except for
7E004.a.7.
List of Items Controlled
Related Controls: (1) See also 7E001, 7E002,
7E101, and 7E994. (2) In addition to the
Related Controls in 7E001, 7E002, and
7E101 that include MT controls, also see
the MT controls in 7E104 for design
‘‘technology’’ for the integration of the
flight control, guidance, and propulsion
VerDate Sep<11>2014
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Jkt 241001
data into a flight management system,
designed or modified for rockets or
missiles capable of achieving a ‘‘range’’
equal to or greater than 300 km, for
optimization of rocket system trajectory;
and also see 9E101 for design ‘‘technology’’
for integration of air vehicle fuselage,
propulsion system and lifting control
surfaces, designed or modified for
unmanned aerial vehicles capable of
achieving a ‘‘range’’ equal to or greater than
300 km, to optimize aerodynamic
performance throughout the flight regime
of an unmanned aerial vehicle.
Related Definitions: ‘‘Primary flight control’’
means an ‘‘aircraft’’ stability or
maneuvering control using force/moment
generators, i.e., aerodynamic control
surfaces or propulsive thrust vectoring.
Items:
a. ‘‘Technology’’ for the ‘‘development’’ or
‘‘production’’ of any of the following:
a.1. [Reserved]
a.2. Air data systems based on surface
static data only, i.e., which dispense with
conventional air data probes;
a.3. Three dimensional displays for
‘‘aircraft’’;
a.4. [Reserved]
a.5. Electric actuators (i.e.,
electromechanical, electrohydrostatic and
integrated actuator package) ‘‘specially
designed’’ for ‘‘primary flight control’’;
a.6. ‘‘Flight control optical sensor array’’
‘‘specially designed’’ for implementing
‘‘active flight control systems’’; or
a.7. ‘‘DBRN’’ systems designed to navigate
underwater, using sonar or gravity databases,
that provide a positioning ‘‘accuracy’’ equal
to or less (better) than 0.4 nautical miles;
b. ‘‘Development’’ ‘‘technology’’, as
follows, for ‘‘active flight control systems’’
(including ‘‘fly-by-wire systems’’ or ‘‘fly-bylight systems’’):
b.1. Photonic-based ‘‘technology’’ for
sensing ‘‘aircraft’’ or flight control
component state, transferring flight control
data, or commanding actuator movement,
‘‘required’’ for ‘‘fly-by-light systems’’ ‘‘active
flight control systems’’;
b.2. [Reserved]
b.3. Real-time algorithms to analyze
component sensor information to predict and
preemptively mitigate impending
degradation and failures of components
within an ‘‘active flight control system’’;
Note: 7E004.b.3 does not include
algorithms for purpose of off-line
maintenance.
b.4. Real-time algorithms to identify
component failures and reconfigure force and
moment controls to mitigate ‘‘active flight
control system’’ degradations and failures;
Note: 7E004.b.4 does not include
algorithms for the elimination of fault effects
through comparison of redundant data
sources, or off-line pre-planned responses to
anticipated failures.
b.5. Integration of digital flight control,
navigation and propulsion control data, into
a digital flight management system for ‘‘total
control of flight’’;
Note: 7E004.b.5 does not apply to:
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38813
1. ‘‘Technology’’ for integration of digital
flight control, navigation and propulsion
control data, into a digital flight management
system for ‘‘flight path optimization’’;
2. ‘‘Technology’’ for ‘‘aircraft’’ flight
instrument systems integrated solely for
VOR, DME, ILS or MLS navigation or
approaches.
b.6. [Reserved]
b.7. ‘‘Technology’’ ‘‘required’’ for deriving
the functional requirements for ‘‘fly-by-wire
systems’’ having all of the following:
b.7.a. ‘Inner-loop’ airframe stability
controls requiring loop closure rates of 40 Hz
or greater; and
Technical Note: ‘Inner-loop’ refers to
functions of ‘‘active flight control systems’’
that automate airframe stability controls.
b.7.b. Having any of the following:
b.7.b.1. Corrects an aerodynamically
unstable airframe, measured at any point in
the design flight envelope, that would lose
recoverable control if not corrected within
0.5 seconds;
b.7.b.2. Couples controls in two or more
axes while compensating for ‘abnormal
changes in aircraft state’;
Technical Note: ‘Abnormal changes in
aircraft state’ include in-flight structural
damage, loss of engine thrust, disabled
control surface, or destabilizing shifts in
cargo load.
b.7.b.3. Performs the functions specified in
7E004.b.5; or
Note: 7E004.b.7.b.3 does not apply to
autopilots.
b.7.b.4. Enables ’’aircraft’’ to have stable
controlled flight, other than during take-off or
landing, at greater than 18 degrees angle of
attack, 15 degrees side slip, 15 degrees/
second pitch or yaw rate, or 90 degrees/
second roll rate;
b.8. ‘‘Technology’’ ‘‘required’’ for deriving
the functional requirements of ‘‘fly-by-wire
systems’’ to achieve all of the following:
b.8.a. No loss of control of the ’’aircraft’’ in
the event of a consecutive sequence of any
two individual faults within the ‘‘fly-by-wire
system’’; and
b.8.b. Probability of loss of control of the
’’aircraft’’ being less (better) than 1 × 10¥9
failures per flight hour;
Note: 7E004.b does not apply to
‘‘technology’’ associated with common
computer elements and utilities (e.g., input
signal acquisition, output signal
transmission, computer program and data
loading, built-in test, task scheduling
mechanisms) not providing a specific flight
control system function.
c. ‘‘Technology’’ for the ‘‘development’’ of
helicopter systems, as follows:
c.1. Multi-axis fly-by-wire or fly-by-light
controllers, which combine the functions of
at least two of the following into one
controlling element:
c.1.a. Collective controls;
c.1.b. Cyclic controls;
c.1.c. Yaw controls;
c.2. ‘‘Circulation-controlled anti-torque or
circulation-controlled direction control
systems’’;
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c.3. Rotor blades incorporating ‘‘variable
geometry airfoils’’, for use in systems using
individual blade control.
53. In Supplement No. 1 to part 774
(the Commerce Control List), Category 8,
ECCN 8A002 is revised to read as
follows:
■
8A002 Marine systems, equipment, ‘‘parts’’
and ‘‘components,’’ as follows (see List
of Items Controlled).
License Requirements
Reason for Control: NS, AT
Control(s)
NS applies to entire
entry.
AT applies to entire
entry.
Country chart
(see Supp. No. 1 to
part 738)
NS Column 2
AT Column 1
Reporting Requirements
See § 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)
LVS: $5000; N/A for 8A002.o.3.b
GBS: Yes for manipulators for civil end uses
(e.g., underwater oil, gas or mining
operations) controlled by 8A002.i.2 and
having 5 degrees of freedom of movement;
and 8A002.r.
CIV: Yes for manipulators for civil end uses
(e.g., underwater oil, gas or mining
operations) controlled by 8A002.i.2 and
having 5 degrees of freedom of movement;
and 8A002.r.
mstockstill on DSK30JT082PROD with RULES2
Special Conditions for STA
STA: License Exception STA may not be
used to ship any commodity in 8A002.b, h,
j, o.3, or p 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) See also 8A992 and for
underwater communications systems, see
Category 5, Part I—Telecommunications.
(2) See also 8A992 for self-contained
underwater breathing apparatus that is not
controlled by 8A002 or released for control
by the 8A002.q Note. (3) For electronic
imaging systems ‘‘specially designed’’ or
modified for underwater use incorporating
image intensifier tubes specified by
6A002.a.2.a or 6A002.a.2.b, see 6A003.b.3.
(4) For electronic imaging systems
‘‘specially designed’’ or modified for
underwater use incorporating ‘‘focal plane
arrays’’ specified by 6A002.a.3.g, see
6A003.b.4.c. (5) Section 744.9 imposes a
license requirement on commodities
described in 8A002.d if being exported,
reexported, or transferred (in-country) for
use by a military end-user or for
incorporation into an item controlled by
ECCN 0A919.
Related Definitions: N/A
Items:
VerDate Sep<11>2014
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a. Systems, equipment, ‘‘parts’’ and
‘‘components,’’ ‘‘specially designed’’ or
modified for submersible vehicles and
designed to operate at depths exceeding
1,000 m, as follows:
a.1. Pressure housings or pressure hulls
with a maximum inside chamber diameter
exceeding 1.5 m;
a.2. Direct current propulsion motors or
thrusters;
a.3. Umbilical cables, and connectors
therefor, using optical fiber and having
synthetic strength members;
a.4. ‘‘Parts’’ and ‘‘components’’
manufactured from material specified by
ECCN 8C001;
Technical Note: The objective of 8A002.a.4
should not be defeated by the export of
‘syntactic foam’ controlled by 8C001 when an
intermediate stage of manufacture has been
performed and it is not yet in its final
component form.
b. Systems ‘‘specially designed’’ or
modified for the automated control of the
motion of submersible vehicles controlled by
8A001, using navigation data, having closed
loop servo-controls and having any of the
following:
b.1. Enabling a vehicle to move within 10
m of a predetermined point in the water
column;
b.2. Maintaining the position of the vehicle
within 10 m of a predetermined point in the
water column; or
b.3. Maintaining the position of the vehicle
within 10 m while following a cable on or
under the seabed;
c. Fiber optic pressure hull penetrators;
d. Underwater vision systems ‘‘specially
designed’’ or modified for remote operation
with an underwater vehicle, employing
techniques to minimize the effects of back
scatter and including range-gated
illuminators or ‘‘laser’’ systems;
e. [Reserved]
f. [Reserved]
g. Light systems ‘‘specially designed’’ or
modified for underwater use, as follows:
g.1. Stroboscopic light systems capable of
a light output energy of more than 300 J per
flash and a flash rate of more than 5 flashes
per second;
g.2. Argon arc light systems ‘‘specially
designed’’ for use below 1,000 m;
h. ‘‘Robots’’ ‘‘specially designed’’ for
underwater use, controlled by using a
dedicated computer and having any of the
following:
h.1. Systems that control the ‘‘robot’’ using
information from sensors which measure
force or torque applied to an external object,
distance to an external object, or tactile sense
between the ‘‘robot’’ and an external object;
or
h.2. The ability to exert a force of 250 N
or more or a torque of 250 Nm or more and
using titanium based alloys or ‘‘composite’’
‘‘fibrous or filamentary materials’’ in their
structural members;
i. Remotely controlled articulated
manipulators ‘‘specially designed’’ or
modified for use with submersible vehicles
and having any of the following:
i.1. Systems which control the manipulator
using information from sensors which
measure any of the following:
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i.1.a. Torque or force applied to an external
object; or
i.1.b. Tactile sense between the
manipulator and an external object; or
i.2. Controlled by proportional masterslave techniques and having 5 degrees of
‘freedom of movement’ or more;
Technical Note: Only functions having
proportionally related motion control using
positional feedback are counted when
determining the number of degrees of
‘freedom of movement’.
j. Air independent power systems
‘‘specially designed’’ for underwater use, as
follows:
j.1. Brayton or Rankine cycle engine air
independent power systems having any of
the following:
j.1.a. Chemical scrubber or absorber
systems, ‘‘specially designed’’ to remove
carbon dioxide, carbon monoxide and
particulates from recirculated engine
exhaust;
j.1.b. Systems ‘‘specially designed’’ to use
a monoatomic gas;
j.1.c. Devices or enclosures, ‘‘specially
designed’’ for underwater noise reduction in
frequencies below 10 kHz, or special
mounting devices for shock mitigation; or
j.1.d. Systems having all of the following:
j.1.d.1. ‘‘Specially designed’’ to pressurize
the products of reaction or for fuel
reformation;
j.1.d.2. ‘‘Specially designed’’ to store the
products of the reaction; and
j.1.d.3. ‘‘Specially designed’’ to discharge
the products of the reaction against a
pressure of 100 kPa or more;
j.2. Diesel cycle engine air independent
systems having all of the following:
j.2.a. Chemical scrubber or absorber
systems, ‘‘specially designed’’ to remove
carbon dioxide, carbon monoxide and
particulates from recirculated engine
exhaust;
j.2.b. Systems ‘‘specially designed’’ to use
a monoatomic gas;
j.2.c. Devices or enclosures, ‘‘specially
designed’’ for underwater noise reduction in
frequencies below 10 kHz, or special
mounting devices for shock mitigation; and
j.2.d. ‘‘Specially designed’’ exhaust
systems that do not exhaust continuously the
products of combustion;
j.3. ‘‘Fuel cell’’ air independent power
systems with an output exceeding 2 kW and
having any of the following:
j.3.a. Devices or enclosures, ‘‘specially
designed’’ for underwater noise reduction in
frequencies below 10 kHz, or special
mounting devices for shock mitigation; or
j.3.b. Systems having all of the following:
j.3.b.1. ‘‘Specially designed’’ to pressurize
the products of reaction or for fuel
reformation;
j.3.b.2. ‘‘Specially designed’’ to store the
products of the reaction; and
j.3.b.3. ‘‘Specially designed’’ to discharge
the products of the reaction against a
pressure of 100 kPa or more;
j.4. Stirling cycle engine air independent
power systems having all of the following:
j.4.a. Devices or enclosures, ‘‘specially
designed’’ for underwater noise reduction in
frequencies below 10 kHz, or special
mounting devices for shock mitigation; and
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j.4.b. ‘‘Specially designed’’ exhaust systems
which discharge the products of combustion
against a pressure of 100 kPa or more;
k. through n. [Reserved]
o. Propellers, power transmission systems,
power generation systems and noise
reduction systems, as follows:
o.1. [Reserved]
o.2. Water-screw propeller, power
generation systems or transmission systems,
designed for use on vessels, as follows:
o.2.a. Controllable-pitch propellers and
hub assemblies, rated at more than 30 MW;
o.2.b. Internally liquid-cooled electric
propulsion engines with a power output
exceeding 2.5 MW;
o.2.c. ‘‘Superconductive’’ propulsion
engines or permanent magnet electric
propulsion engines, with a power output
exceeding 0.1 MW;
o.2.d. Power transmission shaft systems
incorporating ‘‘composite’’ material ‘‘parts’’
or ‘‘components’’ and capable of transmitting
more than 2 MW;
o.2.e. Ventilated or base-ventilated
propeller systems, rated at more than 2.5
MW;
o.3. Noise reduction systems designed for
use on vessels of 1,000 tonnes displacement
or more, as follows:
o.3.a. Systems that attenuate underwater
noise at frequencies below 500 Hz and
consist of compound acoustic mounts for the
acoustic isolation of diesel engines, diesel
generator sets, gas turbines, gas turbine
generator sets, propulsion motors or
propulsion reduction gears, ‘‘specially
designed’’ for sound or vibration isolation
and having an intermediate mass exceeding
30% of the equipment to be mounted;
o.3.b. ‘Active noise reduction or
cancellation systems’ or magnetic bearings,
‘‘specially designed’’ for power transmission
systems;
Technical Note: ‘Active noise reduction or
cancellation systems’ incorporate electronic
control systems capable of actively reducing
equipment vibration by the generation of
anti-noise or anti-vibration signals directly to
the source.
p. Pumpjet propulsion systems having all
of the following:
p.1. Power output exceeding 2.5 MW; and
p.2. Using divergent nozzle and flow
conditioning vane techniques to improve
propulsive efficiency or reduce propulsiongenerated underwater-radiated noise;
q. Underwater swimming and diving
equipment as follows;
q.1. Closed circuit rebreathers;
q.2. Semi-closed circuit rebreathers;
Note: 8A002.q does not control individual
rebreathers for personal use when
accompanying their users.
N.B. For equipment and devices ‘‘specially
designed’’ for military use see ECCN 8A620.f.
r. Diver deterrent acoustic systems
‘‘specially designed’’ or modified to disrupt
divers and having a sound pressure level
equal to or exceeding 190 dB (reference 1 mPa
at 1 m) at frequencies of 200 Hz and below.
Note 1: 8A002.r does not apply to diver
deterrent systems based on under-waterexplosive devices, air guns or combustible
sources.
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Note 2: 8A002.r includes diver deterrent
acoustic systems that use spark gap sources,
also known as plasma sound sources.
54. In Supplement No. 1 to part 774
(the Commerce Control List), Category 8,
ECCN 8C001 is revised to read as
follows:
■
8C001 ‘Syntactic foam’ designed for
underwater use and having all of the
following (see List of Items Controlled).
License Requirements
Reason for Control: NS, AT
Control(s)
NS applies to entire
entry.
AT applies to entire
entry.
Country Chart
(see Supp. No.1
to part 738)
NS Column 2
AT Column 1
List Based License Exceptions (see Part 740
for a Description of All License Exceptions)
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Related Controls: See also 8A002.a.4.
Related Definition: ‘Syntactic foam’ consists
of hollow spheres of plastic or glass
embedded in a resin ‘‘matrix.’’
Items:
a. Designed for marine depths exceeding
1,000 m; and
b. A density less than 561 kg/m3.
55. In Supplement No. 1 to part 774
(the Commerce Control List), Category 9,
ECCN 9A001 is revised to read as
follows:
■
9A001 Aero gas turbine engines having any
of the following (see List of Items
Controlled).
License Requirements
Reason for Control: NS, MT, AT
Control(s)
NS applies to entire
entry.
MT applies to only to
those engines that
meet the characteristics listed in 9A101.
AT applies to entire
entry.
Country Chart
(See Supp. No. 1
to part 738)
NS Column 1
MT Column 1
AT Column 1
List of Items Controlled
Related Controls: See also 9A101 and 9A991
Related Definitions: N/A
Items:
a. Incorporating any of the ‘‘technologies’’
controlled by 9E003.a, 9E003.h, or 9E003.i; or
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Note 1: 9A001.a. does not control aero gas
turbine engines which meet all of the
following:
a. Certified by the civil aviation authority
in a country listed in Supplement No. 1 to
Part 743; and
b. Intended to power non-military manned
‘‘aircraft’’ for which any of the following has
been issued by a Wassenaar Arrangement
Participating State listed in Supplement No.
1 to Part 743 for the ‘‘aircraft’’ with this
specific engine type:
b.1. A civil type certificate; or
b.2. An equivalent document recognized by
the International Civil Aviation Organization
(ICAO).
Note 2: 9A001.a does not apply to aero gas
turbine engines for Auxiliary Power Units
(APUs) approved by the civil aviation
authority in a Wassenaar Arrangement
Participating State (see Supplement No. 1 to
part 743 of the EAR).
b. Designed to power an ‘‘aircraft’’
designed to cruise at Mach 1 or higher, for
more than 30 minutes.
56. In Supplement No. 1 to part 774
(the Commerce Control List), Category 9,
ECCN 9A004 is revised to read as
follows:
■
9A004 Space launch vehicles and
‘‘spacecraft,’’ ‘‘spacecraft buses,’’
‘‘spacecraft payloads,’’ ‘‘spacecraft’’ onboard systems or equipment, and
terrestrial equipment, as follows (see
List of Items Controlled).
License Requirements
Reason for Control: NS and AT
Control(s)
NS applies to 9A004.u,
.v, .w and .x.
AT applies to 9A004.u,
.v, .w, .x and .y.
Country chart
(see Supp. No.1
to part 738)
NS Column 1
AT Column 1
License Requirements Note: 9A004.b
through .f are controlled under ECCN 9A515.
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
LVS: N/A
GBS: N/A
CIV: N/A
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List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Related Controls: (1) See also 9A104, 9A515,
and 9B515. (2) See ECCNs 9E001
(‘‘development’’) and 9E002
(‘‘production’’) for technology for items
controlled by this entry. (3) See USML
Categories IV for the space launch vehicles
and XV for other spacecraft that are
‘‘subject to the ITAR’’ (see 22 CFR parts
120 through 130).
Related Definition: N/A
Items:
a. Space launch vehicles;
b. ‘‘Spacecraft’’;
c. ‘‘Spacecraft buses’’;
d. ‘‘Spacecraft payloads’’ incorporating
items specified by 3A001.b.1.a.4, 3A002.g,
5A001.a.1, 5A001.b.3, 5A002.c, 5A002.e,
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6A002.a.1, 6A002.a.2, 6A002.b, 6A002.d,
6A003.b, 6A004.c, 6A004.e, 6A008.d,
6A008.e, 6A008.k, 6A008.l or 9A010.c;
e. On-board systems or equipment,
specially designed for ‘‘spacecraft’’ and
having any of the following functions:
e.1. ‘Command and telemetry data
handling’;
Note: For the purpose of 9A004.e.1,
‘command and telemetry data handling’
includes bus data management, storage, and
processing.
e.2. ‘Payload data handling’; or
Note: For the purpose of 9A004.e.2,
‘payload data handling’ includes payload
data management, storage, and processing.
e.3. ‘Attitude and orbit control’;
Note: For the purpose of 9A004.e.3,
‘attitude and orbit control’ includes sensing
and actuation to determine and control the
position and orientation of a ‘‘spacecraft’’.
N.B.: Equipment specially designed for
military use is ‘‘subject to the ITAR’’. See 22
CFR parts 120 through 130.
f. Terrestrial equipment specially designed
for ‘‘spacecraft,’’ as follows:
f.1. Telemetry and telecommand
equipment;
f.2. Simulators.
g. through t. [Reserved]
u. The James Webb Space Telescope
(JWST) being developed, launched, and
operated under the supervision of the U.S.
National Aeronautics and Space
Administration (NASA).
v. ‘‘Parts,’’ ‘‘components,’’ ‘‘accessories’’
and ‘‘attachments’’ that are ‘‘specially
designed’’ for the James Webb Space
Telescope and that are not:
v.1. Enumerated or controlled in the
USML;
v.2. Microelectronic circuits;
v.3. Described in ECCNs 7A004 or 7A104;
or
v.4. Described in an ECCN containing
‘‘space-qualified’’ as a control criterion (See
ECCN 9A515.x.4).
w. The International Space Station being
developed, launched, and operated under the
supervision of the U.S. National Aeronautics
and Space Administration.
x. ‘‘Parts,’’ ‘‘components,’’ ‘‘accessories’’
and ‘‘attachments’’ that are ‘‘specially
designed’’ for the International Space Station.
y. Items that would otherwise be within
the scope of ECCN 9A004.v or .x but that
have been identified in an interagencycleared commodity classification (CCATS)
pursuant to § 748.3(e) as warranting control
in 9A004.y.
57. In Supplement No. 1 to part 774
(the Commerce Control List), Category 9,
ECCN 9A515 is revised to read as
follows:
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■
9A515 ‘‘Spacecraft’’ and related
commodities, as follows (see List of
Items Controlled).
License Requirements
Reason for Control: NS, RS, MT, AT
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Country chart
(see Supp. No. 1 to
part 738)
Control(s)
NS applies to entire
entry, except .e and .y.
RS applies to entire
entry, except .e and .y.
RS applies to 9A515.e ..
MT applies to microcircuits in 9A515.d and
9A515.e.2 when ‘‘usable in’’ ‘‘missiles’’ for
protecting ‘‘missiles’’
against nuclear effects (e.g. Electromagnetic Pulse
(EMP), X-rays, combined blast and thermal effects).
AT applies to entire
entry.
NS Column 1
RS Column 1
RS Column 2
MT Column 1
AT Column 1
License Requirement Note: The Commerce
Country Chart is not used for determining
license requirements for commodities
classified in ECCN 9A515.a.1, .a.2., .a.3., .a.4,
and .g. See § 742.6(a)(8), which specifies that
such commodities are subject to a worldwide
license requirement.
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
LVS: $1500
GBS: N/A
CIV: N/A
Special Conditions for STA
STA: (1) Paragraph (c)(1) of License
Exception STA (§ 740.20(c)(1) of the EAR)
may not be used for ‘‘spacecraft’’ in ECCN
9A515.a.1, .a.2, .a.3, or .a.4, or items in
9A515.g, unless determined by BIS to be
eligible for License Exception STA in
accordance with § 740.20(g) (License
Exception STA eligibility requests for
certain 9x515 and ‘‘600 series’’ items). (2)
License Exception STA may not be used if
the ‘‘spacecraft’’ controlled in ECCN
9A515.a.1, .a.2, .a.3, or .a.4 contains a
separable or removable propulsion system
enumerated in USML Category IV(d)(2) or
USML Category XV(e)(12) and designated
MT. (3) Paragraph (c)(2) of License
Exception STA (§ 740.20(c)(2) of the EAR)
may not be used for any item in 9A515.
List of Items Controlled
Related Controls: Spacecraft, launch vehicles
and related articles that are enumerated in
the USML, and technical data (including
‘‘software’’) directly related thereto, and all
services (including training) directly
related to the integration of any satellite or
spacecraft to a launch vehicle, including
both planning and onsite support, or
furnishing any assistance (including
training) in the launch failure analysis or
investigation for items in ECCN 9A515.a,
are ‘‘subject to the ITAR.’’ All other
‘‘spacecraft,’’ as enumerated below and
defined in § 772.1, are subject to the
controls of this ECCN. See also ECCNs
3A001, 3A002, 3A991, 3A992, 6A002,
6A004, 6A008, and 6A998 for specific
‘‘space-qualified’’ items, 7A004 and 7A104
for star trackers, and 9A004 for the
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International Space Station (ISS), the James
Webb Space Telescope (JWST), and
‘‘specially designed’’ ‘‘parts’’ and
‘‘components’’ therefor. See USML
Category XI(c) for controls on ‘‘Monolithic
Microwave Integrated Circuit’’ (‘‘MMIC’’)
amplifiers that are ‘‘specially designed’’ for
defense articles. See ECCN 9A610.g for
pressure suits used for high altitude
aircraft.
Related Definitions: ‘Microcircuit’ means a
device in which a number of passive or
active elements are considered as
indivisibly associated on or within a
continuous structure to perform the
function of a circuit.
Items:
‘‘Spacecraft’’ and other items described in
ECCN 9A515 remain subject to the EAR even
if exported, reexported, or transferred (incountry) with defense articles ‘‘subject to the
ITAR’’ integrated into and included therein
as integral parts of the item. In all other
cases, such defense articles are subject to the
ITAR. For example, a 9A515.a ‘‘spacecraft’’
remains ‘‘subject to the EAR’’ even when it
is exported, reexported, or transferred (incountry) with a ‘‘hosted payload’’ described
in USML Category XV(e)(17) incorporated
therein. In all other cases, a ‘‘hosted payload’’
performing a function described in USML
Category XV(a) always remains a USML item.
The removal of the defense article subject to
the ITAR from the spacecraft is a retransfer
under the ITAR and would require an ITAR
authorization, regardless of the CCL
authorization the spacecraft is exported
under. Additionally, transfer of technical
data regarding the defense article subject to
the ITAR integrated into the spacecraft would
require an ITAR authorization.
a. ‘‘Spacecraft,’’ including satellites, and
space vehicles, whether designated
developmental, experimental, research or
scientific, not enumerated in USML Category
XV or described in ECCN 9A004.u or .w, that:
a.1. Have electro-optical remote sensing
capabilities and having a clear aperture
greater than 0.35 meters, but less than or
equal to 0.50 meters;
a.2. Have remote sensing capabilities
beyond NIR (i.e., SWIR, MWIR, or LWIR);
a.3. Have radar remote sensing capabilities
(e.g., AESA, SAR, or ISAR) having a center
frequency equal to or greater than 1.0 GHz,
but less than 10.0 GHz and having a
bandwidth equal to or greater than 100 MHz,
but less than 300 MHz;
a.4. Provide space-based logistics,
assembly, or servicing of another
‘‘spacecraft’’; or
a.5. Are not described in ECCN 9A515.a.1,
.a.2, .a.3 or .a.4.
Note: ECCN 9A515.a includes commercial
communications satellites, remote sensing
satellites, planetary rovers, planetary and
interplanetary probes, and in-space habitats,
not identified in ECCN 9A004 or USML
Category XV(a).
b. Ground control systems and training
simulators ‘‘specially designed’’ for
telemetry, tracking, and control of the
‘‘spacecraft’’ controlled in paragraphs
9A004.u or 9A515.a.
c. [Reserved]
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d. Microelectronic circuits (e.g., integrated
circuits, microcircuits, or MOSFETs) and
discrete electronic components rated,
certified, or otherwise specified or described
as meeting or exceeding all the following
characteristics and that are ‘‘specially
designed’’ for defense articles, ‘‘600 series’’
items, or items controlled by ECCNs 9A004.v
or 9A515:
d.1. A total dose of 5 × 105 Rads (Si) (5 ×
103 Gy (Si));
d.2. A dose rate upset threshold of 5 × 108
Rads (Si)/sec (5 × 106 Gy (Si)/sec);
d.3. A neutron dose of 1 × 1014 n/cm2 (1
MeV equivalent);
d.4. An uncorrected single event upset
sensitivity of 1 × 10¥10 errors/bit/day or less,
`
for the CREME–MC geosynchronous orbit,
Solar Minimum Environment for heavy ion
flux; and
d.5. An uncorrected single event upset
sensitivity of 1 × 10¥3 errors/part or less for
a fluence of 1 × 107 protons/cm2 for proton
energy greater than 50 MeV.
e. Microelectronic circuits (e.g., integrated
circuits, microcircuits, or MOSFETs) and
discrete electronic components that are rated,
certified, or otherwise specified or described
as meeting or exceeding the characteristics in
either paragraph e.1 or e.2, AND ‘‘specially
designed’’ for defense articles controlled by
USML Category XV or items controlled by
ECCNs 9A004.u or 9A515:
e.1. A total dose ≥1 × 105 Rads (Si) (1 × 103
Gy(Si)) and <5 × 105 Rads (Si) (5 × 103
Gy(Si)); and a single event effect (SEE) (i.e.,
single event latchup (SEL), single event
burnout (SEB), or single event gate rupture
(SEGR)) immunity to a linear energy transfer
(LET) ≥80 MeV¥cm2/mg; or
e.2. A total dose ≥5 × 105 Rads (Si) (5 × 103
Gy (Si)) and not described in 9A515.d.
Note 1 to 9A515.d and .e: Application
specific integrated circuits (ASICs),
integrated circuits developed and produced
for a specific application or function,
specifically designed or modified for defense
articles and not in normal commercial use
are controlled by Category XI(c) of the USML
regardless of characteristics.
Note 2 to 9A515.d and .e: See 3A001.a for
controls on radiation-hardened
microelectronic circuits ‘‘subject to the EAR’’
that are not controlled by 9A515.d or
9A515.e.
f. Pressure suits (i.e., space suits) capable
of operating at altitudes 55,000 feet above sea
level.
g. Remote sensing components ‘‘specially
designed’’ for ‘‘spacecraft’’ described in
ECCNs 9A515.a.1 through 9A515.a.4 as
follows:
g.1. Space-qualified optics (i.e., lens,
mirror, membrane having active properties
(e.g., adaptive, deformable)) with the largest
lateral clear aperture dimension equal to or
less than 0.35 meters; or with the largest clear
aperture dimension greater than 0.35 meters
but less than or equal to 0.50 meters;
g.2. Optical bench assemblies ‘‘specially
designed’’ for ECCN 9A515.a.1, 9A515.a.2,
9A515.a.3, or 9A515.a.4 ‘‘spacecraft;’’ or
g.3. Primary, secondary, or hosted payloads
that perform a function of ECCN 9A515.a.1,
9A515.a.2, 9A515.a.3, or 9A515.a.4
‘‘spacecraft.’’
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h. through w. [Reserved]
x. ‘‘Parts,’’ ‘‘components,’’ ‘‘accessories’’
and ‘‘attachments’’ that are ‘‘specially
designed’’ for defense articles controlled by
USML Category XV or items controlled by
9A515, and that are NOT:
x.1. Enumerated or controlled in the USML
or elsewhere within ECCNs 9A515 or 9A004;
x.2. Microelectronic circuits and discrete
electronic components;
x.3. Described in ECCNs 7A004 or 7A104;
x.4. Described in an ECCN containing
‘‘space-qualified’’ as a control criterion (i.e.,
3A001.b.1, 3A001.e.4, 3A002.g.1, 3A991.o,
3A992.b.3, 6A002.a.1, 6A002.b.2, 6A002.d.1,
6A004.c and .d, 6A008.j.1, 6A998.b, or
7A003.d.2);
x.5. Microwave solid state amplifiers and
microwave assemblies (refer to ECCN
3A001.b.4 for controls on these items);
x.6. Travelling wave tube amplifiers (refer
to ECCN 3A001.b.8 for controls on these
items); or
x.7. Elsewhere specified in ECCN 9A515.y.
Note to 9A515.x: ‘‘Parts,’’ ‘‘components,’’
‘‘accessories,’’ and ‘‘attachments’’ specified
in USML subcategory XV(e) or enumerated in
other USML categories are subject to the
controls of that paragraph or category.
y. Items that would otherwise be within
the scope of ECCN 9A515.x but that have
been identified in an interagency-cleared
commodity classification (CCATS) pursuant
to § 748.3(e) as warranting control in
9A515.y.
y.1. Discrete electronic components not
specified in 9A515.e; and
y.2. Space grade or for spacecraft
applications thermistors;
y.3. Space grade or for spacecraft
applications RF microwave bandpass ceramic
filters (Dielectric Resonator Bandpass
Filters);
y.4. Space grade or for spacecraft
applications hall effect sensors;
y.5. Space grade or for spacecraft
applications subminiature (SMA and SMP)
plugs and connectors, TNC plugs and cable
and connector assemblies with SMA plugs
and connectors; and
y.6. Space grade or for spacecraft
applications flight cable assemblies.
58. In Supplement No. 1 to part 774
(the Commerce Control List), Category 9,
ECCN 9B002 is revised to read as
follows:
■
9B002 On-line (real time) control systems,
instrumentation (including sensors) or
automated data acquisition and
processing equipment, having all of the
following (see List of Items Controlled).
License Requirements
Reason for Control: NS, MT, AT
Control(s)
NS applies to entire
entry.
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(see Supp. No. 1
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NS Column 1
Sfmt 4700
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(see Supp. No. 1
to part 738)
Control(s)
MT applies to equipment for engines controlled under 9A001
for MT reasons and
for engines controlled
under 9A101.
AT applies to entire
entry.
38817
MT Column 1
AT Column 1
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
LVS: $3,000, except N/A for MT
GBS: Yes, except N/A for MT
CIV: Yes, except N/A for MT
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items:
a. ‘‘Specially designed’’ for the
‘‘development’’ of gas turbine engines,
assemblies, ‘‘parts’’ or ‘‘components’’; and
b. Incorporating any of the ‘‘technologies’’
controlled by 9E003.h or 9E003.i.
59. In Supplement No. 1 to part 774
(the Commerce Control List), Category 9,
ECCN 9B009 is revised to read as
follows:
■
9B009 Tooling ‘‘specially designed’’ for
producing gas turbine engine powder
metallurgy rotor ‘‘parts’’ or
‘‘components’’ having all of the
following (see List of Items Controlled).
License Requirements
Reason for Control: NS, AT
Control(s)
NS applies to entire
entry.
AT applies to entire
entry.
Country chart
(see Supp. No. 1 to
part 738)
NS Column 2
AT Column 1
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
LVS: $5,000
GBS: N/A
CIV: N/A
List of Items Controlled
Related Controls: See 9B002.
Related Definitions: N/A
Items:
a. Designed to operate at stress levels of
60% of Ultimate Tensile Strength (UTS) or
more measured at a temperature of 873 K
(600 °C); and
b. Designed to operate at a temperature of
873 K (600 °C) or more.
Note: 9B009 does not specify tooling for
the production of powder.
60. In Supplement No. 1 to part 774
(the Commerce Control List), Category 9,
ECCN 9E003 is revised to read as
follows:
■
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9E003 Other ‘‘technology’’ as follows (see
List of Items Controlled).
License Requirements
Reason for Control: NS, SI, AT
Control(s)
NS applies to entire
entry.
SI applies to 9E003.a.1
through a.8, .h, .i, and
.k.
AT applies to entire
entry.
Country chart
(see Supp. No. 1 to
part 738)
NS Column 1
See § 742.14 of the
EAR for additional information
AT Column 1
Reporting Requirements
See § 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)
CIV: N/A
TSR: N/A
mstockstill on DSK30JT082PROD with RULES2
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 caseby-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 stressrupture life exceeding 400 hours at 1,273 K
(1,000 °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:
VerDate Sep<11>2014
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a.2.a. ‘Thermally decoupled liners’
designed to operate at ‘combustor exit
temperature’ exceeding 1,883K (1,610 °C);
a.2.b. Non-metallic liners;
a.2.c. Non-metallic shells; or
a.2. d. Liners designed to operate at
‘combustor exit temperature’ exceeding
1,883K (1,610 °C) and having holes that meet
the parameters specified by 9E003.c;
Note: The ‘‘required’’ ‘‘technology’’ for
holes in 9E003.a.2 is limited to the derivation
of the geometry and location of the holes.
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.
2. The term ‘steady state mode’ defines
engine operation conditions, where the
engine parameters, such as thrust/power,
rpm and others, have no appreciable
fluctuations, when the ambient air
temperature and pressure at the engine inlet
are constant.
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.
a.6. Airfoil-to-disk blade combinations
using solid state joining;
a.7. Gas turbine engine ‘‘parts’’ or
‘‘components’’ using ‘‘diffusion bonding’’
‘‘technology’’ controlled by 2E003.b;
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. Hollow fan blades;
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
propfans, 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 mm2;
c.1.b. ‘Hole shape ratio’ greater than 4.52;
and
c.1.c. ‘Incidence angle’ equal to or less than
25°; or
c.2. Having all of the following:
c.2.a. Minimum ‘cross-sectional area’ less
than 0.12 mm2;
c.2.b. ‘Hole shape ratio’ greater than 5.65;
and
c.2.c. ‘Incidence angle’ more than 25°;
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.
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 °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 °C) or more;
a.5. Cooled turbine blades, vanes or ‘‘tipshrouds’’, other than those described in
9E003.a.1, designed to operate at a ‘gas path
temperature’ of 1,693 K (1,420 °C) or more;
Technical Notes:
1. ‘Gas path temperature’ is the bulk
average gas path total (stagnation)
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Technical Notes:
1. For the purposes of 9E003.c, the ‘crosssectional 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’.
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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. Techniques for manufacturing holes in
9E003.c include ‘‘laser’’, water jet, ElectroChemical Machining (ECM) or Electrical
Discharge Machining (EDM) methods.
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 m3 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/m3 of ‘box volume’;
mstockstill on DSK30JT082PROD with RULES2
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;
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 centerline 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
VerDate Sep<11>2014
20:53 Aug 14, 2017
Jkt 241001
(37.8 °C)) down to gasoline fuel (0.5 cSt at
310.8 K (37.8 °C)) and having all of the
following:
f.3.a. Injection amount in excess of 230
mm3 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 °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:
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38819
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.
Supplement No. 6 to Part 774
[Amended]
61. Supplement No. 6 to part 774
‘‘Sensitive List’’ is amended by:
■ a. Removing the reference to ‘‘and .d’’
in paragraph (1)(iii) and ‘‘1C007.d’’ in
paragraphs (1)(vi) and (1)(vii);
■ b. Removing the phrase ‘‘exceeding
12.5’’ and adding in its place
‘‘exceeding 16’’ in paragraphs (4)(ii) and
(4)(iii);
■ c. Removing the term ‘‘user accessible
programmability’’ and adding in its
place ‘‘user-accessible programmability’’
in paragraphs (6)(v) and (6)(viii);
■ d. Adding double quotes around the
term ‘‘Magnetic gradiometers’’ in
paragraph (6)(xxiv)(C);
■ e. Adding double quotes around the
word ‘‘magnetometers’’ in paragraph
(6)(xxv);
■ f. Removing and reserving paragraph
(9)(viii);
■ g. Revising paragraph (9)(ix); and
■ h. Adding paragraph (9)(x).
The additions and revisions read as
follows:
■
Supplement No. 6 to Part 774—
Sensitive List
*
*
*
*
*
*
*
(9) Category 9
*
*
*
(ix) 9E003.a.1 to a.5, a.8.
(x) 9E003.h.
Matthew S. Borman,
Deputy Assistant Secretary for Export
Administration.
[FR Doc. 2017–16904 Filed 8–14–17; 8:45 am]
BILLING CODE 3510–33–P
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]]>Agencies
[Federal Register Volume 82, Number 156 (Tuesday, August 15, 2017)]
[Rules and Regulations]
[Pages 38764-38819]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2017-16904]
[[Page 38763]]
Vol. 82
Tuesday,
No. 156
August 15, 2017
Part II
Department of Commerce
-----------------------------------------------------------------------
Bureau of Industry and Security
-----------------------------------------------------------------------
15 CFR Parts 740, 772 and 774
Wassenaar Arrangement 2016 Plenary Agreements Implementation; Final
Rule
Federal Register / Vol. 82 , No. 156 / Tuesday, August 15, 2017 /
Rules and Regulations
[[Page 38764]]
-----------------------------------------------------------------------
DEPARTMENT OF COMMERCE
Bureau of Industry and Security
15 CFR Parts 740, 772, and 774
[Docket No. 170309249-7249-01]
RIN 0694-AH35
Wassenaar Arrangement 2016 Plenary Agreements Implementation
AGENCY: Bureau of Industry and Security, Commerce.
ACTION: Final rule.
-----------------------------------------------------------------------
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 jurisdiction. This final rule revises the CCL, as well as
corresponding parts of the EAR, to implement changes made to the
Wassenaar Arrangement List of Dual-Use Goods and Technologies (WA List)
maintained and agreed to by governments participating in the Wassenaar
Arrangement on Export Controls for Conventional Arms and Dual-Use Goods
and Technologies (Wassenaar Arrangement, or WA) at the December 2016 WA
Plenary meeting. The Wassenaar Arrangement advocates implementation of
effective export controls on strategic items with the objective of
improving regional and international security and stability. This rule
harmonizes the CCL with the agreements reached at the 2016 Plenary
meeting by revising Export Control Classification Numbers (ECCNs)
controlled for national security reasons in each category of the CCL,
as well as making other associated changes to the EAR.
DATES: This rule is effective August 15, 2017, except that:
1. The effective date for amendatory instruction 30 (ECCN 4A003 in
Supplement No. 1 to part 774) is September 25, 2017; and
2. the effective date for amendatory instruction 2 (Sec. 740.7 of
the EAR) is November 24, 2017.
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:
Sharron.Cook@bis.doc.gov.
For technical questions contact:
Categories 0, 1 & 2 of the CCL: Joseph Giunta at 202-482-3127.
Category 3 of the CCL: Brian Baker at 202-482-5534.
Categories 4 & 5 of the CCL: Aaron Amundson 202-482-0707.
Category 6 (optics) of the CCL: Chris Costanzo at 202-482-5299.
Category 6 (lasers) of the CCL: Mark Jaso at 202-482-0987.
Category 6 (sensors and cameras) of the CCL: John Varesi 202-482-
1114.
Category 8 of the CCL: Michael Tu 202-482-6462.
Categories 7 & 9 of the CCL: Daniel Squire 202-482-3710 or Reynaldo
Garcia 202-482-3462.
Category 9x515 (Satellites) of the CCL: Mark Jaso at 202-482-0987
or Reynaldo Garcia at 202-482-3462.
Category ``600 Series'' (Munitions Items) of the CCL: Christopher
Williams at 202-482-6023 or Heather Moore at 202-482-4786.
SUPPLEMENTARY INFORMATION:
Background
The Wassenaar Arrangement (Wassenaar or WA) on Export Controls for
Conventional Arms and Dual-Use Goods and Technologies is a group of 41
like-minded states committed to promoting responsibility and
transparency in the global arms trade, and preventing destabilizing
accumulations of arms. As a Participating State, the United States has
committed to controlling for export all items on the WA control lists.
The lists were first established in 1996 and have been revised annually
thereafter. Proposals for changes to the WA control lists that achieve
consensus are approved by Participating States at annual Plenary
meetings. Participating States are charged with implementing the agreed
list changes as soon as possible after approval. The United States'
implementation of WA list changes ensures U.S. companies have a level
playing field with their competitors in other WA Participating States.
The changes in this rule, which reflect the changes to the WA
control lists that were approved at the December 2016 WA Plenary
meeting, update the corresponding items listed in the EAR, and reflect
the most recent changes in technologies and conditions.
Revisions to the Commerce Control List Related to WA 2016 Plenary
Agreements
Revises (50) ECCNs: 1A004, 1A007, 1B001, 1C007, 1C608, 1E001,
1E002, 2A001, 2B001, 2B005, 2B991, 2D992, 2E003, 3A001, 3A002, 3A991,
3B001, 3C001, 3E001, 3E002, 3E003, 4A003, 4D001, 4D993, 5A001, 5B001,
5E001, 5A002, 5A003, 5D002, 5E002, 6A001, 6A003, 6A005, 6A008, 6D003,
6E003, 7D003, 7D004, 7E001, 7E003, 7E004, 8A002, 8C001, 9A001, 9A004,
9A515, 9B002, 9B009 and 9E003.
License Exception eligibility additions: 3A001.b.12 to LVS, and
3A001.a.14 to GBS.
License Exception eligibility expansion: TSR and STA for ECCNs
4D001 and 4E001.
Category 1 Special Materials and Related Equipment, Chemicals,
``Microorganisms,'' and ``Toxins''
1A004 Protective and Detection Equipment and ``Components''
ECCN 1A004 is amended by adding Note 5 to the Related Controls
paragraph to make sure the public knows that 1A004 does not control
radionuclides incorporated in detection equipment--such materials are
subject to the licensing jurisdiction of the Nuclear Regulatory
Commission (See 10 CFR part 110). This rule also removes the definition
of `adapted for use in war' from the Related Definitions paragraph
because the WA has agreed to remove that term from Items in paragraphs
a.2, b.2 and c.2, as well as from Technical Note 1, because the phrase
did not help clarify the control text. This rule adds a definition of
`radioactive materials' in Technical Note 3 that uses the same
descriptive wording used in the removed definition of `adapted for use
in war.' This new definition does not change the scope of this ECCN
because much of the text of the removed definition was retained in the
control parameters. These revisions are made to more precisely describe
the controlled detection equipment. At the WA Plenary meeting, the WA
noted that the definition of biological agents is used in an entry on
the WA dual-use list and an entry on the WA munitions list. Therefore,
to make it clear that the definition applied to both entries, the WA
moved it to the WA Definitions, which applies to both WA lists. In the
EAR, while the term `biological agents' appears in other ECCNs on the
CCL, the definition used in ECCN 1A004 only applies to that ECCN. It
would be inappropriate to move that definition to Part 772, which
defines terms that can be applied universally in the EAR. Therefore,
this rule removes the Technical Note to be consistent with the WA list
and moves the definition for the term `biological agents' to the
Related Definitions Section of ECCN 1A004.
1A007 Equipment and Devices, ``Specially Designed'' To Initiate Charges
and Devices Containing ``Energetic Materials,'' by Electrical Means
The heading of ECCN 1A007 is amended by adding double quotes around
the term ``energetic materials,''
[[Page 38765]]
because this is a defined term in the WA List, as well as in Sec.
772.1 of the EAR.
1B001 Equipment for the Production or Inspection of ``Composite''
Structures or Laminates Controlled by 1A002 or ``Fibrous or Filamentary
Materials'' Controlled by 1C010
The Technical Note to Items paragraph .b is amended by revising the
parameters in the definition of `tape-laying machines.' The Technical
Note to paragraph 1B001.g is amended by revising the parameters in the
definition for `tow-placement machines.' These definitions were
designed to aid in determining the control status of tow placement and
tape laying equipment. These machines are identified based on the type
of ``fibrous or filamentary'' material they process. The Missile
Technology Control Regime (MTCR) adopted the WA definition in order to
facilitate implementation by Participating States that adhered to both
regimes. However, when the MTCR adopted the WA control parameters, they
added an additional significant digit to ensure that Tape Laying
Machines and Tow/Fiber Placement machines were accurately delineated at
1 inch, which is used in industry. Thus, references to 25 mm were
changed to 25.4 mm (1 inch) and 305 mm is changed to 304.8 mm (12
inches). Lastly, the Technical Note to 1B001, which defines `filament
bands,' is amended by clarifying that it includes those coated with dry
powder. These revisions are very minor, and therefore, BIS anticipates
no change in submissions of license applications.
1C007 Ceramic Powders, Ceramic-``Matrix'' ``Composite'' Materials and
`Precursor Materials'
The Heading of ECCN 1C007 is amended by removing the phrase ``non-
``composite'' ceramic materials'' and adding single quotes around the
term `precursor materials,' to harmonize with revisions made to the
List of Items Controlled section. The MT control paragraph is amended
by removing Items paragraphs .d and .f and adding .c for consistency to
changes in the List of Items Controlled section. The Special Conditions
for STA paragraph is amended by removing Items paragraph d. to
harmonize with revisions made to the List of Items Controlled section.
Items paragraph .a is revised by replacing ``single or complex
borides of titanium'' with ``titanium diboride (TiB2) (CAS
12045-63-5)'', and Items paragraph .b is removed and reserved because
1C007.a and .b list only borides of titanium in powered and monolithic
(i.e., non-composites) forms, while in practice those controls apply
only to titanium diboride (TiB2--CAS# 12045-63-5), being the
only stoichiometric compound of boron and titanium. This revision will
result in no change in the number of license application submissions
BIS receives annually.
The control text on ceramic matrix composites (CMCs) in 1C007 was
formerly split into three Items paragraphs, .c, .d and .f. This rule
combines these three paragraphs under 1C007.c. Items paragraph .c is
moved to c.1.b (no scope change), Items paragraph .d is moved to c.2,
and Items paragraph .f is moved to c.1.a (no scope change).
Former Items paragraph 1C007.d, which is transferred to 1C007.c.2,
is revised to clarify the control and add some novel ceramic composite
material. The formerly used phrase ``with or without metallic phase''
did not contribute to the text clarity. Metallic phases in a ceramic-
ceramic composite are impurities from incomplete reactions. Often,
pockets of residual metallic phases are found in these materials, but
it is not a desired feature; it is just an undesirable by-product of
the manufacturing process. The formerly used phrase ``incorporating
particles, whiskers or fibers'' did not influence the scope of the
control because it listed all possible types of ceramic reinforcements
used in CMCs. Thus, these two phrases are removed, although the removal
of the phrases does not change the scope of the control and improves
clarity of the text. The phrase `ceramic-ceramic' is replaced with
`ceramic-``matrix'',' so as to control carbon fiber reinforced SiC
matrix composites (C-SiC). These revisions aim to improve the control
text clarity and introduce a new control of a novel, militarily
significant material family. BIS receives less than five applications a
year for this ECCN. BIS anticipates that adding this novel material,
which has not yet become popular with industry, may only increase that
number by one or two applications a year.
Paragraph 1C007.e is amended by adding ``specially designed'' and
making other editorial revisions, because it was agreed that the only
precursors that are controlled under this paragraph are those that are
specially designed (i.e., specially formulated) for the production of
controlled ceramic materials. In addition, the control text is modified
to harmonize with WA format by replacing ``for producing'' with the
defined term ``for the ``production.'' '' This rule also adds a
Technical Note to define `precursor materials' to clarify the scope of
control. These changes will narrow the scope of control and decrease
license application submissions. Even though more specific text is
being added to the parameter, which narrows the scope of control, this
revision will result in no change in the annual number of license
application submissions BIS receives, because BIS currently receives
zero submissions annually under this paragraph.
1C608 ``Energetic Materials'' and Related Commodities
The Heading of 1C608 is amended by adding double quotes around the
defined term ``energetic materials'' in order to clarify the scope and
correct the oversight.
1E001 ``Technology'' for the ``Development'' or ``Production'' of
Certain Category 1 ECCNs
ECCN 1E001 is amended by revising the Special Conditions for STA to
remove reference to 1C007.d, because Items paragraph 1C007.d is
transferred to 1C007.c.2 by this rule, which is already listed in this
paragraph.
1E002 Other ``Technology''
ECCN 1E002 is amended by revising the Note to 1E002.c.2 by adding
double quotes around the word ``technology'' to clarify the scope of
the entry. The phrase ``the design or production of'' is removed from
the Note as it is an unnecessary repetition of the text introduced in
1E002.c. This rule also revises 1E002.f to remove the reference to
1C007.d, which was moved to 1C007.c.2. 1C007.c is already referenced in
1E002.f.
Annex to Category 1--List of Explosives
The Annex to Category 1 List of Explosives is amended by adding a
new paragraph 50 to read, ``50. FTDO (5,6-(3',4'-furazano)- 1,2,3,4-
tetrazine-1,3-dioxide)'', and by revising the punctuation in paragraph
49 to support this addition. As this is a military explosive, it will
result in no change to license application submissions to BIS.
Category 2--Materials Processing
2A001 Anti-Friction Bearings and Bearing Systems
ECCN 2A001.a is amended by adding single quotes around the terms
`rings' and `rolling elements,' as well as removing the citation to
International Organization for Standardization (ISO) standards. This
rule adds two (2) Technical Notes to define `ring' and `rolling
element,' in order to clarify the scope of controls and to replace the
reference to the ISO standard where these terms are defined.
[[Page 38766]]
2B001 Machine Tools and Any Combination Thereof, for Removing (or
Cutting) Metals, Ceramics or ``Composites''
ECCN 2B001 is amended by removing the Note to Items paragraph b.2
regarding the inclusion of parallel mechanism machine tools in the
control of b.2, because there is no international standard to measure a
positioning accuracy or UPR (unidirectional positioning repeatability)
for these machine tools. This rule also revises Items paragraphs b.2.b
and b.2.c in order to accommodate the removal of Items paragraph b.2.d.
Additionally, this rule removes Items paragraph b.2.d `parallel
mechanism machine tool technology,' including the Technical Note for
reasons stated above. BIS estimates that there will be no change in
license application submissions due to the removal of Items paragraph
b.2.d `parallel mechanism machine tool technology,' because the future
of machine tools is in Computer Numeric Control (CNC), where software
achieves in a simpler and more robust way what multiple rods and
linkages and couplings involved in parallel mechanism machine tools
achieve in terms of degrees-of-freedom and flexibility. In the past
year, BIS has not received any license applications for parallel
mechanism machine tools.
2B005 Equipment ``Specially Designed'' for the Deposition, Processing
and in Process Control of Inorganic Overlays, Coatings and Surface
Modifications, as Follows, for Substrates
The Heading of ECCN 2B005 is amended by removing the ambiguous term
``non-electronic'' before the word ``substrates,'' by adding the column
locations in the table following 2E003.f ``Materials Processing Table;
Deposition Techniques,'' where the information referred to in the
Heading may be found. The Heading is also amended by removing the
reference to the `associated Notes,' because the Notes do not specify
what is controlled by this ECCN.
2B991 Numerical Control Units for Machine Tools and ``Numerically
Controlled'' Machine Tools, n.e.s.
ECCN 2B991 is amended by adding a hyphen to the term ``real-time
processing'' in the introductory text of Items paragraph 2B991.b.2 to
correct the format of the term.
2D992 Specific ``Software''
ECCN 2D992 is amended by adding a hyphen to the term ``real-time
processing'' in the introductory text of Items paragraph 2D992.a.2 to
correct the format of the term.
2E003 Other ``Technology''
ECCN 2E003 is amended by adding double quotes to the term
``technology'' in the Nota Bene (N.B.) that follows Items paragraph .f
for consistency with the text in the control paragraph.
Category 2E--Materials Processing Table; Deposition Techniques
The Materials Processing Table is amended by revising paragraph 10
in the Notes to the Table on Deposition Techniques to more clearly
state that Category 2 does not include ``technology'' for single-step
pack cementation of solid airfoils. Paragraph 17 in the Notes to the
Table on Deposition Techniques is revised by removing the term
``specially designed,'' which expands the exclusion note for
``technology'' for depositing diamond-like carbon. The introductory
text to paragraphs 1 through 5 in the Accompanying Technical
Information to Table on Deposition Techniques is amended by replacing
the defined term ``technology'' with the term `technical information'
to be consistent with the heading and scope of this section.
Category 3--Electronics
Product Group A. ``End Items,'' ``Equipment,'' ``Accessories,''
``Attachments,'' ``Parts,'' ``Components,'' and ``Systems''
Product Group A, Notes 1 and 2 and the N.B., which appear at the
beginning of the product group, are amended by removing the reference
to ``or 3A001.a.13'' and adding in its place ``to 3A001.a.14,'' because
this rule adds Item paragraph 3A001.a.14.
3A001 Electronic Items
The RS license requirement paragraph and the License Exception LVS
eligibility paragraph are amended by replacing the term ``microwave
monolithic integrated circuit'' with the defined term ``monolithic
microwave integrated circuit'' to harmonize with the newly defined term
and changes in ECCN 3A001, and expanded to cover newly added Items
paragraph b.12.
The license Exception LVS eligibility paragraph is expanded to
include newly added Items paragraph b.12, which will result in fewer
licensing application submissions for low level value shipments of
these items.
The license Exception GBS eligibility paragraph is amended by
expanding the range of eligibility to cover newly added Items paragraph
a.14, which will result in fewer license application submissions to
less sensitive destinations. The term TWTAs is replaced with `vacuum
electronic device' amplifiers, which is the new terminology in Items
paragraph b.8.
The Note to 3A001.a is amended by adding ``Monolithic Microwave
Integrated Circuits'' (``MMICs'') to the list of integrated circuits
listed, because of the increased presence of MMICs in 3A001, as well as
adding the definition of this term to part 772 of the EAR.
Paragraph 3A001.a.2 is expanded to encompass the scope of newly
added 3A001.a.14. Specifically, this rule makes editorial
capitalization corrections and adds ``integrated circuits that contain
analog-to-digital converters and store or process the digitized data''
and ``Magnetic Random Access Memories (MRAMs)''.
Paragraph 3A001.a.5.a (analog-to-digital converters (ADCs)) is
revised by updating the ADC control thresholds (resolution) for the
higher performance ADCs to reflect the technology that is used in the
commercial mainstream, which will result in a decrease of license
application submissions. In addition, the unit for resolution is
amended by replacing ``billion words per second'' with ``Giga Samples
Per Second (GSPS)'' and ``million words per second'' with ``Mega
Samples Per Second (MSPS)'' to clarify what is being measured for this
parameter. Technical Notes 6 and 7 are also revised to clarify the
explanation of the units for output rates. In addition, a Nota Bene is
added to reference 3A001.a.14 for integrated circuits that contain ADCs
and store or process the digitized data. Technical Notes 6 and 7 are
also clarified accordingly.
Paragraph 3A001.a.7 is amended by adding a Nota Bene to reference
3A001.a.14 for integrated circuits having field programmable logic
devices that are combined with an analog-to-digital converter.
Paragraph 3A001.a.14 is added to control integrated circuits that
perform the same functionality of electronic assemblies, modules, or
equipment described in paragraph 3A002.h. This addition of control will
result in an increase of 50 or fewer license application submissions
per year. Items paragraph 3A001.a.14.b.2 is moved to a.14.b.1 and
a.14.b.2 is revised to read ``processing of digitized data'' to clarify
the description of this parameter.
Paragraph 3A001.b is amended by adding a Technical Note 2 to define
`vacuum electronic devices' for the purpose of paragraph 3A001.b.1.
This control has not been modernized in more than fifteen years, during
which time substantial changes have occurred. Therefore, these
amendments are
[[Page 38767]]
intended to modernize this entry. The term ``travelling wave tubes'' in
the text has been changed to the more general term `vacuum electronic
devices' that also includes klystrons. Paragraph 3A001.b.1 is amended
by replacing the undefined term `electronic vacuum tubes' with the
newly defined term `vacuum electronic devices.' This term is also
replaced in the introductory text of Notes 1 and 2. Paragraph
3A001.b.1.a and b.1.b are amended by replacing the term `tubes' with
`vacuum electronic devices.' Paragraphs 3A001.b.1.a.1 through b.1.a.3
are amended by replacing the term `tubes' with `devices.' Paragraph
3A001.b.1.a.4 is amended by replacing the term `helix tubes' with
`devices based on helix, folded waveguide, or serpentine waveguide
circuits,' as well as adding a parameter, `having a gridded electron
gun,' in paragraph b.1.a.4.d for these devices. Paragraph 3A001.b.1.a.5
is added to expand the traveling wave `vacuum electronic devices'
control to include devices with a ``fractional bandwidth'' greater than
or equal to 10% and with specified beams. BIS estimates that this
change will increase license application submissions by no more than 10
annually. Paragraph 3A001.b.1.c is modernized to use the term
`thermionic cathodes' rather than the older and more specific term
`impregnated cathodes.' Paragraph 3A001.b.1.d is added to control
`vacuum electronic devices' with the capability to operate in a `dual
mode.' Finally, a clear definition of the term `dual mode' is added in
a Technical Note to avoid ambiguity and explain how a single device can
switch between continuous wave operation and pulse mode operation.
Paragraph 3A001.b.2 is amended by replacing ``Microwave Monolithic
Integrated Circuits (MMICs) power amplifiers'' with the correct
terminology ``Monolithic Microwave Integrated Circuit'' (``MMIC'')
amplifiers. Also, a Nota Bene is added to reference 3A001.b.12 for
``MMIC'' amplifiers that have an integrated phase shifter.
Notes 2 and 3 of paragraph b.2.h are amended by adding double
quotes around the acronym ``MMIC'' and ``MMICs.''
Paragraph 3A001.b.4.f, which is a parameter for microwave solid
state amplifiers and microwave assemblies/modules, is removed and
reserved, because `transmit/receive modules' and `transmit modules' are
moved to b.12. This paragraph is moved because some people may not
think to classify their MMICs with capabilities to transmit/receive
under 3A001.b.4.f. Also, by separating transmit and transmit/receive
modules from amplifiers, the framework for modifying their control
threshold independently is created. A Nota Bene 2 is added to reference
paragraph 3A001.b.12 for `transmit/receive modules' and `transmit
modules.' Note 3 to paragraph 3A001.b.4 is removed, because `transmit/
receive modules' and `transmit modules' are moved to b.12.
Paragraph 3A001.b.8 and b.9 are amended by replacing the term
`tubes' with the term `vacuum electronic devices.' Also, this rule
makes corrections in capitalization, as well as correcting the term
``Monolithic Microwave Integrated Circuit'' and adding the acronym
``MMIC''.
Paragraph 3A001.b.11 ``Frequency synthesizer'' ``electronic
assemblies'' is amended by updating the parameters to align the
3A001.b.11 frequency synthesizer controls with the 3A002.d.3 signal
generator controls. Specifically, Items paragraphs 3A001.b.11.a through
.e are revised and b.11.c and .f are removed and reserved, which BIS
estimates will decrease license application submissions by about 30
annually.
Paragraph 3A001.b.12 ``transmit/receive modules, transmit/receive
MMICs, transmit modules, and transmit MMICs'' is added to control a
mixture of new (MMICs) and existing controls (transmit/receive modules
formerly controlled in paragraph 3A001.b.4). The control thresholds for
3A001.b.12 are nearly identical to those that were used in 3A001.b.4.f
(transmit and transmit/receive modules), but adjusted so that
3A001.b.12 has an identical power level at 31.8 GHz, as specified in
3A001.b.4.c as 0.5 W (27 dBm). In addition, transmit modules and
transmit/receive modules that have dimensional characteristics related
to phased array antenna systems are distinct from amplifiers because
they have phase control. Adding phase control as a control parameter
ensures this distinction is clear. Furthermore, because transmit
modules and transmit/receive modules are exported with or without a
heat sink, a Technical Note is added to inform exporters that
3A001.b.12 includes those that are exported with or without a heat sink
and that the heat sink measurements are not to be considered in the
3A001.b.12 dimensional metric. Lastly, this rule adds to the Technical
Notes after Items paragraph b.12.d definitions for `transmit/receive
module,' `transmit/receive MMIC,' `transmit module,' and `transmit
MMIC.' It also adds quotation marks around the term MMIC in all places
it is used by itself in 3A001.b.12, as it is a defined term in part 772
of the EAR. Related Control Note 1 is also revised to add `transmit/
receive modules' and `transmit modules,' because there may be some
overlap between b.12 and ITAR category XI. BIS estimates these
revisions will not affect the annual number of license application
submissions.
Paragraph 3A001.f ``rotary input type absolute position encoders''
is revised by adding ``and ``specially designed'' encoder rings, discs
or scales therefor,'' in order to close the loophole in the control for
these significant parts. BIS estimates this addition will result in an
increase of no more than 5 license application submissions per year.
3A002 General Purpose ``Electronic Assemblies,'' Modules and Equipment
ECCN 3A002 is amended by revising Items paragraph c.4, to add the
existing ``real-time bandwidth'' to the frequency mask trigger control
and add commas to the definition of ``real-time bandwidth'' in Sec.
772.1 of the EAR to clarify its meaning, resulting in paragraph
3A002.c.4.b moving to c.4.b.1 and the addition of a new subparagraph
c.4.b.2. The citations in the Technical Notes 1 and 2 are updated to
correspond to changes in 3A002.c.4.b. An exclusion Note is added for
``signal analyzers'' using only constant percentage bandwidth filters
(also known as octave or fractional octave filters). BIS estimates
these revisions will result in an increase of no more than 15 license
application submissions per year. Paragraph 3A002.c.5 is removed and
reserved, as it is moved to 3A002.c.4.b.2 to make ``real-time
bandwidth'' (3A002.c.4.a) a prerequisite for control of ``frequency
mask trigger'' functionality of signal analyzers in 3A002.c.4.
3A991 Electronic Devices, and ``Components'' Not Controlled by 3A001
ECCN 3A991 is amended by revising the Items paragraph introductory
paragraph .g, paragraph g.1, and introductory paragraph g.2 to
correspond with the changes made to paragraph 3A001.b. For an
explanation about these revisions, see the rationale for 3A001.b
revisions. BIS estimates these revisions will result in no change to
license application submissions annually.
3B001 Equipment for the Manufacturing of Semiconductor Devices or
Materials
ECCN 3B001.a.1 (equipment designed for epitaxial growth) is amended
by replacing ``capable of producing'' with ``designed or modified to
produce,'' to clarify the intended scope of control. BIS estimates that
this change will result in a decrease of about 20 license application
submissions per year.
[[Page 38768]]
3C001 Hetero-Epitaxial Materials Consisting of a ``Substrate'' Having
Stacked Epitaxially Grown Multiple Layers
The exclusion Note to ECCN 3C001.d is amended by adding three non-
sensitive p-type epitaxial layer materials, i.e., GaAs, AlGaAs, InP.
This Note excludes hetero-epitaxial materials for the manufacture of
light-emitting diodes (LEDs). BIS estimates that this change will
result in a decrease of about 5 license application submissions per
year.
3E001 ``Technology'' According to the General Technology Note for the
``Development'' or ``Production'' of Equipment or Materials Controlled
by 3A, 3B and 3C
ECCN 3E001 is amended by revising paragraph (a) of the License
Exception TSR paragraph to replace ``Traveling wave tube'' with
``Vacuum electronic device amplifiers.'' Paragraph (c) of the License
Exception TSR paragraph and Note 2 in the Related Controls are revised
to harmonize the reference to MMICs to read ``Monolithic Microwave
Integrated Circuit'' (``MMIC'') amplifiers. Note 1 is amended by
removing the phrase ``the ``production'' of,'' and Note 2 is amended by
removing the phrase ``the ``development'' or ``production'' of,''
because these phrases do not add to the clarity of the Notes and are
unnecessary.
3E002 ``Technology'' Other Than That Controlled in 3E001 for the
``Development'' or ``Production'' of a ``Microprocessor Microcircuit'',
``Micro-computer Microcircuit'' and Microcontroller Microcircuit Core
ECCN 3E002 is amended by revising the introductory text of Note 2
to remove reference to ``development'' and ``production'', because
these terms are already referenced in the definition of ``technology,''
therefore there is no need to repeat this point in the control text.
However, Note 3 is amended by adding the phrase ``the development or
production of'' to clarify the scope of the Note.
3E003 Other ``Technology'' for the ``Development'' or ``Production''
ECCN 3E003.g is amended by replacing the term ``electronic vacuum
tubes'' with the more modern and general term `vacuum electronic
devices,' which is defined in Technical Note 2 at the beginning of
3A001.b.
Category 4--Computers
4A003 ``Digital Computers,'' ``Electronic Assemblies,'' and Related
Equipment Therefor
ECCN 4A003 is amended by revising the AT control paragraph in the
License Requirements table and the Note to the License Requirements
section in order to correspond to the revision in this rule that raises
the ``adjusted peak performance'' (APP) from 12.5 to 16 weighted
TeraFLOPS (WT) in Items paragraph 4A003.b. The APP is raised to address
the need to track incremental improvements (e.g., ``Moore's Law'') in
micro-processor technology. The Congressional notification requirement
set forth in subsection 1211(d) of the National Defense Authorization
Act for Fiscal Year 1998 (Pub. L. 105-85, November 18, 1997, 111 Stat.
1629, 1932-1933, as amended; 50 U.S.C. 4604 note) provides that the
President must submit a report to Congress 60 days before adjusting the
composite theoretical performance level above which exports of digital
computers to Tier 3 countries require a license. On July 27, 2017 the
Secretary of Commerce, as the President's delegate, submitted to
Congress a report to Congress that establishes and provides
justification for the 16 WT control level using the APP formula.
Therefore, this revision will become effective on September 25, 2017.
BIS estimates that this revision will result in no change to license
application submissions, because this revision is keeping pace with
advancements in HPC technology.
4D001 ``Software'' and 4E001 ``Technology''
ECCNs 4D001 and 4E001 are amended by revising the License Exception
TSR eligibility paragraph and License Exception STA Special Conditions
paragraph to correspond to the revision in this rule that raises the
``adjusted peak performance'' (APP) from 12.5 to 16 weighted TeraFLOPS
(WT) in Items paragraph 4A003.b, because these eligible countries for
these license exceptions represent allies (Country Groups A:5 and A:6)
and countries that do not pose a national security threat (Country
Group B). The APP is raised to address the need to track incremental
improvements (e.g., ``Moore's Law'') in micro-processor technology. The
APP is raised from 6.0 to 8.0 WT in Items paragraph 4D001.b.1 for
software ``specially designed'' or modified for the development or
production of equipment or software controlled by 4A001, 4A003, 4A004
or 4D001 (except 4D980, 4D993 or 4D994) and 4E001.b.1 for technology
other than that controlled by 4E001.a for the development or production
of digital computers. BIS estimates that this revision will result in
no change to license application submissions, because this revision is
keeping pace with advancements in HPC technology.
4D993 ``Program'' Proof and Validation ``Software'', ``Software''
Allowing the Automatic Generation of ``Source Codes'', and Operating
System ``Software''
ECCN 4D993 is amended by correcting the Heading to add a hyphen
between the words ``real'' and ``time'' in the term ``real-time
processing.''
Category 5--Part 1--``Telecommunications''
5A001 Telecommunications Systems, Equipment, ``Components'' and
``Accessories''
ECCN 5A001 is corrected by replacing the word ``centre'' with
``center'' in the Technical Note of Items paragraph b.5.d. For
telecommunication systems and equipment that employ functions of
digital ``signal processing'' to provide `voice coding,' the output
rate is lowered from less than ``2,400 bit/s'' to ``700 bit/s'' in
Items paragraph b.6 to reflect advancement in technology, which BIS
estimates will result in no change to annual license application
submissions.
5B001 Telecommunication Test, Inspection and Production Equipment,
``Components'' and ``Accessories''
ECCN 5B001 is amended by adding ``or'' to the end of Items
paragraph b.2.a in the License Requirements section to correspond with
removing and reserving Items paragraph b.2.c (telecommunication
transmission or switching equipment employing a ``laser'' and coherent
optical transmission or coherent optical detection techniques),
including the Note and Technical Note, because this equipment is
broadly available in all leading technology countries around the world.
BIS estimates that this removal will result in 5 fewer license
application submissions per year.
5E001 ``Technology''
ECCN 5E001 is amended by revising Related Controls Note (2) and
Items paragraph 5E001.d to replace the term Microwave ``monolithic
integrated circuits'' (MMIC) power amplifiers with ``Monolithic
Microwave Integrated Circuit'' (``MMIC'') amplifiers to correspond to
revisions made to 3A001.b.2 in this rule. This rule moves the word
``required'' from the beginning of Items paragraph b.1 to follow the
[[Page 38769]]
term ``technology,'' in order to clarify the scope of the sentence.
This rule also removes Items paragraph 5E001.c.1 ``Equipment employing
digital techniques designed to operate at a ``total digital transfer
rate'' exceeding 560 Gbits/s'' including the Technical Note, because
this telecommunication technology is broadly available in all leading
technology countries around the world. Even though BIS received 100
licenses for 5E001.c technology last year, most of them had other ECCNs
included as well. BIS estimates that this removal will result in 5
fewer license application submissions per year. Items paragraph
5E001.c.2.c (technology for telecommunication transmission or switching
equipment employing a ``laser'' and coherent optical transmission or
coherent optical detection techniques) is removed and reserved,
including the Note and Technical Note, to correspond with the removal
of this equipment in 5B001.b.2.c by this rule. BIS estimates that this
removal will result in 15 fewer license application submissions per
year. The Note to Items paragraphs c.2.e and c.4.b are revised to
remove the phrase ``the development or production of,'' because these
terms are already referenced in the definition of ``technology'' and
there is no need to be repetitive.
Category 5--Part 2--``Information Security''
Category 5--Part 2 is being restructured in order to simplify the
text and focus the scope of controls. The introductory sentence in Note
3 in Category 5--Part 2 is amended by updating the scope of the
Cryptography Note from ``ECCNs 5A002, 5A003, 5A004 and 5D002'' to
``ECCNs 5A002, 5D002.a.1, .b, and c.1.'' Paragraph a.5 is redesignated
as paragraph a.4 in Note 3 to clean up the Note, and the phrase ``,
5A003 or 5A004'' is removed from the Technical Note to paragraph b. in
Note 3, to match the updated scope of the Cryptography Note.
Note 4 is removed and is replaced by the creation of positive text
in 5A002.a to specify the items subject to control. Although the
wording is different and positively stated, the scope of control
remains the same except certain non-primary function uses of encryption
are now excluded as noted below. The exclusion in Note 4 for
entertainment, mass commercial broadcasts, digital rights management or
medical records management is moved to Technical Note 1 in order to
clarify that encryption used for those functions is not considered
`cryptography for data confidentiality' for purposes of Category 5--
Part 2. 5A002.a.4 amends the text of the former Note 4 paragraph b to
release products that use encryption for a non-primary function in
certain circumstances.
5A002 ``Information Security'' Systems, Equipment and ``Components''
ECCN 5A002 is amended by redesignating Related Control paragraph
(3) as (5) and moving the Nota Bene from the beginning of 5A002.a to a
new Related Control paragraph (3) in the List of Items Controlled
section, which directs people to ECCNs 7A005, 7D005 and 7E001 for
Global Navigation Satellite Systems (GNSS) receiving equipment
containing or employing decryption, and related software and
technology. Also a new Related Control Note (4) is added to provide
examples to clarify the scope of Items paragraph 5A002.a.4, and a Nota
Bene is added after Items paragraph 5A002.a.4 to point to Related
Control Note (4). Items paragraph 5A002.a, including the Technical
Notes and Notes, is amended to restructure it and improve readability,
so that it includes an introduction of the term `cryptography for data
confidentiality;' the establishment of a Technical Note to explain the
scope of cryptography and the cryptographic functions excluded from the
controls, including defining `in excess of 56 bits of symmetric key
length, or equivalent;' and the introduction of a definition for
``authentication.''
In addition, several revisions are made to Note 2 to 5A002.a
(formerly Note to 5A002.a). Some paragraph and wording changes are made
to the Note to correspond to other changes in the control text; the
introductory text of the Note is revised to clarify that the Note also
applies to ``specially designed'' ``information security'' components
of items released by the Note; paragraph (f) of the Note is amended to
clarify that it applies to any item where the encryption is limited to
wireless personal area network functionality; paragraph (g) of the Note
regarding dormant encryption products is removed and replaced with the
positive phrase ``where that cryptographic capability is usable without
``cryptographic activation'' '' in the introductory text of 5A002.a;
and the remaining paragraphs of the Note are moved up, so that former
paragraphs in the Note (h), (i), and (j) are now (g), (h), and (i).
5A003 ``Systems,'' ``Equipment'' and ``Components,'' for Non-
Cryptographic ``Information Security''
ECCN 5A003 is amended by revising the Note to Items paragraph .a in
the List of Items Controlled section to add a clarification of the term
`physical layer security' and to provide a reference to ISO/IEC 7498-1.
5D002 ``Software''
5D002 is amended by revising the EI controls in the License
Requirements table to exclude subparagraphs pertaining to ECCN 5A003,
which is not EI controlled. The Items paragraph in the List of Items
Controlled section is amended by replacing 5D002.b, which no longer
controls anything, with ``cryptographic activation'' from 5D002.d, so
that it has the same paragraph number as the equivalent controls in
ECCNs 5A002 and 5E002. Paragraph 5D002.c.2 is replaced, because it no
longer controls anything, and new control text is added corresponding
to ECCN 5A003. Items paragraphs 5D002.a and .c are cascaded in order to
create separate subparagraphs a.1, a.2, a.3 and c.1, c.2 and c.3
corresponding to ECCNs 5A002, 5A003, and 5A004.
5E002 ``Technology''
ECCN 5E002 is corrected to correspond to the WA list by revising
the text in Items paragraph 5E002.b.
Category 6--Sensors and Lasers
6A00 Acoustic Systems, Equipment and ``Components''
ECCN 6A001 is amended by adding a hyphen to the word ``real-time''
in two places in the LVS paragraph in the List Based License Exceptions
section; in the List of Items Controlled section, by adding double
quotes around the word ``accuracy'' in Items paragraphs a.1.a.1.d and
a.1.a.2.b.4; by adding a hyphen to the word ``user-accessible'' in
Items paragraph a.2.c; by adding a Nota Bene to Items paragraph a.2.d.2
to reference 7A003.c for inertial heading systems; and by adding a
hyphen to the word ``user-accessible programmability'' in items
paragraph a.2.f. The majority of these revisions are editorial in
nature (e.g., adding quotes or hyphens).
6A003 Cameras, Systems or Equipment, and ``Components'' Therefor
ECCN 6A003 is amended by correcting paragraph b.1 in Note 3 to
Items paragraph b.4.b in the List of Items Controlled section to remove
the word ``pixel'' from the units, so that the unit simply reads milli-
radians or mrad;
[[Page 38770]]
this correction does not change the scope of this decontrol note.
6A005 ``Lasers,'' ``Components'' and Optical Equipment
The List of Items Controlled section of ECCN 6A005 is amended by
revising Items paragraph a.6.a to raise the output power from 200 W to
500 W for non-tunable continuous wave lasers, as well as by removing
``or'' in Items paragraph a.7.b because this paragraph is not the last
paragraph before the end of the series in Items paragraph .a. This rule
adds an upper limit ``not exceeding 1,850 nm'' to Items paragraph a.8.
This rule also adds two new Items paragraphs a.9 and a.10 to add two
new output wavelength ranges for non-tunable continuous wave (CW)
lasers (exceeding 1,850 nm -2,100 nm, including output power parameters
for single and multiple transverse mode lasers) and (exceeding 2,100 nm
and output power exceeding 1W). In addition, this rule corrects Items
paragraph b.7.b.3 (non-tunable pulsed lasers) by removing ``or''
because this paragraph is not the last paragraph before the end of the
series in Items paragraph b. Items paragraph b.8 is revised to add an
upper threshold of ``not exceeding 1,850 nm.'' This rule adds two new
output wavelength ranges for non-tunable pulsed lasers by adding Items
paragraph b.9 (exceeding 1,850 nm but not exceeding 2,100 nm) and b.10
(exceeding 2,100 nm). These changes represent a decontrol of items in
6A005 and are estimated to result in a decrease of 30 license
application submissions annually.
6A008 Radar Systems, Equipment and Assemblies
ECCN 6A008 is amended to harmonize with the WA list by removing
Related Controls Note (1) and redesignating Notes (2) and (3) as (1)
and (2), because Note (1) deviated from the WA exclusion Note that
already exists in ECCN 6A008, which resulted in confusion.
6D003 Other ``Software''
ECCN 6D003 is corrected by adding a hyphen to the term ``real time
processing'' so that it reads ``real-time processing'' in Items
paragraphs a.1 through a.4, a.5.a, f.3, and f.4.
6E003 Other ``Technology''
ECCN 6E003 is amended by rewriting Items paragraph d.1 and d.2 in
the List of Items Controlled section to clarify the scope and use of
the words ``technology'' and ``required.''
Category 7--Navigation and Avionics
7D003 Other ``Software'' and 7E001 ``Technology''
This rule corrects the capitalization in the Heading of 7E001. The
Related Controls paragraphs of ECCNs 7D003 and 7E001 are amended by
removing references to ECCNs 0D521 and 0E521, because software and
technology for fly-by-wire controls systems were removed from 0D521 and
0E521 (see 80 FR 29452, May 21, 2015). Items paragraph 7D003.e is
amended by revising one Items paragraph reference and adding two
additional references to correspond to revisions made by this rule to
ECCN 7E004.
7D004 ``Source Code'' Incorporating ``Development'' ``Technology''
Specified
The heading of 7D004 is amended by revising the reference to Items
paragraphs in 7E004 to correspond to revisions this rule makes to ECCN
7E004.
7E003 ``Technology'' According to the General Technology Note for the
Repair, Refurbishing or Overhaul of Equipment Controlled by 7A001 to
7A004
The Related Controls paragraph of ECCN 7E003 is amended by revising
the phrase ``maintenance technology'' to read ``technology for
maintenance'' to clarify the scope of the decontrol text.
7E004 Other ``Technology''
ECCN 7E004 is amended to clarify the scope of control by removing
the word ``development'' and capitalizing the word ``Technology'' in
paragraphs 1 and 2 of the Note to Items paragraph b.5 in the List of
Items Controlled section, because the term ``development'' is already
in the definition of ``technology'' and does not need to be used again.
Category 8--Marine
8A002 Marine Systems, Equipment, ``Parts'' and ``Components''
ECCN 8A002 is amended by adding double quotes around the word
``fuel cell'' in the introductory text of Items paragraph j.3 in the
List of Items Controlled section to indicate that it is a defined term
in part 772 of the EAR.
8C001 `Syntactic Foam' Designed for Underwater Use
ECCN 8C001 is amended by adding double quotes around the word
``matrix'' in the Related Definitions paragraph of the List of Items
Controlled section to indicate that it is a defined term in part 772 of
the EAR.
Category 9--Aerospace and Propulsion
9A001 Aero Gas Turbine Engines
ECCN 9A001 is amended by adding double quotes around the word
``technologies'' in Items paragraph 9A001.a in the List of Items
section to indicate that this is a defined term in part 772 of the EAR.
9A004 Space Launch Vehicles and ``Spacecraft,'' ``Spacecraft Buses,''
``Spacecraft Payloads,'' ``Spacecraft'' On-Board Systems or Equipment,
and Terrestrial Equipment
ECCN 9A004 is amended by removing the comma after the word
``equipment'' and adding a comma after the word ``spacecraft'' in the
introductory text of Items paragraph .f in the List of Items Controlled
section to correct the punctuation and clarify the scope of the
paragraph (i.e., to clarify that a list of controlled terrestrial
equipment is what follows Items paragraph .f and not a list of
``specially designed'' spacecraft).
9A515 ``Spacecraft'' and Related Commodities
ECCN 9A515 is amended by revising the Related Controls paragraph in
the List of Items Controlled section to capitalize ``Microwave
Monolithic Integrated Circuits'' and add quotes around the term and its
acronym, ``MMICs,'' in order to correspond to the WA drafting
guidelines and indicate that the term is defined in part 772 of the
EAR. This rule also implements an amendment that is not a result of
changes made to the WA list by revising paragraph .a to clarify that
only the International Space Station and the James Webb Space
Telescope, and ``specially designed'' ``parts,'' ``components,''
``accessories'' and ``attachments'' for those platforms are excluded
from 9A515.a. Specifically, the reference to ECCN 9A004 now reads ECCN
9A004.u or .w.
9B002 On-Line (Real Time) Control Systems, Instrumentation (Including
Sensors) or Automated Data Acquisition and Processing Equipment
Items paragraph 9B002.b is amended by replacing the phrase
``incorporating technologies'' with ``incorporating any of the
technology'' to clarify the scope of the control paragraph.
9B009 Tooling ``Specially Designed'' for Producing Turbine Engine
Powder Metallurgy Rotor ``Parts'' or ``Components''
The Heading of ECCN 9B009 is amended by moving the control
parameter from the Heading to the Items paragraph, as well as adding
the word
[[Page 38771]]
``gas'' before ``turbine engine'' to add specificity to the control.
This rule also replaces the phrase ``capable of operating at'' with
``designed to operate at'' to control the intended capability of the
item versus the actual capability, as the actual capability may vary
from item to item in the same production line, which complicates
classification of a product against specific parameters. In addition, a
new parameter, ``designed to operate at a temperature of 873 K (600
[deg]C) or more,'' is added, as well as a new exclusion Note for
tooling for the production of powder. Normally, more specific
parameters would narrow the scope of the control and result in a
decrease of license application submissions, but BIS received only one
application for this entry last year. BIS estimates there will be no
change in the number of license application submissions as a result of
this revision.
9E003 Other ``Technology''
ECCN 9E003 is amended by adding a Technical Note to Items paragraph
a.1 in the List of Items Controlled section to indicate that stress-
rupture life testing is typically conducted on a test specimen. Items
paragraph 9E003.a.2.a (thermally decoupled liners for combustors) is
revised by adding single quotes around the term `thermally decoupled
liners' and adding a Technical Note to provide a definition for the
term. To accommodate the new Technical Note, the rule redesignates the
existing Technical Note as Technical Note 2 and adds the new Technical
Note as Technical Note 1. The Note to Items paragraph i.3 is revised by
removing the terms ``development'' and ``production,'' because these
terms are already in the definition of ``technology,'' and there is no
need to be redundant when stating the scope of the exclusion note.
Part 772--Definitions of Terms as Used in the Export Administration
Regulations (EAR)
Section 772.1 is amended by adding the terms ``authentication''
(see explanation above under ECCN 5A002), ``MMIC'' and ``Monolithic
Microwave Integrated Circuit'' (see explanation above under ECCN
3A001). This rule also adds quotes around the term ``aircraft'' in the
definitions of ``fly-by-light system'' and ``fly-by-wire system,''
because the use of ``aircraft'' in this definition pertains to the term
``aircraft,'' which is defined in part 772 of the EAR. The term ``real-
time bandwidth'' is revised to add a hyphen between words ``real'' and
``time,'' and a comma and a phrase in the definition are moved to
clarify the definition. The Category 7 reference is removed from the
term ``real-time processing,'' because this term is no longer used in
this category of the CCL. The term ``stability'' is revised by adding a
Statement of Understanding that provides guidance on how to estimate
``stability'' for gyroscopes. The term ``three dimensional integrated
circuit'' is revised, because 3D and 2.5D integrated circuit
technologies allow the integration of many different types of
integrated circuits, and not all 3D Integrated circuits are composed
solely of semiconductor die sandwiched together. Also, a description is
added for the term ``interposer,'' which is now used in the definition
of ``three dimensional integrated circuit.'' This rule also revises the
category reference for the following terms: Active pixel, aircraft,
fibrous or filamentary materials, frequency hopping, and spacecraft.
Supplement No. 6 to Part 774 ``Sensitive List''
Supplement No. 6 to part 774 ``Sensitive List'' (SL) is amended by
removing reference to 1C007.d in paragraphs (iii), (vi) and (vii) of
Category 1, because this paragraph was moved to 1C007.c.2, and 1C007.c
is already listed. Supplement No. 6 to part 774 (SL) is also amended by
revising the parameters in paragraphs (4)(ii) and (iii) to match the
revisions to APP in ECCNs 4D001 and 4E001, and adding a hyphen in the
term ``user-accessible programmability'' in paragraphs (6)(v) and
(viii). In Category 6 of the SL, this rule adds double quotes around
the term ``magnetic gradiometers'' in paragraph (xxiv)(C) and around
the word ``magnetometers'' in paragraph (xxv), in order to indicate
that these words are defined in part 772 of the EAR. Paragraph
(9)(viii) is removed and reserved, because 9E003.a.1 is moving to
paragraph (9)(ix). Paragraph 9E003.h is moved to its own SL paragraph,
(9)(x).
The following is a change to the EAR related to the WA 2016
agreements.
Section 740.7 ``License Exception APP''
Consistent with Executive Order 13742 of October 7, 2016, which
terminated the national emergency with respect to the actions and
policies of the Government of Burma (Burma) and revoked several Burma-
related Executive Orders in recognition of Burma's substantial advances
to promote democracy (including historic elections held in November
2015 that resulted in the formation of a democratically elected,
civilian-led government), this rule moves Burma from paragraph (d)(1)
``Computer Tier 3'' to paragraph (c)(1) ``Computer Tier 1.'' As
provided in subsection 1211(e) of the National Defense Authorization
Act for Fiscal Year 1998 (Pub. L. 105-85, November 18, 1997, 111 Stat.
1629, 1932-1933, as amended; 50 U.S.C. 4604 note), this revision shall
not take effect until 120 days after the President submits to the
Congress a report setting forth the justification. On July 27, 2017 the
Secretary of Commerce, as the President's delegate, submitted to
Congress a report that provided justification for the movement of Burma
from Computer Tier 3 to Tier 1. Therefore, this revision will become
effective on November 24, 2017.
Export Administration Act
Although the Export Administration Act of 1979, as amended, expired
on August 21, 2001, the President, through Executive Order 13222 of
August 17, 2001, 3 CFR, 2001 Comp., p. 783 (2002), as amended by
Executive Order 13637 of March 8, 2013, 78 FR 16129 (March 13, 2013),
and as extended by the Notice of August 4, 2016, 81 FR 52587 (August 8,
2016), has continued the EAR in effect under the International
Emergency Economic Powers Act (50 U.S.C. 1701 et seq.). BIS continues
to carry out the provisions of the Export Administration Act, as
appropriate and to the extent permitted by law, pursuant to Executive
Order 13222, as amended by Executive Order 13637.
Saving Clause
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 15, 2017, 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 exports, reexports and transfers (in-country) before October 16,
2017. Any such items not actually exported, reexported and transferred
(in-country) before midnight, on October 16, 2017, require a license in
accordance with this final rule.
Executive Order Requirements
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,
[[Page 38772]]
environmental, public health and safety effects, distributive impacts,
and equity). Executive Order 13563 emphasizes the importance of
quantifying both costs and benefits, of reducing costs, of harmonizing
rules, and of promoting flexibility.
This rule has been designated a ``significant regulatory action,''
under Executive Order 12866. The Wassenaar Arrangement (WA) has been
established in order to contribute to regional and international
security and stability, by promoting transparency and greater
responsibility in transfers of conventional arms and dual-use goods and
technologies, thus preventing destabilizing accumulations. The aim is
also to prevent the acquisition of these items by terrorists. There are
presently 41 Participating States, including the United States, that
seek through their national policies to ensure that transfers of these
items do not contribute to the development or enhancement of military
capabilities that undermine these goals, and to ensure that these items
are not diverted to support such military capabilities that undermine
these goals. Implementation of the WA agreements in a timely manner
enhances the national security of the United States and global
international trade.
This rule does not contain policies with Federalism implications as
that term is defined under Executive Order 13132.
This rule is not subject to the requirements of E.O. 13771 (82 FR
9339, February 3, 2017) because it is issued with respect to a national
security function of the United States.
Paperwork Reduction Act Requirements
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,'' and carries a burden hour estimate of 29.6 minutes for a
manual or electronic submission; 0694-0106, ``Reporting and
Recordkeeping Requirements under the Wassenaar Arrangement,'' which
carries a burden hour estimate of 21 minutes for a manual or electronic
submission; 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. Below is a table that estimates there will
be a decrease in the number of license application submissions BIS
receives per year as a result of the revisions in this rule. A decrease
in license application submissions in turn results in a decrease in
Wassenaar reporting and recordkeeping, the use of license exceptions,
and the 5-year records retention burden, but does not relieve the
burden to file export information in the Automated Export System.
Specific license application submission estimates are discussed further
in the preamble of this rule where the revision is explained. BIS
estimates that revisions that are editorial, moving the location of
control text on the Commerce Control List, or clarifications will
result in no change in license application submissions. The estimated
annual cost savings for both application submitters and the U.S.
Government is $3,547.60, and the estimated annual burden hour decrease
is 34.8 hours.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Total mins for Cost for respondents Total min to process Cost for gov't ($40/
Description Total submissions submission (29.6 min) ($30/hr or $2/min) application (45 min) hr or $1.5/min)
--------------------------------------------------------------------------------------------------------------------------------------------------------
1C007.c titanium diboride.......... 0..................... 0..................... 0.................... 0.................... 0.
1C007.d ceramic composite material. 2..................... 59.2.................. $118.40.............. 90................... $135.00.
1C007.e precursors................. 0..................... 0..................... 0.................... 0.................... 0.
3A001.a.14 integrated circuits..... 50.................... 1480.................. $2,960.00............ 2250................. $3375.00.
3A001.b.1 vacuum electric devices.. 10.................... 296................... $592.00.............. 450.................. $675.00.
3A001.b.11 frequency synthesizers.. (30).................. (888)................. ($1776.00)........... (1350)............... ($2025.00).
3A001.f ``specially . . . 5..................... 148................... $296.00.............. 225.................. $337.50.
designed'' encoder rings, discs or
scales.
3A002.c.4.b frequency mask trigger. 15.................... 444................... $888.00.............. 675.................. $1012.50.
3B001.a.1 equipment designed for (20).................. (592)................. ($1184.00)........... (900)................ ($1350.00).
epitaxial growth.
3C001.d non-sensitive p-type (5)................... (148)................. ($296.00)............ (225)................ ($337.50).
epitaxial layer materials.
4A003.b computers.................. 0..................... 0..................... 0.................... 0.................... 0.
4D001 and 4E001 technology and 0..................... 0..................... 0.................... 0.................... 0.
software for computers.
5A001.b.6 `voice coding'........... 0..................... 0..................... 0.................... 0.................... 0.
5B001 telecom materials............ (5)................... (148)................. ($296.00)............ (225)................ ($337.50).
5E001.c.1 telecom technology....... (5)................... (148)................. ($296.00)............ (225)................ ($337.50).
5E001.c.2.c telecom technology..... (15).................. (444)................. ($888.00)............ (675)................ ($1012.50).
6A005 lasers....................... (30).................. (888)................. ($1776.00)........... (1350)............... ($2025.00).
9B009 Tooling ``specially 0..................... 0..................... 0.................... 0.................... 0.
designed'' for producing turbine
engine powder metallurgy rotor
``parts'' or ``components.
--------------------------------------------------------------------------------------------------------------------
Totals......................... (28 fewer submissions (828.8 fewer burden ($1657.60 decrease of (1260 fewer burden ($1890.00 decrease of
annually). minutes for cost burden to minutes for USG cost burden to USG
submitters annually). submitters annually). annually). annually).
--------------------------------------------------------------------------------------------------------------------------------------------------------
[[Page 38773]]
Any comments regarding these burden estimates or any other aspect
of these collections of information, including suggestions for reducing
the burden, may be sent to OMB Desk Officer, New Executive Office
Building, Washington, DC 20503; and to Jasmeet K. Seehra, Office of
Management and Budget (OMB), by email to Jasmeet_K._Seehra@omb.eop.gov,
or by fax to (202) 395-7285.
Administrative Procedure Act and Regulatory Flexibility Act
Requirements
The provisions of the Administrative Procedure Act (5 U.S.C. 553)
requiring notice of proposed rulemaking, the opportunity for public
participation, and a delay in effective date, are inapplicable because
this action involves a military and foreign affairs function of the
United States (5 U.S.C. 553(a)(1)). Immediate implementation of these
amendments fulfills the United States' international commitments to the
WA. The WA is committed to contributing to regional and international
security and stability by promoting responsibility and transparency in
the global arms trade, and preventing destabilizing accumulations of
arms. As a Participating State, the United States is charged with
implementing the agreed list changes as soon as possible after
approval. Because the United States is a significant exporter of the
list items discussed in this rule, implementation of this provision is
necessary for the WA to achieve its purpose, and will enhance the
national security of the United States and global international trade.
Although the APA requirements in section 553 are not applicable to
this action under the provisions of paragraph (a)(1), this action also
falls within two other exceptions in the section. The subsection (b)
requirement that agencies publish a notice of proposed rulemaking that
includes information on the public proceedings does not apply when an
agency for good cause finds that the notice and public procedures are
impracticable, unnecessary, or contrary to the public interest, and the
agency incorporates the finding (and reasons therefor) in the rule that
is issued (5 U.S.C. 553(b)(B)). In addition, the section 553(d)
requirement that publication of a rule shall be made not less than 30
days before its effective date can be waived if an agency finds there
is good cause to do so.
The section 553 requirements for notice and public procedures and
for a delay in the date of effectiveness do not apply to this rule, as
there is good cause to waive such practices. Delay in implementation
would disrupt the movement of these potential national-security
controlled items globally, creating disharmony between export control
measures implemented by the 41 WA Participating States. Export controls
work best when all countries implement the same export controls in a
timely manner. Delaying this rulemaking would prevent the United States
from fulfilling its commitment to the WA in a timely manner, would
injure the credibility of the United States in this and other
multilateral regimes, and may impair the international community's
ability to effectively control the export of national security
controlled items. Therefore, this regulation is issued in final form,
and is effective August 15, 2017.
Further, no other law requires that a notice of proposed rulemaking
and an opportunity for public comment be given for this final rule.
Because a notice of proposed rulemaking and an opportunity for public
comment are not required to be given for this rule under the
Administrative Procedure Act 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 740
Administrative practice and procedure, Exports, Reporting and
recordkeeping requirements.
15 CFR Part 772
Exports.
15 CFR Part 774
Exports, Reporting and recordkeeping requirements.
Accordingly, Parts 740, 772, and 774 of the Export Administration
Regulations (15 CFR parts 730 through 774) are amended as follows:
PART 740--[AMENDED]
0
1. The authority citation for part 740 continues to read as follows:
Authority: 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; Notice of
August 4, 2016, 81 FR 52587 (August 8, 2016).
0
2. Section 740.7 is amended by:
0
a. Adding ``Burma,'' to paragraph (c)(1) after ``Burkina Faso,'' ; and
0
b. Removing ``Burma,'' from paragraph (d)(1).
PART 772--[AMENDED]
0
3. The authority citation for part 772 continues to read as follows:
Authority: 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; Notice of August 4,
2016, 81 FR 52587 (August 8, 2016).
0
4. Section 772.1 is amended by:
0
a. Removing ``(Cat 6 and 8)'' and adding in its place ``(Cat 6)'' in
the definition of ``active pixel'';
0
b. Removing ``(Cat 1, 7, and 9)'' and adding in its place ``(Cat 1, 6,
7, and 9)'' in the definition of ``aircraft'';
0
c. Adding the definition of ``Authentication'' in alphabetical order;
0
d. Removing ``(Cat 1 and 8)'' and adding in its place ``(Cat 1, 2, 8
and 9)'' in
0
the definition of ``fibrous or filamentary materials'';
0
e. Adding quotes around the term ``aircraft'' in the definitions of the
terms ``fly-by-light system'' and ``fly-by-wire system'';
0
f. Removing ``(Cat 5 part 1 and 5 part 2)'' and adding in its place
``(Cat 5P1, 5P2 and 6)'' in the definition of ``frequency hopping'';
0
g. Adding the definitions of ``MMIC'' and ``Monolithic Microwave
Integrated Circuit'' in alphabetical order;
0
h. Removing the definition of ``multilevel security'' including the
Note;
0
i. Revising the definitions of ``real-time bandwidth'' and ``real-time
processing'';
0
j. Remove ``(Cat 7 and 9)'' and add in its place ``(Cat 9)'' in the
definition of ``spacecraft''; and
0
k. Revising the definitions of ``stability'' and ``three dimensional
integrated circuit''.
The additions and revisions read as follows:
772.1 Definitions of terms as used in the Export Administration
Regulations (EAR).
* * * * *
``Authentication''. (Cat 5P2) Verifying the identity of a user,
process or device, often as a prerequisite to allowing access to
resources in an information system. This includes verifying the origin
or content of a message or other information, and all aspects of access
control where there is no encryption of files or text except as
directly related to the protection of passwords, Personal
Identification Numbers (PINs) or similar data to prevent unauthorized
access.
* * * * *
``MMIC''. (Cat 3 and 5) See ``Monolithic Microwave Integrated
Circuit''
* * * * *
[[Page 38774]]
``Monolithic Microwave Integrated Circuit'' (``MMIC'') (Cat 3, 5P1
and 9) is a ``monolithic integrated circuit'' that operates at
microwave or millimeter wave frequencies.
* * * * *
Real-time bandwidth. (Cat 3) For ``signal analyzers'', the widest
frequency range for which the analyzer can continuously transform time
domain data entirely into frequency-domain results using Fourier or
other discrete time transform that processes every incoming time point,
without a reduction of measured amplitude of more than 3 dB below the
actual signal amplitude caused by gaps or windowing effects, while
outputting or displaying the transformed data.
``Real-time Processing''. (Cat 2, 4, and 6) The processing of data
by a computer system providing a required level of service, as a
function of available resources, within a guaranteed response time,
regardless of the load of the system, when stimulated by an external
event.
* * * * *
``Stability''. (Cat 7) Standard deviation (1 sigma) of the
variation of a particular parameter from its calibrated value measured
under stable temperature conditions. This can be expressed as a
function of time.
Note to the Defintion of ``Stability'': For gyroscopes,
``stability'' can be estimated by determining the Allan variance
noise-analysis value at the integration period (i.e., sample time)
consistent with the stated measurement period, which may include
extrapolating the Allan variance noise analysis beyond the
instability point into the rate random walk or rate ramp regions to
an integration period consistent with the stated measurement period
(Reference: IEEE Std. 952-1997 [R2008]). Allan variance noise
analysis is often used to characterize Micro Electro Mechanical
Systems (MEMS) gyroscopes, and is applicable to other gyroscopes,
such as Ring Laser Gyroscopes (RLGs) and Fiber Optic Gyroscopes
(FOGs).
* * * * *
``Three dimensional integrated circuit''. (Cat 3) A collection of
semiconductor dies or active device layers, integrated together, and
having through semiconductor via connections passing completely through
an interposer, substrate, die or layer to establish interconnections
between the device layers. An interposer is an interface that enables
electrical connections.
* * * * *
PART 774--[AMENDED]
0
5. The authority citation for part 774 continues to read as follows:
Authority: 50 U.S.C. 4601 et seq.; 50 U.S.C. 1701 et seq.; 10
U.S.C. 7420; 10 U.S.C. 7430(e); 22 U.S.C. 287c, 22 U.S.C. 3201 et
seq.; 22 U.S.C. 6004; 30 U.S.C. 185(s), 185(u); 42 U.S.C. 2139a; 43
U.S.C. 1354; 15 U.S.C. 1824a; 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; Notice of
August 4, 2016, 81 FR 52587 (August 8, 2016).
0
6. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 1, ECCN 1A004 is revised to read as follows:
Supplement No. 1 to Part 774--The Commerce Control List
* * * * *
1A004 Protective and detection equipment and ``components,'' not
``specially designed'' for military use, as follows (see List of
Items Controlled).
Reason for Control: NS, CB, RS, AT
Country chart (See Supp.
Control(s) No. 1 to part 738)
NS applies to entire entry................ NS Column 2
CB applies to chemical detection systems CB Column 2
and dedicated detectors therefor, in
1A004.c, that also have the technical
characteristics described in 2B351.a.
RS apply to 1A004.d....................... RS 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: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Related Controls: (1) See ECCNs 1A995, 2B351, and 2B352. (2) See
ECCN 1D003 for ``software'' ``specially designed'' or modified to
enable equipment to perform the functions of equipment controlled
under section 1A004.c (Nuclear, biological and chemical (NBC)
detection systems). (3) See ECCN 1E002.g for control libraries
(parametric technical databases) ``specially designed'' or modified
to enable equipment to perform the functions of equipment controlled
under 1A004.c (Nuclear, biological and chemical (NBC) detection
systems). (4) Chemical and biological protective and detection
equipment specifically designed, developed, modified, configured, or
adapted for military applications is ``subject to the ITAR'' (see 22
CFR parts 120 through 130, including USML Category XIV(f)), as is
commercial equipment that incorporates ``parts'' or ``components''
controlled under that category except for domestic preparedness
devices for individual protection that integrate ``components'' and
``parts'' identified in USML Category XIV(f)(4) when such ``parts''
or ``components'' are: (i) Integral to the device; (ii) inseparable
from the device; and (iii) incapable of replacement without
compromising the effectiveness of the device, in which case the
equipment is ``subject to the EAR'' under ECCN 1A004. (5) This entry
does not control radionuclides incorporated in equipment listed in
this entry--such materials are subject to the licensing jurisdiction
of the Nuclear Regulatory Commission (See 10 CFR part 110).
Related Definitions: (1) `Biological agents' means: Pathogens or
toxins, selected or modified (such as altering purity, shelf life,
virulence, dissemination characteristics, or resistance to UV
radiation) to produce casualties in humans or animals, degrade
equipment or damage crops or the environment. (2) `Riot control
agents' are substances which, under the expected conditions of use
for riot control purposes, produce rapidly in humans sensory
irritation or disabling physical effects which disappear within a
short time following termination of exposure. (Tear gases are a
subset of `riot control agents.')
Items:
a. Full face masks, filter canisters and decontamination
equipment therefor, designed or modified for defense against any of
the following, and ``specially designed'' ``components'' therefor:
Note: 1A004.a includes Powered Air Purifying Respirators (PAPR)
that are designed or modified for defense against agents or
materials, listed in 1A004.a.
Technical Notes: For the purpose of 1A004.a:
1. Full face masks are also known as gas masks.
2. Filter canisters include filter cartridges.
a.1. `Biological agents;'
a.2. `Radioactive materials;'
a.3. Chemical warfare (CW) agents; or
a.4. `Riot control agents,' as follows:
a..4.a. [alpha]-Bromobenzeneacetonitrile, (Bromobenzyl cyanide)
(CA) (CAS 5798-79-8);
a..4.b. [(2-chlorophenyl) methylene] propanedinitrile, (o-
Chlorobenzylidenemalononitrile) (CS) (CAS 2698-41-1);
a..4.c. 2-Chloro-1-phenylethanone, Phenylacyl chloride ([omega]-
chloroacetophenone) (CN) (CAS 532-27-4);
a..4.d. Dibenz-(b,f)-1,4-oxazephine, (CR) (CAS 257-07-8);
a..4.e. 10-Chloro-5, 10-dihydrophenarsazine, (Phenarsazine
chloride), (Adamsite), (DM) (CAS 578-94-9);
a..4.f. N-Nonanoylmorpholine, (MPA) (CAS 5299-64-9);
b. Protective suits, gloves and shoes, ``specially designed'' or
modified for defense against any of the following:
b.1. `Biological agents';
b.2. `Radioactive materials;' or
b.3. Chemical warfare (CW) agents;
c. Detection systems, ``specially designed'' or modified for
detection or identification of any of the following, and ``specially
designed'' ``components'' therefor:
[[Page 38775]]
c.1. `Biological agents';
c.2. `Radioactive materials;' or
c.3. Chemical warfare (CW) agents;
d. Electronic equipment designed for automatically detecting or
identifying the presence of ``explosives'' (as listed in the annex
at the end of Category 1) residues and utilizing `trace detection'
techniques (e.g., surface acoustic wave, ion mobility spectrometry,
differential mobility spectrometry, mass spectrometry).
Technical Note: `Trace detection' is defined as the capability
to detect less than 1 ppm vapor, or 1 mg solid or liquid.
Note 1: 1A004.d. does not apply to equipment ``specially
designed'' for laboratory use.
Note 2: 1A004.d. does not apply to non-contact walk-through
security portals.
Note: 1A004 does not control:
a. Personal radiation monitoring dosimeters;
b. Occupational health or safety equipment limited by design or
function to protect against hazards specific to residential safety
or civil industries, including:
1. Mining;
2. Quarrying;
3. Agriculture;
4. Pharmaceutical;
5. Medical;
6. Veterinary;
7. Environmental;
8. Waste management;
9. Food industry.
Technical Notes:
1. 1A004 includes equipment, ``components'' that have been
`identified,' successfully tested to national standards or otherwise
proven effective, for the detection of or defense against
`radioactive materials' `` '' `biological agents,' chemical warfare
agents, `simulants' or ``riot control agents,'' even if such
equipment or ``components'' are used in civil industries such as
mining, quarrying, agriculture, pharmaceuticals, medical,
veterinary, environmental, waste management, or the food industry.
2. `Simulant': A substance or material that is used in place of
toxic agent (chemical or biological) in training, research, testing
or evaluation.
3. For the purposes of 1A004, `radioactive materials' are those
selected or modified to increase their effectiveness in producing
casualties in humans or animals, degrading equipment or damaging
crops or the environment.
0
7. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 1, ECCN 1A007 is revised to read as follows:
1A007 Equipment and devices, ``specially designed'' to initiate
charges and devices containing ``energetic materials,'' by
electrical means, as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, NP, AT
Country chart (See Supp.
Control(s) No.1 to part 738)
NS applies to entire entry................ NS Column 2
NP applies to 1A007.b, as well as 1A007.a NP Column 1
when the detonator firing set meets or
exceeds the parameters of 3A229.
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
CIV: N/A
List of Items Controlled
Related Controls: High explosives and related equipment ``specially
designed'' for military use are ``subject to the ITAR'' (see 22 CFR
parts 120 through 130). This entry does not control detonators using
only primary explosives, such as lead azide. See also ECCNs 0A604,
3A229, and 3A232. See 1E001 for ``development'' and ``production''
technology controls, and 1E201 for ``use'' technology controls.
Related Definitions: N/A
Items:
a. Explosive detonator firing sets designed to drive explosive
detonators specified by 1A007.b;
b. Electrically driven explosive detonators as follows:
b.1. Exploding bridge (EB);
b.2. Exploding bridge wire (EBW);
b.3. Slapper;
b.4. Exploding foil initiators (EFI).
Technical Notes
1. The word initiator or igniter is sometimes used in place of
the word detonator.
2. For the purpose of 1A007.b the detonators of concern all
utilize a small electrical conductor (bridge, bridge wire, or foil)
that explosively vaporizes when a fast, high-current electrical
pulse is passed through it. In nonslapper types, the exploding
conductor starts a chemical detonation in a contacting high
explosive material such as PETN (pentaerythritoltetranitrate). In
slapper detonators, the explosive vaporization of the electrical
conductor drives a flyer or slapper across a gap, and the impact of
the slapper on an explosive starts a chemical detonation. The
slapper in some designs is driven by magnetic force. The term
exploding foil detonator may refer to either an EB or a slapper-type
detonator.
0
8. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 1, ECCN 1B001 is revised to read as follows:
1B001 Equipment for the production or inspection of ``composite''
structures or laminates controlled by 1A002 or ``fibrous or
filamentary materials'' controlled by 1C010, as follows (see List of
Items Controlled), and ``specially designed'' ``components'' and
``accessories'' therefor.
License Requirements
Reason for Control: NS, MT, NP, AT
Country chart (See Supp. No.
Control(s) 1 to part 738)
NS applies to entire entry................ NS Column 2
MT applies to entire entry, except MT Column 1
1B001.d.4, e and f.
Note: MT applies to equipment in 1B001.d
that meet or exceed the parameters of
1B101.
NP applies to filament winding machines NP Column 1
described in 1B001.a that are capable of
winding cylindrical rotors having a
diameter between 75 mm (3 in) and 400 mm
(16 in) and lengths of 600 mm (24 in) or
greater; AND coordinating and programming
controls and precision mandrels for these
filament winding machines.
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 for MT and for 1B001.a; $5,000 for all other items
GBS: N/A
CIV: N/A
List of Items Controlled
Related Controls: (1) See ECCN 1D001 for software for items
controlled by this entry and see ECCNs 1E001 (``development'' and
``production'') and 1E101 (``use'') for technology for items
controlled by this entry. (2) Also see ECCNs 1B101 and 1B201.
Related Definitions: N/A
Items:
a. Filament winding machines, of which the motions for
positioning, wrapping and winding fibers are coordinated and
programmed in three or more `primary servo positioning' axes,
``specially designed'' for the manufacture of ``composite''
structures or laminates, from ``fibrous or filamentary materials'';
b. `Tape laying machines', of which the motions for positioning
and laying tape are coordinated and programmed in five or more
`primary servo positioning' axes, ``specially designed'' for the
manufacture of ``composite'' airframe or missile structures;
Technical Note: For the purposes of 1B001.b, `tape-laying
machines' have the ability to lay one or more `filament bands'
limited to widths greater than 25.4 mm and less than or equal to
304.8 mm, and to cut
[[Page 38776]]
and restart individual `filament band' courses during the laying
process.
c. Multidirectional, multidimensional weaving machines or
interlacing machines, including adapters and modification kits,
``specially designed'' or modified for weaving, interlacing or
braiding fibers for ``composite'' structures;
Technical Note: For the purposes of 1B001.c the technique of
interlacing includes knitting.
d. Equipment ``specially designed'' or adapted for the
production of reinforcement fibers, as follows:
d.1. Equipment for converting polymeric fibers (such as
polyacrylonitrile, rayon, pitch or polycarbosilane) into carbon
fibers or silicon carbide fibers, including special equipment to
strain the fiber during heating;
d.2. Equipment for the chemical vapor deposition of elements or
compounds, on heated filamentary substrates, to manufacture silicon
carbide fibers;
d.3. Equipment for the wet-spinning of refractory ceramics (such
as aluminum oxide);
d.4. Equipment for converting aluminum containing precursor
fibers into alumina fibers by heat treatment;
e. Equipment for producing prepregs controlled by 1C010.e by the
hot melt method;
f. Non-destructive inspection equipment ``specially designed''
for ``composite'' materials, as follows:
f.1. X-ray tomography systems for three dimensional defect
inspection;
f.2. Numerically controlled ultrasonic testing machines of which
the motions for positioning transmitters or receivers are
simultaneously coordinated and programmed in four or more axes to
follow the three dimensional contours of the ``part'' or
``component'' under inspection;
g. Tow-placement machines, of which the motions for positioning
and laying tows are coordinated and programmed in two or more
`primary servo positioning' axes, ``specially designed'' for the
manufacture of ``composite'' airframe or missile structures.
Technical Note to 1B001.g: For the purposes of 1B001.g, `tow-
placement machines' have the ability to place one or more `filament
bands' having widths less than or equal to 25.4 mm, and to cut and
restart individual `filament band' courses during the placement
process.
Technical Notes for 1B001: 1. For the purpose of 1B001,
`primary servo positioning' axes control, under computer program
direction, the position of the end effector (i.e., head) in space
relative to the work piece at the correct orientation and direction
to achieve the desired process.
2. For the purposes of 1B001, a `filament band' is a single
continuous width of fully or partially resin-impregnated tape, tow
or fiber. Fully or partially resin-impregnated `filament bands'
include those coated with dry powder that tacks upon heating.
0
9. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 1, ECCN 1C007 is revised to read as follows:
1C007 Ceramic powders, ceramic-``matrix'' ``composite'' materials
and `precursor materials,' as follows (see List of Items
Controlled).
License Requirements
Reason for Control: NS, MT, AT
Country chart (See Supp. No.
Control(s) 1 to part 738)
NS applies to entire entry................ NS Column 2
MT applies to items in 1C007.c when the MT Column 1
dielectric constant is less than 6 at any
frequency from 100 MHz to 100 GHz for use
in ``missile'' radomes.
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)
LVS: $5000, except N/A for MT and for 1C007.e
GBS: N/A
CIV: N/A
Special Conditions for STA
STA: License Exception STA may not be used to ship any item in
1C007.c entry 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: See also 1C107.
Related Definitions: N/A
Items:
a. Ceramic powders of titanium diboride (TiB2) (CAS 12045-63-5)
having total metallic impurities, excluding intentional additions,
of less than 5,000 ppm, an average particle size equal to or less
than 5 [micro]m and no more than 10% of the particles larger than 10
[micro]m;
b. [Reserved]
c. Ceramic-``matrix'' ``composite'' materials as follows:
c.1. Ceramic-ceramic ``composite'' materials with a glass or
oxide-``matrix'' and reinforced with any of the following:
c.1.a. Continuous fibers made from any of the following
materials:
c.1.a.1. Al2O3 (CAS 1344-28-1); or
c.1.a.2. Si-C-N; or
Note: 1C007.c.1.a does not apply to ``composites'' containing
fibers with a tensile strength of less than 700 MPa at 1,273 K
(1,000 [deg]C) or tensile creep resistance of more than 1% creep
strain at 100 MPa load and 1,273 K (1,000 [deg]C) for 100 hours.
c.1.b. Fibers being all of the following:
c.1.b.1. Made from any of the following materials:
c.1.b.1.a. Si-N;
c.1.b.1.b. Si-C;
c.1.b.1.c. Si-Al-O-N; or
c.1.b.1.d. Si-O-N; and
c.1.b.2. Having a ``specific tensile strength'' exceeding 12.7 x
10\3\ m;
c.2. Ceramic- ``matrix'' ``composite'' materials with a
``matrix'' formed of carbides or nitrides of silicon, zirconium or
boron;
N.B.: For items previously listed under 1C007.c see 1C007.c.1.b.
d. [Reserved]
N.B.: For items previously listed under 1C007.d see 1C007.c.2.
e. `Precursor materials' ``specially designed'' for the
``production'' of materials controlled by 1C007.c, as follows:
e.1. Polydiorganosilanes;
e.2. Polysilazanes;
e.3. Polycarbosilazanes;
Technical Note: For the purposes of 1C007, `precursor materials'
are special purpose polymeric or metallo-organic materials used for
the ``production'' of silicon carbide, silicon nitride, or ceramics
with silicon, carbon and nitrogen.
f. [Reserved]
N.B.: For items previously listed under 1C007.f see 1C007.c.1.a.
0
10. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 1, ECCN 1C608 is revised to read as follows:
1C608 ``Energetic materials'' and related commodities (see List of
Items Controlled).
License Requirements
Reason for Control: NS, RS, MT, AT, UN
Country chart (See Supp. No.
Control(s) 1 to part 738)
NS applies to entire entry................ NS Column 1
RS applies to entire entry................ RS Column 1
MT applies to 1C608.m..................... MT Column 1
AT applies to entire entry................ AT Column 1
UN applies to entire entry................ See Sec. 746.1(b) for UN
controls
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $1500
GBS: N/A
CIV: N/A
Special Conditions for STA
STA: Paragraph (c)(2) of License Exception STA (Sec. 740.20(c)(2)
of the EAR) may not be used for any item in 1C608.
List of Items Controlled
Related Controls: (1) The EAR does not control devices or charges
containing materials controlled by USML subparagraphs V(c)(6), V(h),
or V(i). The USML controls devices containing such materials. (2)
The USML in Categories III, IV, or V controls devices and charges in
[[Page 38777]]
this entry if they contain materials controlled by Category V (other
than slurries) and such materials can be easily extracted without
destroying the device or charge. (3) See also explosives and other
items enumerated in ECCNs 1A006, 1A007, 1A008, 1C011, 1C111, 1C239,
and 1C992. (4) See ECCN 0A919 for foreign-made ``military
commodities'' that incorporate more than a de minimis amount of US-
origin ``600 series'' controlled content.
Related Definitions: (1) For purposes of this entry, the term
`controlled materials' means controlled energetic materials
enumerated in ECCNs 1C011, 1C111, 1C239, 1C608, or USML Category V.
(2) For the purposes of this entry, the term `propellants' means
substances or mixtures that react chemically to produce large
volumes of hot gases at controlled rates to perform mechanical work.
Items:
a. `Single base,' `double base,' and `triple base' `propellants'
having nitrocellulose with nitrogen content greater than 12.6% in
the form of either:
a.1. `Sheetstock' or `carpet rolls;' or
a.2. Grains with diameter greater than 0.10 inches.
Note: This entry does not control `propellant' grains used in
shotgun shells, small arms cartridges, or rifle cartridges.
Technical Notes: 1. `Sheetstock' is `propellant' that has been
manufactured in the form of a sheet suitable for further processing.
2. A `carpet roll' is `propellant' that has been manufactured as
a sheet, often cut to a desired width, and subsequently rolled up
(like a carpet).
3. `Single base' is `propellant' which consists mostly of
nitrocellulose.
4. `Double base' `propellant' consist mostly of nitrocellulose
and nitroglycerine.
5. `Triple base' consists mostly of nitrocellulose,
nitroglycerine, and nitroguanidine. Such `propellants' contain other
materials, such as resins or stabilizers, that could include carbon,
salts, burn rate modifiers, nitrodiphenylamine, wax, polyethylene
glycol (PEG), polyglycol adipate (PGA).
b. Shock tubes containing greater than 0.064 kg per meter (300
grains per foot), but not more than 0.1 kg per meter (470 grains per
foot) of `controlled materials.'
c. Cartridge power devices containing greater than 0.70 kg, but
not more than 1.0 kg of `controlled materials.'
d. Detonators (electric or nonelectric) and ``specially
designed'' assemblies therefor containing greater than 0.01 kg, but
not more than 0.1 kg of `controlled materials.'
e. Igniters not controlled by USML Categories III or IV that
contain greater than 0.01 kg, but not more than 0.1 kg of
`controlled materials.'
f. Oil well cartridges containing greater than 0.015 kg, but not
more than 0.1 kg of `controlled materials.'
g. Commercial cast or pressed boosters containing greater than
1.0 kg, but not more than 5.0 kg of `controlled materials.'
h. Commercial prefabricated slurries and emulsions containing
greater than 10 kg and less than or equal to thirty-five percent by
weight of USML `controlled materials.'
i. [Reserved]
j. ``Pyrotechnic'' devices ``specially designed'' for commercial
purposes (e.g., theatrical stages, motion picture special effects,
and fireworks displays), and containing greater than 3.0 kg, but not
more than 5.0 kg of `controlled materials.'
k. Other commercial explosive devices or charges ``specially
designed'' for commercial applications, not controlled by 1C608.c
through .g above, containing greater than 1.0 kg, but not more than
5.0 kg of `controlled materials.'
l. Propyleneimine (2 methylaziridine) (C.A.S. #75-55-8).
m. Any oxidizer or `mixture' thereof that is a compound composed
of fluorine and any of the following: Other halogens, oxygen, or
nitrogen.
Note 1 to 1C608.m: Nitrogen trifluoride (NF3)(CAS 7783-54-2) in
a gaseous state is controlled under ECCN 1C992 and not under ECCN
1C608.m.
Note 2 to 1C608.m Chlorine trifluoride (ClF3)(CAS 7790-91-2) is
controlled under ECCN 1C111.a.3.f and not under ECCN 1C608.m.
Note 3 to 1C608.m Oxygen difluoride (OF2) is controlled under
USML Category V.d.10 (see 22 CFR 121.1) and not under ECCN 1C608.m.
Note 1 to 1C608.l and m: If a chemical in ECCN 1C608.l or .m is
incorporated into a commercial charge or device described in ECCN
1C608.c through .k or in ECCN 1C992, the classification of the
commercial charge or device applies to the item.
Technical Note to 1C608.m: `Mixture' refers to a composition of
two or more substances with at least one substance being enumerated
in 1C011, 1C111, 1C239, 1C608, USML Category V, or elsewhere on the
USML.
n. Any explosives, `propellants,' oxidizers, ``pyrotechnics,''
fuels, binders, or additives that are ``specially designed'' for
military application and not enumerated or otherwise described in
USML Category V or elsewhere on the USML.
0
11. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 1, ECCN 1E001 is revised to read as follows:
1E001 ``Technology'' according to the General Technology Note for
the ``development'' or ``production'' of items controlled by 1A002,
1A003, 1A004, 1A005, 1A006.b, 1A007, 1A008 1A101, 1B (except 1B608,
1B613 or 1B999), or 1C (except 1C355, 1C608, 1C980 to 1C984, 1C988,
1C990, 1C991, 1C995 to 1C999).
License Requirements
Reason for Control: NS, MT, NP, CB, RS, AT
Country chart (See Supp. No.
Control(s) 1 to part 738)
NS applies to ``technology'' for items NS Column 1
controlled by 1A002, 1A003, 1A005,
1A006.b, 1A007, 1B001 to 1B003, 1B018,
1C001 to 1C011, or 1C018.
NS applies to ``technology'' for items NS Column 2
controlled by 1A004.
MT applies to ``technology'' for items MT Column 1
controlled by 1A101, 1B001, 1B101, 1B102,
1B115 to 1B119, 1C001, 1C007, 1C011,
1C101, 1C102, 1C107, 1C111, 1C116, 1C117,
or 1C118 for MT reasons
NP applies to ``technology'' for items NP Column 1
controlled by 1A002, 1A007, 1B001, 1B101,
1B201, 1B225, 1B226, 1B228 to 1B234,
1C002, 1C010, 1C111, 1C116, 1C202, 1C210,
1C216, 1C225 to 1C237, or 1C239 to 1C241
for NP reasons
CB applies to ``technology'' for items CB Column 1
controlled by 1C351, 1C353, or 1C354
CB applies to ``technology'' for materials CB Column 2
controlled by 1C350 and for chemical
detection systems and dedicated detectors
therefor, in 1A004.c, that also have the
technical characteristics described in
2B351.a
RS applies to technology for equipment RS Column 2
controlled in 1A004.d
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)
CIV: N/A
TSR: Yes, except for the following:
(1) Items controlled for MT reasons; or (2) Exports and reexports to
destinations outside of those countries listed in Country Group A:5
(See Supplement No. 1 to part 740 of the EAR) of ``technology'' for
the ``development'' or production'' of the following:
[[Page 38778]]
(a) Items controlled by 1C001; or
(b) Items controlled by 1A002.a which are composite structures or
laminates having an organic ``matrix'' and being made from materials
listed under 1C010.c or 1C010.d.
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 and materials
specified by ECCNs 1A002, 1C001, 1C007.c, 1C010.c or d or 1C012 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) Also see ECCNs 1E101, 1E201, and 1E202. (2)
See ECCN 1E608 for ``technology'' for items classified under ECCN
1B608 or 1C608 that, immediately prior to July 1, 2014, were
classified under ECCN 1B018.a or 1C018.b through .m (note that ECCN
1E001 controls ``development'' and ``production'' ``technology'' for
chlorine trifluoride controlled by ECCN 1C111.a.3.f--see ECCN 1E101
for controls on ``use'' ``technology'' for chlorine trifluoride).
(3) See ECCN 1E002.g for control libraries (parametric technical
databases) ``specially designed'' or modified to enable equipment to
perform the functions of equipment controlled under ECCN 1A004.c
(Nuclear, biological and chemical (NBC) detection systems) or ECCN
1A004.d (Equipment for detecting or identifying explosives
residues). (4) ``Technology'' for lithium isotope separation (see
related ECCN 1B233) and ``technology'' for items described in ECCN
1C012 are subject to the export licensing authority of the
Department of Energy (see 10 CFR part 810). (5) ``Technology'' for
items described in ECCN 1A102 is ``subject to the ITAR'' (see 22 CFR
parts 120 through 130).
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
0
12. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 1, ECCN 1E002 is revised to read as follows:
1E002 Other ``technology'' as follows (see List of Items
Controlled).
License Requirements
Reason for Control: NS, MT, NP, AT
Country chart (See Supp.
Control(s) No. 1 to part 738)
NS applies to entire entry, except 1E002.g NS Column 1
NS applies to 1E002.g NS Column 2
MT applies to 1E002.e MT Column 1
NP applies to ``technology'' for items NP Column 1
controlled by 1A002 for NP 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)
CIV: N/A
TSR: Yes, except for 1E002.e and .f.
License Exceptions Note: License Exception TSU is not applicable
for the repair ``technology'' controlled by 1E002.e or .f, see
supplement no. 2 to this part.
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit any
item in 1E002.e or .f 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: See also 1E001, 1E101,1E102, 1E202, and 1E994 for
``technology'' related to 1E002.e or .f.
Related Definitions: N/A
Items:
a. ``Technology'' for the ``development'' or ``production'' of
polybenzothiazoles or polybenzoxazoles;
b. ``Technology'' for the ``development'' or ``production'' of
fluoroelastomer compounds containing at least one vinylether
monomer;
c. ``Technology'' for the design or ``production'' of the
following ceramic powders or non-``composite'' ceramic materials:
c.1. Ceramic powders having all of the following:
c.1.a. Any of the following compositions:
c.1.a.1. Single or complex oxides of zirconium and complex
oxides of silicon or aluminum;
c.1.a.2. Single nitrides of boron (cubic crystalline forms);
c.1.a.3. Single or complex carbides of silicon or boron; or
c.1.a.4. Single or complex nitrides of silicon;
c.1.b. Any of the following total metallic impurities (excluding
intentional additions):
c.1.b.1. Less than 1,000 ppm for single oxides or carbides; or
c.1.b.2. Less than 5,000 ppm for complex compounds or single
nitrides; and
c.1.c. Being any of the following:
c.1.c.1. Zirconia (CAS 1314-23-4) with an average particle size
equal to or less than 1 [micro]m and no more than 10% of the
particles larger than 5 [micro]m; or
c.1.c.2. Other ceramic powders with an average particle size
equal to or less than 5 [micro]m and no more than 10% of the
particles larger than 10 [micro]m;
c.2. Non-``composite'' ceramic materials composed of the
materials described in 1E002.c.1;
Note: 1E002.c.2 does not control ``technology'' for abrasives.
d. [Reserved]
e. ``Technology'' for the installation, maintenance or repair of
materials controlled by 1C001;
f. ``Technology'' for the repair of ``composite'' structures,
laminates or materials controlled by 1A002 or 1C007.c;
Note: 1E002.f does not control ``technology'' for the repair of
``civil aircraft'' structures using carbon ``fibrous or filamentary
materials'' and epoxy resins, contained in ``aircraft''
manufacturers' manuals.
g. ``Libraries'' ``specially designed'' or modified to enable
equipment to perform the functions of equipment controlled under
1A004.c or 1A004.d.
0
13. In Supplement No. 1 to Part 774 (the Commerce Control List), Annex
to Category 1--List of Explosives is revised to read as follows:
ANNEX to Category 1
List of Explosives (See ECCNs 1A004 and 1A008)
1. ADNBF (aminodinitrobenzofuroxan or 7-amino-4,6-
dinitrobenzofurazane-1-oxide) (CAS 97096-78-1);
2. BNCP (cis-bis (5-nitrotetrazolato) tetra amine-cobalt (III)
perchlorate) (CAS 117412-28-9);
3. CL-14 (diamino dinitrobenzofuroxan or 5,7-diamino-4,6-
dinitrobenzofurazane-1-oxide) (CAS 117907-74-1);
4. CL-20 (HNIW or Hexanitrohexaazaisowurtzitane) (CAS 135285-90-
4); chlathrates of CL-20;
5. CP (2-(5-cyanotetrazolato) penta amine-cobalt (III)
perchlorate) (CAS 70247-32-4);
6. DADE (1,1-diamino-2,2-dinitroethylene, FOX7) (CAS 145250-81-
3);
7. DATB (diaminotrinitrobenzene) (CAS 1630-08-6);
8. DDFP (1,4-dinitrodifurazanopiperazine);
9. DDPO (2,6-diamino-3,5-dinitropyrazine-1-oxide, PZO) (CAS
194486-77-6);
10. DIPAM (3,3'-diamino-2,2',4,4',6,6'-hexanitrobiphenyl or
dipicramide) (CAS 17215-44-0);
11. DNGU (DINGU or dinitroglycoluril) (CAS 55510-04-8);
12. Furazans as follows:
a. DAAOF (diaminoazoxyfurazan);
b. DAAzF (diaminoazofurazan) (CAS 78644-90-3);
13. HMX and derivatives, as follows:
a. HMX (Cyclotetramethylenetetranitramine, octahydro-1,3,5,7-
tetranitro-1,3,5,7-tetrazine, 1,3,5,7-tetranitro-1,3,5,7-tetraza-
cyclooctane, octogen or octogene) (CAS 2691-41-0);
b. difluoroaminated analogs of HMX;
c. K-55 (2,4,6,8-tetranitro-2,4,6,8-tetraazabicyclo [3,3,0]-
octanone-3, tetranitrosemiglycouril or keto-bicyclic HMX) (CAS
130256-72-3);
14. HNAD (hexanitroadamantane) (CAS 143850-71-9);
15. HNS (hexanitrostilbene) (CAS 20062-22-0);
16. Imidazoles as follows:
a. BNNII (Octahydro-2,5-bis(nitroimino)imidazo [4,5-
d]imidazole);
b. DNI (2,4-dinitroimidazole) (CAS 5213-49-0);
c. FDIA (1-fluoro-2,4-dinitroimidazole);
d. NTDNIA (N-(2-nitrotriazolo)-2,4-dinitroimidazole);
[[Page 38779]]
e. PTIA (1-picryl-2,4,5-trinitroimidazole);
17. NTNMH (1-(2-nitrotriazolo)-2-dinitromethylene hydrazine);
18. NTO (ONTA or 3-nitro-1,2,4-triazol-5-one) (CAS 932-64-9);
19. Polynitrocubanes with more than four nitro groups;
20. PYX (2,6-Bis(picrylamino)-3,5-dinitropyridine) (CAS 38082-
89-2);
21. RDX and derivatives, as follows:
a. RDX (cyclotrimethylenetrinitramine, cyclonite, T4, hexahydro-
1,3,5-trinitro-1,3,5-triazine, 1,3,5-trinitro-1,3,5-triaza-
cyclohexane, hexogen or hexogene) (CAS 121-82-4);
b. Keto-RDX (K-6 or 2,4,6-trinitro-2,4,6-triazacyclohexanone)
(CAS 115029-35-1);
22. TAGN (triaminoguanidinenitrate) (CAS 4000-16-2);
23. TATB (triaminotrinitrobenzene) (CAS 3058-38-6);
24. TEDDZ (3,3,7,7-tetrabis(difluoroamine) octahydro-1,5-
dinitro-1,5-diazocine);
25. Tetrazoles as follows:
a. NTAT (nitrotriazol aminotetrazole);
b. NTNT (1-N-(2-nitrotriazolo)-4-nitrotetrazole);
26. Tetryl (trinitrophenylmethylnitramine) (CAS 479-45-8);
27. TNAD (1,4,5,8-tetranitro-1,4,5,8-tetraazadecalin) (CAS
135877-16-6);
28. TNAZ (1,3,3-trinitroazetidine) (CAS 97645-24-4);
29. TNGU (SORGUYL or tetranitroglycoluril) (CAS 55510-03-7);
30. TNP (1,4,5,8-tetranitro-pyridazino[4,5-d]pyridazine) (CAS
229176-04-9);
31. Triazines as follows:
a. DNAM (2-oxy-4,6-dinitroamino-s-triazine) (CAS 19899-80-0);
b. NNHT (2-nitroimino-5-nitro-hexahydro-1,3,5-triazine) (CAS
130400-13-4);
32. Triazoles as follows:
a. 5-azido-2-nitrotriazole;
b. ADHTDN (4-amino-3,5-dihydrazino-1,2,4-triazole dinitramide)
(CAS 1614-08-0);
c. ADNT (1-amino-3,5-dinitro-1,2,4-triazole);
d. BDNTA ((bis-dinitrotriazole)amine);
e. DBT (3,3'-dinitro-5,5-bi-1,2,4-triazole) (CAS 30003-46-4);
f. DNBT (dinitrobistriazole) (CAS 70890-46-9);
g. [Reserved]
h. NTDNT (1-N-(2-nitrotriazolo) 3,5-dinitrotriazole);
i. PDNT (1-picryl-3,5-dinitrotriazole);
j. TACOT (tetranitrobenzotriazolobenzotriazole) (CAS 25243-36-
1);
33. ``Explosives'' not listed elsewhere in this list having a
detonation velocity exceeding 8,700 m/s, at maximum density, or a
detonation pressure exceeding 34 GPa (340 kbar);
34. [Reserved]
35. Nitrocellulose (containing more than 12.5% nitrogen) (CAS
9004-70-0);
36. Nitroglycol (CAS 628-96-6);
37. Pentaerythritol tetranitrate (PETN) (CAS 78-11-5);
38. Picryl chloride (CAS 88-88-0);
39. 2,4,6 Trinitrotoluene (TNT) (CAS 118-96-7);
40. Nitroglycerine (NG) (CAS 55-63-0);
41. Triacetone Triperoxide (TATP) (CAS 17088-37-8);
42. Guanidine nitrate (CAS 506-93-4);
43. Nitroguanidine (NQ) (CAS 556-88-7);
44. DNAN (2,4-dinitroanisole) (CAS 119-27-7);
45. TEX (4,10-Dinitro-2,6,8,12-tetraoxa-4,10-
diazaisowurtzitane);
46. GUDN (Guanylurea dinitramide) FOX-12 (CAS 217464-38-5);
47. Tetrazines as follows:
a. BTAT (Bis(2,2,2-trinitroethyl)-3,6-diaminotetrazine);
b. LAX-112 (3,6-diamino-1,2,4,5-tetrazine-1,4-dioxide);
48. Energetic ionic materials melting between 343 K (70 [deg]C)
and 373 K (100 [deg]C) and with detonation velocity exceeding 6,800
m/s or detonation pressure exceeding 18 GPa (180 kbar);
49. BTNEN (Bis(2,2,2-trinitroethyl)-nitramine) (CAS 19836-28-3);
50. FTDO (5,6-(3',4'-furazano)-1,2,3,4-tetrazine-1,3-dioxide).
0
14. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 2, ECCN 2A001 is revised to read as follows:
2A001 Anti-friction bearings and bearing systems, as follows, (see
List of Items Controlled) and ``components'' therefor.
Reason for Control: NS, MT, AT
Country chart (See Supp. No.
Control(s) 1 to part 738)
NS applies to entire entry................ NS Column 2
MT applies to radial ball bearings having MT Column 1
all tolerances specified in accordance
with ISO 492 Tolerance Class 2 (or ANSI/
ABMA Std 20 Tolerance Class ABEC-9, or
other national equivalents) or better and
having all the following characteristics:
An inner ring bore diameter between 12
and 50 mm; an outer ring outside diameter
between 25 and 100 mm; and a width
between 10 and 20 mm.
AT applies to entire entry................ AT Column 1
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $3000, N/A for MT
GBS: Yes, for 2A001.a, N/A for MT
CIV: Yes, for 2A001.a, N/A for MT
List of Items Controlled
Related Controls: (1) See also 2A991. (2) Quiet running bearings are
``subject to the ITAR'' (see 22 CFR parts 120 through 130).
Items:
Note 1: 2A001.a includes ball bearing and roller elements
``specially designed'' for the items specified therein.
Note 2: 2A001 does not control balls with tolerances specified
by the manufacturer in accordance with ISO 3290 as grade 5 or worse.
a. Ball bearings and solid roller bearings, having all
tolerances specified by the manufacturer in accordance with ISO 492
Tolerance Class 4 (or national equivalents), or better, and having
both `rings' and `rolling elements', made from monel or beryllium;
Note: 2A001.a does not control tapered roller bearings.
Technical Notes:
1. `Ring'--annular part of a radial rolling bearing
incorporating one or more raceways (ISO 5593:1997).
2. `Rolling element'- ball or roller which rolls between
raceways (ISO 5593:1997).
b. [Reserved]
c. Active magnetic bearing systems using any of the following:
c.1. Materials with flux densities of 2.0 T or greater and yield
strengths greater than 414 MPa;
c.2. All-electromagnetic 3D homopolar bias designs for
actuators; or
c.3. High temperature (450 K (177 [deg]C) and above) position
sensors.
0
15. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 2, ECCN 2B001 is revised to read as follows:
2B001 Machine tools and any combination thereof, for removing (or
cutting) metals, ceramics or ``composites'', which, according to the
manufacturer's technical specifications, can be equipped with
electronic devices for ``numerical control''; as follows (see List
of Items Controlled).
License Requirements
Reason for Control: NS, NP, AT
Country chart (See Supp. No.
Control(s) 1 to part 738)
NS applies to entire entry................ NS Column 2
[[Page 38780]]
NP applies to 2B001.a, .b, .c, and .d, NP Column 1
EXCEPT: (1) turning machines under
2B001.a with a capacity no greater than
35 mm diameter; (2) bar machines
(Swissturn), limited to machining only
bar feed through, if maximum bar diameter
is equal to or less than 42 mm and there
is no capability of mounting chucks.
(Machines may have drilling and/or
milling capabilities for machining
``parts'' or ``components'' with
diameters less than 42 mm); or (3)
milling machines under 2B001.b with x-
axis travel greater than two meters and
overall positioning accuracy according to
ISO 230/2 (2006) on the x-axis more
(worse) than 22.5 [micro]m.
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
CIV: N/A
List of Items Controlled
Related Controls: (1) See ECCN 2B002 for optical finishing machines.
(2) See ECCNs 2D001 and 2D002 for software for items controlled
under this entry. (3) See ECCNs 2E001 (``development''), 2E002
(``production''), and 2E201 (``use'') for technology for items
controlled under this entry. (4) Also see ECCNs 2B201 and 2B991.
Related Definitions: N/A
Items:
Note 1: 2B001 does not control special purpose machine tools
limited to the manufacture of gears. For such machines, see 2B003.
Note 2: 2B001 does not control special purpose machine tools
limited to the manufacture of any of the following:
a. Crank shafts or cam shafts;
b. Tools or cutters;
c. Extruder worms;
d. Engraved or faceted jewelry parts; or
e. Dental prostheses.
Note 3: A machine tool having at least two of the three turning,
milling or grinding capabilities (e.g., a turning machine with
milling capability), must be evaluated against each applicable entry
2B001.a., b. or c.
a. Machine tools for turning having two or more axes which can
be coordinated simultaneously for ``contouring control'' having any
of the following:
a.1. ``Unidirectional positioning repeatability'' equal to or
less (better) than 0.9 [micro]m along one or more linear axis with a
travel length less than 1.0 m; or
a.2. ``Unidirectional positioning repeatability'' equal to or
less (better) than 1.1 [micro]m along one or more linear axis with a
travel length equal to or greater than 1.0 m;
Note 1: 2B001.a does not control turning machines ``specially
designed'' for producing contact lenses, having all of the
following:
a. Machine controller limited to using ophthalmic based
``software'' for part programming data input; and
b. No vacuum chucking.
Note 2: 2B001.a does not apply to bar machines (Swissturn),
limited to machining only bar feed thru, if maximum bar diameter is
equal to or less than 42 mm and there is no capability of mounting
chucks. Machines may have drilling and/or milling capabilities for
machining parts with diameters less than 42 mm.
b. Machine tools for milling having any of the following:
b.1. Three linear axes plus one rotary axis which can be
coordinated simultaneously for ``contouring control'' having any of
the following:
b.1.a. ``Unidirectional positioning repeatability'' equal to or
less (better) than 0.9 [micro]m along one or more linear axis with a
travel length less than 1.0 m; or
b.1.b. ``Unidirectional positioning repeatability'' equal to or
less (better) than 1.1 [micro]m along one or more linear axis with a
travel length equal to or greater than 1.0 m;
b.2. Five or more axes which can be coordinated simultaneously
for ``contouring control'' having any of the following:
b.2.a. ``Unidirectional positioning repeatability'' equal to or
less (better) than 0.9 [micro]m along one or more linear axis with a
travel length less than 1.0 m;
b.2.b. ``Unidirectional positioning repeatability'' equal to or
less (better) than 1.4 [micro]m along one or more linear axis with a
travel length equal to or greater than 1 m and less than 4 m; or
b.2.c. ``Unidirectional positioning repeatability'' equal to or
less (better) than 6.0 [micro]m along one or more linear axis with a
travel length equal to or greater than 4 m;
b.3. A ``unidirectional positioning repeatability'' for jig
boring machines,, equal to or less (better) than 1.1 [micro]m along
one or more linear axis; or
b.4. Fly cutting machines having all of the following:
b.4.a. Spindle ``run-out'' and ``camming'' less (better) than
0.0004 mm TIR; and
b.4.b. Angular deviation of slide movement (yaw, pitch and roll)
less (better) than 2 seconds of arc, TIR, over 300 mm of travel;
c. Machine tools for grinding having any of the following:
c.1. Having all of the following:
c.1.a. ``Unidirectional positioning repeatability'' equal to or
less (better) than 1.1 [micro]m along one or more linear axis; and
c.1.b. Three or more axes which can be coordinated
simultaneously for ``contouring control''; or
c.2. Five or more axes which can be coordinated simultaneously
for ``contouring control'' having any of the following:
c.2.a. ``Unidirectional positioning repeatability'' equal to or
less (better) than 1.1 [micro]m along one or more linear axis with a
travel length less than 1m;
c.2.b. ``Unidirectional positioning repeatability'' equal to or
less (better) than 1.4 [micro]m along one or more linear axis with a
travel length equal to or greater than 1 m and less than 4 m; or
c.2.c. ``Unidirectional positioning repeatability'' equal to or
less (better) than 6.0 [micro]m along one or more linear axis with a
travel length equal to or greater than 4 m.
Notes: 2B001.c does not control grinding machines as follows: a.
Cylindrical external, internal, and external-internal grinding
machines, having all of the following:
a.1. Limited to cylindrical grinding; and
a.2. Limited to a maximum workpiece capacity of 150 mm outside
diameter or length.
b. Machines designed specifically as jig grinders that do not
have a z-axis or a w-axis, with a ``unidirectional positioning
repeatability'' less (better) than 1.1 [micro]m.
c. Surface grinders.
d. Electrical discharge machines (EDM) of the non-wire type
which have two or more rotary axes which can be coordinated
simultaneously for ``contouring control'';
e. Machine tools for removing metals, ceramics or
``composites'', having all of the following:
e.1. Removing material by means of any of the following:
e.1.a. Water or other liquid jets, including those employing
abrasive additives;
e.1.b. Electron beam; or
e.1.c. ``Laser'' beam; and
e.2. At least two rotary axes having all of the following:
e.2.a. Can be coordinated simultaneously for ``contouring
control''; and
e.2.b. A positioning ``accuracy'' of less (better) than
0.003[deg];
f. Deep-hole-drilling machines and turning machines modified for
deep-hole-drilling, having a maximum depth-of-bore capability
exceeding 5 m.
0
16. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 2, ECCN 2B005 is revised to read as follows:
2B005 Equipment ``specially designed'' for the deposition,
processing and in-process control of inorganic overlays, coatings
and surface modifications, as follows, for substrates specified in
column 2, by processes shown in column 1 in the ``Materials
Processing Table; Deposition Techniques'' following 2E003.f (see
List of Items Controlled), and ``specially designed'' automated
handling, positioning, manipulation and control ``components''
therefor.
License Requirements
Reason for Control: NS, AT
[[Page 38781]]
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: $1000
GBS: N/A
CIV: N/A
List of Items Controlled
Related Controls: (1) This entry does not control chemical vapor
deposition, cathodic arc, sputter deposition, ion plating or ion
implantation equipment, ``specially designed'' for cutting or
machining tools. (2) Vapor deposition equipment for the production
of filamentary materials are controlled by 1B001 or 1B101. (3)
Chemical Vapor Deposition furnaces designed or modified for
densification of carbon-carbon composites are controlled by 2B105.
(4) See also 2B999.i.
Related Definitions: N/A
Items:
a. Chemical vapor deposition (CVD)``production equipment''having
all of the following:
a.1. A process modified for one of the following:
a.1.a. Pulsating CVD;
a.1.b. Controlled nucleation thermal deposition (CNTD); or
a.1.c. Plasma enhanced or plasma assisted CVD; and
a.2. Having any of the following:
a.2.a. Incorporating high vacuum (equal to or less than 0.01 Pa)
rotating seals; or
a.2.b. Incorporating in situ coating thickness control;
b. Ion implantation ``production equipment'' having beam
currents of 5 mA or more;
c. Electron beam physical vapor deposition (EB-PVD) ``production
equipment'' incorporating power systems rated for over 80 kW and
having any of the following:
c.1. A liquid pool level ``laser'' control system which
regulates precisely the ingots feed rate; or
c.2. A computer controlled rate monitor operating on the
principle of photo-luminescence of the ionized atoms in the
evaporant stream to control the deposition rate of a coating
containing two or more elements;
d. Plasma spraying ``production equipment'' having any of the
following:
d.1. Operating at reduced pressure controlled atmosphere (equal
or less than 10 kPa measured above and within 300 mm of the gun
nozzle exit) in a vacuum chamber capable of evacuation down to 0.01
Pa prior to the spraying process; or
d.2. Incorporating in situ coating thickness control;
e. Sputter deposition ``production equipment'' capable of
current densities of 0.1 mA/mm\2\ or higher at a deposition rate 15
[micro]m/h or more;
f. Cathodic arc deposition ``production equipment''
incorporating a grid of electromagnets for steering control of the
arc spot on the cathode;
g. Ion plating ``production equipment'' capable of in situ
measurement of any of the following:
g.1. Coating thickness on the substrate and rate control; or
g.2. Optical characteristics.
0
17. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 2, ECCN 2B991 is revised to read as follows:
2B991 Numerical control units for machine tools and ``numerically
controlled'' machine tools, n.e.s. (see List of Items Controlled).
License Requirements
Reason for Control: AT
Country chart (See Supp. No.
Control(s) 1 to part 738)
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
CIV: N/A
List of Items Controlled
Related Controls: See also ECCNs 2B001 and 2B201.
Related Definitions: N/A
Items:
a. ``Numerical control'' units for machine tools:
a.1. Having four interpolating axes that can be coordinated
simultaneously for ``contouring control;'' or
a.2. Having two or more axes that can be coordinated
simultaneously for ``contouring control'' and a minimum programmable
increment better (less) than 0.001 mm;
a.3. ``Numerical control'' units for machine tools having two,
three or four interpolating axes that can be coordinated
simultaneously for ``contouring control,'' and capable of receiving
directly (on-line) and processing computer-aided-design (CAD) data
for internal preparation of machine instructions; or
b. ``Motion control boards'' ``specially designed'' for machine
tools and having any of the following characteristics:
b.1. Interpolation in more than four axes;
b.2. Capable of ``real-time processing'' of data to modify tool
path, feed rate and spindle data, during the machining operation, by
any of the following:
b.2.a. Automatic calculation and modification of part program
data for machining in two or more axes by means of measuring cycles
and access to source data; or
b.2.b. ``Adaptive control'' with more than one physical variable
measured and processed by means of a computing model (strategy) to
change one or more machining instructions to optimize the process.
b.3. Capable of receiving and processing CAD data for internal
preparation of machine instructions; or
c. ``Numerically controlled'' machine tools that, according to
the manufacturer's technical specifications, can be equipped with
electronic devices for simultaneous ``contouring control'' in two or
more axes and that have both of the following characteristics:
c.1. Two or more axes that can be coordinated simultaneously for
contouring control; and
c.2. Positioning accuracies according to ISO 230/2 (2006), with
all compensations available:
c.2.a. Better than 15 [micro]m along any linear axis (overall
positioning) for grinding machines;
c.2.b. Better than 15 [micro]m along any linear axis (overall
positioning) for milling machines; or
c.2.c. Better than 15 [micro]m along any linear axis (overall
positioning) for turning machines; or
d. Machine tools, as follows, for removing or cutting metals,
ceramics or composites, that, according to the manufacturer's
technical specifications, can be equipped with electronic devices
for simultaneous ``contouring control'' in two or more axes:
d.1. Machine tools for turning, grinding, milling or any
combination thereof, having two or more axes that can be coordinated
simultaneously for ``contouring control'' and having any of the
following characteristics:
d.1.a. One or more contouring ``tilting spindles;''
Note: 2B991.d.1.a. applies to machine tools for grinding or
milling only.
d.1.b. ``Camming'' (axial displacement) in one revolution of the
spindle less (better) than 0.0006 mm total indicator reading (TIR);
Note: 2B991.d.1.b. applies to machine tools for turning only.
d.1.c. ``Run out'' (out-of-true running) in one revolution of
the spindle less (better) than 0.0006 mm total indicator reading
(TIR);
d.1.d. The ``positioning accuracies'', with all compensations
available, are less (better) than: 0.001[deg] on any rotary axis;
d.2. Electrical discharge machines (EDM) of the wire feed type
that have five or more axes that can be coordinated simultaneously
for ``contouring control.''
0
18. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 2, ECCN 2D992 is revised to read as follows:
2D992 Specific ``software'', as follows (see List of Items
Controlled).
License Requirements
Reason for Control: AT
Country chart (See Supp. No.
Control(s) 1 to part 738)
AT applies to entire entry................ AT Column 1
[[Page 38782]]
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
CIV: N/A
TSR: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items:
a. ``Software'' to provide ``adaptive control'' and having both
of the following characteristics:
a.1. For ``flexible manufacturing units'' (FMUs) which consist
at least of equipment described in b.1 and b.2 of the definition of
``flexible manufacturing unit'' contained in part 772 of the EAR;
and
a.2. Capable of generating or modifying, in ``real-time
processing'', programs or data by using the signals obtained
simultaneously by means of at least two detection techniques, such
as:
a.2.a. Machine vision (optical ranging);
a.2.b. Infrared imaging;
a.2.c. Acoustical imaging (acoustical ranging);
a.2.d. Tactile measurement;
a.2.e. Inertial positioning;
a.2.f. Force measurement; and
a.2.g. Torque measurement.
Note: 2D992.a does not control ``software'' which only provides
rescheduling of functionally identical equipment within ``flexible
manufacturing units'' using pre-stored part programs and a pre-
stored strategy for the distribution of the part programs.
b. Reserved.
0
19. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 2, ECCN 2E003 is revised to read as follows:
2E003 Other ``technology'', 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 1
AT applies to entire entry................ AT Column 1
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
CIV: N/A
TSR: Yes, except 2E003.a, .b, .e and .f
List of Items Controlled
Related Controls: See 2E001, 2E002, and 2E101 for ``development''
and ``use'' technology for equipment that are designed or modified
for densification of carbon-carbon composites, structural composite
rocket nozzles and reentry vehicle nose tips.
Related Definitions: N/A
Items:
a. ``Technology'' for the ``development'' of interactive
graphics as an integrated part in ``numerical control'' units for
preparation or modification of part programs;
b. ``Technology'' for metal-working manufacturing processes, as
follows:
b.1. ``Technology'' for the design of tools, dies or fixtures
``specially designed'' for any of the following processes:
b.1.a. ``Superplastic forming'';
b.1.b. ``Diffusion bonding''; or
b.1.c. ``Direct-acting hydraulic pressing'';
b.2. Technical data consisting of process methods or parameters
as listed below used to control:
b.2.a. ``Superplastic forming'' of aluminum alloys, titanium
alloys or ``superalloys'':
b.2.a.1. Surface preparation;
b.2.a.2. Strain rate;
b.2.a.3. Temperature;
b.2.a.4. Pressure;
b.2.b. ``Diffusion bonding'' of ``superalloys'' or titanium
alloys:
b.2.b.1. Surface preparation;
b.2.b.2. Temperature;
b.2.b.3. Pressure;
b.2.c. ``Direct-acting hydraulic pressing'' of aluminum alloys
or titanium alloys:
b.2.c.1. Pressure;
b.2.c.2. Cycle time;
b.2.d. ``Hot isostatic densification'' of titanium alloys,
aluminum alloys or ``superalloys'':
b.2.d.1. Temperature;
b.2.d.2. Pressure;
b.2.d.3. Cycle time;
c. ``Technology'' for the ``development'' or ``production'' of
hydraulic stretch-forming machines and dies therefor, for the
manufacture of airframe structures;
d. ``Technology'' for the ``development'' of generators of
machine tool instructions (e.g., part programs) from design data
residing inside ``numerical control'' units;
e. ``Technology for the development'' of integration
``software'' for incorporation of expert systems for advanced
decision support of shop floor operations into ``numerical control''
units;
f. ``Technology'' for the application of inorganic overlay
coatings or inorganic surface modification coatings (specified in
column 3 of the following table) to non-electronic substrates
(specified in column 2 of the following table), by processes
specified in column 1 of the following table and defined in the
Technical Note.
N.B. This table should be read to control the technology of a
particular `Coating Process' only when the resultant coating in
column 3 is in a paragraph directly across from the relevant
`Substrate' under column 2. For example, Chemical Vapor Deposition
(CVD) `coating process' control the ``technology'' for a particular
application of `silicides' to `Carbon-carbon, Ceramic and Metal
``matrix'' ``composites'' substrates, but are not controlled for the
application of `silicides' to `Cemented tungsten carbide (16),
Silicon carbide (18)' substrates. In the second case, the resultant
coating is not listed in the paragraph under column 3 directly
across from the paragraph under column 2 listing `Cemented tungsten
carbide (16), Silicon carbide (18)'.
0
20. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 2, Category 2E--Materials Processing Table; the Notes to Table
on Deposition Techniques and the Accompanying Technical Information to
Table on Deposition Techniques are revised to read as follows:
Category 2E--Materials Processing Table; Deposition Techniques
* * * * *
Notes to Table on Deposition Techniques
1. The term `coating process' includes coating repair and
refurbishing as well as original coating.
2. The term `alloyed aluminide coating' includes single or
multiple-step coatings in which an element or elements are deposited
prior to or during application of the aluminide coating, even if
these elements are deposited by another coating process. It does
not, however, include the multiple use of single-step pack
cementation processes to achieve alloyed aluminides.
3. The term `noble metal modified aluminide' coating includes
multiple-step coatings in which the noble metal or noble metals are
laid down by some other coating process prior to application of the
aluminide coating.
4. The term `mixtures thereof' includes infiltrated material,
graded compositions, co-deposits and multilayer deposits and are
obtained by one or more of the coating processes specified in the
Table.
5. MCrAlX refers to a coating alloy where M equals cobalt, iron,
nickel or combinations thereof and X equals hafnium, yttrium,
silicon, tantalum in any amount or other intentional additions over
0.01% by weight in various proportions and combinations, except:
a. CoCrAlY coatings which contain less than 22% by weight of
chromium, less than 7% by weight of aluminum and less than 2% by
weight of yttrium;
b. CoCrAlY coatings which contain 22 to 24% by weight of
chromium, 10 to 12% by weight of aluminum and 0.5 to 0.7% by weight
of yttrium; or
c. NiCrAlY coatings which contain 21 to 23% by weight of
chromium, 10 to 12% by weight of aluminum and 0.9 to 1.1% by weight
of yttrium.
6. The term `aluminum alloys' refers to alloys having an
ultimate tensile strength of 190 MPa or more measured at 293 K (20
[deg]C).
7. The term `corrosion resistant steel' refers to AISI (American
Iron and Steel Institute) 300 series or equivalent national standard
steels.
8. `Refractory metals and alloys' include the following metals
and their alloys: niobium (columbium), molybdenum, tungsten and
tantalum.
9. `Sensor window materials', as follows: alumina, silicon,
germanium, zinc sulphide, zinc selenide, gallium arsenide, diamond,
gallium phosphide, sapphire and the following metal halides: sensor
window materials of more than 40 mm diameter for zirconium fluoride
and hafnium fluoride.
10. Category 2 does not include ``technology'' for single-step
pack cementation of solid airfoils.
11. `Polymers', as follows: Polyimide, polyester, polysulfide,
polycarbonates and polyurethanes.
[[Page 38783]]
12. `Modified zirconia' refers to additions of other metal
oxides, (e.g., calcia, magnesia, yttria, hafnia, rare earth oxides)
to zirconia in order to stabilize certain crystallographic phases
and phase compositions. Thermal barrier coatings made of zirconia,
modified with calcia or magnesia by mixing or fusion, are not
controlled.
13. `Titanium alloys' refers only to aerospace alloys having an
ultimate tensile strength of 900 MPa or more measured at 293 K (20
[deg]C).
14. `Low-expansion glasses' refers to glasses which have a
coefficient of thermal expansion of 1 x 10-7
K-1 or less measured at 293 K (20 [deg]C).
15. `Dielectric layers' are coatings constructed of multi-layers
of insulator materials in which the interference properties of a
design composed of materials of various refractive indices are used
to reflect, transmit or absorb various wavelength bands. Dielectric
layers refers to more than four dielectric layers or dielectric/
metal ``composite'' layers.
16. `Cemented tungsten carbide' does not include cutting and
forming tool materials consisting of tungsten carbide/(cobalt,
nickel), titanium carbide/(cobalt, nickel), chromium carbide/nickel-
chromium and chromium carbide/nickel.
17. ``Technology'' for depositing diamond-like carbon on any of
the following is not controlled: magnetic disk drives and heads,
equipment for the manufacture of disposables, valves for faucets,
acoustic diaphragms for speakers, engine parts for automobiles,
cutting tools, punching-pressing dies, office automation equipment,
microphones, medical devices or molds, for casting or molding of
plastics, manufactured from alloys containing less than 5%
beryllium.
18. `Silicon carbide' does not include cutting and forming tool
materials.
19. Ceramic substrates, as used in this entry, does not include
ceramic materials containing 5% by weight, or greater, clay or
cement content, either as separate constituents or in combination.
Technical Note to Table on Deposition Techniques: Processes
specified in Column 1 of the Table are defined as follows:
a. Chemical Vapor Deposition (CVD) is an overlay coating or
surface modification coating process wherein a metal, alloy,
``composite'', dielectric or ceramic is deposited upon a heated
substrate. Gaseous reactants are decomposed or combined in the
vicinity of a substrate resulting in the deposition of the desired
elemental, alloy or compound material on the substrate. Energy for
this decomposition or chemical reaction process may be provided by
the heat of the substrate, a glow discharge plasma, or ``laser''
irradiation.
Note 1: CVD includes the following processes: directed gas flow
out-of-pack deposition, pulsating CVD, controlled nucleation thermal
decomposition (CNTD), plasma enhanced or plasma assisted CVD
processes.
Note 2: Pack denotes a substrate immersed in a powder mixture.
Note 3: The gaseous reactants used in the out-of-pack process
are produced using the same basic reactions and parameters as the
pack cementation process, except that the substrate to be coated is
not in contact with the powder mixture.
b. Thermal Evaporation-Physical Vapor Deposition (TE-PVD) is an
overlay coating process conducted in a vacuum with a pressure less
than 0.1 Pa wherein a source of thermal energy is used to vaporize
the coating material. This process results in the condensation, or
deposition, of the evaporated species onto appropriately positioned
substrates. The addition of gases to the vacuum chamber during the
coating process to synthesize compound coatings is an ordinary
modification of the process. The use of ion or electron beams, or
plasma, to activate or assist the coating's deposition is also a
common modification in this technique. The use of monitors to
provide in-process measurement of optical characteristics and
thickness of coatings can be a feature of these processes. Specific
TE-PVD processes are as follows:
1. Electron Beam PVD uses an electron beam to heat and evaporate
the material which forms the coating;
2. Ion Assisted Resistive Heating PVD employs electrically
resistive heating sources in combination with impinging ion beam(s)
to produce a controlled and uniform flux of evaporated coating
species;
3. ``Laser'' Vaporization uses either pulsed or continuous wave
``laser'' beams to vaporize the material which forms the coating;
4. Cathodic Arc Deposition employs a consumable cathode of the
material which forms the coating and has an arc discharge
established on the surface by a momentary contact of a ground
trigger. Controlled motion of arcing erodes the cathode surface
creating a highly ionized plasma. The anode can be either a cone
attached to the periphery of the cathode, through an insulator, or
the chamber. Substrate biasing is used for non line-of-sight
deposition.
Note: This definition does not include random cathodic arc
deposition with non-biased substrates.
5. Ion Plating is a special modification of a general TE-PVD
process in which a plasma or an ion source is used to ionize the
species to be deposited, and a negative bias is applied to the
substrate in order to facilitate the extraction of the species from
the plasma. The introduction of reactive species, evaporation of
solids within the process chamber, and the use of monitors to
provide in-process measurement of optical characteristics and
thicknesses of coatings are ordinary modifications of the process.
c. Pack Cementation is a surface modification coating or overlay
coating process wherein a substrate is immersed in a powder mixture
(a pack), that consists of:
1. The metallic powders that are to be deposited (usually
aluminum, chromium, silicon or combinations thereof);
2. An activator (normally a halide salt); and
3. An inert powder, most frequently alumina.
Note: The substrate and powder mixture is contained within a
retort which is heated to between 1,030 K (757 [deg]C) to 1,375 K
(1,102 [deg]C) for sufficient time to deposit the coating.
d. Plasma Spraying is an overlay coating process wherein a gun
(spray torch) which produces and controls a plasma accepts powder or
wire coating materials, melts them and propels them towards a
substrate, whereon an integrally bonded coating is formed. Plasma
spraying constitutes either low pressure plasma spraying or high
velocity plasma spraying.
Note 1: Low pressure means less than ambient atmospheric
pressure.
Note 2: High velocity refers to nozzle-exit gas velocity
exceeding 750 m/s calculated at 293 K (20 [deg]C) at 0.1 MPa.
e. Slurry Deposition is a surface modification coating or
overlay coating process wherein a metallic or ceramic powder with an
organic binder is suspended in a liquid and is applied to a
substrate by either spraying, dipping or painting, subsequent air or
oven drying, and heat treatment to obtain the desired coating.
f. Sputter Deposition is an overlay coating process based on a
momentum transfer phenomenon, wherein positive ions are accelerated
by an electric field towards the surface of a target (coating
material). The kinetic energy of the impacting ions is sufficient to
cause target surface atoms to be released and deposited on an
appropriately positioned substrate.
Note 1: The Table refers only to triode, magnetron or reactive
sputter deposition which is used to increase adhesion of the coating
and rate of deposition and to radio frequency (RF) augmented sputter
deposition used to permit vaporization of non-metallic coating
materials.
Note 2: Low-energy ion beams (less than 5 keV) can be used to
activate the deposition.
g. Ion Implantation is a surface modification coating process in
which the element to be alloyed is ionized, accelerated through a
potential gradient and implanted into the surface region of the
substrate. This includes processes in which ion implantation is
performed simultaneously with electron beam physical vapor
deposition or sputter deposition.
Accompanying Technical Information to Table on Deposition
Techniques:
1. Technical information for pretreatments of the substrates
listed in the Table, as follows:
a. Chemical stripping and cleaning bath cycle parameters, as
follows:
1. Bath composition;
a. For the removal of old or defective coatings corrosion
product or foreign deposits;
b. For preparation of virgin substrates;
2. Time in bath;
3. Temperature of bath;
4. Number and sequences of wash cycles;
b. Visual and macroscopic criteria for acceptance of the cleaned
part;
c. Heat treatment cycle parameters, as follows:
[[Page 38784]]
1. Atmosphere parameters, as follows:
a. Composition of the atmosphere;
b. Pressure of the atmosphere;
2. Temperature for heat treatment;
3. Time of heat treatment;
d. Substrate surface preparation parameters, as follows:
1. Grit blasting parameters, as follows:
a. Grit composition;
b. Grit size and shape;
c. Grit velocity;
2. Time and sequence of cleaning cycle after grit blast;
3. Surface finish parameters;
4. Application of binders to promote adhesion;
e. Masking technique parameters, as follows:
1. Material of mask;
2. Location of mask;
2. Technical information for in situ quality assurance
techniques for evaluation of the coating processes listed in the
Table, as follows:
a. Atmosphere parameters, as follows:
1. Composition of the atmosphere;
2. Pressure of the atmosphere;
b. Time parameters;
c. Temperature parameters;
d. Thickness parameters;
e. Index of refraction parameters;
f. Control of composition;
3. Technical information for post deposition treatments of the
coated substrates listed in the Table, as follows:
a. Shot peening parameters, as follows:
1. Shot composition;
2. Shot size;
3. Shot velocity;
b. Post shot peening cleaning parameters;
c. Heat treatment cycle parameters, as follows:
1. Atmosphere parameters, as follows:
a. Composition of the atmosphere;
b. Pressure of the atmosphere;
2. Time-temperature cycles;
d. Post heat treatment visual and macroscopic criteria for
acceptance of the coated substrates;
4. Technical information for quality assurance techniques for
the evaluation of the coated substrates listed in the Table, as
follows:
a. Statistical sampling criteria;
b. Microscopic criteria for:
1. Magnification;
2. Coating thickness, uniformity;
3. Coating integrity;
4. Coating composition;
5. Coating and substrates bonding;
6. Microstructural uniformity.
c. Criteria for optical properties assessment (measured as a
function of wavelength):
1. Reflectance;
2. Transmission;
3. Absorption;
4. Scatter;
5. Technical information and parameters related to specific
coating and surface modification processes listed in the Table, as
follows:
a. For Chemical Vapor Deposition (CVD):
1. Coating source composition and formulation;
2. Carrier gas composition;
3. Substrate temperature;
4. Time-temperature-pressure cycles;
5. Gas control and part manipulation;
b. For Thermal Evaporation-Physical Vapor Deposition (PVD):
1. Ingot or coating material source composition;
2. Substrate temperature;
3. Reactive gas composition;
4. Ingot feed rate or material vaporization rate;
5. Time-temperature-pressure cycles;
6. Beam and part manipulation;
7. ``Laser'' parameters, as follows:
a. Wave length;
b. Power density;
c. Pulse length;
d. Repetition ratio;
e. Source;
c. For Pack Cementation:
1. Pack composition and formulation;
2. Carrier gas composition;
3. Time-temperature-pressure cycles;
d. For Plasma Spraying:
1. Powder composition, preparation and size distributions;
2. Feed gas composition and parameters;
3. Substrate temperature;
4. Gun power parameters;
5. Spray distance;
6. Spray angle;
7. Cover gas composition, pressure and flow rates;
8. Gun control and part manipulation;
e. For Sputter Deposition:
1. Target composition and fabrication;
2. Geometrical positioning of part and target;
3. Reactive gas composition;
4. Electrical bias;
5. Time-temperature-pressure cycles;
6. Triode power;
7. Part manipulation;
f. For Ion Implantation:
1. Beam control and part manipulation;
2. Ion source design details;
3. Control techniques for ion beam and deposition rate
parameters;
4. Time-temperature-pressure cycles.
g. For Ion Plating:
1. Beam control and part manipulation;
2. Ion source design details;
3. Control techniques for ion beam and deposition rate
parameters;
4. Time-temperature-pressure cycles;
5. Coating material feed rate and vaporization rate;
6. Substrate temperature;
7. Substrate bias parameters.
0
21. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 3, Product Group A, the Notes and Nota Bene at the beginning
of Product Group A are revised to read as follows:
Category 3--Electronics
A. ``End Items'', ``Equipment'', ``Accessories'', ``Attachments'',
``Parts'', ``Components'' and ``Systems''
Note 1: The control status of equipment and components described
in 3A001 or 3A002, other than those described in 3A001.a.3 to
3A001.a.10, 3A001.a.12 or 3A001.a.14, which are ``specially
designed'' for or which have the same functional characteristics as
other equipment is determined by the control status of the other
equipment.
Note 2: The control status of integrated circuits described in
3A001.a.3 to 3A001.a.9, 3A001.a.12 or 3A001.a.14 that are
unalterably programmed or designed for a specific function for other
equipment is determined by the control status of the other
equipment.
N.B.: When the manufacturer or applicant cannot determine the
control status of the other equipment, the control status of the
integrated circuits is determined in 3A001.a.3 to 3A001.a.9,
3A001.a.12 and 3A001.a.14.
0
22. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 3, ECCN 3A001 is revised to read as follows:
3A001 Electronic items as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, RS, MT, NP, AT
Country chart (see Supp. No. 1
Control(s) to part 738)
NS applies to ``Monolithic Microwave NS Column 1
Integrated Circuit'' (``MMIC'')
amplifiers in 3A001.b.2 and discrete
microwave transistors in 3A001.b.3,
except those 3A001.b.2 and b.3 items
being exported or reexported for use
in civil telecommunications
applications.
NS applies to entire entry............. NS Column 2
RS applies ``Monolithic Microwave RS Column 1
Integrated Circuit'' (``MMIC'')
amplifiers in 3A001.b.2 and discrete
microwave transistors in 3A001.b.3,
except those 3A001.b.2 and b.3 items
being exported or reexported for use
in civil telecommunications
applications.
[[Page 38785]]
MT applies to 3A001.a.1.a when usable MT applies to 3A001.a.1.a when
in ``missiles''; and to 3A001.a.5.a usable in ``missiles''; and to
when ``designed or modified'' for 3A001.a.5.a when ``designed or
military use, hermetically sealed and modified'' for military use,
rated for operation in the temperature hermetically sealed and rated
range from below -54 [deg]C to above for operation in the
+125 [deg]C MT Column 1. temperature range from below -
54 [deg]C to above +125 [deg]C
MT Column 1
NP applies to pulse discharge NP applies to pulse discharge
capacitors in in 3A001.e.2 and capacitors in in 3A001.e.2 and
superconducting solenoidal superconducting solenoidal
electromagnets in 3A001.e.3 that meet electromagnets in 3A001.e.3
or exceed the technical parameters in that meet or exceed the
3A201.a and 3A201.b, respectively NP technical parameters in
Column 1. 3A201.a and 3A201.b,
respectively NP Column 1
AT applies to entire entry AT Column 1. 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, and Validated End-User authorizations
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A for MT or NP; N/A for ``Monolithic Microwave Integrated
Circuit'' (``MMIC'') amplifiers in 3A001.b.2 and discrete microwave
transistors in 3A001.b.3, except those that are being exported or
reexported for use in civil telecommunications applications.
Yes for:
$1500: 3A001.c
$3000: 3A001.b.1, b.2 (exported or reexported for use in civil
telecommunications applications), b.3 (exported or reexported for
use in civil telecommunications applications), b.9, .d, .e, .f, and
.g.
$5000: 3A001.a (except a.1.a and a.5.a when controlled for MT), .b.4
to b.7, and b.12.
GBS: Yes for 3A001.a.1.b, a.2 to a.14 (except .a.5.a when controlled
for MT), b.2 (exported or reexported for use in civil
telecommunications applications), b.8 (except for vacuum electronic
device amplifiers exceeding 18 GHz), b.9., b.10, .g, and .h.
CIV: Yes for 3A001.a.3, a.7, and a.11.
Special Conditions for STA
STA: License Exception STA may not be used to ship any item in
3A001.b.2 or b.3, except those that are being exported or reexported
for use in civil telecommunications applications, 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) See Category XV of the USML for certain
``space-qualified'' electronics and Category XI of the USML for
certain ASICs, `transmit/receive modules,' or `transmit modules'
``subject to the ITAR'' (see 22 CFR parts 120 through 130). (2) See
also 3A101, 3A201, 3A611, 3A991, and 9A515.
Related Definitions: `Microcircuit' means a device in which a number
of passive or active elements are considered as indivisibly
associated on or within a continuous structure to perform the
function of a circuit. For the purposes of integrated circuits in
3A001.a.1, 5 x 10\3\ Gy(Si) = 5 x 10\5\ Rads (Si); 5 x 10\6\ Gy
(Si)/s = 5 x 10\8\ Rads (Si)/s. Spacecraft/satellite: Solar
concentrators, power conditioners and or controllers, bearing and
power transfer assembly, and or deployment hardware/systems are
controlled under the export licensing authority of the Department of
State, Directorate of Defense Trade Controls (22 CFR part 121).
Items:
a. General purpose integrated circuits, as follows:
Note 1: The control status of wafers (finished or unfinished),
in which the function has been determined, is to be evaluated
against the parameters of 3A001.a.
Note 2: Integrated circuits include the following types:
--Monolithic integrated circuits;
--Hybrid integrated circuits;
--Multichip integrated circuits;
--Film type integrated circuits, including silicon-on-sapphire
integrated circuits;
--Optical integrated circuits;
--``Three dimensional integrated circuits'';
--``Monolithic Microwave Integrated Circuits'' (``MMICs'').
a.1. Integrated circuits designed or rated as radiation hardened
to withstand any of the following:
a.1.a. A total dose of 5 x 10\3\ Gy (Si), or higher;
a.1.b. A dose rate upset of 5 x 10\6\ Gy (Si)/s, or higher; or
a.1.c. A fluence (integrated flux) of neutrons (1 MeV
equivalent) of 5 x 10\13\ n/cm\2\ or higher on silicon, or its
equivalent for other materials;
Note: 3A001.a.1.c does not apply to Metal Insulator
Semiconductors (MIS).
a.2. ``Microprocessor microcircuits,'' ``microcomputer
microcircuits,'' microcontroller microcircuits, storage integrated
circuits manufactured from a compound semiconductor, analog-to-
digital converters, integrated circuits that contain analog-to-
digital converters and store or process the digitized data, digital-
to-analog converters, electro-optical or ``optical integrated
circuits'' designed for ``signal processing,'' field programmable
logic devices, custom integrated circuits for which either the
function is unknown or the control status of the equipment in which
the integrated circuit will be used in unknown, Fast Fourier
Transform (FFT) processors, Electrical Erasable Programmable Read-
Only Memories (EEPROMs), flash memories, Static Random-Access
Memories (SRAMs), or Magnetic Random Access Memories (MRAMs), having
any of the following:
a.2.a. Rated for operation at an ambient temperature above 398 K
(125 [deg]C);
a.2.b. Rated for operation at an ambient temperature below 218 K
(-55 [deg]C); or
a.2.c. Rated for operation over the entire ambient temperature
range from 218 K (-55 [deg]C) to 398 K (125 [deg]C);
Note: 3A001.a.2 does not apply to integrated circuits for civil
automobile or railway train applications.
a.3. ``Microprocessor microcircuits'', ``microcomputer
microcircuits'' and microcontroller microcircuits, manufactured from
a compound semiconductor and operating at a clock frequency
exceeding 40 MHz;
Note: 3A001.a.3 includes digital signal processors, digital
array processors and digital coprocessors.
a.4. [Reserved]
a.5. Analog-to-Digital Converter (ADC) and Digital-to-Analog
Converter (DAC) integrated circuits, as follows:
a.5.a. ADCs having any of the following:
a.5.a.1. A resolution of 8 bit or more, but less than 10 bit,
with an output rate greater than 1.3 Giga Samples Per Second (GSPS);
a.5.a.2. A resolution of 10 bit or more, but less than 12 bit,
with an output rate greater than 600 Mega Samples Per Second (MSPS);
a.5.a.3. A resolution of 12 bit or more, but less than 14 bit,
with an output rate greater than 400 Mega Samples Per Second (MSPS);
a.5.a.4. A resolution of 14 bit or more, but less than 16 bit,
with an output rate greater than 250 Mega Samples Per Second (MSPS);
or
a.5.a.5. A resolution of 16 bit or more with an output rate
greater than 65 Mega Samples Per Second (MSPS);
N.B.: For integrated circuits that contain analog-to-digital
converters and store or process the digitized data see 3A001.a.14.
Technical Notes: 1. A resolution of n bit corresponds to a
quantization of 2\n\ levels.
2. The number of bits in the output word is equal to the
resolution of the ADC.
3. The output rate is the maximum output rate of the converter,
regardless of architecture or oversampling.
[[Page 38786]]
4. For `multiple channel ADCs', the outputs are not aggregated
and the output rate is the maximum output rate of any single
channel.
5. For `interleaved ADCs' or for `multiple channel ADCs' that
are specified to have an interleaved mode of operation, the outputs
are aggregated and the output rate is the maximum combined total
output rate of all of the outputs.
6. Vendors may also refer to the output rate as sampling rate,
conversion rate or throughput rate. It is often specified in
megahertz (MHz), mega words per second or Mega Samples Per Second
(MSPS).
7. For the purpose of measuring output rate, one sample per
second is equivalent to one Hertz or one output word per second.
8. `Multiple channel ADCs' are defined as devices which
integrate more than one ADC, designed so that each ADC has a
separate analog input.
9. `Interleaved ADCs' are defined as devices which have multiple
ADC units that sample the same analog input at different times such
that when the outputs are aggregated, the analog input has been
effectively sampled and converted at a higher sampling rate.
a.5.b. Digital-to-Analog Converters (DAC) having any of the
following:
a.5.b.1. A resolution of 10 bit or more with an `adjusted update
rate' of greater than 3,500 MSPS; or
a.5.b.2. A resolution of 12-bit or more with an `adjusted update
rate' of greater than 1,250 MSPS and having any of the following:
a.5.b.2.a. A settling time less than 9 ns to 0.024% of full
scale from a full scale step; or
a.5.b.2.b. A `Spurious Free Dynamic Range' (SFDR) greater than
68 dBc (carrier) when synthesizing a full scale analog signal of 100
MHz or the highest full scale analog signal frequency specified
below 100 MHz.
Technical Notes: 1. `Spurious Free Dynamic Range' (SFDR) is
defined as the ratio of the RMS value of the carrier frequency
(maximum signal component) at the input of the DAC to the RMS value
of the next largest noise or harmonic distortion component at its
output.
2. SFDR is determined directly from the specification table or
from the characterization plots of SFDR versus frequency.
3. A signal is defined to be full scale when its amplitude is
greater than -3 dBfs (full scale).
4. `Adjusted update rate' for DACs is:
a. For conventional (non-interpolating) DACs, the `adjusted
update rate' is the rate at which the digital signal is converted to
an analog signal and the output analog values are changed by the
DAC. For DACs where the interpolation mode may be bypassed
(interpolation factor of one), the DAC should be considered as a
conventional (non-interpolating) DAC.
b. For interpolating DACs (oversampling DACs), the `adjusted
update rate' is defined as the DAC update rate divided by the
smallest interpolating factor. For interpolating DACs, the `adjusted
update rate' may be referred to by different terms including:
Input data rate
Input word rate
Input sample rate
Maximum total input bus rate
Maximum DAC clock rate for DAC clock input.
a.6. Electro-optical and ``optical integrated circuits'',
designed for ``signal processing'' and having all of the following:
a.6.a. One or more than one internal ``laser'' diode;
a.6.b. One or more than one internal light detecting element;
and
a.6.c. Optical waveguides;
a.7. `Field programmable logic devices' having any of the
following:
a.7.a. A maximum number of single-ended digital input/outputs of
greater than 700; or
a.7.b. An `aggregate one-way peak serial transceiver data rate'
of 500 Gb/s or greater;
Note: 3A001.a.7 includes:
--Simple Programmable Logic Devices (SPLDs)
--Complex Programmable Logic Devices (CPLDs)
--Field Programmable Gate Arrays (FPGAs)
--Field Programmable Logic Arrays (FPLAs)
--Field Programmable Interconnects (FPICs)
N.B.: For integrated circuits having field programmable logic
devices that are combined with an analog-to-digital converter, see
3A001.a.14.
Technical Notes: 1. Maximum number of digital input/outputs in
3A001.a.7.a is also referred to as maximum user input/outputs or
maximum available input/outputs, whether the integrated circuit is
packaged or bare die.
2. `Aggregate one-way peak serial transceiver data rate' is the
product of the peak serial one-way transceiver data rate times the
number of transceivers on the FPGA.
a.8. [Reserved]
a.9. Neural network integrated circuits;
a.10. Custom integrated circuits for which the function is
unknown, or the control status of the equipment in which the
integrated circuits will be used is unknown to the manufacturer,
having any of the following:
a.10.a. More than 1,500 terminals;
a.10.b. A typical ``basic gate propagation delay time'' of less
than 0.02 ns; or
a.10.c. An operating frequency exceeding 3 GHz;
a.11. Digital integrated circuits, other than those described in
3A001.a.3 to 3A001.a.10 and 3A001.a.12, based upon any compound
semiconductor and having any of the following:
a.11.a. An equivalent gate count of more than 3,000 (2 input
gates); or
a.11.b. A toggle frequency exceeding 1.2 GHz;
a.12. Fast Fourier Transform (FFT) processors having a rated
execution time for an N-point complex FFT of less than (N
log2 N)/20,480 ms, where N is the number of points;
Technical Note: When N is equal to 1,024 points, the formula in
3A001.a.12 gives an execution time of 500 [micro]s.
a.13. Direct Digital Synthesizer (DDS) integrated circuits
having any of the following:
a.13.a. A Digital-to-Analog Converter (DAC) clock frequency of
3.5 GHz or more and a DAC resolution of 10 bit or more, but less
than 12 bit; or
a.13.b. A DAC clock frequency of 1.25 GHz or more and a DAC
resolution of 12 bit or more;
Technical Note: The DAC clock frequency may be specified as the
master clock frequency or the input clock frequency.
a.14. Integrated circuits that perform all of the following:
a.14.a. Analog-to-digital conversions meeting any of the
following:
a.14.a.1. A resolution of 8 bit or more, but less than 10 bit,
with an input sample rate greater than 1.3 Giga Samples Per Second
(GSPS);
a.14.a.2. A resolution of 10 bit or more, but less than 12 bit,
with an input sample rate greater than 1.0 Giga Samples Per Second
(GSPS);
a.14.a.3. A resolution of 12 bit or more, but less than 14 bit,
with an input sample rate greater than 1.0 Giga Samples Per Second
(GSPS);
a.14.a.4. A resolution of 14 bit or more, but less than 16 bit,
with an input sample rate greater than 400 Mega Samples Per Second
(MSPS); or
a.14.a.5. A resolution of 16 bit or more with an input sample
rate greater than 180 Mega Samples Per Second (MSPS); and
a.14.b. Any of the following:
a.14.b.1. Storage of digitized data; or
a.14.b.2. Processing of digitized data;
N.B. 1: For analog-to-digital converter integrated circuits see
3A001.a.5.a.
N.B. 2: For field programmable logic devices see 3A001.a.7.
b. Microwave or millimeter wave items, as follows:
Technical Notes: 1. For purposes of 3A001.b, the parameter peak
saturated power output may also be referred to on product data
sheets as output power, saturated power output, maximum power
output, peak power output, or peak envelope power output.
2. For purposes of 3A001.b.1, `vacuum electronic devices' are
electronic devices based on the interaction of an electron beam with
an electromagnetic wave propagating in a vacuum circuit or
interacting with radio-frequency vacuum cavity resonators. `Vacuum
electronic devices' include klystrons, traveling-wave tubes, and
their derivatives.
b.1. `Vacuum electronic devices' and cathodes, as follows:
Note 1: 3A001.b.1 does not control `vacuum electronic devices'
designed or rated for operation in any frequency band and having all
of the following:
a. Does not exceed 31.8 GHz; and
b. Is ``allocated by the ITU'' for radio-communications
services, but not for radio-determination.
[[Page 38787]]
Note 2: 3A001.b.1 does not control non-``space-qualified''
`vacuum electronic devices' having all the following:
a. An average output power equal to or less than 50 W; and
b. Designed or rated for operation in any frequency band and
having all of the following:
1. Exceeds 31.8 GHz but does not exceed 43.5 GHz; and
2. Is ``allocated by the ITU'' for radio-communications
services, but not for radio-determination.
b.1.a. Traveling-wave `vacuum electronic devices,' pulsed or
continuous wave, as follows:
b.1.a.1. Devices operating at frequencies exceeding 31.8 GHz;
b.1.a.2. Devices having a cathode heater with a turn on time to
rated RF power of less than 3 seconds;
b.1.a.3. Coupled cavity devices, or derivatives thereof, with a
``fractional bandwidth'' of more than 7% or a peak power exceeding
2.5 kW;
b.1.a.4. Devices based on helix, folded waveguide, or serpentine
waveguide circuits, or derivatives thereof, having any of the
following:
b.1.a.4.a. An ``instantaneous bandwidth'' of more than one
octave, and average power (expressed in kW) times frequency
(expressed in GHz) of more than 0.5;
b.1.a.4.b. An ``instantaneous bandwidth'' of one octave or less,
and average power (expressed in kW) times frequency (expressed in
GHz) of more than 1;
b.1.a.4.c. Being ``space-qualified''; or
b.1.a.4.d. Having a gridded electron gun;
b.1.a.5. Devices with a ``fractional bandwidth'' greater than or
equal to 10%, with any of the following:
b.1.a.5.a. An annular electron beam;
b.1.a.5.b. A non-axisymmetric electron beam; or
b.1.a.5.c. Multiple electron beams;
b.1.b. Crossed-field amplifier `vacuum electronic devices' with
a gain of more than 17 dB;
b.1.c. Thermionic cathodes, designed for `vacuum electronic
devices,' producing an emission current density at rated operating
conditions exceeding 5 A/cm\2\ or a pulsed (non-continuous) current
density at rated operating conditions exceeding 10 A/cm\2\;
b.1.d. `Vacuum electronic devices' with the capability to
operate in a `dual mode.'
Technical Note: `Dual mode' means the `vacuum electronic
device' beam current can be intentionally changed between
continuous-wave and pulsed mode operation by use of a grid and
produces a peak pulse output power greater than the continuous-wave
output power.
b.2. ``Monolithic Microwave Integrated Circuit'' (``MMIC'')
amplifiers that are any of the following:
N.B.: For ``MMIC '' amplifiers that have an integrated phase
shifter see 3A001.b.12.
b.2.a. Rated for operation at frequencies exceeding 2.7 GHz up
to and including 6.8 GHz with a ``fractional bandwidth'' greater
than 15%, and having any of the following:
b.2.a.1. A peak saturated power output greater than 75 W (48.75
dBm) at any frequency exceeding 2.7 GHz up to and including 2.9 GHz;
b.2.a.2. A peak saturated power output greater than 55 W (47.4
dBm) at any frequency exceeding 2.9 GHz up to and including 3.2 GHz;
b.2.a.3. A peak saturated power output greater than 40 W (46
dBm) at any frequency exceeding 3.2 GHz up to and including 3.7 GHz;
or
b.2.a.4. A peak saturated power output greater than 20 W (43
dBm) at any frequency exceeding 3.7 GHz up to and including 6.8 GHz;
b.2.b. Rated for operation at frequencies exceeding 6.8 GHz up
to and including 16 GHz with a ``fractional bandwidth'' greater than
10%, and having any of the following:
b.2.b.1. A peak saturated power output greater than 10 W (40
dBm) at any frequency exceeding 6.8 GHz up to and including 8.5 GHz;
or
b.2.b.2. A peak saturated power output greater than 5 W (37 dBm)
at any frequency exceeding 8.5 GHz up to and including 16 GHz;
b.2.c. Rated for operation with a peak saturated power output
greater than 3 W (34.77 dBm) at any frequency exceeding 16 GHz up to
and including 31.8 GHz, and with a ``fractional bandwidth'' of
greater than 10%;
b.2.d. Rated for operation with a peak saturated power output
greater than 0.1n W (-70 dBm) at any frequency exceeding 31.8 GHz up
to and including 37 GHz;
b.2.e. Rated for operation with a peak saturated power output
greater than 1 W (30 dBm) at any frequency exceeding 37 GHz up to
and including 43.5 GHz, and with a ``fractional bandwidth'' of
greater than 10%;
b.2.f. Rated for operation with a peak saturated power output
greater than 31.62 mW (15 dBm) at any frequency exceeding 43.5 GHz
up to and including 75 GHz, and with a ``fractional bandwidth'' of
greater than 10%;
b.2.g. Rated for operation with a peak saturated power output
greater than 10 mW (10 dBm) at any frequency exceeding 75 GHz up to
and including 90 GHz, and with a ``fractional bandwidth'' of greater
than 5%; or
b.2.h. Rated for operation with a peak saturated power output
greater than 0.1 nW (-70 dBm) at any frequency exceeding 90 GHz;
Note 1: [Reserved]
Note 2: The control status of the ``MMIC'' whose rated operating
frequency includes frequencies listed in more than one frequency
range, as defined by 3A001.b.2.a through 3A001.b.2.h, is determined
by the lowest peak saturated power output control threshold.
Note 3: Notes 1 and 2 following the Category 3 heading for
product group A. Systems, Equipment, and Components mean that
3A001.b.2 does not control ``MMICs'' if they are ``specially
designed'' for other applications, e.g., telecommunications, radar,
automobiles.
b.3. Discrete microwave transistors that are any of the
following:
b.3.a. Rated for operation at frequencies exceeding 2.7 GHz up
to and including 6.8 GHz and having any of the following:
b.3.a.1. A peak saturated power output greater than 400 W (56
dBm) at any frequency exceeding 2.7 GHz up to and including 2.9 GHz;
b.3.a.2. A peak saturated power output greater than 205 W (53.12
dBm) at any frequency exceeding 2.9 GHz up to and including 3.2 GHz;
b.3.a.3. A peak saturated power output greater than 115 W (50.61
dBm) at any frequency exceeding 3.2 GHz up to and including 3.7 GHz;
or
b.3.a.4. A peak saturated power output greater than 60 W (47.78
dBm) at any frequency exceeding 3.7 GHz up to and including 6.8 GHz;
b.3.b. Rated for operation at frequencies exceeding 6.8 GHz up
to and including 31.8 GHz and having any of the following:
b.3.b.1. A peak saturated power output greater than 50 W (47
dBm) at any frequency exceeding 6.8 GHz up to and including 8.5 GHz;
b.3.b.2. A peak saturated power output greater than 15 W (41.76
dBm) at any frequency exceeding 8.5 GHz up to and including 12 GHz;
b.3.b.3. A peak saturated power output greater than 40 W (46
dBm) at any frequency exceeding 12 GHz up to and including 16 GHz;
or
b.3.b.4. A peak saturated power output greater than 7 W (38.45
dBm) at any frequency exceeding 16 GHz up to and including 31.8 GHz;
b.3.c. Rated for operation with a peak saturated power output
greater than 0.5 W (27 dBm) at any frequency exceeding 31.8 GHz up
to and including 37 GHz;
b.3.d. Rated for operation with a peak saturated power output
greater than 1 W (30 dBm) at any frequency exceeding 37 GHz up to
and including 43.5 GHz; or
b.3.e. Rated for operation with a peak saturated power output
greater than 0.1 nW (-70 dBm) at any frequency exceeding 43.5 GHz;
Note 1: The control status of a transistor, whose rated
operating frequency includes frequencies listed in more than one
frequency range, as defined by 3A001.b.3.a through 3A001.b.3.e, is
determined by the lowest peak saturated power output control
threshold.
Note 2: 3A001.b.3 includes bare dice, dice mounted on carriers,
or dice mounted in packages. Some discrete transistors may also be
referred to as power amplifiers, but the status of these discrete
transistors is determined by 3A001.b.3.
b.4. Microwave solid state amplifiers and microwave assemblies/
modules containing microwave solid state amplifiers, that are any of
the following:
b.4.a. Rated for operation at frequencies exceeding 2.7 GHz up
to and including 6.8 GHz with a ``fractional bandwidth'' greater
than 15%, and having any of the following:
b.4.a.1. A peak saturated power output greater than 500 W (57
dBm) at any frequency exceeding 2.7 GHz up to and including 2.9 GHz;
[[Page 38788]]
b.4.a.2. A peak saturated power output greater than 270 W (54.3
dBm) at any frequency exceeding 2.9 GHz up to and including 3.2 GHz;
b.4.a.3. A peak saturated power output greater than 200 W (53
dBm) at any frequency exceeding 3.2 GHz up to and including 3.7 GHz;
or
b.4.a.4. A peak saturated power output greater than 90 W (49.54
dBm) at any frequency exceeding 3.7 GHz up to and including 6.8 GHz;
b.4.b. Rated for operation at frequencies exceeding 6.8 GHz up
to and including 31.8 GHz with a ``fractional bandwidth'' greater
than 10%, and having any of the following:
b.4.b.1. A peak saturated power output greater than 70 W (48.54
dBm) at any frequency exceeding 6.8 GHz up to and including 8.5 GHz;
b.4.b.2. A peak saturated power output greater than 50 W (47
dBm) at any frequency exceeding 8.5 GHz up to and including 12 GHz;
b.4.b.3. A peak saturated power output greater than 30 W (44.77
dBm) at any frequency exceeding 12 GHz up to and including 16 GHz;
or
b.4.b.4. A peak saturated power output greater than 20 W (43
dBm) at any frequency exceeding 16 GHz up to and including 31.8 GHz;
b.4.c. Rated for operation with a peak saturated power output
greater than 0.5 W (27 dBm) at any frequency exceeding 31.8 GHz up
to and including 37 GHz;
b.4.d. Rated for operation with a peak saturated power output
greater than 2 W (33 dBm) at any frequency exceeding 37 GHz up to
and including 43.5 GHz, and with a ``fractional bandwidth'' of
greater than 10%;
b.4.e. Rated for operation at frequencies exceeding 43.5 GHz and
having any of the following:
b.4.e.1. A peak saturated power output greater than 0.2 W (23
dBm) at any frequency exceeding 43.5 GHz up to and including 75 GHz,
and with a ``fractional bandwidth'' of greater than 10%;
b.4.e.2. A peak saturated power output greater than 20 mW (13
dBm) at any frequency exceeding 75 GHz up to and including 90 GHz,
and with a ``fractional bandwidth'' of greater than 5%; or
b.4.e.3. A peak saturated power output greater than 0.1 nW (-70
dBm) at any frequency exceeding 90 GHz; or
b.4.f. [Reserved]
N.B.: 1. For ``MMIC '' amplifiers see 3A001.b.2.
2. For `transmit/receive modules' and `transmit modules' see
3A001.b.12.
Note 1: [Reserved]
Note 2: The control status of an item whose rated operating
frequency includes frequencies listed in more than one frequency
range, as defined by 3A001.b.4.a through 3A001.b.4.e, is determined
by the lowest peak saturated power output control threshold.
b.5. Electronically or magnetically tunable band-pass or band-
stop filters, having more than 5 tunable resonators capable of
tuning across a 1.5:1 frequency band (fmax/
fmin) in less than 10 [micro]s and having any of the
following:
b.5.a. A band-pass bandwidth of more than 0.5% of center
frequency; or
b.5.b. A band-stop bandwidth of less than 0.5% of center
frequency;
b.6. [Reserved]
b.7. Converters and harmonic mixers, that are any of the
following:
b.7.a. Designed to extend the frequency range of ``signal
analyzers'' beyond 90 GHz;
b.7.b. Designed to extend the operating range of signal
generators as follows:
b.7.b.1. Beyond 90 GHz;
b.7.b.2. To an output power greater than 100 mW (20 dBm)
anywhere within the frequency range exceeding 43.5 GHz but not
exceeding 90 GHz;
b.7.c. Designed to extend the operating range of network
analyzers as follows:
b.7.c.1. Beyond 110 GHz;
b.7.c.2. To an output power greater than 31.62 mW (15 dBm)
anywhere within the frequency range exceeding 43.5 GHz but not
exceeding 90 GHz;
b.7.c.3. To an output power greater than 1 mW (0 dBm) anywhere
within the frequency range exceeding 90 GHz but not exceeding 110
GHz; or
b.7.d. Designed to extend the frequency range of microwave test
receivers beyond 110 GHz;
b.8. Microwave power amplifiers containing `vacuum electronic
devices' controlled by 3A001.b.1 and having all of the following:
b.8.a. Operating frequencies above 3 GHz;
b.8.b. An average output power to mass ratio exceeding 80 W/kg;
and
b.8.c. A volume of less than 400 cm\3\;
Note: 3A001.b.8 does not control equipment designed or rated
for operation in any frequency band which is ``allocated by the
ITU'' for radio-communications services, but not for radio-
determination.
b.9. Microwave Power Modules (MPM) consisting of, at least, a
traveling-wave `vacuum electronic device', a ``Monolithic Microwave
Integrated Circuit'' (``MMIC'') and an integrated electronic power
conditioner and having all of the following:
b.9.a. A `turn-on time' from off to fully operational in less
than 10 seconds;
b.9.b. A volume less than the maximum rated power in Watts
multiplied by 10 cm\3\/W; and
b.9.c. An ``instantaneous bandwidth'' greater than 1 octave
(fmax. > 2fmin,) and having any of the
following:
b.9.c.1. For frequencies equal to or less than 18 GHz, an RF
output power greater than 100 W; or
b.9.c.2. A frequency greater than 18 GHz;
Technical Notes: 1. To calculate the volume in 3A001.b.9.b., the
following example is provided: for a maximum rated power of 20 W,
the volume would be: 20 W x 10 cm\3\/W = 200 cm\3\.
2. The `turn-on time' in 3A001.b.9.a. refers to the time from
fully-off to fully operational, i.e., it includes the warm-up time
of the MPM.
b.10. Oscillators or oscillator assemblies, specified to operate
with a single sideband (SSB) phase noise, in dBc/Hz, less (better)
than--(126 + 20log10F-20log10f) anywhere
within the range of 10 Hz <= F <= 10 kHz;
Technical Note: In 3A001.b.10, F is the offset from the
operating frequency in Hz and f is the operating frequency in MHz.
b.11. ``Frequency synthesizer'' ``electronic assemblies'' having
a ``frequency switching time'' as specified by any of the following:
b.11.a. Less than 143 ps;
b.11.b. Less than 100 [mu]s for any frequency change exceeding
2.2 GHz within the synthesized frequency range exceeding 4.8 GHz but
not exceeding 31.8 GHz;
b.11.c. [Reserved]
b.11.d. Less than 500 [micro]s for any frequency change
exceeding 550 MHz within the synthesized frequency range exceeding
31.8 GHz but not exceeding 37 GHz; or
b.11.e. Less than 100 [micro]s for any frequency change
exceeding 2.2 GHz within the synthesized frequency range exceeding
37 GHz but not exceeding 90 GHz; or
b.11.f. [Reserved]
b.11.g. Less than 1 ms within the synthesized frequency range
exceeding 90 GHz;
N.B.: For general purpose ``signal analyzers'', signal
generators, network analyzers and microwave test receivers, see
3A002.c, 3A002.d, 3A002.e and 3A002.f, respectively.
b.12. `Transmit/receive modules,' `transmit/receive MMICs,'
`transmit modules,' and `transmit MMICs,' rated for operation at
frequencies above 2.7 GHz and having all of the following:
b.12.a. A peak saturated power output (in watts),
Psat, greater than 505.62 divided by the maximum
operating frequency (in GHz) squared [Psat > 505.62 W *
GHz\2\/fGHz\2\] for any channel;
b.12.b. A ``fractional bandwidth'' of 5% or greater for any
channel;
b.12.c. Any planar side with length d (in cm) equal to or less
than 15 divided by the lowest operating frequency in GHz [d <= 15cm
* GHz * N/fGHz] where N is the number of transmit or
transmit/receive channels; and
b.12.d. An electronically variable phase shifter per channel.
Technical Notes:
1. A `transmit/receive module' is a multifunction ``electronic
assembly'' that provides bi-directional amplitude and phase control
for transmission and reception of signals.
2. A `transmit module' is an ``electronic assembly'' that
provides amplitude and phase control for transmission of signals.
3. A `transmit/receive MMIC' is a multifunction ``MMIC'' that
provides bi-directional amplitude and phase control for transmission
and reception of signals.
4. A `transmit MMIC' is a ``MMIC'' that provides amplitude and
phase control for transmission of signals.
5. 2.7 GHz should be used as the lowest operating frequency
(fGHz) in the formula in 3A001.b.4.12.c for transmit/
receive or transmit modules that have a rated operation range
extending downward to 2.7 GHz and below [d <= 15cm * GHz * N/2.7
GHz].
6. 3A001.b.12 applies to `transmit/receive modules' or `transmit
modules' with or
[[Page 38789]]
without a heat sink. The value of d in 3A001.b.12.c does not include
any portion of the `transmit/receive module' or `transmit module'
that functions as a heat sink.
7. `Transmit/receive modules' or `transmit modules,' `transmit/
receive MMICs' or `transmit MMICs' may or may not have N integrated
radiating antenna elements where N is the number of transmit or
transmit/receive channels.
c. Acoustic wave devices as follows and ``specially designed''
``components'' therefor:
c.1. Surface acoustic wave and surface skimming (shallow bulk)
acoustic wave devices, having any of the following:
c.1.a. A carrier frequency exceeding 6 GHz;
c.1.b. A carrier frequency exceeding 1 GHz, but not exceeding 6
GHz and having any of the following:
c.1.b.1. A `frequency side-lobe rejection' exceeding 65 dB;
c.1.b.2. A product of the maximum delay time and the bandwidth
(time in [micro]s and bandwidth in MHz) of more than 100;
c.1.b.3. A bandwidth greater than 250 MHz; or
c.1.b.4. A dispersive delay of more than 10 [micro]s; or
c.1.c. A carrier frequency of 1 GHz or less and having any of
the following:
c.1.c.1. A product of the maximum delay time and the bandwidth
(time in [micro]s and bandwidth in MHz) of more than 100;
c.1.c.2. A dispersive delay of more than 10 [micro]s; or
c.1.c.3. A `frequency side-lobe rejection' exceeding 65 dB and a
bandwidth greater than 100 MHz;
Technical Note: `Frequency side-lobe rejection' is the maximum
rejection value specified in data sheet.
c.2. Bulk (volume) acoustic wave devices that permit the direct
processing of signals at frequencies exceeding 6 GHz;
c.3. Acoustic-optic ``signal processing'' devices employing
interaction between acoustic waves (bulk wave or surface wave) and
light waves that permit the direct processing of signals or images,
including spectral analysis, correlation or convolution;
Note: 3A001.c does not control acoustic wave devices that are
limited to a single band pass, low pass, high pass or notch
filtering, or resonating function.
d. Electronic devices and circuits containing ``components,''
manufactured from ``superconductive'' materials, ``specially
designed'' for operation at temperatures below the ``critical
temperature'' of at least one of the ``superconductive''
constituents and having any of the following:
d.1. Current switching for digital circuits using
``superconductive'' gates with a product of delay time per gate (in
seconds) and power dissipation per gate (in watts) of less than
10-14 J; or
d.2. Frequency selection at all frequencies using resonant
circuits with Q-values exceeding 10,000;
e. High energy devices as follows:
e.1. `Cells' as follows:
e.1.a. `Primary cells' having an `energy density' exceeding 550
Wh/kg at 293 K (20 [deg]C);
e.1.b. `Secondary cells' having an `energy density' exceeding
350 Wh/kg at 293 K (20 [deg]C);
Technical Notes: 1. For the purpose of 3A001.e.1., `energy
density' (Wh/kg) is calculated from the nominal voltage multiplied
by the nominal capacity in ampere-hours (Ah) divided by the mass in
kilograms. If the nominal capacity is not stated, energy density is
calculated from the nominal voltage squared then multiplied by the
discharge duration in hours divided by the discharge load in Ohms
and the mass in kilograms.
2. For the purpose of 3A001.e.1., a `cell' is defined as an
electrochemical device, which has positive and negative electrodes,
an electrolyte, and is a source of electrical energy. It is the
basic building block of a battery.
3. For the purpose of 3A001.e.1.a., a `primary cell' is a `cell'
that is not designed to be charged by any other source.
4. For the purpose of 3A001.e.1.b., a `secondary cell' is a
`cell' that is designed to be charged by an external electrical
source.
Note: 3A001.e. does not control batteries, including single-
cell batteries.
e.2. High energy storage capacitors as follows:
e.2.a. Capacitors with a repetition rate of less than 10 Hz
(single shot capacitors) and having all of the following:
e.2.a.1. A voltage rating equal to or more than 5 kV;
e.2.a.2. An energy density equal to or more than 250 J/kg; and
e.2.a.3. A total energy equal to or more than 25 kJ;
e.2.b. Capacitors with a repetition rate of 10 Hz or more
(repetition rated capacitors) and having all of the following:
e.2.b.1. A voltage rating equal to or more than 5 kV;
e.2.b.2. An energy density equal to or more than 50 J/kg;
e.2.b.3. A total energy equal to or more than 100 J; and
e.2.b.4. A charge/discharge cycle life equal to or more than
10,000;
e.3. ``Superconductive'' electromagnets and solenoids,
``specially designed'' to be fully charged or discharged in less
than one second and having all of the following:
Note: 3A001.e.3 does not control ``superconductive''
electromagnets or solenoids ``specially designed'' for Magnetic
Resonance Imaging (MRI) medical equipment.
e.3.a. Energy delivered during the discharge exceeding 10 kJ in
the first second;
e.3.b. Inner diameter of the current carrying windings of more
than 250 mm; and
e.3.c. Rated for a magnetic induction of more than 8 T or
``overall current density'' in the winding of more than 300 A/mm\2\;
e.4. Solar cells, cell-interconnect-coverglass (CIC) assemblies,
solar panels, and solar arrays, which are ``space-qualified,''
having a minimum average efficiency exceeding 20% at an operating
temperature of 301 K (28 [deg]C) under simulated `AM0' illumination
with an irradiance of 1,367 Watts per square meter (W/m\2\);
Technical Note: `AM0,' or `Air Mass Zero,' refers to the
spectral irradiance of sunlight in the earth's outer atmosphere when
the distance between the earth and sun is one astronomical unit
(AU).
f. Rotary input type absolute position encoders having an
``accuracy'' equal to or less (better) than 1.0 second
of arc and ``specially designed'' encoder rings, discs or scales
therefor;
g. Solid-state pulsed power switching thyristor devices and
`thyristor modules', using either electrically, optically, or
electron radiation controlled switch methods and having any of the
following:
g.1. A maximum turn-on current rate of rise (di/dt) greater than
30,000 A/[micro]s and off-state voltage greater than 1,100 V; or
g.2. A maximum turn-on current rate of rise (di/dt) greater than
2,000 A/[micro]s and having all of the following:
g.2.a. An off-state peak voltage equal to or greater than 3,000
V; and
g.2.b. A peak (surge) current equal to or greater than 3,000 A;
Note 1: 3A001.g. includes:
--Silicon Controlled Rectifiers (SCRs)
--Electrical Triggering Thyristors (ETTs)
--Light Triggering Thyristors (LTTs)
--Integrated Gate Commutated Thyristors (IGCTs)
--Gate Turn-off Thyristors (GTOs)
--MOS Controlled Thyristors (MCTs)
--Solidtrons
Note 2: 3A001.g. does not control thyristor devices and
`thyristor modules' incorporated into equipment designed for civil
railway or ``civil aircraft'' applications.
Technical Note: For the purposes of 3A001.g, a ``thyristor
module'' contains one or more thyristor devices.
h. Solid-state power semiconductor switches, diodes, or
`modules', having all of the following:
h.1. Rated for a maximum operating junction temperature greater
than 488 K (215 [deg]C);
h.2. Repetitive peak off-state voltage (blocking voltage)
exceeding 300 V; and
h.3. Continuous current greater than 1 A.
Technical Note: For the purposes of 3A001.h, `modules' contain
one or more solid-state power semiconductor switches or diodes.
Note 1: Repetitive peak off-state voltage in 3A001.h includes
drain to source voltage, collector to emitter voltage, repetitive
peak reverse voltage and peak repetitive off-state blocking voltage.
Note 2: 3A001.h. includes:
--Junction Field Effect Transistors (JFETs)
--Vertical Junction Field Effect Transistors (VJFETs)
--Metal Oxide Semiconductor Field Effect Transistors (MOSFETs)
--Double Diffused Metal Oxide Semiconductor Field Effect
Transistor (DMOSFET)
--Insulated Gate Bipolar Transistor (IGBT)
--High Electron Mobility Transistors (HEMTs)
[[Page 38790]]
--Bipolar Junction Transistors (BJTs)
--Thyristors and Silicon Controlled Rectifiers (SCRs)
--Gate Turn-Off Thyristors (GTOs)
--Emitter Turn-Off Thyristors (ETOs)
--PiN Diodes
--Schottky Diodes
Note 3: 3A001.h. does not apply to switches, diodes, or
`modules', incorporated into equipment designed for civil
automobile, civil railway, or ``civil aircraft'' applications.
0
23. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 3, ECCN 3A002 is revised to read as follows:
3A002 General purpose ``electronic assemblies,'' modules and
equipment, as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, MT, AT
Country chart (see Supp. No.
Control(s) 1 to part 738)
NS applies to entire entry................ NS Column 2
MT applies to 3A002.h when the parameters MT Column 1
in 3A101.a.2.b are met or exceeded.
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)
LVS: $3000: 3A002.a, .e, .f, and .g
$5000: 3A002.c to .d, and .h (unless controlled for MT);
GBS: Yes, for 3A002.h (unless controlled for MT)
CIV: Yes, for 3A002.h (unless controlled for MT)
Special Conditions for STA
STA: License Exception STA may not be used to ship any item in
3A002.g.1 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: See Category XV(e)(9) of the USML for certain
``space-qualified'' atomic frequency standards ``subject to the
ITAR'' (see 22 CFR parts 120 through 130). See also 3A101, 3A992 and
9A515.x.
Related Definitions: Constant percentage bandwidth filters are also
known as octave or fractional octave filters.
Items:
a. Recording equipment and oscilloscopes, as follows:
a.1-a.5 [Reserved]
N.B.: For waveform digitizers and transient recorders, see
3A002.h.
Technical Notes: 1. For those instruments with a parallel bus
architecture, the `continuous throughput' rate is the highest word
rate multiplied by the number of bits in a word.
2. `Continuous throughput' is the fastest data rate the
instrument can output to mass storage without the loss of any
information while sustaining the sampling rate and analog-to-digital
conversion.
3. For the purposes of 3A002.a.5.c, acquisition can be triggered
internally or externally.
a.6. Digital data recorders having all of the following:
a.6.a. A sustained `continuous throughput' of more than 6.4
Gbit/s to disk or solid-state drive memory; and
a.6.b. A processor that performs analysis of radio frequency
signal data while it is being recorded;
Technical Notes: 1. For recorders with a parallel bus
architecture, the `continuous throughput' rate is the highest word
rate multiplied by the number of bits in a word.
2. `Continuous throughput' is the fastest data rate the
instrument can record to disk or solid-state drive memory without
the loss of any information while sustaining the input digital data
rate or digitizer conversion rate.
a.7. Real-time oscilloscopes having a vertical root-mean-square
(rms) noise voltage of less than 2% of full-scale at the vertical
scale setting that provides the lowest noise value for any input 3dB
bandwidth of 60 GHz or greater per channel;
Note: 3A002.a.7 does not apply to equivalent-time sampling
oscilloscopes.
b. [Reserved]
c. ``Signal analyzers'' as follows:
c.1. ``Signal analyzers'' having a 3 dB resolution bandwidth
(RBW) exceeding 10 MHz anywhere within the frequency range exceeding
31.8 GHz but not exceeding 37 GHz;
c.2. ``Signal analyzers'' having Displayed Average Noise Level
(DANL) less (better) than--150 dBm/Hz anywhere within the frequency
range exceeding 43.5 GHz but not exceeding 90 GHz;
c.3. ``Signal analyzers'' having a frequency exceeding 90 GHz;
c.4. ``Signal analyzers'' having all of the following:
c.4.a. ``Real-time bandwidth'' exceeding 170 MHz; and
c.4.b. Having any of the following:
c.4.b.1. 100% probability of discovery, with less than a 3 dB
reduction from full amplitude due to gaps or windowing effects, of
signals having a duration of 15 [micro]s or less; or
c.4.b.2. A ``frequency mask trigger'' function, with 100%
probability of trigger (capture) for signals having a duration of 15
[micro]s or less;
Technical Notes:
1. Probability of discovery in 3A002.c.4.b.1 is also referred to
as probability of intercept or probability of capture.
2. For the purposes of 3A002.c.4.b.1, the duration for 100%
probability of discovery is equivalent to the minimum signal
duration necessary for the specified level measurement uncertainty.
Note: 3A002.c.4 does not apply to those ``signal analyzers''
using only constant percentage bandwidth filters (also known as
octave or fractional octave filters).
c.5. [Reserved]
d. Signal generators having any of the following:
d.1. Specified to generate pulse-modulated signals having all of
the following, anywhere within the frequency range exceeding 31.8
GHz but not exceeding 37 GHz:
d.1.a. `Pulse duration' of less than 25 ns; and
d.1.b. On/off ratio equal to or exceeding 65 dB;
d.2. An output power exceeding 100 mW (20 dBm) anywhere within
the frequency range exceeding 43.5 GHz but not exceeding 90 GHz;
d.3. A ``frequency switching time'' as specified by any of the
following:
d.3.a. [Reserved];
d.3.b. Less than 100 [micro]s for any frequency change exceeding
2.2 GHz within the frequency range exceeding 4.8 GHz but not
exceeding 31.8 GHz;
d.3.c. [Reserved]
d.3.d. Less than 500 [micro]s for any frequency change exceeding
550 MHz within the frequency range exceeding 31.8 GHz but not
exceeding 37 GHz; or
d.3.e. Less than 100 [micro]s for any frequency change exceeding
2.2 GHz within the frequency range exceeding 37 GHz but not
exceeding 90 GHz;
d.3.f. [Reserved]
d.4. Single sideband (SSB) phase noise, in dBc/Hz, specified as
being any of the following:
d.4.a. Less (better) than--(126 + 20 log10 F -
20log10f) for anywhere within the range of 10 Hz <= F <=
10 kHz anywhere within the frequency range exceeding 3.2 GHz but not
exceeding 90 GHz; or
d.4.b. Less (better) than--(206 - 20log10f) for
anywhere within the range of 10 kHz < F <= 100 kHz anywhere within
the frequency range exceeding 3.2 GHz but not exceeding 90 GHz; or
Technical Note: In 3A002.d.4, F is the offset from the operating
frequency in Hz and f is the operating frequency in MHz.
d.5. A maximum frequency exceeding 90 GHz;
Note 1: For the purpose of 3A002.d, signal generators include
arbitrary waveform and function generators.
Note 2: 3A002.d does not control equipment in which the output
frequency is either produced by the addition or subtraction of two
or more crystal oscillator frequencies, or by an addition or
subtraction followed by a multiplication of the result.
Technical Notes: 1. The maximum frequency of an arbitrary
waveform or function generator is calculated by dividing the sample
rate, in samples/second, by a factor of 2.5.
2. For the purposes of 3A002.d.1.a, `pulse duration' is defined
as the time interval from
[[Page 38791]]
the point on the leading edge that is 50% of the pulse amplitude to
the point on the trailing edge that is 50% of the pulse amplitude.
e. Network analyzers having any of the following:
e.1. An output power exceeding 31.62 mW (15 dBm) anywhere within
the operating frequency range exceeding 43.5 GHz but not exceeding
90 GHz;
e.2. An output power exceeding 1 mW (0 dBm) anywhere within the
operating frequency range exceeding 90 GHz but not exceeding 110
GHz;
e.3. `Nonlinear vector measurement functionality' at frequencies
exceeding 50 GHz but not exceeding 110 GHz; or
Technical Note: `Nonlinear vector measurement functionality' is
an instrument's ability to analyze the test results of devices
driven into the large-signal domain or the non-linear distortion
range.
e.4. A maximum operating frequency exceeding 110 GHz;
f. Microwave test receivers having all of the following:
f.1. Maximum operating frequency exceeding 110 GHz; and
f.2. Being capable of measuring amplitude and phase
simultaneously;
g. Atomic frequency standards being any of the following:
g.1. ``Space-qualified'';
g.2. Non-rubidium and having a long-term stability less (better)
than 1 x 10-11/month; or
g.3. Non-``space-qualified'' and having all of the following:
g.3.a. Being a rubidium standard;
g.3.b. Long-term stability less (better) than 1 x
10-11/month; and
g.3.c. Total power consumption of less than 1 Watt.
h. ``Electronic assemblies,'' modules or equipment, specified to
perform all of the following:
h.1. Analog-to-digital conversions meeting any of the following:
h.1.a. A resolution of 8 bit or more, but less than 10 bit, with
an input sample rate greater than 1.3 billion samples per second;
h.1.b. A resolution of 10 bit or more, but less than 12 bit,
with an input sample rate greater than 1.0 billion samples per
second;
h.1.c. A resolution of 12 bit or more, but less than 14 bit,
with an input sample rate greater than 1.0 billion samples per
second;
h.1.d. A resolution of 14 bit or more but less than 16 bit, with
an input sample rate greater than 400 million samples per second; or
h.1.e. A resolution of 16 bit or more with an input sample rate
greater than 180 million samples per second; and
h.2. Any of the following:
h.2.a. Output of digitized data;
h.2.b. Storage of digitized data; or
h.2.c. Processing of digitized data;
N.B.: Digital data recorders, oscilloscopes, ``signal
analyzers,'' signal generators, network analyzers and microwave test
receivers, are specified by 3A002.a.6, 3A002.a.7, 3A002.c, 3A002.d,
3A002.e and 3A002.f, respectively.
Technical Note: For multiple-channel ``electronic assemblies''
or modules, control status is determined by the highest single-
channel specified performance.
Note: 3A002.h includes ADC cards, waveform digitizers, data
acquisition cards, signal acquisition boards and transient
recorders.
0
24. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 3, ECCN 3A991 is revised to read as follows:
3A991 Electronic devices, and ``components'' not controlled by
3A001.
License Requirements
Reason for Control: AT
Country chart (See Supp. No.
Control(s) 1 to part 738)
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.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items:
a. ``Microprocessor microcircuits'', ``microcomputer
microcircuits'', and microcontroller microcircuits having any of the
following:
a.1. A performance speed of 5 GFLOPS or more and an arithmetic
logic unit with an access width of 32 bit or more;
a.2. A clock frequency rate exceeding 25 MHz; or
a.3. More than one data or instruction bus or serial
communication port that provides a direct external interconnection
between parallel ``microprocessor microcircuits'' with a transfer
rate of 2.5 Mbyte/s.
b. Storage integrated circuits, as follows:
b.1. Electrical erasable programmable read-only memories
(EEPROMs) with a storage capacity;
b.1.a. Exceeding 16 Mbits per package for flash memory types; or
b.1.b. Exceeding either of the following limits for all other
EEPROM types:
b.1.b.1. Exceeding 1 Mbit per package; or
b.1.b.2. Exceeding 256 kbit per package and a maximum access
time of less than 80 ns;
b.2. Static random access memories (SRAMs) with a storage
capacity:
b.2.a. Exceeding 1 Mbit per package; or
b.2.b. Exceeding 256 kbit per package and a maximum access time
of less than 25 ns;
c. Analog-to-digital converters having any of the following:
c.1. A resolution of 8 bit or more, but less than 12 bit, with
an output rate greater than 200 million words per second;
c.2. A resolution of 12 bit with an output rate greater than 105
million words per second;
c.3. A resolution of more than 12 bit but equal to or less than
14 bit with an output rate greater than 10 million words per second;
or
c.4. A resolution of more than 14 bit with an output rate
greater than 2.5 million words per second.
d. Field programmable logic devices having a maximum number of
single-ended digital input/outputs between 200 and 700;
e. Fast Fourier Transform (FFT) processors having a rated
execution time for a 1,024 point complex FFT of less than 1 ms.
f. Custom integrated circuits for which either the function is
unknown, or the control status of the equipment in which the
integrated circuits will be used is unknown to the manufacturer,
having any of the following:
f.1. More than 144 terminals; or
f.2. A typical ``basic propagation delay time'' of less than 0.4
ns.
g. Traveling-wave `vacuum electronic devices,' pulsed or
continuous wave, as follows:
g.1. Coupled cavity devices, or derivatives thereof;
g.2. Helix devices based on helix, folded waveguide, or
serpentine waveguide circuits, or derivatives thereof, with any of
the following:
g.2.a. An ``instantaneous bandwidth'' of half an octave or more;
and
g.2.b. The product of the rated average output power (expressed
in kW) and the maximum operating frequency (expressed in GHz) of
more than 0.2;
g.2.c. An ``instantaneous bandwidth'' of less than half an
octave; and
g.2.d. The product of the rated average output power (expressed
in kW) and the maximum operating frequency (expressed in GHz) of
more than 0.4;
h. Flexible waveguides designed for use at frequencies exceeding
40 GHz;
i. Surface acoustic wave and surface skimming (shallow bulk)
acoustic wave devices (i.e., ``signal processing'' devices employing
elastic waves in materials), having either of the following:
i.1. A carrier frequency exceeding 1 GHz; or
i.2. A carrier frequency of 1 GHz or less; and
i.2.a. A frequency side-lobe rejection exceeding 55 Db;
i.2.b. A product of the maximum delay time and bandwidth (time
in microseconds and bandwidth in MHz) of more than 100; or
i.2.c. A dispersive delay of more than 10 microseconds.
j. Cells as follows:
j.1. Primary cells having an energy density of 550 Wh/kg or less
at 293 K (20 [deg]C);
j.2. Secondary cells having an energy density of 300 Wh/kg or
less at 293 K (20 [deg]C).
Note : 3A991.j. does not control batteries, including single
cell batteries.
[[Page 38792]]
Technical Notes: 1. For the purpose of 3A991.j energy density
(Wh/kg) is calculated from the nominal voltage multiplied by the
nominal capacity in ampere-hours divided by the mass in kilograms.
If the nominal capacity is not stated, energy density is calculated
from the nominal voltage squared then multiplied by the discharge
duration in hours divided by the discharge load in Ohms and the mass
in kilograms.
2. For the purpose of 3A991.j, a `cell' is defined as an
electrochemical device, which has positive and negative electrodes,
and electrolyte, and is a source of electrical energy. It is the
basic building block of a battery.
3. For the purpose of 3A991.j.1, a `primary cell' is a `cell'
that is not designed to be charged by any other source.
4. For the purpose of 3A991.j.2., a `secondary cell' is a `cell'
that is designed to be charged by an external electrical source.
k. ``Superconductive'' electromagnets or solenoids ``specially
designed'' to be fully charged or discharged in less than one
minute, having all of the following:
Note: 3A991.k does not control ``superconductive''
electromagnets or solenoids designed for Magnetic Resonance Imaging
(MRI) medical equipment.
k.1. Maximum energy delivered during the discharge divided by
the duration of the discharge of more than 500 kJ per minute;
k.2. Inner diameter of the current carrying windings of more
than 250 mm; and
k.3. Rated for a magnetic induction of more than 8T or ``overall
current density'' in the winding of more than 300 A/mm\2\.
l. Circuits or systems for electromagnetic energy storage,
containing ``components'' manufactured from ``superconductive''
materials ``specially designed'' for operation at temperatures below
the ``critical temperature'' of at least one of their
``superconductive'' constituents, having all of the following:
l.1. Resonant operating frequencies exceeding 1 MHz;
l.2. A stored energy density of 1 MJ/M\3\ or more; and
l.3. A discharge time of less than 1 ms;
m. Hydrogen/hydrogen-isotope thyratrons of ceramic-metal
construction and rate for a peak current of 500 A or more;
n. Digital integrated circuits based on any compound
semiconductor having an equivalent gate count of more than 300 (2
input gates).
o. Solar cells, cell-interconnect-coverglass (CIC) assemblies,
solar panels, and solar arrays, which are ``space qualified'' and
not controlled by 3A001.e.4.
0
25. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 3, ECCN 3B001 is revised to read as follows:
3B001 Equipment for the manufacturing of semiconductor devices or
materials, as follows (see List of Items Controlled) and ``specially
designed'' ``components'' and ``accessories'' therefor.
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: $500
GBS: Yes, except a.3 (molecular beam epitaxial growth equipment
using gas sources), .e (automatic loading multi-chamber central
wafer handling systems only if connected to equipment controlled by
3B001. a.3, or .f), and .f (lithography equipment).
CIV: Yes for equipment controlled by 3B001.a.1 and a.2.
List of Items Controlled
Related Controls: See also 3B991.
Related Definitions: N/A
Items:
a. Equipment designed for epitaxial growth as follows:
a.1. Equipment designed or modified to produce a layer of any
material other than silicon with a thickness uniform to less than
2.5% across a distance of 75 mm or more;
Note: 3B001.a.1 includes atomic layer epitaxy (ALE) equipment.
a.2. Metal Organic Chemical Vapor Deposition (MOCVD) reactors
designed for compound semiconductor epitaxial growth of material
having two or more of the following elements: aluminum, gallium,
indium, arsenic, phosphorus, antimony, or nitrogen;
a.3. Molecular beam epitaxial growth equipment using gas or
solid sources;
b. Equipment designed for ion implantation and having any of the
following:
b.1. [Reserved];
b.2. Being designed and optimized to operate at a beam energy of
20 keV or more and a beam current of 10 mA or more for hydrogen,
deuterium, or helium implant;
b.3. Direct write capability;
b.4. A beam energy of 65 keV or more and a beam current of 45 mA
or more for high energy oxygen implant into a heated semiconductor
material ``substrate''; or
b.5. Being designed and optimized to operate at beam energy of
20keV or more and a beam current of 10mA or more for silicon implant
into a semiconductor material ``substrate'' heated to 600 [deg]C or
greater;
c. [Reserved]
d. [Reserved]
e. Automatic loading multi-chamber central wafer handling
systems having all of the following:
e.1. Interfaces for wafer input and output, to which more than
two functionally different `semiconductor process tools' controlled
by 3B001.a.1, 3B001.a.2, 3B001.a.3 or 3B001.b are designed to be
connected; and
e.2. Designed to form an integrated system in a vacuum
environment for `sequential multiple wafer processing';
Note: 3B001.e does not control automatic robotic wafer handling
systems ``specially designed'' for parallel wafer processing.
Technical Notes:
1. For the purpose of 3B001.e, `semiconductor process tools'
refers to modular tools that provide physical processes for
semiconductor production that are functionally different, such as
deposition, implant or thermal processing.
2. For the purpose of 3B001.e, `sequential multiple wafer
processing' means the capability to process each wafer in different
`semiconductor process tools', such as by transferring each wafer
from one tool to a second tool and on to a third tool with the
automatic loading multi-chamber central wafer handling systems.
f. Lithography equipment as follows:
f.1. Align and expose step and repeat (direct step on wafer) or
step and scan (scanner) equipment for wafer processing using photo-
optical or X-ray methods and having any of the following:
f.1.a. A light source wavelength shorter than 193 nm; or
f.1.b. Capable of producing a pattern with a ``Minimum
Resolvable Feature size'' (MRF) of 45 nm or less;
Technical Note: The `Minimum Resolvable Feature size' (MRF) is
calculated by the following formula:
[GRAPHIC] [TIFF OMITTED] TR15AU17.000
[[Page 38793]]
where the K factor = 0.35
f.2 Imprint lithography equipment capable of production features
of 45 nm or less;
Note: 3B001.f.2 includes:
-- Micro contact printing tools
-- Hot embossing tools
-- Nano-imprint lithography tools
-- Step and flash imprint lithography (S-FIL) tools
f.3. Equipment ``specially designed'' for mask making having all
of the following:
f.3.a. A deflected focused electron beam, ion beam or ``laser''
beam; and
f.3.b. Having any of the following:
f.3.b.1. A Full-Width Half-Maximum (FWHM) spot size smaller than
65 nm and an image placement less than 17 nm (mean + 3 sigma); or
f.3.b.2. [Reserved]
f.3.b.3. A second-layer overlay error of less than 23 nm (mean +
3 sigma) on the mask;
f.4. Equipment designed for device processing using direct
writing methods, having all of the following:
f.4.a. A deflected focused electron beam; and
f.4.b. Having any of the following:
f.4.b.1. A minimum beam size equal to or smaller than 15 nm; or
f.4.b.2. An overlay error less than 27 nm (mean + 3 sigma);
g. Masks and reticles, designed for integrated circuits
controlled by 3A001;
h. Multi-layer masks with a phase shift layer not specified by
3B001.g and having any of the following:
h.1. Made on a mask ``substrate blank'' from glass specified as
having less than 7 nm/cm birefringence; or
h.2. Designed to be used by lithography equipment having a light
source wavelength less than 245 nm;
Note: 3B001.h. does not control multi-layer masks with a phase
shift layer designed for the fabrication of memory devices not
controlled by 3A001.
i. Imprint lithography templates designed for integrated
circuits by 3A001.
0
26. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 3, ECCN 3C001 is revised to read as follows:
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.
Control(s) No. 1 to part 738)
NS applies to entire entry................ NS Column 2
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)
LVS: $3000
GBS: N/A
CIV: N/A
List of Items Controlled
Related Controls: This entry does not control equipment or material
whose functionality has been unalterably disabled are not
controlled.
Related Definitions: N/A
Items:
a. Silicon (Si);
b. Germanium (Ge);
c. Silicon Carbide (SiC); or
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 GaN, InGaN, AlGaN, InAlN, InAlGaN,
GaP, GaAs, AlGaAs, InP, InGaP, AlInP or InGaAlP, independent of the
sequence of the elements, except if the P-type epitaxial layer is
between N-type layers.
0
27. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 3, ECCN 3E001 is revised to read as follows:
3E001 ``Technology'' according to the General Technology Note for
the ``development'' or ``production'' of equipment or materials
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, AT
Country chart (See Supp.
Control(s) No. 1 to part 738)
NS applies to ``technology'' for items NS Column 1
controlled by 3A001, 3A002, 3A003, 3B001,
3B002, or 3C001 to 3C006.
MT applies to ``technology'' for equipment MT Column 1
controlled by 3A001 or 3A101 for MT
reasons.
NP applies to ``technology'' for equipment NP Column 1
controlled by 3A001, 3A201, or 3A225 to
3A234 for NP reasons.
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)
CIV: Yes for ``technology'' for equipment in 3B001.c.
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.12, having all of the
following:
[[Page 38794]]
(a) Using ``technology'' at or above 0.130 [micro]m; and
(b) Incorporating multi-layer structures with three or fewer
metal layers.
0
28. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 3, ECCN 3E002 is revised to read as follows:
3E002 ``Technology'' according to the General Technology Note other
than that controlled in 3E001 for the ``development'' or
``production'' of a ``microprocessor microcircuit,'' ``micro-
computer microcircuit'' and microcontroller microcircuit core,
having an arithmetic logic unit with an access width of 32 bits or
more and any of the following features or characteristics (see List
of Items Controlled).
License Requirements
Reason for Control: NS, AT
Country chart (See Supp.
Control(s) No. 1 to part 738)
NS applies to entire entry................ NS Column 1
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.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
CIV: Yes, for deemed exports, as described in Sec. 734.13(a)(2) of
the EAR, of ``technology'' for the ``development'' or ``production''
of general purpose microprocessor cores with a vector processor unit
with operand length of 64-bit or less, 64-bit floating operations
not exceeding 50 GFLOPS, or 16-bit or more floating-point operations
not exceeding 50 GMACS (billions of 16-bit fixed-point multiply-
accumulate operations per second). License Exception CIV does not
apply to ECCN 3E002 technology also required for the development or
production of items controlled under ECCNs beginning with 3A, 3B, or
3C, or to ECCN 3E002 technology also controlled under ECCN 3E003.
TSR: Yes.
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items:
a. A `vector processor unit' designed to perform more than two
calculations on floating-point vectors (one dimensional arrays of
32-bit or larger numbers) simultaneously;
Technical Note: A `vector processor unit' is a processor element
with built-in instructions that perform multiple calculations on
floating-point vectors (one-dimensional arrays of 32-bit or larger
numbers) simultaneously, having at least one vector arithmetic logic
unit and vector registers of at least 32 elements each.
b. Designed to perform more than four 64-bit or larger floating-
point operation results per cycle; or
c. Designed to perform more than eight 16-bit fixed-point
multiply-accumulate results per cycle (e.g., digital manipulation of
analog information that has been previously converted into digital
form, also known as digital ``signal processing'').
Note 1: 3E002 does not control ``technology'' for multimedia
extensions.
Note 2: 3E002 does not control ``technology'' for
microprocessor cores, having all of the following:
a. Using ``technology'' at or above 0.130 [micro]m; and
b. Incorporating multi-layer structures with five or fewer metal
layers.
Note 3: 3E002 includes ``technology'' for the ``development''
or ``production'' of digital signal processors and digital array
processors.
0
29. In Supplement No. 1 to part 774 (the Commerce Control List),
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.
Control(s) No.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)
CIV: N/A
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 films of diamond for electronic components;
e. Substrates of silicon-on-insulator (SOI) for integrated
circuits in which the insulator is silicon dioxide;
f. Substrates of silicon carbide for electronic components;
g. `Vacuum electronic devices' operating at frequencies of 31.8
GHz or higher.
0
30. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 4, ECCN 4A003 is revised to read as follows:
4A003 ``Digital computers,'' ``electronic assemblies,'' and related
equipment therefor, as follows (see List of Items Controlled) and
``specially designed'' ``components'' therefor.
License Requirements
Reason for Control: NS, CC, AT
Country chart (See Supp.
Control(s) No.1 to part 738)
NS applies to 4A003.b and .c.............. NS Column 1
NS applies to 4A003.e and .g.............. NS Column 2
CC applies to ``digital computers'' for CC Column 1
computerized finger-print equipment.
AT applies to entire entry (refer to 4A994 AT Column 1
for controls on ``digital computers''
with an APP > 0.0128 but <= 16 WT).
Note: For all destinations, except those countries in Country
Group E:1 or E:2 of Supplement No. 1 to part 740 of the EAR, no
license is required (NLR) for computers with an ``Adjusted Peak
Performance'' (``APP'') not exceeding 16 Weighted TeraFLOPS (WT) and
for ``electronic assemblies'' described in 4A003.c that are not
capable of exceeding an ``Adjusted Peak Performance'' (``APP'')
exceeding 16 Weighted TeraFLOPS (WT) in aggregation, except certain
transfers as set forth in Sec. 746.3 (Iraq).
Reporting Requirements
Special Post Shipment Verification reporting and recordkeeping
requirements for exports of computers to destinations in Computer
Tier 3 may be found in Sec. 743.2 of the EAR.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $5000; N/A for 4A003.b and .c.
GBS: Yes, for 4A003.g and ``specially designed'' ``parts'' and
``components'' therefor, exported separately or as part of a system.
APP: Yes, for computers controlled by 4A003.b, and ``electronic
assemblies'' controlled by 4A003.c, to the exclusion of
[[Page 38795]]
other technical parameters. See Sec. 740.7 of the EAR.
CIV: Yes, for 4A003.g.
List of Items Controlled
Related Controls: See also 4A994 and 4A980
Related Definitions: N/A
Items:
Note 1: 4A003 includes the following:
--`Vector processors' (as defined in Note 7 of the ``Technical
Note on ``Adjusted Peak Performance'' (``APP'')'');
--Array processors;
--Digital signal processors;
--Logic processors;
--Equipment designed for ``image enhancement.''
Note 2: The control status of the ``digital computers'' and
related equipment described in 4A003 is determined by the control
status of other equipment or systems provided:
a. The ``digital computers'' or related equipment are essential
for the operation of the other equipment or systems;
b. The ``digital computers'' or related equipment are not a
``principal element'' of the other equipment or systems; and
N.B. 1: The control status of ``signal processing'' or ``image
enhancement'' equipment ``specially designed'' for other equipment
with functions limited to those required for the other equipment is
determined by the control status of the other equipment even if it
exceeds the ``principal element'' criterion.
N.B. 2: For the control status of ``digital computers'' or
related equipment for telecommunications equipment, see Category 5,
Part 1 (Telecommunications).
c. The ``technology'' for the ``digital computers'' and related
equipment is determined by 4E.
a. [Reserved]
b. ``Digital computers'' having an ``Adjusted Peak Performance''
(``APP'') exceeding 16 weighted TeraFLOPS (WT);
c. ``Electronic assemblies'' ``specially designed'' or modified
to be capable of enhancing performance by aggregation of processors
so that the ``APP'' of the aggregation exceeds the limit in 4A003.b;
Note 1: 4A003.c applies only to ``electronic assemblies'' and
programmable interconnections not exceeding the limit in 4A003.b
when shipped as unintegrated ``electronic assemblies.''
Note 2: 4A003.c does not control ``electronic assemblies''
``specially designed'' for a product or family of products whose
maximum configuration does not exceed the limit of 4A003.b.
d. to f. [Reserved]
N.B.: For ``electronic assemblies,'' modules or equipment,
performing analog-to-digital conversions, see 3A002.h.
g. Equipment ``specially designed'' for aggregating the
performance of ``digital computers'' by providing external
interconnections which allow communications at unidirectional data
rates exceeding 2.0 Gbyte/s per link.
Note: 4A003.g does not control internal interconnection
equipment (e.g., backplanes, buses) passive interconnection
equipment, ``network access controllers'' or ``communication channel
controllers.''
0
31. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 4, ECCN 4D001 is revised to read as follows:
4D001 ``Software'' as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, CC, AT
Country chart (See Supp.
Control(s) No.1 to part 738)
NS applies to entire entry................ NS Column 1
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)
CIV: N/A
TSR: Yes, except for ``software'' for the ``development'' or
``production'' of commodities with an ``Adjusted Peak Performance''
(``APP'') exceeding 16 WT.
APP: Yes to specific countries (see Sec. 740.7 of the EAR for
eligibility criteria)
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 ECCN 4A001.a.2 or for the
``development'' or ``production'' of ``digital computers'' having an
`Adjusted Peak Performance' (`APP') exceeding 16 Weighted TeraFLOPS
(WT) 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:
a. ``Software'' ``specially designed'' or modified for the
``development'' or ``production'', of equipment or ``software''
controlled by 4A001, 4A003, 4A004, or 4D (except 4D980, 4D993 or
4D994).
b. ``Software'', other than that controlled by 4D001.a,
``specially designed'' or modified for the ``development'' or
``production'' of equipment as follows:
b.1. ``Digital computers'' having an ``Adjusted Peak
Performance'' (``APP'') exceeding 8.0 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 4D001.b.1.
0
32. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 4, ECCN 4D993 is revised to read as follows:
4D993 ``Program'' proof and validation ``software,'' ``software''
allowing the automatic generation of ``source codes,'' and operating
system ``software'' that are ``specially designed'' for ``real-time
processing'' equipment (see List of Items Controlled).
License Requirements
Reason for Control: AT
Country chart (see Supp. No.
Control(s) 1 to part 738)
AT applies to entire entry................ AT Column 1
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
CIV: N/A
TSR: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: ``Global interrupt latency time'' is the time
taken by the computer system to recognize an interrupt due to the
event, service the interrupt and perform a context switch to an
alternate memory-resident task waiting on the interrupt.
Items:
a. ``Program'' proof and validation ``software'' using
mathematical and analytical techniques and designed or modified for
``programs'' having more than 500,000 ``source code'' instructions;
b. ``Software'' allowing the automatic generation of ``source
codes'' from data acquired online from external sensors described in
the Commerce Control List; or
c. Operating system ``software'' ``specially designed'' for
``real-time processing'' equipment that guarantees a ``global
interrupt latency time'' of less than 20 microseconds.
0
33. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 4, ECCN 4E001 is revised to read as follows:
4E001 ``Technology'' as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, MT, 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.
[[Page 38796]]
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)
CIV: N/A
TSR: Yes, except for ``technology'' for the ``development'' or
``production'' of commodities with an ``Adjusted Peak Performance''
(``APP'') exceeding 16 WT.
APP: Yes to specific countries (see Sec. 740.7 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 16 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).
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 8.0 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.
0
34. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 5--Part 1, ECCN 5A001 is revised to read as follows:
5A001 Telecommunications systems, equipment, ``components'' and
``accessories,'' as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, SL, AT
Country chart (see Supp. No. 1
Control(s) to part 738)
NS applies to 5A001.a, .e, .b.5, f.3 NS Column 1
and .h.
NS applies to 5A001.b (except .b.5), NS Column 2
.c, .d, .f (except f.3), and .g.
SL applies to 5A001.f.1................ A license is required for all
destinations, as specified in
Sec. 742.13 of the EAR.
Accordingly, a column specific
to this control does not
appear on the Commerce Country
Chart (Supplement No. 1 to
Part 738 of the EAR)
Note to SL paragraph: This
licensing requirement does not
supersede, nor does it
implement, construe or limit
the scope of any criminal
statute, including, but not
limited to the Omnibus Safe
Streets Act of 1968, as
amended
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)
LVS: N/A for 5A001.a, b.5, .e, f.3 and .h; $5000 for 5A001.b.1,
.b.2, .b.3, .b.6, .d, f.2, f.4, and .g; $3000 for 5A001.c.
GBS: Yes, except 5A001.a, b.5, e, and h.
CIV: Yes, except 5A001.a, b.3, b.5, e, and h.
Special Conditions for STA
STA: License Exception STA may not be used to ship any commodity in
5A001.b.3, .b.5 or .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) See USML Category XI for controls on
direction-finding ``equipment'' including types of ``equipment'' in
ECCN 5A001.e and any other military or intelligence electronic
``equipment'' that is ``subject to the ITAR.'' (2) See USML Category
XI(a)(4)(iii) for controls on electronic attack and jamming
``equipment'' defined in 5A001.f and .h that are subject to the
ITAR. (3) See also ECCNs 5A101, 5A980, and 5A991.
Related Definitions: N/A
Items:
a. Any type of telecommunications equipment having any of the
following characteristics, functions or features:
a.1. ``Specially designed'' to withstand transitory electronic
effects or electromagnetic pulse effects, both arising from a
nuclear explosion;
a.2. Specially hardened to withstand gamma, neutron or ion
radiation; or
a.3. ``Specially designed'' to operate outside the temperature
range from 218 K (-55 [deg]C) to 397 K (124 [deg]C).
Note: 5A001.a.3 applies only to electronic equipment.
b. Telecommunication systems and equipment, and ``specially
designed'' ``components'' and ``accessories'' therefor, having any
of the following characteristics, functions or features:
b.1 Being underwater untethered communications systems having
any of the following:
b.1.a. An acoustic carrier frequency outside the range from 20
kHz to 60 kHz;
b.1.b. Using an electromagnetic carrier frequency below 30 kHz;
or
b.1.c. Using electronic beam steering techniques; or
b.1.d. Using ``lasers'' or light-emitting diodes (LEDs), with an
output wavelength greater than 400 nm and less than 700 nm, in a
``local area network'';
b.2. Being radio equipment operating in the 1.5 MHz to 87.5 MHz
band and having all of the following:
b.2.a. Automatically predicting and selecting frequencies and
``total digital transfer rates'' per channel to optimize the
transmission; and
b.2.b. Incorporating a linear power amplifier configuration
having a capability to support multiple signals simultaneously at an
output power of 1 kW or more in the frequency range of 1.5 MHz or
more but less than 30 MHz, or 250 W or more in the frequency range
of 30 MHz or more but not exceeding 87.5 MHz, over an
``instantaneous bandwidth'' of one octave or more and with an output
harmonic and distortion content of better than -80 dB;
b.3. Being radio equipment employing ``spread spectrum''
techniques, including ``frequency hopping'' techniques, not
controlled in 5A001.b.4 and having any of the following:
b.3.a. User programmable spreading codes; or
b.3.b. A total transmitted bandwidth which is 100 or more times
the bandwidth of any one information channel and in excess of 50
kHz;
[[Page 38797]]
Note: 5A001.b.3.b does not control radio equipment ``specially
designed'' for use with any of the following:
a. Civil cellular radio-communications systems; or
b. Fixed or mobile satellite Earth stations for commercial civil
telecommunications.
Note: 5A001.b.3 does not control equipment operating at an
output power of 1 W or less.
b.4 Being radio equipment employing ultra-wideband modulation
techniques, having user programmable channelizing codes, scrambling
codes, or network identification codes and having any of the
following:
b.4.a. A bandwidth exceeding 500 MHz; or
b.4.b. A ``fractional bandwidth'' of 20% or more;
b.5. Being digitally controlled radio receivers having all of
the following:
b.5.a. More than 1,000 channels;
b.5.b. A `channel switching time' of less than 1 ms;
b.5.c. Automatic searching or scanning of a part of the
electromagnetic spectrum; and
b.5.d. Identification of the received signals or the type of
transmitter; or
Note: 5A001.b.5 does not control radio equipment ``specially
designed'' for use with civil cellular radio-communications systems.
Technical Note: `Channel switching time': the time (i.e.,
delay) to change from one receiving frequency to another, to arrive
at or within 0.05% of the final specified receiving
frequency. Items having a specified frequency range of less than
0.05% around their center frequency are defined to be
incapable of channel frequency switching.
b.6. Employing functions of digital ``signal processing'' to
provide `voice coding' output at rates of less than 700 bit/s.
Technical Notes:
1. For variable rate `voice coding', 5A001.b.6 applies to the
`voice coding' output of continuous speech.
2. For the purpose of 5A001.b.6, `voice coding' is defined as
the technique to take samples of human voice and then convert these
samples of human voice into a digital signal taking into account
specific characteristics of human speech.
c. Optical fibers of more than 500 m in length and specified by
the manufacturer as being capable of withstanding a `proof test'
tensile stress of 2 x 10\9\ N/m\2\ or more;
N.B.: For underwater umbilical cables, see 8A002.a.3.
Technical Note: `Proof Test': On-line or off-line production
screen testing that dynamically applies a prescribed tensile stress
over a 0.5 to 3 m length of fiber at a running rate of 2 to 5 m/s
while passing between capstans approximately 150 mm in diameter. The
ambient temperature is a nominal 293 K (20 [deg]C) and relative
humidity 40%. Equivalent national standards may be used for
executing the proof test.
d. ``Electronically steerable phased array antennas'' as
follows:
d.1. Rated for operation above 31.8 GHz, but not exceeding 57
GHz, and having an Effective Radiated Power (ERP) equal to or
greater than +20 dBm (22.15 dBm Effective Isotropic Radiated Power
(EIRP));
d.2. Rated for operation above 57 GHz, but not exceeding 66 GHz,
and having an ERP equal to or greater than +24 dBm (26.15 dBm EIRP);
d.3. Rated for operation above 66 GHz, but not exceeding 90 GHz,
and having an ERP equal to or greater than +20 dBm (22.15 dBm EIRP);
d.4. Rated for operation above 90 GHz;
Note: 5A001.d does not control ``electronically steerable phased
array antennas'' for landing systems with instruments meeting ICAO
standards covering Microwave Landing Systems (MLS).
e. Radio direction finding equipment operating at frequencies
above 30 MHz and having all of the following, and ``specially
designed'' ``components'' therefor:
e.1. ``Instantaneous bandwidth'' of 10 MHz or more; and
e.2. Capable of finding a Line Of Bearing (LOB) to non-
cooperating radio transmitters with a signal duration of less than 1
ms;
f. Mobile telecommunications interception or jamming equipment,
and monitoring equipment therefor, as follows, and ``specially
designed'' ``components'' therefor:
f.1. Interception equipment designed for the extraction of voice
or data, transmitted over the air interface;
f.2. Interception equipment not specified in 5A001.f.1, designed
for the extraction of client device or subscriber identifiers (e.g.,
IMSI, TIMSI or IMEI), signaling, or other metadata transmitted over
the air interface;
f.3. Jamming equipment ``specially designed'' or modified to
intentionally and selectively interfere with, deny, inhibit, degrade
or seduce mobile telecommunication services and performing any of
the following:
f.3.a. Simulate the functions of Radio Access Network (RAN)
equipment;
f.3.b. Detect and exploit specific characteristics of the mobile
telecommunications protocol employed (e.g., GSM); or
f.3.c. Exploit specific characteristics of the mobile
telecommunications protocol employed (e.g., GSM);
f.4. Radio Frequency (RF) monitoring equipment designed or
modified to identify the operation of items specified in 5A001.f.1,
5A001.f.2 or 5A001.f.3.
Note: 5A001.f.1 and 5A001.f.2 do not apply to any of the
following:
a. Equipment ``specially designed'' for the interception of
analog Private Mobile Radio (PMR), IEEE 802.11 WLAN;
b. Equipment designed for mobile telecommunications network
operators; or
c. Equipment designed for the ``development'' or ``production''
of mobile telecommunications equipment or systems.
N.B. 1: See also the International Traffic in Arms Regulations
(ITAR) (22 CFR parts 120-130). For items specified by 5A001.f.1
(including as previously specified by 5A001.i), see also5A980 and
the U.S. Munitions List (22 CFR part 121).
N.B. 2: For radio receivers see 5A001.b.5.
g. Passive Coherent Location (PCL) systems or equipment,
``specially designed'' for detecting and tracking moving objects by
measuring reflections of ambient radio frequency emissions, supplied
by non-radar transmitters.
Technical Note: Non-radar transmitters may include commercial
radio, television or cellular telecommunications base stations.
Note: 5A001.g. does not control:
a. Radio-astronomical equipment; or
b. Systems or equipment, that require any radio transmission
from the target.
h. Counter Improvised Explosive Device (IED) equipment and
related equipment, as follows:
h.1. Radio Frequency (RF) transmitting equipment, not specified
by 5A001.f, designed or modified for prematurely activating or
preventing the initiation of Improvised Explosive Devices (IEDs);
h.2. Equipment using techniques designed to enable radio
communications in the same frequency channels on which co-located
equipment specified by 5A001.h.1 is transmitting.
N.B.: See also Category XI of the International Traffic in Arms
Regulations (ITAR) (22 CFR parts 120-130).
i. [Reserved]
N.B.: See 5A001.f.1 for items previously specified by 5A001.i.
0
35. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 5--Part 1, ECCN 5B001 is revised to read as follows:
5B001 Telecommunication test, inspection and production equipment,
``components'' and ``accessories,'' 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
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)
LVS: $5000
GBS: Yes
CIV: Yes
Special Conditions for STA
STA: License Exception STA may not be used to ship 5B001.a equipment
and ``specially designed'' ``components'' or ``accessories''
therefor, ``specially designed'' for the ``development,'' or
``production'' of equipment, functions or features specified by in
ECCN 5A001.b.3, .b.5 or .h to any of the destinations listed in
Country Group A:6 (See Supplement No. 1 to part 740 of the EAR).
[[Page 38798]]
List of Items Controlled
Related Controls: See also 5B991.
Related Definition: N/A
Items:
a. Equipment and ``specially designed'' ``components'' or
``accessories'' therefor, ``specially designed'' for the
``development'' or ``production'' of equipment, functions or
features, controlled by 5A001;
Note: 5B001.a does not apply to optical fiber characterization
equipment.
b. Equipment and ``specially designed'' ``components'' or
``accessories'' therefor, ``specially designed'' for the
``development'' of any of the following telecommunication
transmission or switching equipment:
b.1. [Reserved]
b.2. Equipment employing a ``laser'' and having any of the
following:
b.2.a. A transmission wavelength exceeding 1750 nm; or
b.2.b. [Reserved]
b.2.c. [Reserved]
b.2.d. Employing analog techniques and having a bandwidth
exceeding 2.5 GHz; or
Note: 5B001.b.2.d. does not include equipment ``specially
designed'' for the ``development'' of commercial TV systems.
b.3. [Reserved]
b.4. Radio equipment employing Quadrature-Amplitude-Modulation
(QAM) techniques above level 1,024.
0
36. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 5--Part 1, ECCN 5E001 is revised to read as follows:
5E001 ``Technology'' as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, SL, AT
Country chart (see Supp. No.1
Control(s) to part 738)
NS applies to entire entry............. NS Column 1
SL applies to ``technology'' for the A license is required for all
``development'' or ``production'' of destinations, as specified in
equipment, functions or features Sec. 742.13 of the EAR.
controlled by 5A001.f.1, or for the Accordingly, a column specific
``development'' or ``production'' of to this control does not
``software'' controlled by ECCN appear on the Commerce Country
5D001.a (for 5A001.f.1). Chart (Supplement No. 1 to
Part 738 of the EAR)
Note to SL paragraph: This
licensing requirement does not
supersede, nor does it
implement, construe or limit
the scope of any criminal
statute, including, but not
limited to the Omnibus Safe
Streets Act of 1968, as
amended
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)
CIV: N/A
TSR: Yes, except for exports or reexports to destinations outside of
those countries listed in Country Group A:5 (See Supplement No. 1 to
part 740 of the EAR) of ``technology'' controlled by 5E001.a for the
``development'' or ``production'' of the following:
(1) Items controlled by 5A001.b.5 or 5A001.h; or
(2) ``Software'' controlled by 5D001.a that is ``specially
designed'' for the ``development'' or ``production'' of equipment,
functions or features controlled by 5A001.b.5 or 5A001.h.
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, functions or
features specified by 5A001.b.3, .b.5 or .h; or for ``software'' in
5D001.a that is specified in the STA paragraph in the License
Exception section of ECCN 5D001 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) See also 5E101, 5E980 and 5E991. (2)
``Technology'' for ``development'' or ``production'' of ``Monolithic
Microwave Integrated Circuit'' (``MMIC'') amplifiers that meet the
control criteria given at 3A001.b.2 is controlled in 3E001; 5E001.d
refers only to that additional ``technology'' ``required'' for
telecommunications.
Related Definitions: N/A
Items:
a. ``Technology'' according to the General Technology Note for
the ``development'', ``production'' or ``use'' (excluding operation)
of equipment, functions or features, controlled by 5A001 or
``software'' controlled by 5D001.a..
b. Specific ``technology'', as follows:
b.1. ``Technology'' ``required'' for the ``development'' or
``production'' of telecommunications equipment ``specially
designed'' to be used on board satellites;
b.2. ``Technology'' for the ``development'' or ``use'' of
``laser'' communication techniques with the capability of
automatically acquiring and tracking signals and maintaining
communications through exoatmosphere or sub-surface (water) media;
b.3. ``Technology'' for the ``development'' of digital cellular
radio base station receiving equipment whose reception capabilities
that allow multi-band, multi-channel, multi-mode, multi-coding
algorithm or multi-protocol operation can be modified by changes in
``software'';
b.4. ``Technology'' for the ``development'' of ``spread
spectrum'' techniques, including ``frequency hopping'' techniques.
Note: 5E001.b.4 does not apply to ``technology'' for the
``development'' of any of the following:
a. Civil cellular radio-communications systems; or
b. Fixed or mobile satellite Earth stations for commercial civil
telecommunications.
c. ``Technology'' according the General Technology Note for the
``development'' or ``production'' of any of the following:
c.1. [Reserved]
c.2. Equipment employing a ``laser'' and having any of the
following:
c.2.a. A transmission wavelength exceeding 1,750 nm;
c.2.b. [Reserved]
c.2.c. [Reserved]
c.2.d. Employing wavelength division multiplexing techniques of
optical carriers at less than 100 GHz spacing; or
c.2.e. Employing analog techniques and having a bandwidth
exceeding 2.5 GHz;
Note: 5E001.c.2.e does not control ``technology'' for commercial
TV systems.
N.B.: For ``technology'' for the ``development'' or
``production'' of non-telecommunications equipment employing a
``laser'', see Product Group E of Category 6, e.g., 6E00x
c.3. Equipment employing ``optical switching'' and having a
switching time less than 1 ms; or
c.4. Radio equipment having any of the following:
c.4.a. Quadrature-Amplitude-Modulation (QAM) techniques above
level 1,024; or
c.4.b. Operating at input or output frequencies exceeding 31.8
GHz; or
Note: 5E001.c.4.b does not control ``technology'' for equipment
designed or modified for operation in any frequency band which is
``allocated by the ITU'' for radio-communications services, but not
for radio-determination.
c.4.c. Operating in the 1.5 MHz to 87.5 MHz band and
incorporating adaptive techniques providing more than 15 dB
suppression of an interfering signal; or
c.5. [Reserved]
c.6. Mobile equipment having all of the following:
c.6.a. Operating at an optical wavelength greater than or equal
to 200nm and less than or equal to 400nm; and
c.6.b. Operating as a ``local area network'';
d. ``Technology'' according to the General Technology Note for
the ``development'' or ``production'' of ``Monolithic Microwave
[[Page 38799]]
Integrated Circuit'' (``MMIC'') amplifiers ``specially designed''
for telecommunications and that are any of the following:
Technical Note: For purposes of 5E001.d, the parameter peak
saturated power output may also be referred to on product data
sheets as output power, saturated power output, maximum power
output, peak power output, or peak envelope power output.
d.1. Rated for operation at frequencies exceeding 2.7 GHz up to
and including 6.8 GHz with a ``fractional bandwidth'' greater than
15%, and having any of the following:
d.1.a. A peak saturated power output greater than 75 W (48.75
dBm) at any frequency exceeding 2.7 GHz up to and including 2.9 GHz;
d.1.b. A peak saturated power output greater than 55 W (47.4
dBm) at any frequency exceeding 2.9 GHz up to and including 3.2 GHz;
d.1.c. A peak saturated power output greater than 40 W (46 dBm)
at any frequency exceeding 3.2 GHz up to and including 3.7 GHz; or
d.1.d. A peak saturated power output greater than 20 W (43 dBm)
at any frequency exceeding 3.7 GHz up to and including 6.8 GHz;
d.2. Rated for operation at frequencies exceeding 6.8 GHz up to
and including 16 GHz with a ``fractional bandwidth'' greater than
10%, and having any of the following:
d.2.a. A peak saturated power output greater than 10W (40 dBm)
at any frequency exceeding 6.8 GHz up to and including 8.5 GHz; or
d.2.b. A peak saturated power output greater than 5W (37 dBm) at
any frequency exceeding 8.5 GHz up to and including 16 GHz;
d.3. Rated for operation with a peak saturated power output
greater than 3 W (34.77 dBm) at any frequency exceeding 16 GHz up to
and including 31.8 GHz, and with a ``fractional bandwidth'' of
greater than 10%;
d.4. Rated for operation with a peak saturated power output
greater than 0.1n W (-70 dBm) at any frequency exceeding 31.8 GHz up
to and including 37 GHz;
d.5. Rated for operation with a peak saturated power output
greater than 1 W (30 dBm) at any frequency exceeding 37 GHz up to
and including 43.5 GHz, and with a ``fractional bandwidth'' of
greater than 10%;
d.6. Rated for operation with a peak saturated power output
greater than 31.62 mW (15 dBm) at any frequency exceeding 43.5 GHz
up to and including 75 GHz, and with a ``fractional bandwidth'' of
greater than 10%;
d.7. Rated for operation with a peak saturated power output
greater than 10 mW (10 dBm) at any frequency exceeding 75 GHz up to
and including 90 GHz, and with a ``fractional bandwidth'' of greater
than 5%; or
d.8. Rated for operation with a peak saturated power output
greater than 0.1 nW (-70 dBm) at any frequency exceeding 90 GHz;
e. ``Technology'' according to the General Technology Note for
the ``development'' or ``production'' of electronic devices and
circuits, ``specially designed'' for telecommunications and
containing ``components'' manufactured from ``superconductive''
materials, ``specially designed'' for operation at temperatures
below the ``critical temperature'' of at least one of the
``superconductive'' constituents and having any of the following:
e.1. Current switching for digital circuits using
``superconductive'' gates with a product of delay time per gate (in
seconds) and power dissipation per gate (in watts) of less than
10-14 J; or
e.2. Frequency selection at all frequencies using resonant
circuits with Q-values exceeding 10,000.
0
37. In Supplement No. 1 to part 774 (the Commerce Control List),
Category5--Part 2 is amended by revising the Notes at the beginning of
Part 2 to read as follows:
Part 2--Information Security
Note 1: [Reserved]
Note 2: Category 5--Part 2, ``information security'' products,
when accompanying their user for the user's personal use or as tools
of trade, are eligible for License Exceptions TMP or BAG, subject to
the terms and conditions of these license exceptions.
Note 3: Cryptography Note: ECCNs 5A002, 5D002.a.1, .b, and .c.1,
do not control items as follows:
a. Items meeting all of the following:
1. Generally available to the public by being sold, without
restriction, from stock at retail selling points by means of any of
the following:
a. Over-the-counter transactions;
b. Mail order transactions;
c. Electronic transactions; or
d. Telephone call transactions;
2. The cryptographic functionality cannot be easily changed by
the user;
3. Designed for installation by the user without further
substantial support by the supplier; and
4. When necessary, details of the items are accessible and will
be provided, upon request, to the appropriate authority in the
exporter's country in order to ascertain compliance with conditions
described in paragraphs a.1 through a.3 of this Note;
b. Hardware components or `executable software', of existing
items described in paragraph a. of this Note, that have been
designed for these existing items, and meeting all of the following:
1. ``Information security'' is not the primary function or set
of functions of the component or `executable software';
2. The component or `executable software' does not change any
cryptographic functionality of the existing items, or add new
cryptographic functionality to the existing items;
3. The feature set of the component or `executable software' is
fixed and is not designed or modified to customer specification; and
4. When necessary, as determined by the appropriate authority in
the exporter's country, details of the component or `executable
software', and details of relevant end-items are accessible and will
be provided to the authority upon request, in order to ascertain
compliance with conditions described above.
Technical Note: For the purpose of the Cryptography Note,
`executable software' means ``software'' in executable form, from an
existing hardware component excluded from 5A002, by the Cryptography
Note.
Note: `Executable software' does not include complete binary
images of the ``software'' running on an end-item.
Note to the Cryptography Note:
1. To meet paragraph a. of Note 3, all of the following must
apply:
a. The item is of potential interest to a wide range of
individuals and businesses; and
b. The price and information about the main functionality of the
item are available before purchase without the need to consult the
vendor or supplier. A simple price inquiry is not considered to be a
consultation.
2. In determining eligibility of paragraph a. of Note 3, BIS may
take into account relevant factors such as quantity, price, required
technical skill, existing sales channels, typical customers, typical
use or any exclusionary practices of the supplier.
N.B. to Note 3 (Cryptography Note): You must submit a
classification request or self-classification report to BIS for mass
market encryption commodities and software eligible for the
Cryptography Note employing a key length greater than 64 bits for
the symmetric algorithm (or, for commodities and software not
implementing any symmetric algorithms, employing a key length
greater than 768 bits for asymmetric algorithms or greater than 128
bits for elliptic curve algorithms) in accordance with the
requirements of Sec. 740.17(b) of the EAR in order to be released
from the ``EI'' and ``NS'' controls of ECCN 5A002 or 5D002.
0
38. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 5--Part 2, ECCN 5A002 is revised to read as follows:
5A002 ``Information security'' systems, equipment and
``components,'' as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, AT, EI
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
EI applies to entire entry................ Refer to Sec. 742.15 of
the EAR
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
[[Page 38800]]
``technology'' for the ``production'' or ``development'' of such
microprocessors.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: Yes: $500 for ``components''. N/A for systems and equipment.
GBS: N/A
CIV: N/A
ENC: Yes for certain EI controlled commodities, see Sec. 740.17 of
the EAR for eligibility.
List of Items Controlled
Related Controls: (1) ECCN 5A002.a controls ``components'' providing
the means or functions necessary for ``information security.'' All
such ``components'' are presumptively ``specially designed'' and
controlled by 5A002.a. (2) See USML Categories XI (including XI(b))
and XIII(b) (including XIII(b)(2)) for controls on systems,
equipment, and components described in 5A002.d or .e that are
subject to the ITAR. (3) For Global Navigation Satellite Systems
(GNSS) receiving equipment containing or employing decryption see
7A005, and for related decryption ``software'' and ``technology''
see 7D005 and 7E001. (4) Noting that items may be controlled
elsewhere on the CCL, examples of items not controlled by ECCN
5A002.a.4 include the following: (a) An automobile where the only
`cryptography for data confidentiality' `in excess of 56 bits of
symmetric key length, or equivalent' is performed by a Category 5--
Part 2 Note 3 eligible mobile telephone that is built into the car.
In this case, secure phone communications support a non-primary
function of the automobile but the mobile telephone (equipment), as
a standalone item, is not controlled by ECCN 5A002 because it is
excluded by the Cryptography Note (Note 3) (See ECCN 5A992.c). (b)
An exercise bike with an embedded Category 5--Part 2 Note 3 eligible
web browser, where the only controlled cryptography is performed by
the web browser. In this case, secure web browsing supports a non-
primary function of the exercise bike but the web browser
(``software''), as a standalone item, is not controlled by ECCN
5D002 because it is excluded by the Cryptography Note (Note 3) (See
ECCN 5D992.c). (5) After classification or self-classification in
accordance with Sec. 740.17(b) of the EAR, mass market encryption
commodities that meet eligibility requirements are released from
``EI'' and ``NS'' controls. These commodities are designated
5A992.c.
Related Definitions: N/A
Items:
a. Designed or modified to use `cryptography for data
confidentiality' having `in excess of 56 bits of symmetric key
length, or equivalent', where that cryptographic capability is
usable without ``cryptographic activation'' or has been activated,
as follows:
a.1. Items having ``information security'' as a primary
function;
a.2. Digital communication or networking systems, equipment or
components, not specified in paragraph 5A002.a.1;
a.3. Computers, other items having information storage or
processing as a primary function, and components therefor, not
specified in paragraphs 5A002.a.1 or .a.2;
N.B.: For operating systems see also 5D002.a.1 and .c.1.
a.4. Items, not specified in paragraphs 5A002.a.1 to a.3, where
the `cryptography for data confidentiality' having `in excess of 56
bits of symmetric key length, or equivalent' meets all of the
following:
a.4.a. It supports a non-primary function of the item; and
a.4.b. It is performed by incorporated equipment or ``software''
that would, as a standalone item, be specified by ECCNs 5A002,
5A003, 5A004, 5B002 or 5D002.
N.B. to paragraph a.4: See Related Control Paragraph (4) of this
ECCN 5A002 for examples of items not controlled by 5A002.a.4.
Technical Notes: 1. For the purposes of 5A002.a, `cryptography
for data confidentiality' means ``cryptography'' that employs
digital techniques and performs any cryptographic function other
than any of the following:
1.a. ``Authentication;''
1.b. Digital signature;
1.c. Data integrity;
1.d. Non-repudiation;
1.e. Digital rights management, including the execution of copy-
protected ``software;''
1.f. Encryption or decryption in support of entertainment, mass
commercial broadcasts or medical records management; or
1.g. Key management in support of any function described in
paragraphs 1.a to 1.f of this Technical Note paragraph 1.
2. For the purposes of 5A002.a, `in excess of 56 bits of
symmetric key length, or equivalent' means any of the following:
2.a. A ``symmetric algorithm'' employing a key length in excess
of 56 bits, not including parity bits; or
2.b. An ``asymmetric algorithm'' where the security of the
algorithm is based on any of the following:
2.b.1. Factorization of integers in excess of 512 bits (e.g.,
RSA);
2.b.2. Computation of discrete logarithms in a multiplicative
group of a finite field of size greater than 512 bits (e.g., Diffie-
Hellman over Z/pZ); or
2.b.3. Discrete logarithms in a group other than mentioned in
paragraph 2.b.2 of this Technical Note in excess of 112 bits (e.g.,
Diffie-Hellman over an elliptic curve).
Note 1: Details of items must be accessible and provided upon
request, in order to establish any of the following:
a. Whether the item meets the criteria of 5A002.a.1 to a.4; or
b. Whether the cryptographic capability for data confidentiality
specified by 5A002.a is usable without ``cryptographic activation.''
Note 2: 5A002.a does not control any of the following items, or
specially designed ``information security'' components therefor:
a. Smart cards and smart card `readers/writers' as follows:
a.1. A smart card or an electronically readable personal
document (e.g., token coin, e-passport) that meets any of the
following:
a.1.a. The cryptographic capability meets all of the following:
a.1.a.1. It is restricted for use in any of the following:
a.1.a.1.a. Equipment or systems, not described by 5A002.a.1 to
a.4;
a.1.a.1.b. Equipment or systems, not using `cryptography for
data confidentiality' having `in excess of 56 bits of symmetric key
length, or equivalent;' or
a.1.a.1.c. Equipment or systems, excluded from 5A002.a by
entries b. to f. of this Note; and
a.1.a.2. It cannot be reprogrammed for any other use; or
a.1.b. Having all of the following:
a.1.b.1. It is specially designed and limited to allow
protection of `personal data' stored within;
a.1.b.2. Has been, or can only be, personalized for public or
commercial transactions or individual identification; and
a.1.b.3. Where the cryptographic capability is not user-
accessible;
Technical Note to paragraph a.1.b of Note 2: `Personal data'
includes any data specific to a particular person or entity, such as
the amount of money stored and data necessary for
``authentication.''
a.2. `Readers/writers' specially designed or modified, and
limited, for items specified by paragraph a.1 of this Note;
Technical Note to paragraph a.2 of Note 2: `Readers/writers'
include equipment that communicates with smart cards or
electronically readable documents through a network.
b. Cryptographic equipment specially designed and limited for
banking use or `money transactions';
Technical Note to paragraph b. of Note 2: `Money transactions'
in 5A002 Note 2 paragraph b. includes the collection and settlement
of fares or credit functions.
c. Portable or mobile radiotelephones for civil use (e.g., for
use with commercial civil cellular radio communication systems) that
are not capable of transmitting encrypted data directly to another
radiotelephone or equipment (other than Radio Access Network (RAN)
equipment), nor of passing encrypted data through RAN equipment
(e.g., Radio Network Controller (RNC) or Base Station Controller
(BSC));
d. Cordless telephone equipment not capable of end-to-end
encryption where the maximum effective range of unboosted cordless
operation (i.e., a single, unrelayed hop between terminal and home
base station) is less than 400 meters according to the
manufacturer's specifications;
e. Portable or mobile radiotelephones and similar client
wireless devices for civil use, that implement only published or
commercial cryptographic standards (except for anti-piracy
functions, which may be non-published) and also meet the provisions
of paragraphs a.2 to a.4 of the Cryptography Note (Note 3 in
Category 5--Part 2), that have been customized for a specific civil
industry application with features that do not affect the
cryptographic functionality of these original non-customized
devices;
f. Items, where the ``information security'' functionality is
limited to wireless ``personal area network'' functionality, meeting
all of the following:
[[Page 38801]]
f.1. Implement only published or commercial cryptographic
standards; and
f.2. The cryptographic capability is limited to a nominal
operating range not exceeding 30 meters according to the
manufacturer's specifications, or not exceeding 100 meters according
to the manufacturer's specifications for equipment that cannot
interconnect with more than seven devices;
g. Mobile telecommunications Radio Access Network (RAN)
equipment designed for civil use, which also meet the provisions of
paragraphs a.2 to a.4 of the Cryptography Note (Note 3 in Category
5--Part 2), having an RF output power limited to 0.1W (20 dBm) or
less, and supporting 16 or fewer concurrent users;
h. Routers, switches or relays, where the ``information
security'' functionality is limited to the tasks of ``Operations,
Administration or Maintenance'' (``OAM'') implementing only
published or commercial cryptographic standards; or
i. General purpose computing equipment or servers, where the
``information security'' functionality meets all of the following:
i.1. Uses only published or commercial cryptographic standards;
and
i.2. Is any of the following:
i.2.a. Integral to a CPU that meets the provisions of Note 3 in
Category 5--Part 2;
i.2.b. Integral to an operating system that is not specified by
5D002; or
i.2.c. Limited to ``OAM'' of the equipment.
b. Designed or modified to enable, by means of ``cryptographic
activation,'' an item to achieve or exceed the controlled
performance levels for functionality specified by 5A002.a that would
not otherwise be enabled;
c. Designed or modified to use or perform ``quantum
cryptography;''
Technical Note: ``Quantum cryptography'' is also known as
Quantum Key Distribution (QKD).
d. Designed or modified to use cryptographic techniques to
generate channelizing codes, scrambling codes or network
identification codes, for systems using ultra-wideband modulation
techniques and having any of the following:
d.1. A bandwidth exceeding 500 MHz; or
d.2. A ``fractional bandwidth'' of 20% or more;
e. Designed or modified to use cryptographic techniques to
generate the spreading code for ``spread spectrum'' systems, not
specified by 5A002.d, including the hopping code for ``frequency
hopping'' systems.
0
39. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 5--Part 2, ECCN 5A003 is revised to read as follows:
5A003 ``Systems,'' ``equipment'' and ``components,'' for non-
cryptographic ``information security,'' 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: Yes: $500 for ``components.''
N/A for systems and equipment.
GBS: N/A
CIV: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items:
a. Communications cable systems designed or modified using
mechanical, electrical or electronic means to detect surreptitious
intrusion;
Note: 5A003.a applies only to physical layer security. For the
purpose of 5A003.a, the physical layer includes Layer 1 of the
Reference Model of Open Systems Interconnection (OSI) (ISO/IEC 7498-
1).
b. ``Specially designed'' or modified to reduce the compromising
emanations of information-bearing signals beyond what is necessary
for health, safety or electromagnetic interference standards.
0
40. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 5--Part 2, ECCN 5D002 is revised to read as follows:
5D002 ``Software'' as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, AT, EI
Country chart (see Supp. No. 1
Control(s) to part 738)
NS applies to entire entry............. NS Column 1
AT applies to entire entry............. AT Column 1
EI applies to ``software'' in Refer to Sec. 742.15 of the
5D002.a.1, a.3, .b, c.1 and c.3, for EAR
commodities or ``software'' controlled Note: Encryption software is
for EI reasons in ECCNs 5A002, 5A004 controlled because of its
or 5D002. functional capacity, and not
because of any informational
value of such software; such
software is not accorded the
same treatment under the EAR
as other ``software'; and for
export licensing purposes,
encryption software is treated
under the EAR in the same
manner as a commodity included
in ECCN 5A002
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.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
CIV: N/A
TSR: N/A
ENC: Yes for certain EI controlled software, see Sec. 740.17 of the
EAR for eligibility.
List of Items Controlled
Related Controls: After classification or self-classification in
accordance with Sec. 740.17(b) of the EAR, mass market encryption
software that meet eligibility requirements are released from ``EI''
and ``NS'' controls. This software is designated as 5D992.c.
Related Definitions: 5D002.a controls ``software'' designed or
modified to use ``cryptography'' employing digital or analog
techniques to ensure ``information security.''
Items:
a. ``Software'' ``specially designed'' or modified for the
``development,'' ``production'' or ``use'' of any of the following:
a.1. Equipment specified by 5A002 or ``software'' specified by
5D002.c.1;
a.2. Equipment specified by 5A003 or ``software'' specified by
5D002.c.2; or
a.3. Equipment specified by 5A004 or ``software'' specified by
5D002.c.3;
b. ``Software'' designed or modified to enable, by means of
``cryptographic activation,'' an item to meet the criteria for
functionality specified by 5A002.a, that would not otherwise be met;
c. ``Software'' having the characteristics of, or performing or
simulating the functions of, any of the following:
c.1. Equipment specified by 5A002.a, .c, .d or .e;
Note: 5D002.c.1 does not apply to ``software'' limited to the
tasks of ``OAM'' implementing only published or commercial
cryptographic standards.
c.2. Equipment specified by 5A003; or
[[Page 38802]]
c.3. Equipment specified by 5A004.
d. [Reserved]
N.B.: See 5D002.b for items formerly specified in 5D002.d.
0
41. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 5--Part 2, ECCN 5E002 is revised to read as follows:
5E002 ``Technology'' as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, AT, EI
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
EI applies to ``technology'' in 5E002.a Refer to Sec. 742.15 of
for commodities or ``software'' the EAR
controlled for EI reasons in ECCNs 5A002,
5A004 or 5D002, and to ``technology'' in
5E002.b.
License Requirements Notes:
(1) 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.
(2) When a person performs or provides technical assistance that
incorporates, or otherwise draws upon, ``technology'' that was
either obtained in the United States or is of US-origin, then a
release of the ``technology'' takes place. Such technical
assistance, when rendered with the intent to aid in the
``development'' or ``production'' of encryption commodities or
software that would be controlled for ``EI'' reasons under ECCN
5A002, 5A004 or 5D002, may require authorization under the EAR even
if the underlying encryption algorithm to be implemented is from the
public domain or is not of U.S.-origin.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
CIV: N/A
TSR: N/A
ENC: Yes for certain EI controlled technology, see Sec. 740.17 of
the EAR for eligibility.
List of Items Controlled
Related Controls: See also 5E992. This entry does not control
``technology'' ``required'' for the ``use'' of equipment excluded
from control under the Related Controls paragraph or the Technical
Notes in ECCN 5A002 or ``technology'' related to equipment excluded
from control under ECCN 5A002.
Related Definitions: N/A
Items:
a. ``Technology'' according to the General Technology Note for
the ``development,'' ``production'' or ``use'' of equipment
controlled by 5A002, 5A003, 5A004 or 5B002, or of ``software''
controlled by 5D002.a or 5D002.c.
b. ``Technology'' to enable, by means of ``cryptographic
activation,'' an item to meet the criteria for functionality
specified by 5A002.a, that would not otherwise be met.
Note: 5E002 includes ``information security'' technical data
resulting from procedures carried out to evaluate or determine the
implementation of functions, features or techniques specified in
Category 5--Part 2.
0
42. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 6, ECCN 6A001 is revised to read as follows:
6A001 Acoustic systems, equipment and ``components,'' as follows
(see List of Items Controlled).
License Requirements
Reason for Control: NS, AT
Country chart (see Supp.
Control(s) No. 1 to part 738)
NS applies to entire entry................ NS Column 2
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)
LVS: $3000; N/A for 6A001.a.1.b.1 object detection and location
systems having a transmitting frequency below 5 kHz or a sound
pressure level exceeding 210 dB (reference 1 [mu]Pa at 1 m) for
equipment with an operating frequency in the band from 30 kHz to 2
kHz inclusive; 6A001.a.1.e, 6A001.a.2.a.1, a.2.a.2, 6A001.a.2.a.3,
a.2.a.5, a.2.a.6, 6A001.a.2.b; processing equipment controlled by
6A001.a.2.c, and ``specially designed'' for real-time application
with towed acoustic hydrophone arrays; a.2.e.1, a.2.e.2; and bottom
or bay cable systems controlled by 6A001.a.2.f and having processing
equipment ``specially designed'' for real-time application with
bottom or bay cable systems.
GBS: Yes for 6A001.a.1.b.4.
CIV: Yes for 6A001.a.1.b.4.
Special Conditions for STA
STA: License Exception STA may not be used to ship commodities in
6A001.a.1.b, 6A001.a.1.e or 6A001.a.2 (except .a.2.a.4) 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: See also 6A991
Related Definitions: N/A
Items:
a. Marine acoustic systems, equipment and ``specially designed''
``components'' therefor, as follows:
a.1. Active (transmitting or transmitting-and-receiving)
systems, equipment and ``specially designed'' ``components''
therefor, as follows:
Note: 6A001.a.1 does not control equipment as follows:
a. Depth sounders operating vertically below the apparatus, not
including a scanning function exceeding 20[deg], and
limited to measuring the depth of water, the distance of submerged
or buried objects or fish finding;
b. Acoustic beacons, as follows:
1. Acoustic emergency beacons;
2. Pingers ``specially designed'' for relocating or returning to
an underwater position.
a.1.a. Acoustic seabed survey equipment as follows:
a.1.a.1. Surface vessel survey equipment designed for sea bed
topographic mapping and having all of the following:
a.1.a.1.a. Designed to take measurements at an angle exceeding
20[deg] from the vertical;
a.1.a.1.b. Designed to measure seabed topography at seabed
depths exceeding 600 m;
a.1.a.1.c.`Sounding resolution' less than 2; and
a.1.a.1.d. `Enhancement' of the depth ``accuracy'' through
compensation for all the following:
a.1.a.1.d.1. Motion of the acoustic sensor;
a.1.a.1.d.2. In-water propagation from sensor to the seabed and
back; and
a.1.a.1.d.3. Sound speed at the sensor;
Technical Notes:
1. `Sounding resolution' is the swath width (degrees) divided by
the maximum number of soundings per swath.
2. `Enhancement' includes the ability to compensate by external
means.
a.1.a.2. Underwater survey equipment designed for seabed
topographic mapping and having any of the following:
Technical Note: The acoustic sensor pressure rating determines
the depth rating of the equipment specified by 6A001.a.1.a.2.
a.1.a.2.a. Having all of the following:
a.1.a.2.a.1. Designed or modified to operate at depths exceeding
300 m; and
a.1.a.2.a.2. `Sounding rate' greater than 3,800 m/s; or
Technical Note: `Sounding rate' is the product of the maximum
speed (m/s) at which the sensor can operate and the maximum number
of soundings per swath assuming 100% coverage. For systems that
produce soundings in two directions (3D sonars), the maximum of the
`sounding rate' in either direction should be used.
a.1.a.2.b. Survey equipment, not specified by 6A001.a.1.a.2.a,
having all of the following:
a.1.a.2.b.1. Designed or modified to operate at depths exceeding
100 m;
a.1.a.2.b.2. Designed to take measurements at an angle exceeding
20[deg] from the vertical;
[[Page 38803]]
a.1.a.2.b.3. Having any of the following:
a.1.a.2.b.3.a. Operating frequency below 350 kHz; or
a.1.a.2.b.3.b. Designed to measure seabed topography at a range
exceeding 200 m from the acoustic sensor; and
a.1.a.2.b.4. `Enhancement' of the depth ``accuracy'' through
compensation of all of the following:
a.1.a.2.b.4.a. Motion of the acoustic sensor;
a.1.a.2.b.4.b. In-water propagation from sensor to the seabed
and back; and
a.1.a.2.b.4.c. Sound speed at the sensor.
a.1.a.3. Side Scan Sonar (SSS) or Synthetic Aperture Sonar
(SAS), designed for seabed imaging and having all of the following,
and specially designed transmitting and receiving acoustic arrays
therefor:
a.1.a.3.a. Designed or modified to operate at depths exceeding
500 m; and
a.1.a.3.b. An `area coverage rate' of greater than 570 m\2\/s
while operating at the maximum range that it can operate with an
`along track resolution' of less than 15 cm; and
a.1.a.3.c. An `across track resolution' of less than 15 cm;
Technical Notes:
1. `Area coverage rate' (m\2\/s) is twice the product of the
sonar range (m) and the maximum speed (m/s) at which the sensor can
operate at that range.
2. `Along track resolution' (cm), for SSS only, is the product
of azimuth (horizontal) beamwidth (degrees) and sonar range (m) and
0.873.
3. `Across track resolution' (cm) is 75 divided by the signal
bandwidth (kHz).
a.1.b Systems or transmitting and receiving arrays, designed for
object detection or location, having any of the following:
a.1.b.1. A transmitting frequency below 10 kHz;
a.1.b.2. Sound pressure level exceeding 224dB (reference 1
[micro]Pa at 1 m) for equipment with an operating frequency in the
band from 10 kHz to 24 kHz inclusive;
a.1.b.3. Sound pressure level exceeding 235 dB (reference 1
[micro]Pa at 1 m) for equipment with an operating frequency in the
band between 24 kHz and 30 kHz;
a.1.b.4. Forming beams of less than 1[deg] on any axis and
having an operating frequency of less than 100 kHz;
a.1.b.5. Designed to operate with an unambiguous display range
exceeding 5,120 m; or
a.1.b.6. Designed to withstand pressure during normal operation
at depths exceeding 1,000 m and having transducers with any of the
following:
a.1.b.6.a. Dynamic compensation for pressure; or
a.1.b.6.b. Incorporating other than lead zirconate titanate as
the transduction element;
a.1.c. Acoustic projectors, including transducers, incorporating
piezoelectric, magnetostrictive, electrostrictive, electrodynamic or
hydraulic elements operating individually or in a designed
combination and having any of the following:
Notes:
1. The control status of acoustic projectors, including
transducers, ``specially designed'' for other equipment is
determined by the control status of the other equipment.
2. 6A001.a.1.c does not control electronic sources that direct
the sound vertically only, or mechanical (e.g., air gun or vapor-
shock gun) or chemical (e.g., explosive) sources.
3. Piezoelectric elements specified in 6A001.a.1.c include those
made from lead-magnesium-niobate/lead-titanate
(Pb(Mg1/3Nb2/3)O3-
PbTiO3, or PMN-PT) single crystals grown from solid
solution or lead-indium-niobate/lead-magnesium niobate/lead-titanate
(Pb(In1/2Nb1/2)O3-
Pb(Mg1/3Nb2/3)O3-PbTiO3,
or PIN-PMN-PT) single crystals grown from solid solution.
a.1.c.1. Operating at frequencies below 10 kHz and having any of
the following:
a.1.c.1.a. Not designed for continuous operation at 100% duty
cycle and having a radiated `free-field Source Level (SLRMS)'
exceeding (10log(f) + 169.77)dB (reference 1 [mu]Pa at 1 m) where f
is the frequency in Hertz of maximum Transmitting Voltage Response
(TVR) below 10 kHz; or
a.1.c.1.b. Designed for continuous operation at 100% duty cycle
and having a continuously radiated `free-field Source Level (SLRMS)'
at 100% duty cycle exceeding (10log(f) + 159.77)dB (reference 1
[mu]Pa at 1 m) where f is the frequency in Hertz of maximum
Transmitting Voltage Response (TVR) below 10 kHz; or
Technical Note: The `free-field Source Level (SLRMS)'
is defined along the maximum response axis and in the far field of
the acoustic projector. It can be obtained from the Transmitting
Voltage Response using the following equation: SLRMS =
(TVR + 20log VRMS) dB (ref 1[mu]Pa at 1 m), where
SLRMS is the source level, TVR is the Transmitting
Voltage Response and VRMS is the Driving Voltage of the
Projector.
a.1.c.2. [Reserved]
N.B. See 6A001.a.1.c.1 for items previously specified in
6A001.a.1.c.2.
a.1.c.3. Side-lobe suppression exceeding 22 dB;
a.1.d. Acoustic systems and equipment, designed to determine the
position of surface vessels or underwater vehicles and having all of
the following, and ``specially designed'' ``components'' therefor:
a.1.d.1. Detection range exceeding 1,000 m; and
a.1.d.2. Determined position error of less than 10 m rms (root
mean square) when measured at a range of 1,000 m;
Note: 6A001.a.1.d includes:
a. Equipment using coherent ``signal processing'' between two or
more beacons and the hydrophone unit carried by the surface vessel
or underwater vehicle;
b. Equipment capable of automatically correcting speed-of-sound
propagation errors for calculation of a point.
a.1.e. Active individual sonars, ``specially designed'' or
modified to detect, locate and automatically classify swimmers or
divers, having all of the following, and ``specially designed''
transmitting and receiving acoustic arrays therefor:
a.1.e.1. Detection range exceeding 530 m;
a.1.e.2. Determined position error of less than 15 m rms (root
mean square) when measured at a range of 530 m; and
a.1.e.3. Transmitted pulse signal bandwidth exceeding 3 kHz;
N.B.: For diver detection systems ``specially designed'' or
modified for military use, see the U.S. Munitions List in the
International Traffic in Arms Regulations (ITAR) (22 CFR part 121).
Note: For 6A001.a.1.e, where multiple detection ranges are
specified for various environments, the greatest detection range is
used.
a.2. Passive systems, equipment and ``specially designed''
``components'' therefor, as follows:
a.2.a. Hydrophones having any of the following:
Note: The control status of hydrophones ``specially designed''
for other equipment is determined by the control status of the other
equipment.
Technical Note: Hydrophones consist of one or more sensing
elements producing a single acoustic output channel. Those that
contain multiple elements can be referred to as a hydrophone group.
a.2.a.1. Incorporating continuous flexible sensing elements;
a.2.a.2. Incorporating flexible assemblies of discrete sensing
elements with either a diameter or length less than 20 mm and with a
separation between elements of less than 20 mm;
a.2.a.3. Having any of the following sensing elements:
a.2.a.3.a. Optical fibers;
a.2.a.3.b. `Piezoelectric polymer films' other than
polyvinylidene-fluoride (PVDF) and its co-polymers {P(VDF-TrFE) and
P(VDF-TFE){time} ;
a.2.a.3.c. `Flexible piezoelectric composites';
a.2.a.3.d. Lead-magnesium- niobate/lead-titanate (i.e.,
Pb(Mg1/3Nb2/3)O3-PbTiO3,
or PMN-PT) piezoelectric single crystals grown from solid solution;
or
a.2.a.3.e. Lead-indium-niobate/lead-magnesium niobate/lead-
titanate (i.e., Pb(In1/2Nb1/2)O3-
Pb(Mg1/3Nb2/3)O3-PbTiO3,
or PIN-PMN-PT) piezoelectric single crystals grown from solid
solution;
a.2.a.4. A `hydrophone sensitivity' better than -180dB at any
depth with no acceleration compensation;
a.2.a.5. Designed to operate at depths exceeding 35 m with
acceleration compensation; or
a.2.a.6. Designed for operation at depths exceeding 1,000 m;
Technical Notes:
1. `Piezoelectric polymer film' sensing elements consist of
polarized polymer film that is stretched over and attached to a
supporting frame or spool (mandrel).
2. `Flexible piezoelectric composite' sensing elements consist
of piezoelectric ceramic particles or fibers combined with an
electrically insulating, acoustically transparent rubber, polymer or
epoxy compound, where the compound is an integral part of the
sensing elements.
3. `Hydrophone sensitivity' is defined as twenty times the
logarithm to the base 10 of the ratio of rms output voltage to a 1 V
rms
[[Page 38804]]
reference, when the hydrophone sensor, without a pre-amplifier, is
placed in a plane wave acoustic field with an rms pressure of 1
[mu]Pa. For example, a hydrophone of -160 dB (reference 1 V per
[mu]Pa) would yield an output voltage of 10-8 V in such a
field, while one of -180 dB sensitivity would yield only
10-9 V output. Thus, -160 dB is better than -180 dB.
a.2.b. Towed acoustic hydrophone arrays having any of the
following:
Technical Note: Hydrophones arrays consist of a number of
hydrophones providing multiple acoustic output channels.
a.2.b.1. Hydrophone group spacing of less than 12.5 m or `able
to be modified' to have hydrophone group spacing of less than 12.5
m;
a.2.b.2. Designed or `able to be modified' to operate at depths
exceeding 35m;
Technical Note: `Able to be modified' in 6A001.a.2.b means
having provisions to allow a change of the wiring or
interconnections to alter hydrophone group spacing or operating
depth limits. These provisions are: Spare wiring exceeding 10% of
the number of wires, hydrophone group spacing adjustment blocks or
internal depth limiting devices that are adjustable or that control
more than one hydrophone group.
a.2.b.3. Heading sensors controlled by 6A001.a.2.d;
a.2.b.4. Longitudinally reinforced array hoses;
a.2.b.5. An assembled array of less than 40 mm in diameter;
a.2.b.6. [Reserved];
a.2.b.7. Hydrophone characteristics controlled by 6A001.a.2.a;
or
a.2.b.8. Accelerometer-based hydro-acoustic sensors specified by
6A001.a.2.g;
a.2.c. Processing equipment, ``specially designed'' for towed
acoustic hydrophone arrays, having ``user-accessible
programmability'' and time or frequency domain processing and
correlation, including spectral analysis, digital filtering and
beamforming using Fast Fourier or other transforms or processes;
a.2.d. Heading sensors having all of the following:
a.2.d.1. An ``accuracy'' of better than 0.5[deg];
and
a.2.d.2. Designed to operate at depths exceeding 35 m or having
an adjustable or removable depth sensing device in order to operate
at depths exceeding 35 m;
N.B.: For inertial heading systems, see 7A003.c.
a.2.e. Bottom or bay-cable hydrophone arrays having any of the
following:
a.2.e.1. Incorporating hydrophones controlled by 6A001.a.2.a;
a.2.e.2. Incorporating multiplexed hydrophone group signal
modules having all of the following characteristics:
a.2.e.2.a. Designed to operate at depths exceeding 35 m or
having an adjustable or removal depth sensing device in order to
operate at depths exceeding 35 m; and
a.2.e.2.b. Capable of being operationally interchanged with
towed acoustic hydrophone array modules; or
a.2.e.3. Incorporating accelerometer-based hydro-acoustic
sensors specified by 6A001.a.2.g;
a.2.f. Processing equipment, ``specially designed'' for bottom
or bay cable systems, having ``user-accessible programmability'' and
time or frequency domain processing and correlation, including
spectral analysis, digital filtering and beamforming using Fast
Fourier or other transforms or processes;
a.2.g. Accelerometer-based hydro-acoustic sensors having all of
the following:
a.2.g.1. Composed of three accelerometers arranged along three
distinct axes;
a.2.g.2. Having an overall `acceleration sensitivity' better
than 48 dB (reference 1,000 mV rms per 1g);
a.2.g.3. Designed to operate at depths greater than 35 meters;
and
a.2.g.4. Operating frequency below 20 kHz;
Note: 6A001.a.2.g does not apply to particle velocity sensors or
geophones.
Note: 6A001.a.2 also applies to receiving equipment, whether or
not related in normal application to separate active equipment, and
``specially designed'' ``components'' therefor.
Technical Notes:
1. Accelerometer-based hydro-acoustic sensors are also known as
vector sensors.
2. `Acceleration sensitivity' is defined as twenty times the
logarithm to the base 10 of the ratio of rms output voltage to a 1 V
rms reference, when the hydro-acoustic sensor, without a
preamplifier, is placed in a plane wave acoustic field with an rms
acceleration of 1 g (i.e., 9.81 m/s\2\).
b. Correlation-velocity and Doppler-velocity sonar log equipment
designed to measure the horizontal speed of the equipment carrier
relative to the sea bed, as follows:
b.1. Correlation-velocity sonar log equipment having any of the
following characteristics:
b.1.a. Designed to operate at distances between the carrier and
the sea bed exceeding 500 m; or
b.1.b. Having speed ``accuracy'' better than 1% of speed;
b.2. Doppler-velocity sonar log equipment having speed
``accuracy'' better than 1% of speed;
Note 1: 6A001.b does not apply to depth sounders limited to any
of the following:
a. Measuring the depth of water;
b. Measuring the distance of submerged or buried objects; or
c. Fish finding.
Note 2: 6A001.b does not apply to equipment ``specially
designed'' for installation on surface vessels.
c. [Reserved]
N.B.: For diver deterrent acoustic systems, see 8A002.r.
0
43. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 6, ECCN 6A003 is revised to read as follows:
6A003 Cameras, systems or equipment, and ``components'' therefor, as
follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, NP, RS, AT, UN
Country chart (See Supp. No. 1
Control(s) to part 738)
NS applies to entire entry............. NS Column 2
NP applies to cameras controlled by NP Column 1
6A003.a.2, a.3 or a.4 and to plug-ins
in 6A003.a.6 for cameras controlled by
6A003.a.3 or a.4.
RS applies to 6A003.b.3, 6A003.b.4.a, RS Column 1
6A003.b.4.c and to items controlled in
6A003.b.4.b that have a frame rate
greater than 60 Hz or that incorporate
a focal plane array with more than
111,000 elements, or to items in
6A003.b.4.b when being exported or
reexported to be embedded in a civil
product. (But see Sec.
742.6(a)(2)(iii) and (v) for certain
exemptions).
RS applies to items controlled in RS Column 2
6A003.b.4.b that have a frame rate of
60 Hz or less and that incorporate a
focal plane array with not more than
111,000 elements if not being exported
or reexported to be embedded in a
civil product.
AT applies to entire entry............. AT Column 1
UN applies to 6A003.b.3 and b.4........ See Sec. 746.1(b) for UN
controls.
License Requirement Note: Commodities that are not subject to
the ITAR but are of the type described in USML Category XII(c) are
controlled as cameras in ECCN 6A003 when they incorporate a camera
controlled in this ECCN.
Reporting Requirements
See Sec. 743.3 of the EAR for thermal camera reporting for exports
that are not
[[Page 38805]]
authorized by an individually validated license of thermal imaging
cameras controlled by ECCN 6A003.b.4.b to destinations in Country
Group A:1 (see Supplement No. 1 to part 740), must be reported to
BIS.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $1500, except N/A for 6A003.a.2 through a.6, b.1, b.3 and b.4
GBS: Yes for 6A003.a.1
CIV: Yes for 6A003.a.1
Special Conditions for STA
STA: License Exception STA may not be used to ship any commodity in
6A003.b.3 or b.4 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) See ECCNs 6E001 (``development''), 6E002
(``production''), and 6E201 (``use'') for technology for items
controlled under this entry. (2) Also see ECCN 6A203. (3) See ECCN
0A919 for foreign made military commodities that incorporate cameras
described in 6A003. (4) Section 744.9 imposes a license requirement
on cameras described in 6A003 if being exported, reexported, or
transferred (in-country) for use by a military end-user or for
incorporation into a commodity controlled by ECCN 0A919. (5) See
USML Category XII(c) and (e) for cameras subject to the ITAR.
Related Definitions: N/A
Items:
a. Instrumentation cameras and ``specially designed''
``components'' therefor, as follows:
Note: Instrumentation cameras, controlled by 6A003.a.3 to
6A003.a.5, with modular structures should be evaluated by their
maximum capability, using plug-ins available according to the camera
manufacturer's specifications.
a.1. High-speed cinema recording cameras using any film format
from 8 mm to 16 mm inclusive, in which the film is continuously
advanced throughout the recording period, and that are capable of
recording at framing rates exceeding 13,150 frames/s;
Note: 6A003.a.1 does not control cinema recording cameras
designed for civil purposes.
a.2. Mechanical high speed cameras, in which the film does not
move, capable of recording at rates exceeding 1,000,000 frames/s for
the full framing height of 35 mm film, or at proportionately higher
rates for lesser frame heights, or at proportionately lower rates
for greater frame heights;
a.3. Mechanical or electronic streak cameras as follows:
a.3.a. Mechanical streak cameras having writing speeds exceeding
10 mm/[micro]s;
a.3.b. Electronic streak cameras having temporal resolution
better than 50 ns;
a.4. Electronic framing cameras having a speed exceeding
1,000,000 frames/s;
a.5. Electronic cameras having all of the following:
a.5.a. An electronic shutter speed (gating capability) of less
than 1[mu]s per full frame; and
a.5.b. A read out time allowing a framing rate of more than 125
full frames per second;
a.6. Plug-ins having all of the following characteristics:
a.6.a. ``Specially designed'' for instrumentation cameras which
have modular structures and that are controlled by 6A003.a; and
a.6.b. Enabling these cameras to meet the characteristics
specified by 6A003.a.3, 6A003.a.4 or 6A003.a.5, according to the
manufacturer's specifications;
b. Imaging cameras as follows:
Note: 6A003.b does not control television or video cameras
``specially designed'' for television broadcasting.
b.1. Video cameras incorporating solid state sensors, having a
peak response in the wavelength range exceeding 10 nm, but not
exceeding 30,000 nm and having all of the following:
b.1.a. Having any of the following:
b.1.a.1. More than 4 x 10\6\ ``active pixels'' per solid state
array for monochrome (black and white) cameras;
b.1.a.2. More than 4 x 10\6\ ``active pixels'' per solid state
array for color cameras incorporating three solid state arrays; or
b.1.a.3. More than 12 x 10\6\ ``active pixels'' for solid state
array color cameras incorporating one solid state array; and
b.1.b. Having any of the following:
b.1.b.1. Optical mirrors controlled by 6A004.a.;
b.1.b.2. Optical control equipment controlled by 6A004.d.; or
b.1.b.3. The capability for annotating internally generated
`camera tracking data';
Technical Notes:
1. For the purposes of this entry, digital video cameras should
be evaluated by the maximum number of ``active pixels'' used for
capturing moving images.
2. For the purpose of this entry, `camera tracking data' is the
information necessary to define camera line of sight orientation
with respect to the earth. This includes: (1) The horizontal angle
the camera line of sight makes with respect to the earth's magnetic
field direction and; (2) the vertical angle between the camera line
of sight and the earth's horizon.
b.2. Scanning cameras and scanning camera systems, having all of
the following:
b.2.a. A peak response in the wavelength range exceeding 10 nm,
but not exceeding 30,000 nm;
b.2.b. Linear detector arrays with more than 8,192 elements per
array; and
b.2.c. Mechanical scanning in one direction;
Note: 6A003.b.2 does not apply to scanning cameras and scanning
camera systems, ``specially designed'' for any of the following:
a. Industrial or civilian photocopiers;
b. Image scanners ``specially designed'' for civil, stationary,
close proximity scanning applications (e.g., reproduction of images
or print contained in documents, artwork or photographs); or
c. Medical equipment.
b.3. Imaging cameras incorporating image intensifier tubes
having the characteristics listed in 6A002.a.2.a or 6A002.a.2.b;
b.4. Imaging cameras incorporating ``focal plane arrays'' having
any of the following:
b.4.a. Incorporating ``focal plane arrays'' controlled by
6A002.a.3.a to 6A002.a.3.e;
b.4.b. Incorporating ``focal plane arrays'' controlled by
6A002.a.3.f; or
b.4.c. Incorporating ``focal plane arrays'' controlled by
6A002.a.3.g;
Note 1: Imaging cameras described in 6A003.b.4 include ``focal
plane arrays'' combined with sufficient ``signal processing''
electronics, beyond the read out integrated circuit, to enable as a
minimum the output of an analog or digital signal once power is
supplied.
Note 2: 6A003.b.4.a does not control imaging cameras
incorporating linear ``focal plane arrays'' with 12 elements or
fewer, not employing time-delay-and-integration within the element
and designed for any of the following:
a. Industrial or civilian intrusion alarm, traffic or industrial
movement control or counting systems;
b. Industrial equipment used for inspection or monitoring of
heat flows in buildings, equipment or industrial processes;
c. Industrial equipment used for inspection, sorting or analysis
of the properties of materials;
d. Equipment ``specially designed'' for laboratory use; or
e. Medical equipment.
Note 3: 6A003.b.4.b does not control imaging cameras having any
of the following:
a. A maximum frame rate equal to or less than 9 Hz;
b. Having all of the following:
1. Having a minimum horizontal or vertical `Instantaneous-Field-
of-View (IFOV)' of at least 10 mrad (milliradians);
2. Incorporating a fixed focal-length lens that is not designed
to be removed;
3. Not incorporating a `direct view' display; and
Technical Note: `Direct view' refers to an imaging camera
operating in the infrared spectrum that presents a visual image to a
human observer using a near-to-eye micro display incorporating any
light-security mechanism.
4. Having any of the following:
a. No facility to obtain a viewable image of the detected field-
of-view; or
b. The camera is designed for a single kind of application and
designed not to be user modified; or
Technical Note:
`Instantaneous Field of View (IFOV)' specified in Note 3.b is
the lesser figure of the `Horizontal FOV' or the `Vertical FOV'.
`Horizontal IFOV' = horizontal Field of View (FOV)/number of
horizontal detector elements
`Vertical IFOV'= vertical Field of View (FOV)/number of vertical
detector elements.
c. The camera is ``specially designed'' for installation into a
civilian passenger land vehicle and having all of the following:
[[Page 38806]]
1. The placement and configuration of the camera within the
vehicle are solely to assist the driver in the safe operation of the
vehicle;
2. Is operable only when installed in any of the following:
a. The civilian passenger land vehicle for which it was intended
and the vehicle weighs less than 4,500 kg (gross vehicle weight); or
b. A ``specially designed'', authorized maintenance test
facility; and
3. Incorporates an active mechanism that forces the camera not
to function when it is removed from the vehicle for which it was
intended.
Note: When necessary, details of the items will be provided,
upon request, to the Bureau of Industry and Security in order to
ascertain compliance with the conditions described in Note 3.b.4 and
Note 3.c in this Note to 6A003.b.4.b.
Note 4: 6A003.b.4.c does not apply to `imaging cameras' having
any of the following characteristics:
a. Having all of the following:
1. Where the camera is ``specially designed'' for installation
as an integrated component into indoor and wall-plug-operated
systems or equipment, limited by design for a single kind of
application, as follows:
a. Industrial process monitoring, quality control, or analysis
of the properties of materials;
b. Laboratory equipment ``specially designed'' for scientific
research;
c. Medical equipment;
d. Financial fraud detection equipment; and
2. Is only operable when installed in any of the following:
a. The system(s) or equipment for which it was intended; or
b. A ``specially designed,'' authorized maintenance facility;
and
3. Incorporates an active mechanism that forces the camera not
to function when it is removed from the system(s) or equipment for
which it was intended;
b. Where the camera is ``specially designed'' for installation
into a civilian passenger land vehicle or passenger and vehicle
ferries and having all of the following:
1. The placement and configuration of the camera within the
vehicle or ferry are solely to assist the driver or operator in the
safe operation of the vehicle or ferry;
2. Is only operable when installed in any of the following:
a. The civilian passenger land vehicle for which it was intended
and the vehicle weighs less than 4,500 kg (gross vehicle weight);
b. The passenger and vehicle ferry for which it was intended and
having a length overall (LOA) 65 m or greater; or
c. A ``specially designed'', authorized maintenance test
facility; and
3. Incorporates an active mechanism that forces the camera not
to function when it is removed from the vehicle for which it was
intended;
c. Limited by design to have a maximum ``radiant sensitivity''
of 10 mA/W or less for wavelengths exceeding 760 nm, having all of
the following:
1. Incorporating a response limiting mechanism designed not to
be removed or modified; and
2. Incorporates an active mechanism that forces the camera not
to function when the response limiting mechanism is removed; and
3. Not ``specially designed'' or modified for underwater use; or
d. Having all of the following:
1. Not incorporating a `direct view' or electronic image
display;
2. Has no facility to output a viewable image of the detected
field of view;
3. The ``focal plane array'' is only operable when installed in
the camera for which it was intended; and
4. The ``focal plane array'' incorporates an active mechanism
that forces it to be permanently inoperable when removed from the
camera for which it was intended.
Note: When necessary, details of the item will be provided,
upon request, to the Bureau of Industry and Security in order to
ascertain compliance with the conditions described in Note 4 above.
b.5. Imaging cameras incorporating solid-state detectors
specified by 6A002.a.1.
0
44. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 6, ECCN 6A005 is revised to read as follows:
6A005 ``Lasers,'' ``components'' and optical equipment, as follows
(see List of Items Controlled), excluding items that are subject to
the export licensing authority of the Nuclear Regulatory Commission
(see 10 CFR part 110).
License Requirements
Reason for Control: NS, NP, AT
Country chart (See Supp.
Control(s) No. 1 to part 738)
NS applies to entire entry................ NS Column 2
NP applies to lasers controlled by NP Column 1
6A005.a.2, a.3, a.4, b.2.b, b.3, b.4,
b.6.c, c.1.b, c.2.b, d.2, d.3.c, or d.4.c
that meet or exceed the technical
parameters described in 6A205.
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 for NP items; $3,000 for all other item
GBS: Neodymium-doped (other than glass) ``lasers'' controlled by
6A005.b.6.d.2 (except 6A005.b.6.d.2.b) that have an output
wavelength exceeding 1,000 nm, but not exceeding 1,100 nm, and an
average or CW output power not exceeding 2kW, and operate in a
pulse-excited, non- ``Q-switched'' multiple-transverse mode, or in a
continuously excited, multiple-transverse mode; Dye and Liquid
Lasers controlled by 6A005.c.1, c.2 and c.3, except for a pulsed
single longitudinal mode oscillator having an average output power
exceeding 1 W and a repetition rate exceeding 1 kHz if the ``pulse
duration'' is less than 100 ns; CO ``lasers'' controlled by
6A005.d.2 having a CW maximum rated single or multimode output power
not exceeding 10 kW; CO2 or CO/CO2 ``lasers''
controlled by 6A005.d.3 having an output wavelength in the range
from 9,000 to 11,000 nm and having a pulsed output not exceeding 2 J
per pulse and a maximum rated average single or multimode output
power not exceeding 5 kW; CO2 ``lasers'' controlled by
6A005.d.3 that operate in CW multiple-transverse mode, and having a
CW output power not exceeding 15kW; and 6A005.f.1.
CIV: Neodymium-doped (other than glass) ``lasers'' controlled by
6A005.b.6.d.2 (except 6A005.b.6.d.2.b) that have an output
wavelength exceeding 1,000 nm, but not exceeding 1,100 nm, and an
average or CW output power not exceeding 2kW, and operate in a
pulse-excited, non- ``Q-switched'' multiple-transverse mode, or in a
continuously excited, multiple-transverse mode; Dye and Liquid
Lasers controlled by 6A005.c.1, c.2 and c.3, except for a pulsed
single longitudinal mode oscillator having an average output power
exceeding 1 W and a repetition rate exceeding 1 kHz if the ``pulse
duration'' is less than 100 ns; CO ``lasers'' controlled by
6A005.d.2 having a CW maximum rated single or multimode output power
not exceeding 10 kW; CO2 or CO/CO2 ``lasers''
controlled by 6A005.d.3 having an output wavelength in the range
from 9,000 to 11,000 nm and having a pulsed output not exceeding 2 J
per pulse and a maximum rated average single or multimode output
power not exceeding 5 kW; CO2 ``lasers'' controlled by
6A005.d.3 that operate in CW multiple-transverse mode, and having a
CW output power not exceeding 15kW; and 6A005.f.1.
List of Items Controlled
Related Controls: (1) See ECCN 6D001 for ``software'' for items
controlled under this entry. (2) See ECCNs 6E001 (``development''),
6E002 (``production''), and 6E201 (``use'') for technology for items
controlled under this entry. (3) Also see ECCNs 6A205 and 6A995. (4)
See ECCN 3B001 for excimer ``lasers'' ``specially designed'' for
lithography equipment. (5) ``Lasers'' ``specially designed'' or
prepared for use in isotope separation are subject to the export
licensing authority of the Nuclear Regulatory Commission (see 10 CFR
part 110). (6) See USML Category XII(b) and (e) for laser systems or
lasers subject to the ITAR. (7) See USML Category XVIII for certain
laser-based directed energy weapon systems, equipment, and
components subject to the ITAR.
Related Definitions: (1) `Wall-plug efficiency' is defined as the
ratio of ``laser'' output power (or ``average output power'') to
total electrical input power required to operate
[[Page 38807]]
the ``laser'', including the power supply/conditioning and thermal
conditioning/heat exchanger, see 6A005.a.6.b.1 and 6A005.b.6; (2)
`Non-repetitive pulsed' refers to ``lasers'' that produce either a
single output pulse or that have a time interval between pulses
exceeding one minute, see Note 2 of 6A005 and 6A005.d.6.
Items:
Note:
1. Pulsed ``lasers'' include those that run in a continuous wave
(CW) mode with pulses superimposed.
2. Excimer, semiconductor, chemical, CO, CO2, and
`non-repetitive pulsed' Nd:glass ``lasers'' are only specified by
6A005.d.
Technical Note: `Non-repetitive pulsed' refers to ``lasers''
that produce either a single output pulse or that have a time
interval between pulses exceeding one minute.
3. 6A005 includes fiber ``lasers''.
4. The control status of ``lasers'' incorporating frequency
conversion (i.e., wavelength change) by means other than one
``laser'' pumping another ``laser'' is determined by applying the
control parameters for both the output of the source ``laser'' and
the frequency-converted optical output.
5. 6A005 does not control ``lasers'' as follows:
a. Ruby with output energy below 20 J;
b. Nitrogen;
c. Krypton.
a. Non-``tunable'' continuous wave ``(CW) lasers'' having any of
the following:
a.1. Output wavelength less than 150 nm and output power
exceeding 1W;
a.2. Output wavelength of 150 nm or more but not exceeding 510
nm and output power exceeding 30 W;
Note: 6A005.a.2 does not control Argon ``lasers'' having an
output power equal to or less than 50 W.
a.3. Output wavelength exceeding 510 nm but not exceeding 540 nm
and any of the following:
a.3.a. Single transverse mode output and output power exceeding
50 W; or
a.3.b. Multiple transverse mode output and output power
exceeding 150 W;
a.4. Output wavelength exceeding 540 nm but not exceeding 800 nm
and output power exceeding 30 W;
a.5. Output wavelength exceeding 800 nm but not exceeding 975 nm
and any of the following:
a.5.a. Single transverse mode output and output power exceeding
50 W; or
a.5.b. Multiple transverse mode output and output power
exceeding 80 W;
a.6. Output wavelength exceeding 975 nm but not exceeding 1,150
nm and any of the following;
a.6.a. Single transverse mode output and output power exceeding
500 W; or
a.6.b. Multiple transverse mode output and any of the following:
a.6.b.1. `Wall-plug efficiency' exceeding 18% and output power
exceeding 500 W; or
a.6.b.2. Output power exceeding 2 kW;
Note 1: 6A005.a.6.b does not control multiple transverse mode,
industrial ``lasers'' with output power exceeding 2kW and not
exceeding 6 kW with a total mass greater than 1,200 kg. For the
purpose of this note, total mass includes all ``components''
required to operate the ``laser,'' e.g., ``laser,'' power supply,
heat exchanger, but excludes external optics for beam conditioning
and/or delivery.
Note 2: 6A005.a.6.b does not apply to multiple transverse mode,
industrial ``lasers'' having any of the following:
a. Output power exceeding 500 W but not exceeding 1 kW and
having all of the following:
1. Beam Parameter Product (BPP) exceeding 0.7 mmmrad;
and
2. `Brightness' not exceeding 1024 W/(mmmrad)\2\;
b. Output power exceeding 1 kW but not exceeding 1.6 kW and
having a BPP exceeding 1.25 mmmrad;
c. Output power exceeding 1.6 kW but not exceeding 2.5 kW and
having a BPP exceeding 1.7 mmmrad;
d. Output power exceeding 2.5 kW but not exceeding 3.3 kW and
having a BPP exceeding 2.5 mmmrad;
e. Output power exceeding 3.3 kW but not exceeding 4 kW and
having a BPP exceeding 3.5 mmmrad;
f. Output power exceeding 4 kW but not exceeding 5 kW and having
a BPP exceeding 5 mmmrad;
g. Output power exceeding 5 kW but not exceeding 6 kW and having
a BPP exceeding 7.2 mmmrad;
h. Output power exceeding 6 kW but not exceeding 8 kW and having
a BPP exceeding 12 mmmrad; or
i. Output power exceeding 8 kW but not exceeding 10 kW and
having a BPP exceeding 24 mmmrad;
Technical Note: For the purpose of 6A005.a.6.b, Note 2 (a)(2),
`brightness' is defined as the output power of the ``laser'' divided
by the squared Beam Parameter Product (BPP), i.e., (output power)/
BPP\2\.
a.7. Output wavelength exceeding 1,150 nm but not exceeding
1,555 nm and any of the following:
a.7.a. Single transverse mode and output power exceeding 50 W;
or
a.7.b. Multiple transverse mode and output power exceeding 80 W;
a.8. Output wavelength exceeding 1,555 nm but not exceeding
1,850 nm and output power exceeding 1 W;
a.9. Output wavelength exceeding 1,850 nm but not exceeding
2,100 nm, and any of the following:
a.9.a. Single transverse mode and output power exceeding 1 W; or
a.9. b. Multiple transverse mode output and output power
exceeding 120 W; or
a.10. Output wavelength exceeding 2,100 nm and output power
exceeding 1 W;
b. Non-``tunable'' ``pulsed lasers'' having any of the
following:
b.1. Output wavelength less than 150 nm and any of the
following:
b.1.a. Output energy exceeding 50 mJ per pulse and ``peak
power'' exceeding 1 W; or
b.1.b. ``Average output power'' exceeding 1 W;
b.2. Output wavelength of 150 nm or more but not exceeding 510
nm and any of the following:
b.2.a. Output energy exceeding 1.5 J per pulse and ``peak
power'' exceeding 30 W; or
b.2.b. ``Average output power'' exceeding 30 W;
Note: 6A005.b.2.b does not control Argon ``lasers'' having an
``average output power'' equal to or less than 50 W.
b.3. Output wavelength exceeding 510 nm, but not exceeding 540
nm and any of the following:
b.3.a. Single transverse mode output and any of the following:
b.3.a.1. Output energy exceeding 1.5 J per pulse and ``peak
power'' exceeding 50 W; or
b.3.a.2. ``Average output power'' exceeding 50 W; or
b.3.b. Multiple transverse mode output and any of the following:
b.3.b.1. Output energy exceeding 1.5 J per pulse and ``peak
power'' exceeding 150 W; or
b.3.b.2. ``Average output power'' exceeding 150 W;
b.4. Output wavelength exceeding 540 nm but not exceeding 800 nm
and any of the following:
b.4.a. ``Pulse duration'' less than 1 ps and any of the
following:
b.4.a.1. Output energy exceeding 0.005 J per pulse and ``peak
power'' exceeding 5 GW; or
b.4.a.2. ``Average output power'' exceeding 20 W; or
b.4.b. ``Pulse duration'' equal to or exceeding 1 ps and any of
the following:
b.4.b.1. Output energy exceeding 1.5 J per pulse and ``peak
power'' exceeding 30 W; or
b.4.b.2. ``Average output power'' exceeding 30 W;
b.5. Output wavelength exceeding 800 nm but not exceeding 975 nm
and any of the following:
b.5.a. ``Pulse duration'' less than 1ps and any of the
following:
b.5.a.1. Output energy exceeding 0.005 J per pulse and ``peak
power'' exceeding 5 GW; or
b.5.a.2. Single transverse mode output and ``average output
power'' exceeding 20 W;
b.5.b. ``Pulse duration'' equal to or exceeding 1 ps and not
exceeding 1 [mu]s and any of the following:
b.5.b.1. Output energy exceeding 0.5 J per pulse and ``peak
power'' exceeding 50 W;
b.5.b.2. Single transverse mode output and ``average output
power'' exceeding 20 W; or
b.5.b.3. Multiple transverse mode output and ``average output
power'' exceeding 50 W; or
b.5.c. ``Pulse duration'' exceeding 1 [mu]s and any of the
following:
b.5.c.1. Output energy exceeding 2 J per pulse and ``peak
power'' exceeding 50 W;
b.5.c.2. Single transverse mode output and ``average output
power'' exceeding 50 W; or
b.5.c.3. Multiple transverse mode output and ``average output
power'' exceeding 80 W.
b.6. Output wavelength exceeding 975 nm but not exceeding 1,150
nm and any of the following:
b.6.a. ``Pulse duration'' of less than 1 ps, and any of the
following:
b.6.a.1. Output ``peak power'' exceeding 2 GW per pulse;
[[Page 38808]]
b.6.a.2. ``Average output power'' exceeding 30 W; or
b.6.a.3. Output energy exceeding 0.002 J per pulse;
b.6.b. ``Pulse duration'' equal to or exceeding 1 ps and less
than 1 ns, and any of the following:
b.6.b.1. Output ``peak power'' exceeding 5 GW per pulse;
b.6.b.2. ``Average output power'' exceeding 50 W; or
b.6.b.3. Output energy exceeding 0.1 J per pulse;
b.6.c. ``Pulse duration'' equal to or exceeding 1 ns but not
exceeding 1 [mu]s and any of the following:
b.6.c.1. Single transverse mode output and any of the following:
b.6.c.1.a. ``Peak power'' exceeding 100 MW;
b.6.c.1.b. ``Average output power'' exceeding 20 W limited by
design to a maximum pulse repetition frequency less than or equal to
1 kHz;
b.6.c.1.c. `Wall-plug efficiency' exceeding 12%, ``average
output power'' exceeding 100 W and capable of operating at a pulse
repetition frequency greater than 1 kHz;
b.6.c.1.d. ``Average output power'' exceeding 150 W and capable
of operating at a pulse repetition frequency greater than 1 kHz; or
b.6.c.1.e. Output energy exceeding 2 J per pulse; or
b.6.c.2. Multiple transverse mode output and any of the
following:
b.6.c.2.a. ``Peak power'' exceeding 400 MW;
b.6.c.2.b. `Wall-plug efficiency' exceeding 18% and ``average
output power'' exceeding 500 W;
b.6.c.2.c. ``Average output power'' exceeding 2 kW; or
b.6.c.2.d. Output energy exceeding 4 J per pulse; or
b.6.d. ``Pulse duration'' exceeding 1 [mu]s and any of the
following:
b.6.d.1. Single transverse mode output and any of the following:
b.6.d.1.a. ``Peak power'' exceeding 500 kW;
b.6.d.1.b. `Wall-plug efficiency' exceeding 12% and ``average
output power'' exceeding 100 W; or
b.6.d.1.c. ``Average output power'' exceeding 150 W; or
b.6.d.2. Multiple transverse mode output and any of the
following:
b.6.d.2.a. ``Peak power'' exceeding 1 MW;
b.6.d.2.b. `Wall-plug efficiency' exceeding 18% and ``average
output power'' exceeding 500 W; or
b.6.d.2.c. ``Average output power'' exceeding 2 kW;
b.7. Output wavelength exceeding 1,150 nm but not exceeding
1,555 nm and any of the following:
b.7.a. ``Pulse duration'' not exceeding 1 [mu]s and any of the
following:
b.7.a.1. Output energy exceeding 0.5 J per pulse and ``peak
power'' exceeding 50 W;
b.7.a.2. Single transverse mode output and ``average output
power'' exceeding 20 W; or
b.7.a.3. Multiple transverse mode output and ``average output
power'' exceeding 50 W; or
b.7.b. ``Pulse duration'' exceeding 1 [mu]s and any of the
following:
b.7.b.1. Output energy exceeding 2 J per pulse and ``peak
power'' exceeding 50 W;
b.7.b.2. Single transverse mode output and ``average output
power'' exceeding 50 W; or
b.7.b.3. Multiple transverse mode output and ``average output
power'' exceeding 80 W;
b.8. Output wavelength exceeding 1,555 nm but not exceeding
1,850 nm, and any of the following:
b.8.a. Output energy exceeding 100 mJ per pulse and ``peak
power'' exceeding 1 W; or
b.8.b. ``Average output power'' exceeding 1 W;
b.9. Output wavelength exceeding 1,850 nm but not exceeding
2,100 nm, and any of the following:
b.9.a. Single transverse mode and any of the following:
b.9.a.1. Output energy exceeding 100 mJ per pulse and ``peak
power'' exceeding 1 W; or
b.9.a.2. ``Average output power'' exceeding 1 W;
b.9.b. Multiple transverse mode and any of the following:
b.9.b.1. Output energy exceeding 100 mJ per pulse and ``peak
power'' exceeding 10 kW; or
b.9.b.2. ``Average output power'' exceeding 120 W; or
b.10. Output wavelength exceeding 2,100 nm and any of the
following:
b.10.a. Output energy exceeding 100 mJ per pulse and ``peak
power'' exceeding 1 W; or
b.10.b. ``Average output power'' exceeding 1 W;
c. ``Tunable'' lasers having any of the following:
c.1. Output wavelength less than 600 nm and any of the
following:
c.1.a. Output energy exceeding 50 mJ per pulse and ``peak
power'' exceeding 1 W; or
c.1.b. Average or CW output power exceeding 1W;
Note: 6A005.c.1 does not apply to dye ``lasers'' or other
liquid ``lasers,'' having a multimode output and a wavelength of 150
nm or more but not exceeding 600 nm and all of the following:
1. Output energy less than 1.5 J per pulse or a ``peak power''
less than 20 W; and
2. Average or CW output power less than 20 W.
c.2. Output wavelength of 600 nm or more but not exceeding 1,400
nm, and any of the following:
c.2.a. Output energy exceeding 1 J per pulse and ``peak power''
exceeding 20 W; or
c.2.b. Average or CW output power exceeding 20 W; or
c.3. Output wavelength exceeding 1,400 nm and any of the
following:
c.3.a. Output energy exceeding 50 mJ per pulse and ``peak
power'' exceeding 1 W; or
c.3.b. Average or CW output power exceeding 1 W;
d. Other ``lasers'', not controlled by 6A005.a, 6A005.b, or
6A005.c as follows:
d.1. Semiconductor ``lasers'' as follows:
Note:
1. 6A005.d.1 includes semiconductor ``lasers'' having optical
output connectors (e.g., fiber optic pigtails).
2. The control status of semiconductor ``lasers'' ``specially
designed'' for other equipment is determined by the control status
of the other equipment.
d.1.a. Individual single transverse mode semiconductor
``lasers'' having any of the following:
d.1.a.1. Wavelength equal to or less than 1,510 nm and average
or CW output power, exceeding 1.5 W; or
d.1.a.2. Wavelength greater than 1,510 nm and average or CW
output power, exceeding 500 mW;
d.1.b. Individual, multiple-transverse mode semiconductor
``lasers'' having any of the following:
d.1.b.1. Wavelength of less than 1,400 nm and average or CW
output power, exceeding 15 W;
d.1.b.2. Wavelength equal to or greater than 1,400 nm and less
than 1,900 nm and average or CW output power, exceeding 2.5 W; or
d.1.b.3. Wavelength equal to or greater than 1,900 nm and
average or CW output power, exceeding 1 W;
d.1.c. Individual semiconductor ``laser'' `bars' having any of
the following:
d.1.c.1. Wavelength of less than 1,400 nm and average or CW
output power, exceeding 100 W;
d.1.c.2. Wavelength equal to or greater than 1,400 nm and less
than 1,900 nm and average or CW output power, exceeding 25 W; or
d.1.c.3. Wavelength equal to or greater than 1,900 nm and
average or CW output power, exceeding 10 W;
d.1.d. Semiconductor ``laser'' `stacked arrays' (two dimensional
arrays) having any of the following:
d.1.d.1. Wavelength less than 1,400 nm and having any of the
following:
d.1.d.1.a. Average or CW total output power less than 3 kW and
having average or CW output `power density' greater than 500 W/
cm\2\;
d.1.d.1.b. Average or CW total output power equal to or
exceeding 3 kW but less than or equal to 5 kW, and having average or
CW output `power density' greater than 350W/cm\2\;
d.1.d.1.c. Average or CW total output power exceeding 5 kW;
d.1.d.1.d. Peak pulsed `power density' exceeding 2,500 W/cm\2\;
or
Note: 6A005.d.1.d.1.d does not apply to epitaxially-fabricated
monolithic devices.
d.1.d.1.e. Spatially coherent average or CW total output power,
greater than 150 W;
d.1.d.2. Wavelength greater than or equal to 1,400 nm but less
than 1,900 nm, and having any of the following:
d.1.d.2.a. Average or CW total output power less than 250 W and
average or CW output `power density' greater than 150 W/cm2;
d.1.d.2.b. Average or CW total output power equal to or
exceeding 250 W but less than or equal to 500 W, and having average
or CW output `power density' greater than 50W/cm\2\;
d.1.d.2.c. Average or CW total output power exceeding 500 W;
d.1.d.2.d. Peak pulsed `power density' exceeding 500 W/cm\2\; or
Note: 6A005.d.1.d.2.d does not apply to epitaxially-fabricated
monolithic devices.
[[Page 38809]]
d.1.d.2.e. Spatially coherent average or CW total output power,
exceeding 15 W;
d.1.d.3. Wavelength greater than or equal to 1,900 nm and having
any of the following:
d.1.d.3.a. Average or CW output `power density' greater than 50
W/cm\2\;
d.1.d.3.b. Average or CW output power greater than 10 W; or
d.1.d.3.c. Spatially coherent average or CW total output power,
exceeding 1.5 W; or
d.1.d.4. At least one ``laser'' `bar' specified by 6A005.d.1.c;
Technical Note: For the purposes of 6A005.d.1.d, `power
density' means the total ``laser'' output power divided by the
emitter surface area of the `stacked array'.
d.1.e. Semiconductor ``laser'' `stacked arrays', other than
those specified by 6.A005.d.1.d., having all of the following:
d.1.e.1. ``Specially designed'' or modified to be combined with
other `stacked arrays' to form a larger `stacked array'; and
d.1.e.2. Integrated connections, common for both electronics and
cooling;
Note 1: `Stacked arrays', formed by combining semiconductor
``laser'' `stacked arrays' specified by 6A005.d.1.e, that are not
designed to be further combined or modified are specified by
6A005.d.1.d.
Note 2: `Stacked arrays', formed by combining semiconductor
``laser'' `stacked arrays' specified by 6A005.d.1.e, that are
designed to be further combined or modified are specified by
6A005.d.1.e.
Note 3: 6A005.d.1.e does not apply to modular assemblies of
single `bars' designed to be fabricated into end to end stacked
linear arrays.
Technical Notes:
1. Semiconductor ``lasers'' are commonly called ``laser''
diodes.
2. A `bar' (also called a semiconductor ``laser'' `bar', a
``laser'' diode `bar' or diode `bar') consists of multiple
semiconductor ``lasers'' in a one dimensional array.
3. A `stacked array' consists of multiple `bars' forming a two
dimensional array of semiconductor ``lasers''.
d.2. Carbon monoxide (CO) ``lasers'' having any of the
following:
d.2.a. Output energy exceeding 2 J per pulse and ``peak power''
exceeding 5 kW; or
d.2.b. Average or CW output power, exceeding 5 kW;
d.3. Carbon dioxide (CO2) ``lasers'' having any of
the following:
d.3.a. CW output power exceeding 15 kW;
d.3.b. Pulsed output with ``pulse duration'' exceeding 10 [mu]s
and any of the following:
d.3.b.1. ``Average output power'' exceeding 10 kW; or
d.3.b.2. ``Peak power'' exceeding 100 kW; or
d.3.c. Pulsed output with a ``pulse duration'' equal to or less
than 10 [mu]s and any of the following:
d.3.c.1. Pulse energy exceeding 5 J per pulse; or
d.3.c.2. ``Average output power'' exceeding 2.5 kW;
d.4. Excimer ``lasers'' having any of the following:
d.4.a. Output wavelength not exceeding 150 nm and any of the
following:
d.4.a.1. Output energy exceeding 50 mJ per pulse; or
d.4.a.2. ``Average output power'' exceeding 1 W;
d.4.b. Output wavelength exceeding 150 nm but not exceeding 190
nm and any of the following:
d.4.b.1. Output energy exceeding 1.5 J per pulse; or
d.4.b.2. ``Average output power'' exceeding 120 W;
d.4.c. Output wavelength exceeding 190 nm but not exceeding 360
nm and any of the following:
d.4.c.1. Output energy exceeding 10 J per pulse; or
d.4.c.2. ``Average output power'' exceeding 500 W; or
d.4.d. Output wavelength exceeding 360 nm and any of the
following:
d.4.d.1. Output energy exceeding 1.5 J per pulse; or
d.4.d.2. ``Average output power'' exceeding 30 W;
Note: For excimer ``lasers'' ``specially designed'' for
lithography equipment, see 3B001.
d.5. ``Chemical lasers'' as follows:
d.5.a. Hydrogen Fluoride (HF) ``lasers';
d.5.b. Deuterium Fluoride (DF) ``lasers'';
d.5.c. ``Transfer lasers'' as follows:
d.5.c.1. Oxygen Iodine (O2-I) ``lasers'';
d.5.c.2. Deuterium Fluoride-Carbon dioxide (DF-CO2)
``lasers'';
d.6. `Non-repetitive pulsed' Neodymium (Nd) glass ``lasers''
having any of the following:
d.6.a. A ``pulse duration'' not exceeding 1 [mu]s and output
energy exceeding 50 J per pulse; or
d.6.b. A ``pulse duration'' exceeding 1 [mu]s and output energy
exceeding 100 J per pulse;
e. ``Components'' as follows:
e.1. Mirrors cooled either by `active cooling' or by heat pipe
cooling;
Technical Note: `Active cooling' is a cooling technique for
optical ``components'' using flowing fluids within the subsurface
(nominally less than 1 mm below the optical surface) of the optical
component to remove heat from the optic.
e.2. Optical mirrors or transmissive or partially transmissive
optical or electro-optical-''components,'' other than fused tapered
fiber combiners and Multi-Layer Dielectric gratings (MLDs),
``specially designed'' for use with controlled ``lasers'';
Note to 6A005.e.2: Fiber combiners and MLDs are specified by
6A005.e.3.
e.3. Fiber ``laser'' ``components'' as follows:
e.3.a. Multimode to multimode fused tapered fiber combiners
having all of the following:
e.3.a.1. An insertion loss better (less) than or equal to 0.3 dB
maintained at a rated total average or CW output power (excluding
output power transmitted through the single mode core if present)
exceeding 1,000 W; and
e.3.a.2. Number of input fibers equal to or greater than 3;
e.3.b. Single mode to multimode fused tapered fiber combiners
having all of the following:
e.3.b.1. An insertion loss better (less) than 0.5 dB maintained
at a rated total average or CW output power exceeding 4,600 W;
e.3.b.2. Number of input fibers equal to or greater than 3; and
e.3.b.3. Having any of the following:
e.3.b.3.a. A Beam Parameter Product (BPP) measured at the output
not exceeding 1.5 mm mrad for a number of input fibers less than or
equal to 5; or
e.3.b.3.b. A BPP measured at the output not exceeding 2.5 mm
mrad for a number of input fibers greater than 5;
e.3.c. MLDs having all of the following:
e.3.c.1. Designed for spectral or coherent beam combination of 5
or more fiber ``lasers;'' and
e.3.c.2. CW ``Laser'' Induced Damage Threshold (LIDT) greater
than or equal to 10 kW/cm\2\;
f. Optical equipment as follows:
N.B.: For shared aperture optical elements, capable of operating
in ``Super-High Power Laser'' (``SHPL'') applications, see the U.S.
Munitions List (22 CFR part 121).
f.1. Dynamic wavefront (phase) measuring equipment capable of
mapping at least 50 positions on a beam wavefront having any the
following:
f.1.a. Frame rates equal to or more than 100 Hz and phase
discrimination of at least 5% of the beam's wavelength; or
f.1.b. Frame rates equal to or more than 1,000 Hz and phase
discrimination of at least 20% of the beam's wavelength;
f.2. ``Laser'' diagnostic equipment capable of measuring
``SHPL'' system angular beam steering errors of equal to or less
than 10 [mu]rad;
f.3. Optical equipment and ``components,'' ``specially
designed'' for a phased-array ``SHPL'' system for coherent beam
combination to an ``accuracy'' of [lambda]/10 at the designed
wavelength, or 0.1 [mu]m, whichever is the smaller;
f.4. Projection telescopes ``specially designed'' for use with
``SHPL'' systems;
g. `Laser acoustic detection equipment' having all of the
following:
g.1. CW ``laser'' output power greater than or equal to 20 mW;
g.2. ``Laser'' frequency stability equal to or better (less)
than 10 MHz;
g.3. ``Laser'' wavelengths equal to or exceeding 1,000 nm but
not exceeding 2,000 nm;
g.4. Optical system resolution better (less) than 1 nm; and
g.5. Optical Signal to Noise ratio equal or exceeding to 10\3\.
Technical Note: `Laser acoustic detection equipment' is
sometimes referred to as a ``Laser'' Microphone or Particle Flow
Detection Microphone.
0
45. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 6, ECCN 6A008 is revised to read as follows:
6A008 Radar systems, equipment and assemblies, having any of the
following (see List of Items Controlled), and ``specially designed''
``components'' therefor.
[[Page 38810]]
License Requirements
Reason for Control: NS, MT, RS, AT
Country chart (See Supp.
Control(s) No.1 to part 738)
NS applies to entire entry................ NS Column 2
MT applies to items that are designed for MT Column 1
airborne applications and that are usable
in systems controlled for MT reasons.
RS applies to 6A008.j.1................... RS Column 1
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)
LVS: $5000; N/A for MT and for 6A008.j.1.
GBS: Yes, for 6A008.b, .c, and l.1 only
CIV: Yes, for 6A008.b, .c, and l.1 only
Special Conditions for STA
STA: License Exception STA may not be used to ship any commodity in
6A008.d, 6A008.h or 6A008.k 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) See also ECCNs 6A108 and 6A998. ECCN 6A998
controls, inter alia, the Light Detection and Ranging (LIDAR)
equipment excluded by the note to paragraph j of this ECCN (6A008).
(2) See USML Category XII(b) for certain LIDAR, Laser Detection and
Ranging (LADAR), or range-gated systems subject to the ITAR.
Related Definitions: N/A
Items:
Note: 6A008 does not control:
--Secondary surveillance radar (SSR);
--Civil Automotive Radar;
--Displays or monitors used for air traffic control (ATC);
--Meteorological (weather) radar;
--Precision Approach Radar (PAR) equipment conforming to ICAO
standards and employing electronically steerable linear (1-
dimensional) arrays or mechanically positioned passive antennas.
a. Operating at frequencies from 40 GHz to 230 GHz and having
any of the following:
a.1. An ``average output power'' exceeding 100 mW; or
a.2. Locating ``accuracy'' of 1 m or less (better) in range and
0.2 degree or less (better) in azimuth;
b. A tunable bandwidth exceeding 6.25% of the
`center operating frequency';
Technical Note: The `center operating frequency' equals one
half of the sum of the highest plus the lowest specified operating
frequencies.
c. Capable of operating simultaneously on more than two carrier
frequencies;
d. Capable of operating in synthetic aperture (SAR), inverse
synthetic aperture (ISAR) radar mode, or sidelooking airborne (SLAR)
radar mode;
e. Incorporating electronically steerable array antennas;
f. Capable of heightfinding non-cooperative targets;
g. ``Specially designed'' for airborne (balloon or airframe
mounted) operation and having Doppler ``signal processing'' for the
detection of moving targets;
h. Employing processing of radar signals and using any of the
following:
h.1. ``Radar spread spectrum'' techniques; or
h.2. ``Radar frequency agility'' techniques;
i. Providing ground-based operation with a maximum
``instrumented range'' exceeding 185 km;
Note: 6A008.i does not control:
a. Fishing ground surveillance radar;
b. Ground radar equipment ``specially designed'' for en route
air traffic control, and having all of the following:
1. A maximum ``instrumented range'' of 500 km or less;
2. Configured so that radar target data can be transmitted only
one way from the radar site to one or more civil ATC centers;
3. Contains no provisions for remote control of the radar scan
rate from the en route ATC center; and
4. Permanently installed;
c. Weather balloon tracking radars.
j. Being ``laser'' radar or Light Detection and Ranging (LIDAR)
equipment and having any of the following:
j.1. ``Space-qualified'';
j.2. Employing coherent heterodyne or homodyne detection
techniques and having an angular resolution of less (better) than 20
[mu]rad (microradians); or
j.3. Designed for carrying out airborne bathymetric littoral
surveys to International Hydrographic Organization (IHO) Order 1a
Standard (5th Edition February 2008) for Hydrographic Surveys or
better, and using one or more ``lasers'' with a wavelength exceeding
400 nm but not exceeding 600 nm;
Note 1: LIDAR equipment ``specially designed'' for surveying is
only specified by 6A008.j.3.
Note 2: 6A008.j does not apply to LIDAR equipment ``specially
designed'' for meteorological observation.
Note 3: Parameters in the IHO Order 1a Standard 5th Edition
February 2008 are summarized as follows:
Horizontal Accuracy (95% Confidence Level) = 5 m + 5% of depth.
Depth Accuracy for Reduced Depths (95% confidence level) =
[radic](a\2\+(b*d)\2\) where:
a = 0.5 m = constant depth error, i.e. the sum of all constant
depth errors
b = 0.013 = factor of depth dependant error
b*d = depth dependant error, i.e. the sum of all depth dependant
errors
d = depth
Feature Detection = Cubic features > 2 m in depths up to 40 m;
10% of depth beyond 40 m.
k. Having ``signal processing'' sub-systems using ``pulse
compression'' and having any of the following:
k.1. A ``pulse compression'' ratio exceeding 150; or
k.2. A compressed pulse width of less than 200 ns; or
Note: 6A008.k.2 does not apply to two dimensional `marine
radar' or `vessel traffic service' radar, having all of the
following:
a. ``Pulse compression'' ratio not exceeding 150;
b. Compressed pulse width of greater than 30 ns;
c. Single and rotating mechanically scanned antenna;
d. Peak output power not exceeding 250 W; and
e. Not capable of ``frequency hopping''.
l. Having data processing sub-systems and having any of the
following:
l.1. ``Automatic target tracking'' providing, at any antenna
rotation, the predicted target position beyond the time of the next
antenna beam passage; or
Note: 6A008.l.1 does not control conflict alert capability in
ATC systems, or `marine radar'.
l.2. [Reserved]
l.3. [Reserved]
l.4. Configured to provide superposition and correlation, or
fusion, of target data within six seconds from two or more
``geographically dispersed'' radar sensors to improve the aggregate
performance beyond that of any single sensor specified by 6A008.f,
or 6A008.i.
N.B.: See also the U.S. Munitions List (22 CFR part 121).
Note: 6A008.l does not apply to systems, equipment and
assemblies designed for `vessel traffic services'.
Technical Notes:
1. For the purposes of 6A008, `marine radar' is a radar that is
used to navigate safely at sea, inland waterways or near-shore
environments.
2. For the purposes of 6A008, `vessel traffic service' is a
vessel traffic monitoring and control service similar to air traffic
control for ``aircraft.''
0
46. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 6, ECCN 6D003 is revised to read as follows:
6D003 Other ``software'' as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, RS, AT
Country chart (See Supp.
Control(s) No.1 to part 738)
NS applies to entire entry................ NS Column 1
RS applies to paragraph c................. RS Column 1
AT applies to entire entry................ AT Column 1
[[Page 38811]]
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)
CIV: Yes for 6D003.h.1
TSR: Yes, except for 6D003.c and exports or reexports to
destinations outside of those countries listed in Country Group A:5
(See Supplement No. 1 to part 740 of the EAR) of ``software'' for
items controlled by 6D003.a.
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit
software in 6D003.a 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: See also ECCNs 6D103, 6D991, and 6D993.
Related Definitions: N/A
Items:
Acoustics
a. ``Software'' as follows:
a.1. ``Software'' ``specially designed'' for acoustic beam
forming for the ``real-time processing'' of acoustic data for
passive reception using towed hydrophone arrays;
a.2. ``Source code'' for the ``real-time processing'' of
acoustic data for passive reception using towed hydrophone arrays;
a.3. ``Software'' ``specially designed'' for acoustic beam
forming for the ``real-time processing'' of acoustic data for
passive reception using bottom or bay cable systems;
a.4. ``Source code'' for the ``real-time processing'' of
acoustic data for passive reception using bottom or bay cable
systems;
a.5. ``Software'' or ``source code'', ``specially designed'' for
all of the following:
a.5.a. ``Real-time processing'' of acoustic data from sonar
systems controlled by 6A001.a.1.e; and
a.5.b. Automatically detecting, classifying and determining the
location of divers or swimmers;
N.B.: For diver detection ``software'' or ``source code'',
``specially designed'' or modified for military use, see the U.S.
Munitions List of the International Traffic in Arms Regulations
(ITAR) (22 CFR part 121).
b. Optical sensors. None.
Cameras
c. ``Software'' designed or modified for cameras incorporating
``focal plane arrays'' specified by 6A002.a.3.f and designed or
modified to remove a frame rate restriction and allow the camera to
exceed the frame rate specified in 6A003.b.4 Note 3.a;
Optics
d. ``Software'' specially designed to maintain the alignment and
phasing of segmented mirror systems consisting of mirror segments
having a diameter or major axis length equal to or larger than 1 m;
e. Lasers. None.
Magnetic and Electric Field Sensors
f. ``Software'' as follows:
f.1. ``Software'' ``specially designed'' for magnetic and
electric field ``compensation systems'' for magnetic sensors
designed to operate on mobile platforms;
f.2. ``Software'' ``specially designed'' for magnetic and
electric field anomaly detection on mobile platforms;
f.3. ``Software'' ``specially designed'' for ``real-time
processing'' of electromagnetic data using underwater
electromagnetic receivers specified by 6A006.e;
f.4. ``Source code'' for ``real-time processing'' of
electromagnetic data using underwater electromagnetic receivers
specified by 6A006.e;
Gravimeters
g. ``Software'' ``specially designed'' to correct motional
influences of gravity meters or gravity gradiometers;
Radar
h. ``Software'' as follows:
h.1. Air Traffic Control (ATC) ``software'' application
``programs'' designed to be hosted on general purpose computers
located at Air Traffic Control centers and capable of accepting
radar target data from more than four primary radars;
h.2. ``Software'' for the design or ``production'' of radomes
and having all of the following:
h.2.a. ``Specially designed'' to protect the ``electronically
steerable phased array antennae'' controlled by 6A008.e.; and
h.2.b. Resulting in an antenna pattern having an `average side
lobe level' more than 40 dB below the peak of the main beam level.
Technical Note: `Average side lobe level' in 6D003.h.2.b is
measured over the entire array excluding the angular extent of the
main beam and the first two side lobes on either side of the main
beam.
0
47. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 6, ECCN 6E003 is revised to read as follows:
6E003 Other ``technology'' as follows (see List of Items
Controlled).
License Requirements
Reason for Control: NS, AT
Country chart (See Supp.
Control(s) No.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)
CIV: N/A
TSR: Yes
List of Items Controlled
Related Controls: See also 6E993
Related Definitions: N/A
Items:
Acoustics
a. [Reserved]
Optical Sensors
b. [Reserved]
Cameras
c. [Reserved]
Optics
d. ``Technology'' as follows:
d.1. ``Technology'' ``required'' for the coating and treatment
of optical surfaces to achieve an `optical thickness' uniformity of
99.5% or better for optical coatings 500 mm or more in diameter or
major axis length and with a total loss (absorption and scatter) of
less than 5 x 10-3;
N.B.: See also 2E003.f.
Technical Note: `Optical thickness' is the mathematical product
of the index of refraction and the physical thickness of the
coating.
d.2. ``Technology'' for the fabrication of optics using single
point diamond turning techniques to produce surface finish
``accuracies'' of better than 10 nm rms on non-planar surfaces
exceeding 0.5 m\2\;
Lasers
e. ``Technology'' ``required'' for the ``development,''
``production'' or ``use'' of ``specially designed'' diagnostic
instruments or targets in test facilities for ``SHPL'' testing or
testing or evaluation of materials irradiated by ``SHPL'' beams;
Magnetic and Electric Field Sensors
f. [Reserved]
Gravimeters
g. [Reserved]
Radar
h. [Reserved]
0
48. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 7, ECCN 7D003 is revised to read as follows:
7D003 Other ``software'' as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, MT, AT
Country chart (See Supp.
Control(s) No.1 to part 738)
NS applies to entire entry................ NS Column 1
MT applies to ``software'' for equipment MT Column 1
controlled for MT reasons. MT does not
apply to ``software'' for equipment
controlled by 7A008.
AT applies to entire entry................ AT Column 1
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for exports
under License
[[Page 38812]]
Exceptions, and Validated End-User authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
CIV: N/A
TSR: N/A
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit
software in 7D003.a or .b 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: See also 7D103 and 7D994.
Related Definitions: `Data-Based Referenced Navigation' (`DBRN')
systems are systems which use various sources of previously measured
geo-mapping data integrated to provide accurate navigation
information under dynamic conditions. Data sources include
bathymetric maps, stellar maps, gravity maps, magnetic maps or 3-D
digital terrain maps.
Items:
a. ``Software'' ``specially designed'' or modified to improve
the operational performance or reduce the navigational error of
systems to the levels controlled by 7A003, 7A004 or 7A008;
b. ``Source code'' for hybrid integrated systems which improves
the operational performance or reduces the navigational error of
systems to the level controlled by 7A003 or 7A008 by continuously
combining heading data with any of the following:
b.1. Doppler radar or sonar velocity data;
b.2. Global Navigation Satellite Systems (GNSS) reference data;
or
b.3. Data from `Data-Based Referenced Navigation' (`DBRN'')
systems;
c. [Reserved]
d. [Reserved]
N.B. For flight control ``source code,'' see 7D004.
e. Computer-Aided-Design (CAD) ``software'' ``specially
designed'' for the ``development'' of ``active flight control
systems'', helicopter multi-axis fly-by-wire or fly-by-light
controllers or helicopter ``circulation controlled anti-torque or
circulation-controlled direction control systems'', whose
``technology'' is controlled by 7E004.b.1, 7E004.b.3 to b.5,
7E004.b.7 to b.8, 7E004.c.1 or 7E004.c.2.
0
49. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 7, ECCN 7D004 is revised to read as follows:
7D004 ``Source code'' incorporating ``development'' ``technology''
specified by 7E004.a.2, a.3, a.5, a.6 or 7E004.b, for any of the
following: (see List of Items Controlled).
License Requirements
Reason for Control: NS, AT
Country chart (See Supp.
Control(s) No.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)
CIV: N/A
TSR: N/A
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit
``software'' in 7D004.a to .d and .g 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: See 7D103 and 7D994
Related Definitions: N/A
Items:
a. Digital flight management systems for ``total control of
flight'';
b. Integrated propulsion and flight control systems;
c. ``Fly-by-wire systems'' or ``fly-by-light systems``;
d. Fault-tolerant or self-reconfiguring ``active flight control
systems'';
e. [Reserved];
f. Air data systems based on surface static data; or
g. Three dimensional displays.
Note: 7D004 does not apply to ``source code'' associated with
common computer elements and utilities (e.g., input signal
acquisition, output signal transmission, computer program and data
loading, built-in test, task scheduling mechanisms) not providing a
specific flight control system function.
0
50. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 7, ECCN 7E001 is revised to read as follows:
7E001 ``Technology'' according to the General Technology Note for
the ``development'' of equipment or ``software,'' specified by 7A.
(except 7A994), 7B. (except 7B994), 7D001, 7D002, 7D003 or 7D005.
License Requirements
Reason for Control: NS, MT, RS, AT
Country chart (See Supp.
Control(s) No.1 to part 738)
NS applies to ``technology'' for items NS Column 1
controlled by 7A001 to 7A004, 7A006,
7A008, 7B001 to 7B003, 7D001 to 7D005.
MT applies to technology for equipment MT Column 1
controlled for MT reasons. MT does not
apply to ``technology'' for equipment
controlled by 7A008. MT does apply to
``technology'' for equipment specified in
7A001, 7A002 or 7A003.d that meets or
exceeds parameters of 7A101, 7A102 or
7A103.
RS applies to ``technology'' for inertial RS Column 1
navigation systems or inertial equipment,
and ``components'' therefor, for 9A991.b
aircraft.
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)
CIV: N/A
TSR: N/A
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit any
technology in this entry 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) See also 7E101 and 7E994. (2) The
``technology'' related to 7A003.b, 7A005, 7A103.b, 7A105, 7A106,
7A115, 7A116, 7A117, 7B103, software in 7D101 specified in the
Related Controls paragraph of ECCN 7D101, 7D102.a, or 7D103 is
``subject to the ITAR'' (see 22 CFR parts 120 through 130).
Related Definitions: N/A
Items:
The list of items controlled is contained in the ECCN heading.
Note: 7E001 includes key management ``technology'' exclusively
for equipment specified in 7A005.a.
0
51. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 7, ECCN 7E003 is revised to read as follows:
7E003 ``Technology'' according to the General Technology Note for
the repair, refurbishing or overhaul of equipment controlled by
7A001 to 7A004.
License Requirements
Reason for Control: NS, MT, AT
[[Page 38813]]
Country chart (See Supp.
Control(s) No.1 to part 738)
NS applies to entire entry................ NS Column 1
MT applies to entire entry................ MT Column 1
AT applies to entire entry................ AT Column 1
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
CIV: N/A
TSR: N/A
List of Items Controlled
Related Controls: See also 7E994. This entry does not control
``technology'' for maintenance directly associated with calibration,
removal or replacement of damaged or unserviceable LRUs and SRAs of
a ``civil aircraft'' as described in `Maintenance Level I' or
`Maintenance Level II'.
Related Definition: Refer to the Related Definitions for 7B001 for
`Maintenance Level I' or `Maintenance Level II'.
Items:
The list of items controlled is contained in the ECCN heading.
0
52. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 7, ECCN 7E004 is revised to read as follows:
7E004 Other ``technology'' as follows (see List of Items
Controlled).
License Requirements
Reason for Control: NS, MT, AT
Country chart (See Supp.
Control(s) No.1 to part 738)
NS applies to entire entry................ NS Column 1
MT applies to ``technology'' for equipment MT Column 1
or systems controlled for MT reasons.
AT applies to entire entry................ AT Column 1
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
CIV: N/A
TSR: N/A
Special Conditions for STA
STA: (1) Paragraph (c)(1) of License Exception STA (Sec.
740.20(c)(1) of the EAR) may not be used for 7E004, except for
7E004.a.7. (2) Paragraph (c)(2) of License Exception STA (Sec.
740.20(c)(2) of the EAR) may not be used for 7E004, except for
7E004.a.7.
List of Items Controlled
Related Controls: (1) See also 7E001, 7E002, 7E101, and 7E994. (2)
In addition to the Related Controls in 7E001, 7E002, and 7E101 that
include MT controls, also see the MT controls in 7E104 for design
``technology'' for the integration of the flight control, guidance,
and propulsion data into a flight management system, designed or
modified for rockets or missiles capable of achieving a ``range''
equal to or greater than 300 km, for optimization of rocket system
trajectory; and also see 9E101 for design ``technology'' for
integration of air vehicle fuselage, propulsion system and lifting
control surfaces, designed or modified for unmanned aerial vehicles
capable of achieving a ``range'' equal to or greater than 300 km, to
optimize aerodynamic performance throughout the flight regime of an
unmanned aerial vehicle.
Related Definitions: ``Primary flight control'' means an
``aircraft'' stability or maneuvering control using force/moment
generators, i.e., aerodynamic control surfaces or propulsive thrust
vectoring.
Items:
a. ``Technology'' for the ``development'' or ``production'' of
any of the following:
a.1. [Reserved]
a.2. Air data systems based on surface static data only, i.e.,
which dispense with conventional air data probes;
a.3. Three dimensional displays for ``aircraft'';
a.4. [Reserved]
a.5. Electric actuators (i.e., electromechanical,
electrohydrostatic and integrated actuator package) ``specially
designed'' for ``primary flight control'';
a.6. ``Flight control optical sensor array'' ``specially
designed'' for implementing ``active flight control systems''; or
a.7. ``DBRN'' systems designed to navigate underwater, using
sonar or gravity databases, that provide a positioning ``accuracy''
equal to or less (better) than 0.4 nautical miles;
b. ``Development'' ``technology'', as follows, for ``active
flight control systems'' (including ``fly-by-wire systems'' or
``fly-by-light systems''):
b.1. Photonic-based ``technology'' for sensing ``aircraft'' or
flight control component state, transferring flight control data, or
commanding actuator movement, ``required'' for ``fly-by-light
systems'' ``active flight control systems'';
b.2. [Reserved]
b.3. Real-time algorithms to analyze component sensor
information to predict and preemptively mitigate impending
degradation and failures of components within an ``active flight
control system'';
Note: 7E004.b.3 does not include algorithms for purpose of off-
line maintenance.
b.4. Real-time algorithms to identify component failures and
reconfigure force and moment controls to mitigate ``active flight
control system'' degradations and failures;
Note: 7E004.b.4 does not include algorithms for the elimination
of fault effects through comparison of redundant data sources, or
off-line pre-planned responses to anticipated failures.
b.5. Integration of digital flight control, navigation and
propulsion control data, into a digital flight management system for
``total control of flight'';
Note: 7E004.b.5 does not apply to:
1. ``Technology'' for integration of digital flight control,
navigation and propulsion control data, into a digital flight
management system for ``flight path optimization'';
2. ``Technology'' for ``aircraft'' flight instrument systems
integrated solely for VOR, DME, ILS or MLS navigation or approaches.
b.6. [Reserved]
b.7. ``Technology'' ``required'' for deriving the functional
requirements for ``fly-by-wire systems'' having all of the
following:
b.7.a. `Inner-loop' airframe stability controls requiring loop
closure rates of 40 Hz or greater; and
Technical Note: `Inner-loop' refers to functions of ``active
flight control systems'' that automate airframe stability controls.
b.7.b. Having any of the following:
b.7.b.1. Corrects an aerodynamically unstable airframe, measured
at any point in the design flight envelope, that would lose
recoverable control if not corrected within 0.5 seconds;
b.7.b.2. Couples controls in two or more axes while compensating
for `abnormal changes in aircraft state';
Technical Note: `Abnormal changes in aircraft state' include in-
flight structural damage, loss of engine thrust, disabled control
surface, or destabilizing shifts in cargo load.
b.7.b.3. Performs the functions specified in 7E004.b.5; or
Note: 7E004.b.7.b.3 does not apply to autopilots.
b.7.b.4. Enables ''aircraft'' to have stable controlled flight,
other than during take-off or landing, at greater than 18 degrees
angle of attack, 15 degrees side slip, 15 degrees/second pitch or
yaw rate, or 90 degrees/second roll rate;
b.8. ``Technology'' ``required'' for deriving the functional
requirements of ``fly-by-wire systems'' to achieve all of the
following:
b.8.a. No loss of control of the ''aircraft'' in the event of a
consecutive sequence of any two individual faults within the ``fly-
by-wire system''; and
b.8.b. Probability of loss of control of the ''aircraft'' being
less (better) than 1 x 10-9 failures per flight hour;
Note: 7E004.b does not apply to ``technology'' associated with
common computer elements and utilities (e.g., input signal
acquisition, output signal transmission, computer program and data
loading, built-in test, task scheduling mechanisms) not providing a
specific flight control system function.
c. ``Technology'' for the ``development'' of helicopter systems,
as follows:
c.1. Multi-axis fly-by-wire or fly-by-light controllers, which
combine the functions of at least two of the following into one
controlling element:
c.1.a. Collective controls;
c.1.b. Cyclic controls;
c.1.c. Yaw controls;
c.2. ``Circulation-controlled anti-torque or circulation-
controlled direction control systems'';
[[Page 38814]]
c.3. Rotor blades incorporating ``variable geometry airfoils'',
for use in systems using individual blade control.
0
53. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 8, ECCN 8A002 is revised to read as follows:
8A002 Marine systems, equipment, ``parts'' and ``components,'' as
follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, AT
Country chart (see Supp.
Control(s) No. 1 to part 738)
NS applies to entire entry................ NS Column 2
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)
LVS: $5000; N/A for 8A002.o.3.b
GBS: Yes for manipulators for civil end uses (e.g., underwater oil,
gas or mining operations) controlled by 8A002.i.2 and having 5
degrees of freedom of movement; and 8A002.r.
CIV: Yes for manipulators for civil end uses (e.g., underwater oil,
gas or mining operations) controlled by 8A002.i.2 and having 5
degrees of freedom of movement; and 8A002.r.
Special Conditions for STA
STA: License Exception STA may not be used to ship any commodity in
8A002.b, h, j, o.3, or p 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) See also 8A992 and for underwater
communications systems, see Category 5, Part I--Telecommunications.
(2) See also 8A992 for self-contained underwater breathing apparatus
that is not controlled by 8A002 or released for control by the
8A002.q Note. (3) For electronic imaging systems ``specially
designed'' or modified for underwater use incorporating image
intensifier tubes specified by 6A002.a.2.a or 6A002.a.2.b, see
6A003.b.3. (4) For electronic imaging systems ``specially designed''
or modified for underwater use incorporating ``focal plane arrays''
specified by 6A002.a.3.g, see 6A003.b.4.c. (5) Section 744.9 imposes
a license requirement on commodities described in 8A002.d if being
exported, reexported, or transferred (in-country) for use by a
military end-user or for incorporation into an item controlled by
ECCN 0A919.
Related Definitions: N/A
Items:
a. Systems, equipment, ``parts'' and ``components,'' ``specially
designed'' or modified for submersible vehicles and designed to
operate at depths exceeding 1,000 m, as follows:
a.1. Pressure housings or pressure hulls with a maximum inside
chamber diameter exceeding 1.5 m;
a.2. Direct current propulsion motors or thrusters;
a.3. Umbilical cables, and connectors therefor, using optical
fiber and having synthetic strength members;
a.4. ``Parts'' and ``components'' manufactured from material
specified by ECCN 8C001;
Technical Note: The objective of 8A002.a.4 should not be
defeated by the export of `syntactic foam' controlled by 8C001 when
an intermediate stage of manufacture has been performed and it is
not yet in its final component form.
b. Systems ``specially designed'' or modified for the automated
control of the motion of submersible vehicles controlled by 8A001,
using navigation data, having closed loop servo-controls and having
any of the following:
b.1. Enabling a vehicle to move within 10 m of a predetermined
point in the water column;
b.2. Maintaining the position of the vehicle within 10 m of a
predetermined point in the water column; or
b.3. Maintaining the position of the vehicle within 10 m while
following a cable on or under the seabed;
c. Fiber optic pressure hull penetrators;
d. Underwater vision systems ``specially designed'' or modified
for remote operation with an underwater vehicle, employing
techniques to minimize the effects of back scatter and including
range-gated illuminators or ``laser'' systems;
e. [Reserved]
f. [Reserved]
g. Light systems ``specially designed'' or modified for
underwater use, as follows:
g.1. Stroboscopic light systems capable of a light output energy
of more than 300 J per flash and a flash rate of more than 5 flashes
per second;
g.2. Argon arc light systems ``specially designed'' for use
below 1,000 m;
h. ``Robots'' ``specially designed'' for underwater use,
controlled by using a dedicated computer and having any of the
following:
h.1. Systems that control the ``robot'' using information from
sensors which measure force or torque applied to an external object,
distance to an external object, or tactile sense between the
``robot'' and an external object; or
h.2. The ability to exert a force of 250 N or more or a torque
of 250 Nm or more and using titanium based alloys or ``composite''
``fibrous or filamentary materials'' in their structural members;
i. Remotely controlled articulated manipulators ``specially
designed'' or modified for use with submersible vehicles and having
any of the following:
i.1. Systems which control the manipulator using information
from sensors which measure any of the following:
i.1.a. Torque or force applied to an external object; or
i.1.b. Tactile sense between the manipulator and an external
object; or
i.2. Controlled by proportional master-slave techniques and
having 5 degrees of `freedom of movement' or more;
Technical Note: Only functions having proportionally related
motion control using positional feedback are counted when
determining the number of degrees of `freedom of movement'.
j. Air independent power systems ``specially designed'' for
underwater use, as follows:
j.1. Brayton or Rankine cycle engine air independent power
systems having any of the following:
j.1.a. Chemical scrubber or absorber systems, ``specially
designed'' to remove carbon dioxide, carbon monoxide and
particulates from recirculated engine exhaust;
j.1.b. Systems ``specially designed'' to use a monoatomic gas;
j.1.c. Devices or enclosures, ``specially designed'' for
underwater noise reduction in frequencies below 10 kHz, or special
mounting devices for shock mitigation; or
j.1.d. Systems having all of the following:
j.1.d.1. ``Specially designed'' to pressurize the products of
reaction or for fuel reformation;
j.1.d.2. ``Specially designed'' to store the products of the
reaction; and
j.1.d.3. ``Specially designed'' to discharge the products of the
reaction against a pressure of 100 kPa or more;
j.2. Diesel cycle engine air independent systems having all of
the following:
j.2.a. Chemical scrubber or absorber systems, ``specially
designed'' to remove carbon dioxide, carbon monoxide and
particulates from recirculated engine exhaust;
j.2.b. Systems ``specially designed'' to use a monoatomic gas;
j.2.c. Devices or enclosures, ``specially designed'' for
underwater noise reduction in frequencies below 10 kHz, or special
mounting devices for shock mitigation; and
j.2.d. ``Specially designed'' exhaust systems that do not
exhaust continuously the products of combustion;
j.3. ``Fuel cell'' air independent power systems with an output
exceeding 2 kW and having any of the following:
j.3.a. Devices or enclosures, ``specially designed'' for
underwater noise reduction in frequencies below 10 kHz, or special
mounting devices for shock mitigation; or
j.3.b. Systems having all of the following:
j.3.b.1. ``Specially designed'' to pressurize the products of
reaction or for fuel reformation;
j.3.b.2. ``Specially designed'' to store the products of the
reaction; and
j.3.b.3. ``Specially designed'' to discharge the products of the
reaction against a pressure of 100 kPa or more;
j.4. Stirling cycle engine air independent power systems having
all of the following:
j.4.a. Devices or enclosures, ``specially designed'' for
underwater noise reduction in frequencies below 10 kHz, or special
mounting devices for shock mitigation; and
[[Page 38815]]
j.4.b. ``Specially designed'' exhaust systems which discharge
the products of combustion against a pressure of 100 kPa or more;
k. through n. [Reserved]
o. Propellers, power transmission systems, power generation
systems and noise reduction systems, as follows:
o.1. [Reserved]
o.2. Water-screw propeller, power generation systems or
transmission systems, designed for use on vessels, as follows:
o.2.a. Controllable-pitch propellers and hub assemblies, rated
at more than 30 MW;
o.2.b. Internally liquid-cooled electric propulsion engines with
a power output exceeding 2.5 MW;
o.2.c. ``Superconductive'' propulsion engines or permanent
magnet electric propulsion engines, with a power output exceeding
0.1 MW;
o.2.d. Power transmission shaft systems incorporating
``composite'' material ``parts'' or ``components'' and capable of
transmitting more than 2 MW;
o.2.e. Ventilated or base-ventilated propeller systems, rated at
more than 2.5 MW;
o.3. Noise reduction systems designed for use on vessels of
1,000 tonnes displacement or more, as follows:
o.3.a. Systems that attenuate underwater noise at frequencies
below 500 Hz and consist of compound acoustic mounts for the
acoustic isolation of diesel engines, diesel generator sets, gas
turbines, gas turbine generator sets, propulsion motors or
propulsion reduction gears, ``specially designed'' for sound or
vibration isolation and having an intermediate mass exceeding 30% of
the equipment to be mounted;
o.3.b. `Active noise reduction or cancellation systems' or
magnetic bearings, ``specially designed'' for power transmission
systems;
Technical Note: `Active noise reduction or cancellation systems'
incorporate electronic control systems capable of actively reducing
equipment vibration by the generation of anti-noise or anti-
vibration signals directly to the source.
p. Pumpjet propulsion systems having all of the following:
p.1. Power output exceeding 2.5 MW; and
p.2. Using divergent nozzle and flow conditioning vane
techniques to improve propulsive efficiency or reduce propulsion-
generated underwater-radiated noise;
q. Underwater swimming and diving equipment as follows;
q.1. Closed circuit rebreathers;
q.2. Semi-closed circuit rebreathers;
Note: 8A002.q does not control individual rebreathers for
personal use when accompanying their users.
N.B. For equipment and devices ``specially designed'' for
military use see ECCN 8A620.f.
r. Diver deterrent acoustic systems ``specially designed'' or
modified to disrupt divers and having a sound pressure level equal
to or exceeding 190 dB (reference 1 [micro]Pa at 1 m) at frequencies
of 200 Hz and below.
Note 1: 8A002.r does not apply to diver deterrent systems based
on under-water-explosive devices, air guns or combustible sources.
Note 2: 8A002.r includes diver deterrent acoustic systems that
use spark gap sources, also known as plasma sound sources.
0
54. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 8, ECCN 8C001 is revised to read as follows:
8C001 `Syntactic foam' designed for underwater use and having all of
the following (see List of Items Controlled).
License Requirements
Reason for Control: NS, AT
Country Chart (see Supp.
Control(s) No.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: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Related Controls: See also 8A002.a.4.
Related Definition: `Syntactic foam' consists of hollow spheres of
plastic or glass embedded in a resin ``matrix.''
Items:
a. Designed for marine depths exceeding 1,000 m; and
b. A density less than 561 kg/m\3\.
0
55. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 9, ECCN 9A001 is revised to read as follows:
9A001 Aero gas turbine engines having any of the following (see List
of Items Controlled).
License Requirements
Reason for Control: NS, MT, AT
Country Chart (See Supp. No.
Control(s) 1 to part 738)
NS applies to entire entry................ NS Column 1
MT applies to only to those engines that MT Column 1
meet the characteristics listed in 9A101.
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
CIV: N/A
List of Items Controlled
Related Controls: See also 9A101 and 9A991
Related Definitions: N/A
Items:
a. Incorporating any of the ``technologies'' controlled by
9E003.a, 9E003.h, or 9E003.i; or
Note 1: 9A001.a. does not control aero gas turbine engines
which meet all of the following:
a. Certified by the civil aviation authority in a country listed
in Supplement No. 1 to Part 743; and
b. Intended to power non-military manned ``aircraft'' for which
any of the following has been issued by a Wassenaar Arrangement
Participating State listed in Supplement No. 1 to Part 743 for the
``aircraft'' with this specific engine type:
b.1. A civil type certificate; or
b.2. An equivalent document recognized by the International
Civil Aviation Organization (ICAO).
Note 2: 9A001.a does not apply to aero gas turbine engines for
Auxiliary Power Units (APUs) approved by the civil aviation
authority in a Wassenaar Arrangement Participating State (see
Supplement No. 1 to part 743 of the EAR).
b. Designed to power an ``aircraft'' designed to cruise at Mach
1 or higher, for more than 30 minutes.
0
56. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 9, ECCN 9A004 is revised to read as follows:
9A004 Space launch vehicles and ``spacecraft,'' ``spacecraft
buses,'' ``spacecraft payloads,'' ``spacecraft'' on-board systems or
equipment, and terrestrial equipment, as follows (see List of Items
Controlled).
License Requirements
Reason for Control: NS and AT
Country chart (see Supp.
Control(s) No.1 to part 738)
NS applies to 9A004.u, .v, .w and .x...... NS Column 1
AT applies to 9A004.u, .v, .w, .x and .y.. AT Column 1
License Requirements Note: 9A004.b through .f are controlled
under ECCN 9A515.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Related Controls: (1) See also 9A104, 9A515, and 9B515. (2) See
ECCNs 9E001 (``development'') and 9E002 (``production'') for
technology for items controlled by this entry. (3) See USML
Categories IV for the space launch vehicles and XV for other
spacecraft that are ``subject to the ITAR'' (see 22 CFR parts 120
through 130).
Related Definition: N/A
Items:
a. Space launch vehicles;
b. ``Spacecraft'';
c. ``Spacecraft buses'';
d. ``Spacecraft payloads'' incorporating items specified by
3A001.b.1.a.4, 3A002.g, 5A001.a.1, 5A001.b.3, 5A002.c, 5A002.e,
[[Page 38816]]
6A002.a.1, 6A002.a.2, 6A002.b, 6A002.d, 6A003.b, 6A004.c, 6A004.e,
6A008.d, 6A008.e, 6A008.k, 6A008.l or 9A010.c;
e. On-board systems or equipment, specially designed for
``spacecraft'' and having any of the following functions:
e.1. `Command and telemetry data handling';
Note: For the purpose of 9A004.e.1, `command and telemetry data
handling' includes bus data management, storage, and processing.
e.2. `Payload data handling'; or
Note: For the purpose of 9A004.e.2, `payload data handling'
includes payload data management, storage, and processing.
e.3. `Attitude and orbit control';
Note: For the purpose of 9A004.e.3, `attitude and orbit control'
includes sensing and actuation to determine and control the position
and orientation of a ``spacecraft''.
N.B.: Equipment specially designed for military use is ``subject
to the ITAR''. See 22 CFR parts 120 through 130.
f. Terrestrial equipment specially designed for ``spacecraft,''
as follows:
f.1. Telemetry and telecommand equipment;
f.2. Simulators.
g. through t. [Reserved]
u. The James Webb Space Telescope (JWST) being developed,
launched, and operated under the supervision of the U.S. National
Aeronautics and Space Administration (NASA).
v. ``Parts,'' ``components,'' ``accessories'' and
``attachments'' that are ``specially designed'' for the James Webb
Space Telescope and that are not:
v.1. Enumerated or controlled in the USML;
v.2. Microelectronic circuits;
v.3. Described in ECCNs 7A004 or 7A104; or
v.4. Described in an ECCN containing ``space-qualified'' as a
control criterion (See ECCN 9A515.x.4).
w. The International Space Station being developed, launched,
and operated under the supervision of the U.S. National Aeronautics
and Space Administration.
x. ``Parts,'' ``components,'' ``accessories'' and
``attachments'' that are ``specially designed'' for the
International Space Station.
y. Items that would otherwise be within the scope of ECCN
9A004.v or .x but that have been identified in an interagency-
cleared commodity classification (CCATS) pursuant to Sec. 748.3(e)
as warranting control in 9A004.y.
0
57. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 9, ECCN 9A515 is revised to read as follows:
9A515 ``Spacecraft'' and related commodities, as follows (see List
of Items Controlled).
License Requirements
Reason for Control: NS, RS, MT, AT
Country chart (see Supp. No.
Control(s) 1 to part 738)
NS applies to entire entry, except .e and NS Column 1
.y.
RS applies to entire entry, except .e and RS Column 1
.y.
RS applies to 9A515.e..................... RS Column 2
MT applies to microcircuits in 9A515.d and MT Column 1
9A515.e.2 when ``usable in'' ``missiles''
for protecting ``missiles'' against
nuclear effects (e.g. Electromagnetic
Pulse (EMP), X-rays, combined blast and
thermal effects).
AT applies to entire entry................ AT Column 1
License Requirement Note: The Commerce Country Chart is not used
for determining license requirements for commodities classified in
ECCN 9A515.a.1, .a.2., .a.3., .a.4, and .g. See Sec. 742.6(a)(8),
which specifies that such commodities are subject to a worldwide
license requirement.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $1500
GBS: N/A
CIV: N/A
Special Conditions for STA
STA: (1) Paragraph (c)(1) of License Exception STA (Sec.
740.20(c)(1) of the EAR) may not be used for ``spacecraft'' in ECCN
9A515.a.1, .a.2, .a.3, or .a.4, or items in 9A515.g, unless
determined by BIS to be eligible for License Exception STA in
accordance with Sec. 740.20(g) (License Exception STA eligibility
requests for certain 9x515 and ``600 series'' items). (2) License
Exception STA may not be used if the ``spacecraft'' controlled in
ECCN 9A515.a.1, .a.2, .a.3, or .a.4 contains a separable or
removable propulsion system enumerated in USML Category IV(d)(2) or
USML Category XV(e)(12) and designated MT. (3) Paragraph (c)(2) of
License Exception STA (Sec. 740.20(c)(2) of the EAR) may not be
used for any item in 9A515.
List of Items Controlled
Related Controls: Spacecraft, launch vehicles and related articles
that are enumerated in the USML, and technical data (including
``software'') directly related thereto, and all services (including
training) directly related to the integration of any satellite or
spacecraft to a launch vehicle, including both planning and onsite
support, or furnishing any assistance (including training) in the
launch failure analysis or investigation for items in ECCN 9A515.a,
are ``subject to the ITAR.'' All other ``spacecraft,'' as enumerated
below and defined in Sec. 772.1, are subject to the controls of
this ECCN. See also ECCNs 3A001, 3A002, 3A991, 3A992, 6A002, 6A004,
6A008, and 6A998 for specific ``space-qualified'' items, 7A004 and
7A104 for star trackers, and 9A004 for the International Space
Station (ISS), the James Webb Space Telescope (JWST), and
``specially designed'' ``parts'' and ``components'' therefor. See
USML Category XI(c) for controls on ``Monolithic Microwave
Integrated Circuit'' (``MMIC'') amplifiers that are ``specially
designed'' for defense articles. See ECCN 9A610.g for pressure suits
used for high altitude aircraft.
Related Definitions: `Microcircuit' means a device in which a number
of passive or active elements are considered as indivisibly
associated on or within a continuous structure to perform the
function of a circuit.
Items:
``Spacecraft'' and other items described in ECCN 9A515 remain
subject to the EAR even if exported, reexported, or transferred (in-
country) with defense articles ``subject to the ITAR'' integrated
into and included therein as integral parts of the item. In all
other cases, such defense articles are subject to the ITAR. For
example, a 9A515.a ``spacecraft'' remains ``subject to the EAR''
even when it is exported, reexported, or transferred (in-country)
with a ``hosted payload'' described in USML Category XV(e)(17)
incorporated therein. In all other cases, a ``hosted payload''
performing a function described in USML Category XV(a) always
remains a USML item. The removal of the defense article subject to
the ITAR from the spacecraft is a retransfer under the ITAR and
would require an ITAR authorization, regardless of the CCL
authorization the spacecraft is exported under. Additionally,
transfer of technical data regarding the defense article subject to
the ITAR integrated into the spacecraft would require an ITAR
authorization.
a. ``Spacecraft,'' including satellites, and space vehicles,
whether designated developmental, experimental, research or
scientific, not enumerated in USML Category XV or described in ECCN
9A004.u or .w, that:
a.1. Have electro-optical remote sensing capabilities and having
a clear aperture greater than 0.35 meters, but less than or equal to
0.50 meters;
a.2. Have remote sensing capabilities beyond NIR (i.e., SWIR,
MWIR, or LWIR);
a.3. Have radar remote sensing capabilities (e.g., AESA, SAR, or
ISAR) having a center frequency equal to or greater than 1.0 GHz,
but less than 10.0 GHz and having a bandwidth equal to or greater
than 100 MHz, but less than 300 MHz;
a.4. Provide space-based logistics, assembly, or servicing of
another ``spacecraft''; or
a.5. Are not described in ECCN 9A515.a.1, .a.2, .a.3 or .a.4.
Note: ECCN 9A515.a includes commercial communications
satellites, remote sensing satellites, planetary rovers, planetary
and interplanetary probes, and in-space habitats, not identified in
ECCN 9A004 or USML Category XV(a).
b. Ground control systems and training simulators ``specially
designed'' for telemetry, tracking, and control of the
``spacecraft'' controlled in paragraphs 9A004.u or 9A515.a.
c. [Reserved]
[[Page 38817]]
d. Microelectronic circuits (e.g., integrated circuits,
microcircuits, or MOSFETs) and discrete electronic components rated,
certified, or otherwise specified or described as meeting or
exceeding all the following characteristics and that are ``specially
designed'' for defense articles, ``600 series'' items, or items
controlled by ECCNs 9A004.v or 9A515:
d.1. A total dose of 5 x 10\5\ Rads (Si) (5 x 10\3\ Gy (Si));
d.2. A dose rate upset threshold of 5 x 10\8\ Rads (Si)/sec (5 x
10\6\ Gy (Si)/sec);
d.3. A neutron dose of 1 x 10\14\ n/cm\2\ (1 MeV equivalent);
d.4. An uncorrected single event upset sensitivity of 1 x
10-10 errors/bit/day or less, for the CR[Egrave]ME-MC
geosynchronous orbit, Solar Minimum Environment for heavy ion flux;
and
d.5. An uncorrected single event upset sensitivity of 1 x
10-3 errors/part or less for a fluence of 1 x 10\7\
protons/cm\2\ for proton energy greater than 50 MeV.
e. Microelectronic circuits (e.g., integrated circuits,
microcircuits, or MOSFETs) and discrete electronic components that
are rated, certified, or otherwise specified or described as meeting
or exceeding the characteristics in either paragraph e.1 or e.2, AND
``specially designed'' for defense articles controlled by USML
Category XV or items controlled by ECCNs 9A004.u or 9A515:
e.1. A total dose >=1 x 10\5\ Rads (Si) (1 x 10\3\ Gy(Si)) and
<5 x 10\5\ Rads (Si) (5 x 10\3\ Gy(Si)); and a single event effect
(SEE) (i.e., single event latchup (SEL), single event burnout (SEB),
or single event gate rupture (SEGR)) immunity to a linear energy
transfer (LET) >=80 MeV-cm2/mg; or
e.2. A total dose >=5 x 10\5\ Rads (Si) (5 x 10\3\ Gy (Si)) and
not described in 9A515.d.
Note 1 to 9A515.d and .e: Application specific integrated
circuits (ASICs), integrated circuits developed and produced for a
specific application or function, specifically designed or modified
for defense articles and not in normal commercial use are controlled
by Category XI(c) of the USML regardless of characteristics.
Note 2 to 9A515.d and .e: See 3A001.a for controls on radiation-
hardened microelectronic circuits ``subject to the EAR'' that are
not controlled by 9A515.d or 9A515.e.
f. Pressure suits (i.e., space suits) capable of operating at
altitudes 55,000 feet above sea level.
g. Remote sensing components ``specially designed'' for
``spacecraft'' described in ECCNs 9A515.a.1 through 9A515.a.4 as
follows:
g.1. Space-qualified optics (i.e., lens, mirror, membrane having
active properties (e.g., adaptive, deformable)) with the largest
lateral clear aperture dimension equal to or less than 0.35 meters;
or with the largest clear aperture dimension greater than 0.35
meters but less than or equal to 0.50 meters;
g.2. Optical bench assemblies ``specially designed'' for ECCN
9A515.a.1, 9A515.a.2, 9A515.a.3, or 9A515.a.4 ``spacecraft;'' or
g.3. Primary, secondary, or hosted payloads that perform a
function of ECCN 9A515.a.1, 9A515.a.2, 9A515.a.3, or 9A515.a.4
``spacecraft.''
h. through w. [Reserved]
x. ``Parts,'' ``components,'' ``accessories'' and
``attachments'' that are ``specially designed'' for defense articles
controlled by USML Category XV or items controlled by 9A515, and
that are NOT:
x.1. Enumerated or controlled in the USML or elsewhere within
ECCNs 9A515 or 9A004;
x.2. Microelectronic circuits and discrete electronic
components;
x.3. Described in ECCNs 7A004 or 7A104;
x.4. Described in an ECCN containing ``space-qualified'' as a
control criterion (i.e., 3A001.b.1, 3A001.e.4, 3A002.g.1, 3A991.o,
3A992.b.3, 6A002.a.1, 6A002.b.2, 6A002.d.1, 6A004.c and .d,
6A008.j.1, 6A998.b, or 7A003.d.2);
x.5. Microwave solid state amplifiers and microwave assemblies
(refer to ECCN 3A001.b.4 for controls on these items);
x.6. Travelling wave tube amplifiers (refer to ECCN 3A001.b.8
for controls on these items); or
x.7. Elsewhere specified in ECCN 9A515.y.
Note to 9A515.x: ``Parts,'' ``components,'' ``accessories,'' and
``attachments'' specified in USML subcategory XV(e) or enumerated in
other USML categories are subject to the controls of that paragraph
or category.
y. Items that would otherwise be within the scope of ECCN
9A515.x but that have been identified in an interagency-cleared
commodity classification (CCATS) pursuant to Sec. 748.3(e) as
warranting control in 9A515.y.
y.1. Discrete electronic components not specified in 9A515.e;
and
y.2. Space grade or for spacecraft applications thermistors;
y.3. Space grade or for spacecraft applications RF microwave
bandpass ceramic filters (Dielectric Resonator Bandpass Filters);
y.4. Space grade or for spacecraft applications hall effect
sensors;
y.5. Space grade or for spacecraft applications subminiature
(SMA and SMP) plugs and connectors, TNC plugs and cable and
connector assemblies with SMA plugs and connectors; and
y.6. Space grade or for spacecraft applications flight cable
assemblies.
0
58. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 9, ECCN 9B002 is revised to read as follows:
9B002 On-line (real time) control systems, instrumentation
(including sensors) or automated data acquisition and processing
equipment, having all of the following (see List of Items
Controlled).
License Requirements
Reason for Control: NS, MT, AT
Country chart (see Supp. No.
Control(s) 1 to part 738)
NS applies to entire entry................ NS Column 1
MT applies to equipment for engines MT Column 1
controlled under 9A001 for MT reasons and
for engines controlled under 9A101.
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, except N/A for MT
GBS: Yes, except N/A for MT
CIV: Yes, except N/A for MT
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items:
a. ``Specially designed'' for the ``development'' of gas turbine
engines, assemblies, ``parts'' or ``components''; and
b. Incorporating any of the ``technologies'' controlled by
9E003.h or 9E003.i.
0
59. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 9, ECCN 9B009 is revised to read as follows:
9B009 Tooling ``specially designed'' for producing gas turbine
engine powder metallurgy rotor ``parts'' or ``components'' having
all of the following (see List of Items Controlled).
License Requirements
Reason for Control: NS, AT
Country chart (see Supp.
Control(s) No. 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: $5,000
GBS: N/A
CIV: N/A
List of Items Controlled
Related Controls: See 9B002.
Related Definitions: N/A
Items:
a. Designed to operate at stress levels of 60% of Ultimate
Tensile Strength (UTS) or more measured at a temperature of 873 K
(600 [deg]C); and
b. Designed to operate at a temperature of 873 K (600 [deg]C) or
more.
Note: 9B009 does not specify tooling for the production of
powder.
0
60. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 9, ECCN 9E003 is revised to read as follows:
[[Page 38818]]
9E003 Other ``technology'' as follows (see List of Items
Controlled).
License Requirements
Reason for Control: NS, SI, AT
Country chart (see Supp.
Control(s) No. 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)
CIV: N/A
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 1,883K (1,610 [deg]C);
a.2.b. Non-metallic liners;
a.2.c. Non-metallic shells; or
a.2. d. Liners designed to operate at `combustor exit
temperature' exceeding 1,883K (1,610 [deg]C) and having holes that
meet the parameters specified by 9E003.c;
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 Notes:
1. `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.
2. The term `steady state mode' defines engine operation
conditions, where the engine parameters, such as thrust/power, rpm
and others, have no appreciable fluctuations, when the ambient air
temperature and pressure at the engine inlet are constant.
a.6. Airfoil-to-disk blade combinations using solid state
joining;
a.7. Gas turbine engine ``parts'' or ``components'' using
``diffusion bonding'' ``technology'' controlled by 2E003.b;
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. Hollow fan blades;
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 propfans, 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'.
[[Page 38819]]
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. Techniques for manufacturing holes in 9E003.c include
``laser'', water jet, Electro-Chemical Machining (ECM) or Electrical
Discharge Machining (EDM) methods.
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;
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.
Supplement No. 6 to Part 774 [Amended]
0
61. Supplement No. 6 to part 774 ``Sensitive List'' is amended by:
0
a. Removing the reference to ``and .d'' in paragraph (1)(iii) and
``1C007.d'' in paragraphs (1)(vi) and (1)(vii);
0
b. Removing the phrase ``exceeding 12.5'' and adding in its place
``exceeding 16'' in paragraphs (4)(ii) and (4)(iii);
0
c. Removing the term ``user accessible programmability'' and adding in
its place ``user-accessible programmability'' in paragraphs (6)(v) and
(6)(viii);
0
d. Adding double quotes around the term ``Magnetic gradiometers'' in
paragraph (6)(xxiv)(C);
0
e. Adding double quotes around the word ``magnetometers'' in paragraph
(6)(xxv);
0
f. Removing and reserving paragraph (9)(viii);
0
g. Revising paragraph (9)(ix); and
0
h. Adding paragraph (9)(x).
The additions and revisions read as follows:
Supplement No. 6 to Part 774--Sensitive List
* * * * *
(9) Category 9
* * * * *
(ix) 9E003.a.1 to a.5, a.8.
(x) 9E003.h.
Matthew S. Borman,
Deputy Assistant Secretary for Export Administration.
[FR Doc. 2017-16904 Filed 8-14-17; 8:45 am]
BILLING CODE 3510-33-P
