December 2004 Wassenaar Arrangement Plenary Agreement Implementation: Categories 1, 2, 3, 4, 5 Part I (Telecommunications), 6, 7, 8, and 9 of the Commerce Control List; Wassenaar Reporting Requirements; Definitions; and Certain New or Expanded Export Controls, 41094-41121 [05-13581]
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DEPARTMENT OF COMMERCE
Bureau of Industry and Security
15 CFR Parts 740, 742, 743, 772 and
774
[Docket No. 050607153–5153–01]
RIN 0694–AD41
December 2004 Wassenaar
Arrangement Plenary Agreement
Implementation: Categories 1, 2, 3, 4,
5 Part I (Telecommunications), 6, 7, 8,
and 9 of the Commerce Control List;
Wassenaar Reporting Requirements;
Definitions; and Certain New or
Expanded Export Controls
Bureau of Industry and
Security, Commerce.
ACTION: Final rule.
AGENCY:
SUMMARY: The Bureau of Industry and
Security (BIS) maintains the Commerce
Control List (CCL), which identifies
items subject to Department of
Commerce export controls. This final
rule revises certain entries controlled for
national security reasons in Categories
1, 2, 3, 4, 5 Part I (telecommunications),
6, 7, 8, and 9, and Definitions to
conform with changes in the Wassenaar
Arrangement’s List of Dual-Use Goods
and Technologies and Statements of
Understanding 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). The
Wassenaar Arrangement focuses on
implementation of effective export
controls on strategic items with the
objective of improving regional and
international security and stability.
The purpose of this final rule is to
make the necessary changes to the CCL,
definitions of terms used in the Export
Administration Regulations (EAR), and
Wassenaar reporting requirements to
implement Wassenaar List revisions that
were agreed upon in the December 2004
Wassenaar Arrangement Plenary
Meeting. In addition, this rule adds
Slovenia to the list of Wassenaar
member countries in the EAR.
This rule also adds or expands
unilateral U.S. controls on certain items
consistent with the amendments made
to implement the Wassenaar
Arrangement’s decisions.
DATES: Effective Date: This rule is
effective July 15, 2005.
FOR FURTHER INFORMATION CONTACT: For
questions of a general nature contact
Sharron Cook, Office of Exporter
Services, Bureau of Industry and
Security, U.S. Department of Commerce
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at (202) 482–2440 or e-mail:
scook@bis.doc.gov.
For questions of a technical nature
contact:
Category 1: Bob Teer 202–482–4749
Category 2: George Loh 202–482–3570
Category 3: Brian Baker 202–482–5534
Category 4 and 5 part 1: Joe Young 202–
482–4197
Category 5 part 2: Norm La Croix 202–
482–4439
Category 6: Chris Costanzo (night
vision) 202–482–0718 or Wayne
Hovis (lasers) 202–482–1837
Categories 7 and 8: Dan Squire 202–
482–3710
Categories 8 and 9: Gene Christensen
202–482–2984
SUPPLEMENTARY INFORMATION:
Background
In July 1996, the United States and
thirty-three other countries gave final
approval to the establishment of a new
multilateral export control arrangement,
called the Wassenaar Arrangement on
Export Controls for Conventional Arms
and Dual-Use Goods and Technologies
(Wassenaar Arrangement). The
Wassenaar Arrangement contributes 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 of such
items. Participating states have
committed to exchange information on
exports of dual-use goods and
technologies to non-participating states
for the purposes of enhancing
transparency and assisting in
developing common understandings of
the risks associated with the transfers of
these items.
Addition of Slovenia
Slovenia was welcomed as a new
Participating State to the Wassenaar
Arrangement at the December 2004
Plenary Meeting. To reflect this change,
this rule adds Slovenia to the list of
Wassenaar Arrangement member
Countries in Supplement No. 1 to part
743.
Expansion or New Export Controls
New or expanded antiterrorism (AT)
controls imposed by this rule. This rule
imposes a unilateral U.S. license
requirement to export and reexport
commodities (and related software and
technology) controlled under ECCNs
6A001.a.2.a.3.b, 6A001.a.2.a.3.c,
6A001.a.2.a.6, 6A002.a.3.f, 6A003.b.4.b,
7A002.b for AT reasons to Cuba, Iran,
Libya, North Korea, Sudan and Syria, in
addition to the national security
controls imposed to implement the
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Wassenaar Arrangement’s decisions.
There is a general policy of denial for
applications to terrorism supporting
countries, as set forth in part 742. In
addition, certain of these countries are
also subject to embargoes, as set forth in
part 746. A license is also required for
the export and reexport of these items
to specially designated terrorists and
foreign terrorist organizations, as set
forth in part 744; license applications to
these parties are reviewed under a
general policy of denial.
New or expanded regional security
(RS) controls imposed by this rule. This
rule also imposes a unilateral U.S.
license requirement to export and
reexport commodities (and related
technology) controlled under ECCNs
6A002.a.3.f and 6A003.b.4.b for RS
reasons to all countries, except Canada,
in addition to the national security
controls imposed to implement the
Wassenaar Arrangement’s decisions.
These destinations have an ‘‘X’’
indicated in RS column 1 on the
Commerce Country Chart of
Supplement No. 1 to part 738.
Applications to export and reexport
these commodities will be reviewed on
a case-by-case basis to determine
whether the export or reexport could
contribute directly or indirectly to any
country’s military capabilities in a
manner that would alter or destabilize a
region’s military balance contrary to the
foreign policy interests of the United
States. For designated terrorismsupporting countries, the applicable
licensing policies are found in parts 742
and 746 of the EAR.
New or expanded United Nations
(UN) controls imposed by this rule. This
rule also imposes a license requirement
to export and reexport commodities
(and related technology) controlled
under ECCN 6A002.a.3.f for UN reasons
to Rwanda in addition to the national
security controls imposed to implement
the Wassenaar Arrangement’s decisions.
The U.S. Government has a general
policy of denial for export or reexport of
certain items, including 6A002.a.3, to
Rwanda. However, proposed exports or
reexports to the Government of Rwanda
are reviewed on a case-by-case basis.
The implementation of UN controls
under 6A002.a.3.f, indirectly expands
the UN controls under ECCNs
6A003.b.4, 6E001, and 6E002.
New or expanded NS Column 2
controls imposed by this rule. This rule
imposes a license requirement under
section 742.4(a) of the EAR for exports
and reexports of commodities (and
related software and technology)
described in ECCNs 6A001.a.2.a.3.b,
6A001.a.2.a.3.c, 6A001.a.2.a.6,
6A002.a.3.f, and 6A003.b.4.b to all
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destinations that are not Country Group
A:1 or cooperating countries (see
Supplement No. 1 to part 740). These
destinations have an ‘‘X’’ indicated in
NS column 2 on the Commerce Country
Chart of Supplement No. 1 to part 738.
The purpose of the controls is to ensure
that these items do not make a
contribution to the military potential
that would prove detrimental to the
national security of the United States.
New or expanded NS Column 1
controls imposed by this rule. This rule
imposes a license requirement under
section 742.4(a) of the EAR for exports
and reexports of commodities (and
related software and technology)
described in ECCN 7A002.b to all
destinations, except Canada. These
destinations have an ‘‘X’’ indicated in
NS column 1 on the Commerce Country
Chart of Supplement No. 1 to part 738.
The purpose of the controls is to ensure
that these items do not make a
contribution to the military potential
that would prove detrimental to the
national security of the United States.
The licensing policy for national
security controlled items exported or
reexported to any country except a
country in Country Group D:1 (see
Supplement No. 1 to part 740) is to
approve applications unless there is a
significant risk that the items will be
diverted to a country in Country Group
D:1. The general policy for exports and
reexport of items to Country Group D:1
is to approve applications when BIS
determines, on a case-by-case basis, that
the items are for civilian use or would
otherwise not make a significant
contribution to the military potential of
the country of destination that would
prove detrimental to the national
security of the United States.
This rule revises a number of entries
on the Commerce Control List (CCL) to
conform with the December 2004 agreed
revisions to the Wassenaar List of DualUse Goods and Technologies. This rule
also revises language to provide a
complete or more accurate description
of controls. A description of the specific
amendments to the CCL pursuant to the
December 2004 Wassenaar Agreement is
provided below. The ECCNs affected, as
described below, are 1C008, 2B001,
2B005, 2B006, 2B201, 3A001, 3A001,
3A002, 3B001, 3B002, 3B991, 3B992,
4D001, 4E001, 5A001, 6A001, 6A002,
6A003, 6A006, 6A993, 6A996, 6E001,
6E002, 6E003, 6E991, 6E993, 7A002,
7A007, 8A002, and 9A001.
Category 1—Materials, Chemicals,
‘‘Microorganisms,’’ and Toxins
ECCN 1C008 is amended by:
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(a) Deleting the phrase ‘‘determined
using the dry method described in
ASTM D 3418’’ from 1C008.a.4;
(b) Replacing the phrase ‘‘ASTM D–
648, method A’’ with the phrase ‘‘ISO
75–3 (2004)’’ in 1C008.b;
(c) Adding the phrase ‘‘having a glass
transition temperature (Tg) exceeding
513 K (240 °C)’’ to the end of 1C008.f;
and
(d) Replacing the phrase ‘‘ASTM D
3418 using the dry method’’ with the
phrase ‘‘ISO 11357–2 (1999) or national
equivalents’’ in the technical note to
1C008.
The amendments in 1C008 were
agreed to by the Wassenaar
Arrangement for consistency and to
avoid differing treatment of resins
having the same applications and
functional capabilities. The plastic
resins that are controlled under
1C008.a.4 are extremely similar to those
controlled under 1C008.f. The
characteristics of these two types of
resins allow them to be used
interchangeably for the same end-uses.
The resins under 1C008.a.4 are
controlled differently than those under
1C008.f. This has created a marketing
distortion which favors the resins
controlled under 1C008.a.4. This rule
clarifies the distinction in the control of
these resins by including a glass
transition temperature for items
described in 1C008.f.
Category 2—Materials Processing
ECCN 2B001 is amended by:
(a) Removing the Note to 2B001.a
regarding the contact lens turning
machines exception and placing it
under the NS Reason for Control; and
(b) Revising Note 2 to 2B001.c
regarding what jig grinders are not
controlled by ECCN 2B001.
Although the Wassenaar Arrangement
agreed to not control under 2B001.c
grinding machines that are ‘‘designed
specifically as jig grinders that do not
have a z-axis or w-axis, with a
positioning accuracy with ‘all
compensations available’ less (better)
than 3 µm according to ISO 230/2 (1997)
or national equivalents,’’ Technical Note
6 at the beginning of Category 2 Product
Group B states that ‘‘The positioning
accuracy of ‘numerically controlled’
machine tools is to be determined and
presented in accordance with ISO 230/
2 (1988).’’ Therefore, in Note 2 to
2B001.c BIS has replaced the ‘‘3 µm’’
with ‘‘4 µm,’’ which is the equivalent
positioning accuracy under the 1988
standard.
The amendments to ECCN 2B001
were agreed to by the Wassenaar
Arrangement because many of the latest
generation jig grinders today utilize a
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Computer Numerical Controller (CNC)
to control and coordinate 3 or more
axes. The wording of the Note to
2B001.c could be interpreted to release
3- or more axes jig grinders with full
CNC contouring control if a c- or an aaxis, as listed in 2B001.c Note 2, is
added to their current capabilities. This
was not the original intent of the Note.
The revisions presented in this rule
clarify that jig grinders with precise 3dimensional contouring capability are
controlled, because of their capacity to
produce high-precision, complex
military components. The revision
limits the exclusion by placing accuracy
parameters on the third linear axis (z or
w).
ECCN 2B005 is amended by removing
the term ‘‘stored program controlled’’
from paragraphs 2B005.a, .b, .c, .d, .e, .f,
and .g. ECCN 2B006 is amended by
removing the term ‘‘stored program
controlled’’ from paragraph 2B006.a.
This term is removed because most
equipment is computer controlled now
and the term no longer adds any value
to the control.
ECCN 2B201 is amended by revising
the list of items controlled by
redesignating paragraphs (a) and (b) as
paragraphs (b) and (c) and adding a new
paragraph (a) that describes machine
tools with ‘‘positioning accuracies’’ to
mirror 1.B.2.a and the Note to 1.B.2.a
from the Nuclear Suppliers Group
INFCIRC/254/Rev. 5/Part 2 dated May
2003. This amendment is being added to
conform with the Wassenaar
Arrangement’s exclusion note for
turning machines specially designed for
the production of contact lenses and
capable of machining diameters greater
than 35 mm in 2B001. Also, because of
the structure of the numbering system
for ECCNs in the CCL, an item (such as
the item covered under ECCN 2B201)
which is controlled for NP reasons but
not NS reasons cannot remain in an NScontrolled ECCN where the second digit
is a ‘‘0’’ (2B001), because ‘‘0’’ indicates
that an item is controlled for NS
reasons. The second digit differentiates
individual CCL entries by identifying
the type of controls associated with the
items contained in the entry. (For
example, zero indicates NS controls,
one MT controls, two NP controls, etc.)
Category 3—Electronics
ECCN 3A001 is amended by:
(a) Revising paragraph 3A001.a.3.c for
microprocessor microcircuits, microcomputer microcircuits, and
microcontroller microcircuits by
increasing the controlling number of
data or instruction bus or serial
communication ports from ‘‘one’’ to
‘‘three,’’ and increasing the direct
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external interconnection between
parallel microprocessor microcircuits
from a transfer rate exceeding ‘‘150
Mbyte/s’’ to ‘‘1000 Mbyte/s or greater.’’
The Wassenaar Arrangement agreed to
raise the threshold for the number of
ports to three and the transfer rate to
1000 Mbyte/s in 3A001.a.3.c because
these thresholds will not adversely
affect national security, as the new
thresholds fall just below what is
currently being used in some military
systems.
The revision to 3A001.a.3.c will
expand the availability of License
Exception CIV for deemed exports of
technology for the development or
production of 3A001.a.3.c commodities,
as described in 3E001.
(b) Revising the control parameter of
conversion time to output word rate to
reduce control interpretation
ambiguities across various analog-todigital (A–D) architectures. The
conversion time parameter did not take
into account latency or techniques used
to perform conversions. Therefore, this
rule revises paragraph 3A001.a.5.a for
A–D converter integrated circuits by:
(b.1) Splitting 3A001.a.5.a.1 into two
separate ranges of resolution with
different controlling output parameters:
‘‘A resolution of 8 bit or more, but less
than 10 bit, with an output rate greater
than 500 million words per second;’’
and ‘‘A resolution of 10 bit or more, but
less than 12 bit, with an output rate
greater than 200 million words per
second;’’
(b.2) Revising the controlling
parameter in 3A001.a.5.a.3 for A–D
converter integrated circuits with a
resolution of 12 bit from ‘‘with a total
conversion time of less than 20 ns’’ to
‘‘with an output rate greater than 50
million words per second;’’
(b.3) Revising the controlling
parameter in 3A001.a.5.a.4 for A–D
converter integrated circuits with a
resolution of more than 12 bit but equal
to or less than 14 bit from a ‘‘total
conversion time of less than 200 ns;’’ to
an ‘‘output rate greater than 5 million
words per second;’’
(b.4) Revising the controlling
parameter in 3A001.a.5.a.5 for A–D
converter integrated circuits with a
resolution of more than 14 bit from ‘‘a
total conversion time of less than 1 µs’’
to an ‘‘output rate greater than 1 million
words per second.’’
(c) Replacing the explanation for
‘‘total conversion time’’ in Technical
Note 2 with explanations ‘‘for number of
bits in the output word’’ and ‘‘output
rate’’ in the new Technical Notes 2
through 4. This change was made
pursuant to agreed definition
clarifications made at the Plenary
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Meeting to be consistent with changes to
the control parameters for AnalogDigital Converters.
The amendments to 3A001.a.5.a were
agreed to by the Wassenaar
Arrangement because the use of
conversion time and sample rate metrics
are not consistent across different
Analog-Digital Converter (ADC)
architectures. The revisions in this rule
update the control parameter to account
for changes on the architectures of
ADCs—specifically pipelined converters
and sigma delta converters—where
conversion time and sampling rate are
not appropriate indicators of a
converter’s capabilities.
ECCN 3A002 is amended by:
(a) Removing a comma in 3A002.b to
conform to the Wassenaar Dual-use List;
and
(b) Redesignating 3A002.c.2 as new
paragraph 3A002.c.3 and revising
3A002.c.1 by splitting it into two
paragraphs 3A002.c.1 and new
3A002.c.2:
(a.1) Paragraph 3A002.c.1 is revised
by adding a new parameter ‘‘having a 3
dB resolution bandwidth (RBW)
exceeding 10 MHz’’ for signal analyzers
capable of analyzing any frequencies
exceeding 31.8 GHz but not exceeding
37.5 GHz.
(a.2) New paragraph 3A002.c.2
controls signal analyzers capable of
analyzing frequencies exceeding 43.5
GHz, which used to be controlled in
3A002.c.1.
The amendments to 3A002.c were
agreed to by the Wassenaar
Arrangement to revise the decontrol to
certain signal analyzers by replacing the
31.8–37.5 GHz range frequency blackout
that was agreed to in December 2002
with controls based on resolution
bandwidth. This action is
complementary to and consistent with
the controls on signal generators agreed
to by the Wassenaar Arrangement in
December 2003.
ECCN 3B001 is amended by:
(a) Revising the dimensions parameter
for anisotropic plasma dry etching
equipment with cassette-to-cassette
operation and load-locks from ‘‘0.3 µm
or less’’ to 180 nm or less’’ in
3B001.c.1.a;
(b) Revising the dimensions parameter
for anisotropic plasma dry etching
equipment specially designed for
equipment controlled by 3B001.e from
‘‘0.3 µm or less’’ to ‘‘180 nm or less’’ in
3B001.c.2.a;
(c) Revising the wavelength parameter
for lithography equipment from ‘‘350
nm’’ to ‘‘245 nm’’ in 3B001.f.1.a;
(d) Revising the minimum resolvable
feature size for lithograph equipment
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from ‘‘0.35 µm’’ to ‘‘180 nm’’ in
3B001.f.1.b; and
(e) Revising the K factor of the MRF
formula in the Technical Note from
‘‘0.7’’ to ‘‘0.45.’’
The Wassenaar Arrangement agreed to
the revisions in 3B001 because
consensus was reached regarding PE–
CVD equipment controlled by
3B001.d.1, one of the thresholds,
‘‘critical dimensions,’’ was relaxed to
180 nm. ‘‘Critical dimensions’’ or
‘‘feature size’’ do not directly indicate
the performance of PE–CVD equipment;
however, they are related to the ‘‘design
rule’’ of the semiconductor devices. In
order to unify as much as possible in
other provisions of 3B001, 180 nm was
adopted in other relevant corresponding
entries of the list for consistency. In
order for the relaxation under 3B001.d.1
to be effective, revisions had to be made
accordingly to 3B001.f.1.a (because the
light source of KrF steppers are 248nm).
In addition, the Technical Note to
3B001.f.1.b is revised because the level
of K-factor has become lower based on
the recent technological developments,
e.g., the K-factor of most current
lithography equipment is less than 0.45.
Commodities no longer controlled
under ECCN 3B001 continue to be
controlled for antiterrorism reasons
under ECCN 3B991.b.2.f for exports and
reexports to designated terrorismsupporting countries, as set forth in
parts 742 and 746 of the EAR and as
indicated in AT Column 1 of the
Commerce Country Chart.
ECCN 3B002 is amended by removing
the term ‘‘stored program controlled’’
from the heading. This term is removed
because most equipment is computer
controlled now and the term no longer
adds any value to the control. ECCN
3B002 is further amended by removing
and reserving 3B002.b, including the
Note and Technical Note. The
Wassenaar Arrangement agreed to the
removal of 3B002.b because although
enhancing production efficiencies,
semiconductor test equipment in 3B002
is not considered to be a choke point
technology or a key enabler for
semiconductor production. This type of
testing equipment lowers manufacturing
costs and increases output but does not
otherwise provide semiconductor
producers with the ability to create
particular chips or technically advanced
devices. Restricting test equipment also
does not prevent the production of
semiconductors targeted for military
use. In addition, the most advanced
semiconductor devices can be produced
without requiring full speed testing on
automatic test equipment. Moreover,
test services have become readily
available through international test
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outsourcing companies. Semiconductors
can be developed and manufactured in
one country and then tested in other
countries with no restrictions.
ECCN 3B991 is amended by adding
the words ‘‘e.g., lithography’’ to
3B991.b.2.f, to clarify that lithography
equipment is controlled under that
paragraph.
ECCN 3B992 is amended by:
(a) Organizing the notes after
3B992.b.4.b, and adding a note that
3B992.b.4.b does not control test
equipment specially designed for testing
memories; and
(b) Adding a technical note to define
‘‘pattern rate.’’
Commodities no longer controlled
under ECCN 3B002 continue to be
controlled for antiterrorism reasons
under ECCN 3B992 for exports and
reexports to designated terrorismsupporting countries, as set forth in
parts 742 and 746 of the EAR and as
indicated in AT Column 1 of the
Commerce Country Chart.
Category 4—Computers
ECCN 4A003 is amended by making
an editorial correction, removing a
reference to ‘‘4A003.d’’ in Note 1 to
4A003.c.
ECCN 4A994 is amended by making
an editorial correction, clarifying the
reference to ‘‘4A994’’ to read ‘‘4A994.g
and 4A994.k’’ in Note 1 to 4A994.c.
ECCN 4D001 is amended by:
(a) Removing the License
Requirement Note that provided a
reference to Wassenaar reporting
requirements for computer software
under ECCN 4D001, because this rule
removed this Wassenaar reporting
requirement.
(b) Raising the CTP limit from ‘‘33,000
MTOPS’’ to ‘‘190,000 MTOPS’’ in the
License Exception TSR eligibility
paragraph under the License Exception
section of ECCN 4D001.
(c) Raising the composite theoretical
performance (CTP) control threshold for
software for the production,
development, or use of computers from
‘‘28,000 MTOPS’’ to ‘‘75,000 MTOPS’’
in 4D001.b.1.
ECCN 4E001 is amended by:
(a) Removing the License
Requirement Note that provided a
reference to Wassenaar reporting
requirements for computer technology
under ECCN 4E001, because this rule
removed this Wassenaar reporting
requirement.
(b) Raising the CTP limit from ‘‘33,000
MTOPS’’ to ‘‘190,000 MTOPS’’ in the
License Exception TSR eligibility
paragraph under the License Exception
section of 4E001.
(c) Raising the composite theoretical
performance (CTP) control threshold for
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technology for the production,
development, or use of computers from
‘‘28,000 MTOPS’’ to ‘‘75,000 MTOPS’’
in 4E001.b.1.
The amendments to 4D001 and 4E001
were agreed to in the Wassenaar
Arrangement because digital computers
capable of either 75,000 or 190,000
MTOPS are becoming more common.
The Wassenaar Arrangement recognized
this with its decontrol of hardware to
190,000 MTOPS. Most of the multiprocessor computer servers sold in this
range are for commercial applications. It
is for these reasons that the Wassenaar
Arrangement removed computer
technology and software from the
Annex 2 (Very Sensitive List), raised the
Annex 1 (Sensitive List) threshold from
‘‘150,000 MTOPS’’ to ‘‘190,000
MTOPS,’’ and raised the control
threshold from ‘‘33,000 MTOPS’’ to
‘‘75,000 MTOPS.’’ Therefore, this rule
revises to the CTP limit for License
Exception TSR eligibility in ECCNs
4D001 and 4E001 accordingly.
BIS expects that the raising of the
threshold for computer software and
technology in 4D001 and 4E001, along
with raising the eligibility limit for
License Exceptions TSR and CTP will
decrease the number of Category 4
license applications received by BIS by
about 15 percent (i.e., 150 applications)
over the next 6 months.
Software and technology no longer
controlled under ECCNs 4D001 and
4E001 continue to be controlled for
antiterrorism reasons under ECCN
4D994 and 4E992, respectively, for
exports and reexports to designated
terrorism-supporting countries, as set
forth in parts 742 and 746 of the EAR
and as indicated in AT Column 1 of the
Commerce Country Chart.
5A001.e is subject to the export
licensing authority of the Department of
State, Directorate of Defense Trade
Controls (22 CFR part 121).’’ Direction
finding equipment defined in 5A001.e is
specifically excluded from eligibility for
License Exceptions LVS, GBS, and CIV,
because this equipment will remain
under the jurisdiction of the Department
of State, Directorate of Defense Trade
Controls.
ECCN 7A007 is moved to 5A001.e to
ensure that direction-finding equipment
for navigation is not confused with
direction-finding equipment for
surveillance. Direction finding
equipment defined in 5A001.e is subject
to the export licensing authority of the
Department of State, Directorate of
Defense Trade Controls (22 CFR part
121), because radio surveillance
equipment and systems capable of
finding the line-of-bearing (LOB) to a
radio transmitter are used in tactical
applications for locating and targeting
hostile emitters. Historically, direction
finding equipment for surveillance
equipment has been controlled under
International Munitions List (IML)
Category 11. However, the International
Telecommunications Union Spectrum
Monitoring Handbook recommends that
civil spectrum authorities employ radiosurveillance direction finding systems
(DF) capable of finding the LOB to
emitters with signals with a duration of
less than 10 milliseconds. Systems
which meet and exceed this threshold
are marketed for this purpose,
indicating that surveillance equipment
and systems for locating noncooperating emitters may be becoming
more dual-use in nature, even though it
is still of tactical interest.
Category 5—Part I—
Telecommunications
ECCN 5A001 is amended by:
(a) Raising the operating frequency for
electronically steerable phased array
antennae from ‘‘31 GHz’’ to ‘‘31.8 GHz’’
in paragraph 5A001.d.
In 2003, all frequency control units in
Categories 3 and 5 were changed from
31 GHz to 31.8 GHz, except 5.A.1.d.
This revision is a technical correction to
implement a change that was
inadvertently overlooked in 2003.
(b) Moving ECCN 7A007 to 5A001.e—
direction finding equipment operating
at frequencies above 30 MHz, and
having other characteristics set forth in
5A001.e.1 through e.3, and specially
designed components therefor.
This rule adds a note to the Related
Controls paragraph in the List of Items
Controlled section that states,
‘‘Direction finding equipment defined in
ECCN 6A001 is amended by:
(a) Redesignating paragraphs
6A001.a.2.a.2 through 6A001.a.2.a.5, to
6A001.a.2.a.3 through 6A001.a.2.a.6;
This rule revises License Exception
LVS eligibility to harmonize with the
redesignation of these paragraphs.
(b) Revising 6A001.a.2.a.1 to separate
the characteristics for hydrophones into
two paragraphs 6A001.a.2.a.1 and a new
paragraph 6A001.a.2.a.2;
(c) Redesignating paragraph
6A001.a.2.a.3.b as 6A001.a.2.a.3.c and
revising the control language from
‘‘Flexible piezoelectric ceramic
materials’’ to ‘‘Flexible piezoelectric
composites’’ in the newly designated
6A001.a.2.a.3 (used to be 6A001.a.2.a.2);
(d) Adding a new paragraph
6A001.a.2.a.3.b to control ‘‘Piezoelectric
polymer films other than
polyvinylidene-fluoride (PVDF) and its
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co-polymers {P(VDF–TrFE) and P(VDF–
TFE)};’’ and
(e) Adding two new Technical Notes
to 6A001.a.2.a to define ‘‘Piezoelectric
polymer film’’ and ‘‘Flexible
piezoelectric composite.’’
The Wassenaar Arrangement agreed to
the revisions in ECCN 6A001 because
the original intention was not to include
all kinds of semi-rigid assemblies of
discrete sensor elements, but only
sensitive sensor elements constituting a
flexible assembly and thereby making
an array easy to handle.
ECCN 6A002 is amended by:
(a) Adding an N.B. to 6A002.a to state
that 6A002.a includes ‘‘focal plane
arrays’’ based on microbolometer
material (see 6A002.a.3.f), and that
silicon-based ‘‘focal plane arrays’’ are
only specified under 6A002.a.3.f;
(b) Adding a Note Bene to 6A002.a.3
to read as follows: ‘‘N.B. Silicon and
other material based ‘microbolometer’
non ‘‘space-qualified’’ ‘‘focal plane
arrays’’ are only specified in
6A002.a.3.f.’’
(c) Removing paragraph (a) from Note
2 to 6A002.a.3 and redesignating the
other paragraphs accordingly. Paragraph
(a) of Note 2 to 6A002.a.3 stated that
6A002.a.3 does not control silicon
‘‘focal plane arrays’’;
(d) Adding a Note Bene to 6A002.a.3.c
to read ‘‘N.B. Silicon and other material
based ‘microbolometer’ non-‘‘spacequalified’’ ‘‘focal plane arrays’’ are only
specified in 6A002.a.3.f.’’
(e) Adding paragraph 6A002.a.3.f to
control non-‘‘space-qualified’’ nonlinear (2-dimensional) infrared ‘‘focal
plane arrays’’ based on microbolometer
material having individual elements
with an unfiltered response in the
wavelength range equal to or exceeding
8,000 nm but not exceeding 14,000 nm;
and
(f) Adding a technical note for
6A002.a.3.f to define ‘‘microbolometer’’
as a thermal imaging detector that, as a
result of a temperature change in the
detector caused by the absorption of
infrared radiation, is used to generate
any usable signal.
(g) Adding a technical note for
6A002.a.3.f that specifies that
microbolometers having any response
between 8,000 nm and 14,000 nm are
controlled.
The amendments to ECCNs 6A002
and 6A003 (and indirectly 6E001 and
6E002) were agreed to by the Wassenaar
Arrangement because, while silicon
infrared focal plane arrays (SIIRFPAs)
are used in cameras and other systems
for civilian fire fighting, commercial
collision avoidance (e.g. automotive,
aircraft, maritime), predictive/
preventative maintenance, and medical
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imaging applications, they also have the
potential to be used in strategic military
applications including surveillance
systems, vehicle systems, soldier
systems, rifle sights, and unmanned
vehicle systems.
The focal plane array industry is
changing rapidly and needs to be
monitored. The amendments to ECCNs
6A002 and 6A003 are subject to a
Validity Note. Control of these items is
valid until December 5, 2007. Renewal
of controls will require unanimous
consent by all Wassenaar Arrangement
Participating States. Applying a validity
note on these items requires
Participating States to reassess the need
for controlling these items based on
technological developments and
strategic applications.
By interagency agreement, there are
no devices that are no longer controlled
under ECCN 6A002 as a result of these
amendments that merit application of
antiterrorism controls. Therefore, this
rule does not amend ECCN 6A992.
ECCN 6A003 is amended by:
(a) Adding paragraph 6A003.b.4.a to
clarify that imaging cameras
incorporating ‘‘focal plane arrays’’
controlled by 6A002.a.3.a to 6A002.a.3.e
are controlled by 6A003.b.4.a;
(b) Adding paragraph 6A003.b.4.b to
add a control for imaging cameras
incorporating 6A002.a.3.f—non-‘‘spacequalified’’ non-linear (2-dimensional)
infrared ‘‘focal plane arrays’’ based on
microbolometer material having
individual elements with an unfiltered
response in the wavelength range equal
to or exceeding 8,000 nm but not
exceeding 14,000 nm;
(c) Renumbering the existing note as
Note 2 and adding Note 1 to 6A003.b.4
to read ‘‘‘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 analogue or
digital signal once power is supplied.’’;
(d) Adding Note 3 to 6A003.b.4.b to
explain what is not controlled under
6A003.b.4.b. The new note explains that
ECCN 6A003.b.4.b does not control the
following items:
(a) Imaging cameras having a
maximum frame rate equal to or less
than 9 Hz; or
(b) Imaging cameras having a
minimum horizontal or vertical
Instantaneous-Field-of-View (IFOV) of
at least 10 mrad/pixel (milliradians/
pixel), incorporating a fixed focal-length
lens that is not designed to be removed,
not incorporating a direct view display,
having no facility to obtain a viewable
image or designed for a single kind of
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application and designed not to be user
modified; or
(c) Imaging cameras that are specially
designed for installation into certain
civilian passenger land vehicles, and
that incorporate a tamper-proof
mechanism.
A note to this entry states that
detailed information about items must
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.
The intent of this note is to require
exporters in Wassenaar Arrangement
countries to provide detailed technical
data, if requested by their governments,
to assist in making licensing decisions.
Such a procedure is common practice in
the United States, and this note imposes
no additional burden on U.S. exporters.
Certain commodities no longer
controlled under ECCN 6A003, as well
as certain items not previously listed on
the Commerce Control List, are
controlled for antiterrorism reasons
under new ECCN 6A993 for exports and
reexports to designated terrorismsupporting countries, as set forth in
parts 742 and 746 of the EAR and as
indicated in AT Column 1 of the
Commerce Country Chart (see
discussion of 6A993 below).
The revisions to ECCNs 6A002 and
6A003 affect U.S. exporters of imaging
cameras and non-space qualified silicon
infrared focal plane arrays (SIIRFPAs),
original equipment manufacturers who
use non-space qualified SIIRFPAs in
their products, and distributors of these
products and technologies. Based on
discussions with industry, BIS expects
that the imposition of license
requirements on systems that contain
these non-space qualified SIIRFPAs and
related software and technology will
increase the number of Category 6
license applications received by BIS by
more than 40 percent (i.e., 800 to 1000
applications) over the next 6 months.
ECCN 6A006 is amended by:
(a) Splitting 6A006.a (Magnetometers)
into three separate paragraphs:
6A006.a.1 to control those using
superconductive (SQUID) technology,
6A006.a.2 those using optically pumped
or nuclear precession (proton/
Overhauser) technology, and 6A006.a.3
to control those using fluxgate
technology;
(b) Adding the following two
characteristics for 6A006.a.1
(magnetometers using superconductive
(SQUID) technology):
(1) 6A006.a.1.a, which are those that
have SQUID systems designed for
stationary operation with certain
characteristics; and
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(2) 6A006.a.1.b, which are those that
have SQUID systems designed for inmotion operation with certain
characteristics;
Note that this rule removes License
Exception LVS eligibility for
‘‘magnetometers’’ and subsystems
defined in 6A006.a.1, because
magnetometers and subsystems with
these characteristics are utilized in
military applications and 6A006.a.1 is
the old 6A006.h, which is listed on the
Wassenaar Arrangement’s Sensitive List
(Annex 1).
(c) Revising the noise level
(sensitivity) for magnetometers and
subsystems defined using optically
pumped or nuclear precession (proton/
Overhauser) technology, in 6A002.a.2,
from ‘‘lower (better) than 0.05 nT rms
per square root Hz’’ to ‘‘lower (better)
than 20 pT(rms) per square root Hz;
Note also that this rule removes
License Exception LVS eligibility for
‘‘magnetometers’’ and subsystems
defined in 6A006.a.2 using optically
pumped or nuclear precession (proton/
Overhauser) having a ‘‘noise level’’
(sensitivity) lower (better) than 2 pT rms
per square root Hz, because
magnetometers and subsystems with
these characteristics are utilized in
military applications and are therefore
listed on the Wassenaar Arrangement’s
Sensitive List (Annex 1).
(d) Revising the noise level
(sensitivity) for magnetometers and
subsystems using fluxgate technology,
in 6A006.a.3, from ‘‘lower (better) than
0.05 nT rms per square root Hz’’ to
‘‘lower (better) than 10 pT (rms) per
square root Hz at a frequency of 1 Hz;’’
(e) Redesignating 6A006.b (induction
coil magnetometers) and 6A006.c (fiber
optic magnetometers) as 6A006.a.4 and
6A006.a.5;
(f) Redesignating 6A006.d (Magnetic
gradiometers), 6A006.e (Fiber optic
intrinsic magnetic gradiometers),
6A006.f (Intrinsic magnetic
gradiometers other than fiber optic), and
6A006.g (magnetic compensation
systems) as 6A006.b.1, 6A006.b.2,
6A006.b.3, and 6A006.c respectively;
and
(g) Removing 6A006.h
(Superconductive electromagnetic
sensors).
The Wassenaar Arrangement agreed to
the revisions in 6A006 because it makes
no difference what technology is used to
perform a measurement, only the
sensitivity, therefore the specific
technologies were dropped from the
control.
Commodities no longer controlled
under ECCN 6A006, and related
technology no longer controlled under
6E001, continue to be controlled for
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antiterrorism reasons under ECCNs
6A996 and 6E991, respectively, for
exports and reexports to designated
terrorism-supporting countries, as set
forth in parts 742 and 746 of the EAR
and as indicated in AT Column 1 of the
Commerce Country Chart.
ECCN 6A993 is added to EAR to
control for antiterrorism (AT) reasons
imaging cameras no longer controlled
under 6A003.b.4.b (see Note 3 to
6A003.b.4.b). ECCN 6A993 also captures
certain cameras that previously were not
controlled on the CCL such as cameras
incorporating microbolometers made
from amorphous silicon or thermopiles
that fall below the control thresholds for
6A003. The effect of adding this entry
is to require a license to export or
reexport certain low performance
thermal imaging cameras to those
countries determined by the Department
of State to have provided support for
international terrorism.
ECCN 6A996 is amended by revising
the entry to include not only
magnetometers, but also
superconductive electromagnetic
sensors formerly controlled for NS
reasons in 6A006.h.
ECCNs 6E001 and 6E002 are amended
by:
(a) Removing License Exception TSR
eligibility for exports or reexports of
6A001.a.1.b.1 (Object detection or
location systems) to destinations outside
of Austria, Belgium, Canada, Denmark,
Finland, France, Germany, Greece,
Ireland, Italy, Japan, Luxembourg, the
Netherlands, Portugal, Spain, Sweden,
or the United Kingdom, because
6A001.a.1.b.1 is listed on the Wassenaar
Arrangement’s Annex 2 (Very Sensitive
List).
(b) Replacing 6A001.a.2.a.3 with
6A001.a.2.a.4, and adding 6A001.a.2.a.6
to the list of ineligible commodities
under License Exception TSR, because
of the redesignation of paragraphs in
6A001.a.2.a and because these
paragraphs are listed on the Wassenaar
Arrangement’s Annex 2 (Very Sensitive
List).
ECCN 6E003 is amended by removing
ECCN 6E003.f (Technology required for
the development or production of nontriaxial fluxgate magnetometers or nontriaxial fluxgate magnetometer systems),
to conform with a similar change on the
Wassenaar Arrangement list.
Technology no longer controlled under
ECCN 6E003 continues to be controlled
for antiterrorism reasons under ECCN
6E993 for exports and reexports to
designated terrorism-supporting
countries, as set forth in parts 742 and
746 of the EAR and as indicated in AT
Column 1 of the Commerce Country
Chart.
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41099
ECCN 6E991 is amended by making
an editorial correction to the heading,
i.e., revising the phrase ‘‘or use
equipment’’ to read ‘‘or use of
equipment.’’
ECCN 6E993 is amended by:
(a) Revising the ‘‘heading’’ to include
the phrase ‘‘as follows (see List of Items
Controlled)’’ to clarify that 6E993 only
controls the technology in the List of
Items Controlled;
(b) Adding a new paragraph 6E993.c
to control technology for the
development or production of cameras
controlled by 6A993, i.e., those cameras
decontrolled by Note 3 to 6A003.b.4.b;
and
(c) Adding a new paragraph 6E993.d
(formally 6E003.f) to control technology
required for the development or
production of non-triaxial fluxgate
magnetometers or non-triaxial fluxgate
magnetometer systems.
Because technology entries generally
directly correspond to commodity
entries, the shift of commodities from
NS-controlled entries to AT-controlled
entries (e.g., 6A003 to 6A993)
necessitates a corresponding shift in
technology controls (e.g., 6E003 to
6E993).
Category 7—Navigation and Avionics
ECCN 7A002 (Gyros, and angular or
rotational accelerometers) is amended
by:
(a) Revising the time frame in which
drift rate stability is measured from
‘‘over a period of three months’’ to ‘‘over
a period of one month’’ in 7A002.a;
(b) Revising the linear acceleration
level from ‘‘below 10 g’’ to ‘‘below 12
g’’ in 7A002.a.1;
(c) Revising the linear acceleration
level from ‘‘from 10 g to 100 g’’ to ‘‘from
12 g to 100 g’’ in 7A002.a.2;
(d) Redesignating 7A002.b as 7A002.c;
and
(e) Adding a new control parameter in
new paragraph 7A002.b (angle random
walk in degree per square root hour),
including a Note describing that
7A002.b does not control spinning mass
gyros, and a Technical Note defining
‘‘angle random walk’’. This rule also
revises the MT control in the License
Requirements section to exempt the
newly added 7A002.b from MT controls,
as this is not a control parameter for
gyros on the Missile Technology Control
Regime Annex.
The amendments to 7A002.a and the
addition of 7A002.b were agreed to by
the Wassenaar Arrangement, because
7A002.a only addressed gyroscopes
with long-term stability, mainly used for
spacecraft, vessels and submersibles.
The current control did not adequately
address gyroscopes with short-term
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stability that are used for aircraft, land
vehicles, rockets and tactical missiles.
This rule revises 7A002.a and adds new
parameters in 7A002.b to address highly
accurate gyroscopes necessary to meet
the existing inertial system’s parameters
in 7A003.a. and 7A003.c.1.
ECCN 7A007 is removed and the
direction finding equipment is now
controlled under ECCN 5A001.e. This
amendment is explained in the
description of amendments to Category
5 in paragraph (b) above.
Category 8—Marine
ECCN 8A002 is amended by removing
the term ‘‘stored program controlled’’
from 8A002.h, 8A002.i.2, and the Note
following 8A002.i.2. This term is
removed because most equipment is
computer controlled now and the term
no longer adds any value to the control.
Category 9—Propulsion Systems, Space
Vehicles and Related Equipment
ECCN 9A001 is amended by:
(a) Revising the heading to make it
more general, so that the parameter in
the heading could be placed in a new
paragraph 9A001.a;
(b) Moving old 9A001.a. and 9A001.b
to the new Note to 9A001.a; and
(c) Redesignating 9A001.c (aero gas
turbine engines that are designed to
power an aircraft designed to cruise at
Mach 1 or higher for more than 30
minutes) as 9A001.b.
The Wassenaar Arrangement agreed to
the revisions in ECCN 9A001 because it
was unclear whether the certification
referred to in 9A001 had to be done by
aviation authorities in a Wassenaar
Participating State or whether the
certification could be done by aviation
authorities in any country, including
rogue countries who could evade the
Wassenaar controls by issuing civil
certification for aircraft that would
never be considered acceptable by a
Wassenaar Participating State.
Section 740.7—License Exception
Computers (CTP)
This rule raises the Composite
Theoretical Performance (CTP)
eligibility limit from 75,000 MTOPS to
190,000 MTOPS for deemed exports of
computer technology and source code to
foreign nationals of Computer Tier 3
destinations, because doing so will
assist the computer industry in the area
of research and development to advance
computer technology, and because it
will not adversely affect the national
security of the United States. Certain
deemed exports to Computer Tier 3
foreign nationals are subject to a Foreign
National Review requirement.
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Digital computers capable of either
75,000 or 190,000 MTOPS are becoming
more common. The Wassenaar
Arrangement (WA) recognized this with
its decontrol of hardware to 190,000
MTOPS. Most of the multi-processor
computer servers sold in this range are
for commercial applications. It is for
these reasons that WA removed
computer technology and software from
the Annex 2 (Very Sensitive List), raised
the Annex 1 (Sensitive List) threshold
from ‘‘150,000 MTOPS’’ to ‘‘190,000
MTOPS,’’ and raised the control
threshold under ECCNs 4D001 and
4E001 from ‘‘33,000 MTOPS’’ to ‘‘75,000
MTOPS.’’
Generally, Wassenaar Arrangement
countries do not have in-country
transfer controls (deemed export
controls), with the exception of
classified material. A deemed export is
any release of technology or source code
subject to the EAR to a foreign national
within the United States. Such release is
deemed to be an export to the home
country or countries of the foreign
national. The deemed export rule does
not apply to persons lawfully admitted
for permanent residence in the United
States and does not apply to persons
who are protected individuals under the
Immigration and Naturalization Act (8
U.S.C. 1324b(a)(3)). Deemed export
license applications for foreign
nationals with dual citizenship should
be based on the most recently obtained
country citizenship. Applications for
foreign nationals with temporary or
permanent residence status of a third
country (i.e., non-U.S. and a temporary
or permanent residence status other
than a foreign national’s country of
origin) should be based on the foreign
national’s country of citizenship.
Because the United States is one of
the only Wassenaar Arrangement
member countries to implement deemed
export controls, U.S. industry has been
required to obtain license authorization
for these deemed exports when other
Wassenaar Arrangement member
countries have not imposed such
controls on their industries. Expanding
the availability of a License Exception
for deemed exports of computer
technology and source code provides
relief from licensing burdens for U.S.
industry and levels the playing field in
global competition. BIS agrees with the
analysis of WA and has decided that the
expansion of license exception
availability under the technology
parameters set forth above will not have
an adverse impact on the U.S. national
security, and will assist in strengthening
the U.S. national security through
advancements in computer technology.
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Section 740.11 and Supplement No. 1 to
Part 740.11—License Exception GOV
The Wassenaar Arrangement agreed to
remove computer technology and
software from the Annex 2 (Very
Sensitive List) for reasons stated in a
note under Category 4 above. Therefore,
this rule removes the restrictions for
computer software classified under
ECCN 4D001 and computer technology
under ECCN 4E001 under License
Exception GOV for: (1) The official use
of any agency of a cooperating
government within the territory of any
cooperating government; (2) the official
use of a diplomatic or consular mission
of a cooperating government located in
any country in Country Group B (see
Supplement No. 1 to part 740); and (3)
the official international safeguard use
of the International Atomic Energy
Agency (IAEA) and the European
Atomic Energy Community (Euratom).
However, the access of computer
restriction by nationals of countries in
Country Group E:1 will be retained in a
new paragraph 740.11(a)(4).
In addition, this rule removes
computers from the list of items
excluded from eligibility under License
Exception GOV to the Organization for
Prohibition of Chemical Weapons
(OPCW). However, the access of
computer restriction by nationals of
countries in Country Group E:1 will be
retained in a new paragraph
740.11(c)(4).
1. Section 740.11 is amended by
removing and reserving paragraphs
(a)(2)(ii), (a)(2)(iii), and (a)(2)(vi)(A). In
addition, the Note to 740.11(a)(2)(iii) is
removed.
2. Supplement No. 1 to 740.11 is
amended by removing and reserving
paragraphs (a)(1)(vi)(A), (a)(1)(vii)(B),
(b)(1)(vi)(A), and (b)(1)(vii)(B).
Because of the redesignation of the
paragraphs in 6A001.a.2, concerning
hydrophones, the following
corresponding revisions were made to
section 740.11 and Supplement No. 1 to
section 740.11 to ensure that all crossreferences are accurate:
1. Section 740.11 is amended by
revising paragraph (a)(2), and
2. Supplement No. 1 to 740.11 is
amended by revising paragraphs (a)(1),
(a)(1)(vii)(D), (a)(1)(vii)(E), (b)(1),
(b)(1)(vii)(D), and (b)(1)(vii)(E).
Section 742.12 ‘‘High Performance
Computers’’
Section 742.12 is amended by revising
the phrase ‘‘greater than 75,000
MTOPS.’’ to read ‘‘greater than 190,000
MTOPS.’’ in paragraph (a)(3), to
harmonize the CTP value in this
paragraph with the Wassenaar reporting
requirement in 743.1(c)(2).
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Section 743.1 ‘‘Wassenaar
Arrangement’’
Section 743.1 is amended by revising
the phrase ‘‘having a CTP exceeding
75,000 MTOPS.’’ to read ‘‘having a CTP
exceeding 190,000 MTOPS.’’ in
paragraph (c)(2), because the Wassenaar
Arrangement agreed to raise the
threshold to 190,000 MTOPS in the
Sensitive List (Annex 1).
Definitions in Part 772
‘‘Allocated by the ITU’’ has been
amended by revising which ITU Radio
Regulations should be consulted for the
allocation of frequency bands, from
‘‘edition 1998’’ to ‘‘current edition of
the’’ ITU Radio Regulations.
‘‘Stored program controlled’’ was
removed from the Wassenaar
Arrangement’s definitions because most
equipment is computer controlled now
and the term no longer adds any value
to the control, therefore the term has
been removed from many paragraphs in
the CCL. However, BIS will retain this
definition in part 772, because the term
is still used in some ECCNs controlled
for anti-terrorism reasons, e.g., ECCNs
3B991, 4B994, and 5A991, and to
remove the term from these entries
would allow the rare instance of
manually controlled equipment to be
used in nefarious ways.
Although the Export Administration
Act expired on August 20, 2001,
Executive Order 13222 of August 17,
2001 (3 CFR, 2001 Comp., p. 783
(2002)), as extended by the Notice of
August 6, 2004, 69 FR 48763 (August
10, 2004) continues the Regulations in
effect under the International
Emergency Economic Powers Act.
Saving Clause
Shipments of items removed from
license exception eligibility or eligibility
for export 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, 2005, pursuant to actual
orders for export 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 exported from
the United States before September 13,
2005. Any such items not actually
exported before midnight, on September
13, 2005, require a license in accordance
with this regulation.
Rulemaking Requirements
1. This final rule has been determined
to be not significant for purposes of E.O.
12866.
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2. Notwithstanding any other
provision of law, no person is required
to respond to, nor shall any person be
subject to a penalty for failure to comply
with a collection of information, subject
to the requirements of the Paperwork
Reduction Act of 1995 (44 U.S.C. 3501
et seq.) (PRA), unless that collection of
information displays a currently valid
Office of Management and Budget
(OMB) Control Number. This rule
involves two collections of information
subject to the PRA. One of the
collections has been approved by OMB
under control number 0694–0088,
‘‘Multi-Purpose Application,’’ and
carries a burden hour estimate of 58
minutes for a manual or electronic
submission. The other of the collections
has been approved by OMB under
control number 0694–0106, ‘‘Reporting
and Recordkeeping Requirements under
the Wassenaar Arrangement,’’ and
carries a burden hour estimate of 21
minutes for a manual or electronic
submission. Send comments regarding
these burden estimates or any other
aspect of these collections of
information, including suggestions for
reducing the burden, to OMB Desk
Officer, New Executive Office Building,
Washington, DC 20503; and to the
Office of Administration, Bureau of
Industry and Security, Department of
Commerce, 14th and Pennsylvania
Avenue, NW., Room 6883, Washington,
DC 20230.
3. This rule does not contain policies
with Federalism implications as that
term is defined under E.O. 13132.
4. 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
regulation involves a military and
foreign affairs function of the United
States (5 U.S.C. 553(a)(1)). 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. Therefore, this
regulation is issued in final form.
Although there is no formal comment
period, public comments on this
regulation are welcome on a continuing
basis. Comments should be submitted to
Sharron Cook, Office of Exporter
Services, Bureau of Industry and
PO 00000
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Security, Department of Commerce, P.O.
Box 273, Washington, DC 20044.
List of Subjects
15 CFR Part 740
Administrative practice and
procedure, Exports, Reporting and
recordkeeping requirements.
15 CFR Part 742
Exports, Terrorism.
15 CFR Part 743
Administrative practice and
procedure, Reporting and recordkeeping
requirements.
15 CFR Part 772
Exports.
15 CFR Part 774
Exports, Reporting and recordkeeping
requirements.
I Accordingly, parts 740, 742, 743, 772
and 774 of the Export Administration
Regulations (15 CFR parts 730–799) are
amended as follows:
PART 740—[AMENDED]
1. The authority citation for part 740
continues to read as follows:
I
Authority: 50 U.S.C. app. 2401 et seq.; 50
U.S.C. 1701 et seq.; Sec. 901–911, Pub. L.
106–387; 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
6, 2004, 69 FR 48763 (August 10, 2004).
§ 740.7
[Amended]
2. Section 740.7 is amended by
revising the phrase ‘‘with a CTP less than
or equal to 75,000 MTOPS are eligible for
deemed exports under License
Exception CTP to foreign nationals of
Tier 3 destinations’’ to read ‘‘with a CTP
less than or equal to 190,000 MTOPS are
eligible for deemed exports under
License Exception CTP to foreign
nationals of Tier 3 destinations’’ in
paragraph (d)(3).
I 3. Section 740.11 is amended by:
I (a) Revising paragraph (a)(2)
introductory text as set forth below;
I (b) Removing and reserving paragraphs
(a)(2)(ii), (a)(2)(iii), (a)(2)(vi)(A), and
(c)(2)(i);
I (c) Removing the Note to
740.11(a)(2)(iii); and
I (d) Adding two new paragraphs (a)(4)
and (c)(4) to read as follows:
I
§ 740.11 Governments, international
organizations, and international inspections
under the Chemical Weapons Convention
(GOV).
*
*
*
*
*
(a) * * *
(2) The following items controlled for
national security (NS) reasons under
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Export Control Classification Numbers
(ECCNs) identified on the Commerce
Control List may not be exported or
reexported under this License Exception
to destinations other than Austria,
Belgium, Canada, Denmark, Finland,
France, Germany, Greece, Ireland, Italy,
Luxembourg, the Netherlands, Portugal,
Spain, Sweden, and the United
Kingdom: 1C001, 5A001.b.5,
6A001.a.1.b.1 object detection and
location systems having a sound
pressure level exceeding 210 dB
(reference 1 µPa at 1 m) for equipment
with an operating frequency in the band
from 30 Hz to 2 kHz inclusive,
6A001.a.2.a.1, 6A001.a.2.a.2,
6A001.a.2.a.3, 6A001.a.2.a.5,
6A001.a.2.a.6, 6A001.a.2.b, 6A001.a.2.e,
6A002.a.1.c, 6A008.l.3, 6B008, 8A001.b,
8A001.d, 8A002.o.3.b; and
*
*
*
*
*
(4) Restrictions. Nationals of countries
in Country Group E:1 may not
physically or computationally access
computers that have been enhanced by
‘‘electronic assemblies’’, which have
been exported or reexported under
License Exception GOV and have been
used to enhance such computers by
aggregation of ‘‘computing elements’’ so
that the CTP of the aggregation exceeds
the CTP parameter set forth in ECCN
4A003.b. of the Commerce Control List
in Supplement No. 1 to part 774 of the
EAR, without prior authorization from
the Bureau of Industry and Security.
*
*
*
*
*
(c) * * *
(4) Restrictions. Nationals of countries
in Country Group E:1 may not
physically or computationally access
computers that have been enhanced by
‘‘electronic assemblies’’, which have
been exported or reexported under
License Exception GOV and have been
used to enhance such computers by
aggregation of ‘‘computing elements’’ so
that the CTP of the aggregation exceeds
the CTP parameter set forth in ECCN
4A003.b. of the Commerce Control List
in Supplement No. 1 to part 774 of the
EAR, without prior authorization from
the Bureau of Industry and Security.
I 4. Supplement No. 1 to 740.11 is
amended by:
I a. Removing and reserving paragraphs
(a)(1)(vi)(A), (a)(1)(vii)(B), (b)(1)(vi)(A),
and (b)(1)(vii)(B); and
I b. Revising paragraphs (a)(1)
introductory text, (a)(1)(vii)(D),
(a)(1)(vii)(E)(b)(1) introductory text,
(b)(1)(vii)(D), and (b)(1)(vii)(E), to read as
follows:
Supplement No. 1 to § 740.11—Additional
Restrictions on Use of License Exception Gov
(a) * * *
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(1) Items identified on the Commerce
Control List as controlled for national
security (NS) reasons under Export Control
Classification Numbers (ECCNs) as follows
for export or reexport to destinations other
than Austria, Belgium, Canada, Denmark,
Finland, France, Germany, Greece, Ireland,
Italy, Luxembourg, the Netherlands, Portugal,
Spain, Sweden, or the United Kingdom:
1C001, 5A001.b.5, 6A001.a.1.b.1 object
detection and location systems having a
sound pressure level exceeding 210 dB
(reference 1 µPa at 1 m) for equipment with
an operating frequency in the band from 30
Hz to 2 kHz inclusive, 6A001.a.2.a.1,
6A001.a.2.a.2, 6A001.a.2.a.3, 6A001.a.2.a.5,
6A001.a.2.a.6, 6A001.a.2.b, 6A001.a.2.e,
6A002.a.1.c, 6A008.1.3, 6B008, 8A001.b,
8A001.d, 8A002.o.3.b; and
*
*
*
*
*
(vii) * * *
(D) Controlled by 6E001 for the
‘‘development’’ of equipment or ‘‘software’’
in 6A001.a.1.b.1, 6A001.a.2.a.1,
6A001.a.2.a.2, 6A001.a.2.a.3, 6A001.a.2.a.5,
6A001.a.2.a.6, 6A001.a.2.b, 6A001.a.2.c,
6A001.a.2.e, 6A001.a.2.f, 6A002.a.1.c,
6A008.1.3, or 6B008, as described in
paragraph (a)(1) of this Supplement; and
(E) Controlled by 6E002 for the
‘‘production’’ of equipment controlled by
6A001.a.1.b.1, 6A001.a.2.a.1, 6A001.a.2.a.2,
6A001.a.2.a.3, 6A001.a.2.a.5, 6A001.a.2.a.6,
6A001.a.2.b, 6A001.a.2.c, 6A001.a.2.e,
6A001.a.2.f, 6A002.a.1.c, 6A008.1.3, or
6B008, as described in paragraph (a)(1) of
this Supplement; and
*
*
*
*
*
(b) * * *
(1) Items identified on the Commerce
Control List as controlled for national
security (NS) reasons under Export Control
Classification Numbers (ECCNs) as follows
for export or reexport to destinations other
than Austria, Belgium, Canada, Denmark,
Finland, France, Germany, Greece, Ireland,
Italy, Luxembourg, the Netherlands, Portugal,
Spain, Sweden, or the United Kingdom:
1C001, 5A001.b.5, 6A001.a.1.b.1 object
detection and location systems having a
sound pressure level exceeding 210 dB
(reference 1 µPa at 1 m) for equipment with
an operating frequency in the band from 30
Hz to 2 kHz inclusive, 6A001.a.2.a.1,
6A001.a.2.a.2, 6A001.a.2.a.3, 6A001.a.2.a.5,
6A001.a.2.a.6, 6A001.a.2.b, 6A001.a.2.e,
6A002.a.1.c, 6A008.1.3, 6B008, 8A001.b,
8A001.d, 8A002.o.3.b; and
*
*
*
*
*
(vii) * * *
(D) Controlled by 6E001 for the
‘‘development’’ of equipment or ‘‘software’’
in 6A001.a.1.b.1, 6A001.a.2.a.1,
6A001.a.2.a.2, 6A001.a.2.a.3, 6A001.a.2.a.5,
6A001.a.2.a.6, 6A001.a.2.b, 6A001.a.2.c,
6A001.a.2.e, 6A001.a.2.f, 6A002.a.1.c,
6A008.1.3, or 6B008, as described in
paragraph (a)(1) of this supplement; and
(E) Controlled by 6E002 for the
‘‘production’’ of equipment controlled by
6A001.a.1.b.1, 6A001.a.2.a.1, 6A001.a.2.a.2,
6A001.a.2.a.3, 6A001.a.2.a.5, 6A001.a.2.a.6,
6A001.a.2.b, 6A001.a.2.c, 6A001.a.2.e,
6A001.a.2.f, 6A002.a.1.c, 6A008.l.3, or
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6B008, as described in paragraph (a)(1) of
this Supplement; and
*
*
*
*
*
PART 742—[AMENDED]
5. The authority citation for part 742 is
revised to read as follows:
I
Authority: 50 U.S.C. app. 2401 et seq.; 50
U.S.C. 1701 et seq.; 18 U.S.C. 2510 et seq.;
22 U.S.C. 3201 et seq.; 42 U.S.C. 2139a; Sec.
901–911, Pub. L. 106–387; Sec. 221, Pub. L.
107–56; Sec 1503, Pub.L. 108–11,117 Stat.
559; E.O. 12058, 43 FR 20947, 3 CFR, 1978
Comp., p. 179; E.O. 12851, 58 FR 33181, 3
CFR, 1993 Comp., p. 608; E.O. 12938, 59 FR
59099, 3 CFR, 1994 Comp., p. 950; E.O.
13026, 61 FR 58767, 3 CFR, 1996 Comp., p.
228; E.O. 13222, 66 FR 44025, 3 CFR, 2001
Comp., p. 783; Presidential Determination
2003–23 of May 7, 2003, 68 FR 26459, 3 CFR,
2003 Comp., p. 320; Notice of August 6,
2004, 69 FR 48763, 3 CFR, 2004 Comp., p.
284; Notice of November 4, 2004, 69 FR
64637, 3 CFR, 2004 Comp., p. 303.
§ 742.12
[Amended]
6. Section 742.12 is amended by
revising the phrase ‘‘greater than 75,000
MTOPS.’’ to read ‘‘greater than 190,000
MTOPS.’’ in paragraph (a)(3).
I
PART 743—[AMENDED]
7. The authority citation for part 743 is
revised to read as follows:
I
Authority: 50 U.S.C. app. 2401 et seq.; Pub.
L. 106–508; 50 U.S.C. 1701 et seq.; E.O.
13206, 66 FR 18397, 3 CFR, 2001 Comp., p.
763.
§ 743.1
[Amended]
8. Section 743.1 is amended by
revising the phrase ‘‘having a CTP
exceeding 75,000 MTOPS.’’ to read
‘‘having a CTP exceeding 190,000
MTOPS.’’ in paragraph (c)(2).
I
Supplement No. 1 to Part 743
[Amended]
9. Supplement No. 1 to part 743 is
amended by adding ‘‘Slovenia’’ in
alphabetical order after ‘‘Slovakia’’ and
before ‘‘South Korea’’.
I
PART 772—[AMENDED]
10. The authority citation for part 772
is revised to read as follows:
I
Authority: 50 U.S.C. app. 2401 et seq.; 50
U.S.C. 1701 et seq.; E.O. 13222, 66 FR 44025,
3 CFR, 2001 Comp., p. 783; Notice of August
6, 2004, 69 FR 48763, 3 CFR, 2004 Comp.,
p. 284.
11. Section 772.1 is amended by
revising the definition of ‘‘Allocated by
the ITU’’, to read as follows.
I
§ 772.1 Definitions of terms as used in the
Export Administration Regulations (EAR).
*
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Allocated by the ITU. (Cat 3 and Cat
5 part 1)—The allocation of frequency
bands according to the current edition
of the ITU Radio Regulations for
primary, permitted and secondary
services.
N.B. Additional and alternative allocations
are not included.
*
*
*
*
*
PART 774—[AMENDED]
12. The authority citation for part 774
is revised to read as follows:
I
Authority: 50 U.S.C. app. 2401 et seq.; 50
U.S.C. 1701 et seq.; 10 U.S.C. 7420; 10 U.S.C.
7430(e); 18 U.S.C. 2510 et seq.; 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; 42
U.S.C. 6212; 43 U.S.C. 1354; 46 U.S.C. app.
466c; 50 U.S.C. app. 5; Sec. 901–911, Pub. L.
106–387; Sec. 221, Pub. L. 107–56; 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 6, 2004, 69
FR 48763, 3 CFR, 2004 Comp., p. 284.
Supplement No. 1 to Part 774
[Amended]
13. In Supplement No. 1 to part 774
(the Commerce Control List), Category
1—Materials, Chemicals,
Microorganisms, and Toxins, Export
Control Classification Number (ECCN)
1C008 is amended by revising the
‘‘items’’ paragraph in the List of Items
Controlled section, to read as follows:
I
1C008 Non-Fluorinated Polymeric
Substances, as Follows (See List of Items
Controlled)
*
*
*
*
*
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: * * *
Items:
a. Non-fluorinated polymeric substances,
as follows:
a.1. Bismaleimides;
a.2. Aromatic polyamide-imides;
a.3. Aromatic polyimides;
a.4. Aromatic polyetherimides having a
glass transition temperature (Tg) exceeding
513K (240 °C).
Note: 1C008.a does not control non-fusible
compression molding powders or molded
forms.
b. Thermoplastic liquid crystal copolymers
having a heat distortion temperature
exceeding 523 K (250 °C) measured according
to ISO 75–3 (2004), or national equivalents,
with a load of 1.82 N/mm 2 and composed of:
b.1. Any of the following:
b.1.a. Phenylene, biphenylene or
naphthalene; or
b.1.b. Methyl, tertiary-butyl or phenyl
substituted phenylene, biphenylene or
naphthalene; and
b.2. Any of the following acids:
b.2.a. Terephthalic acid;
b.2.b. 6-hydroxy-2 naphthoic acid; or
b.2.c. 4-hydroxybenzoic acid;
c. Polyarylene ether ketones, as follows:
c.1. Polyether ether ketone (PEEK)
c.2. Polyether ketone ketone (PEKK);
c.3. Polyether ketone (PEK);
c.4. Polyether ketone ether ketone ketone
(PEKEKK);
d. Polyarylene ketones;
e. Polyarylene sulphides, where the
arylene group is biphenylene, triphenylene
or combinations thereof;
f. Polybiphenylenethersulphone having a
glass transition temperature (Tg) exceeding
513 K (240 °C).
Technical Note: The glass transition
temperature (Tg) for 1C008 materials is
determined using the method described in
ISO 11357–2 (1999) or national equivalents.
counted in the total number of contouring
axes. Rotary axes need not rotate over 360°.
A rotary axis can be driven by a linear device
(e.g., a screw or a rack-and-pinion).
2. The number of axes which can be coordinated simultaneously for ‘‘contouring
control’’ is the number of axes along or
around which, during processing of the
workpiece, simultaneous and interrelated
motions are performed between the
workpiece and a tool. This does not include
any additional axes along or around which
other relative motions within the machine
are performed, such as:
2.a. Wheel-dressing systems in grinding
machines;
2.b. Parallel rotary axes designed for
mounting of separate workpieces;
2.c. Co-linear rotary axes designed for
manipulating the same workpiece by holding
it in a chuck from different ends.
3. Axis nomenclature shall be in
accordance with International Standard ISO
841, ‘‘Numerical Control Machines—Axis
and Motion Nomenclature’.
4. A ‘‘tilting spindle’’ is counted as a rotary
axis.
5. Guaranteed ‘‘positioning accuracy’’
levels instead of individual test protocols
may be used for each machine tool model
using the agreed ISO test procedure.
6. The positioning accuracy of
‘‘numerically controlled’’ machine tools is to
be determined and presented in accordance
with ISO 230/2 (1988).
15. In Supplement No. 1 to part 774
(the Commerce Control List), Category
2—Materials Processing, Export Control
I 14. In Supplement No. 1 to part 774
Classification Number (ECCN) 2B001 is
(the Commerce Control List), Category
amended by revising the License
2—Materials Processing, Product Group
Requirements section, and the ‘‘items’’
B ‘‘Test, Inspection and Production
paragraph in the List of Items Controlled
Equipment’’, following ECCN 2A999, the
section to read as follows:
‘‘Technical Notes for 2B001 to 2B009’’
2B001 Machine tools and any combination
are revised to read as follows:
Category 2—Material Processing
B. Test, Inspection and Production
Equipment
Technical Notes for 2B001 to 2B009:
1. Secondary parallel contouring axes, (e.g.,
the w-axis on horizontal boring mills or a
secondary rotary axis the center line of which
is parallel to the primary rotary axis) are not
I
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’’;
and specially designed components (see List
of Items Controlled).
License Requirements
Reason for Control: NS, NP, AT.
Control(s)
Country chart
NS applies to entire entry ...............................................................................................................................................................
NP applies to 2B001.a, .b, .c, and .d, EXCEPT: (1) turning machines under 2B001.a with a capacity equal to or less 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 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’’ on the x-axis more (worse) than 0.030 mm.
AT applies to entire entry ...............................................................................................................................................................
*
*
*
*
Note 1: 2B001 does not control special
purpose machine tools limited to the
manufacture of gears. For such machines, see
2B003.
*
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: * * *
Items:
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NS Column 2.
NP Column 1.
AT Column 1.
Note 2: 2B001 does not control special
purpose machine tools limited to the
manufacture of any of the following parts:
a. Crank shafts or cam shafts;
b. Tools or cutters;
c. Extruder worms;
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d. Engraved or faceted jewelry parts.
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 2.B001.a., b. or c.
a. Machine tools for turning, having all of
the following characteristics:
a.1. Positioning accuracy with ‘‘all
compensations available’’ of less (better) than
6 µm along any linear axis; and
a.2. Two or more axes which can be
coordinated simultaneously for ‘‘contouring
control’’;
Note: 2B001.a does not control turning
machines specially designed for the
production of contact lenses.
b. Machine tools for milling, having any of
the following characteristics:
b.1. Having all of the following:
b.1.a. Positioning accuracy with ‘‘all
compensations available’’ of less (better) than
6 µm along any linear axis; and
b.1.b. Three linear axes plus one rotary axis
which can be coordinated simultaneously for
‘‘contouring control’’;
b.2. Five or more axes which can be
coordinated simultaneously for ‘‘contouring
control’’;
b.3. A positioning accuracy for jig boring
machines, with ‘‘all compensations
available’’, of less (better) than 4 µm along
any linear axis; or
b.4. Fly cutting machines, having all of the
following characteristics:
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 characteristics:
c.1. Having all of the following:
c.1.a. Positioning accuracy with ‘‘all
compensations available’’ of less (better) than
4 µm along any 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’’;
Notes: 2B001.c does not control grinding
machines, as follows:
1. Cylindrical external, internal, and
external-internal grinding machines having
all the following characteristics:
a. Limited to cylindrical grinding; and
b. Limited to a maximum workpiece
capacity of 150 mm outside diameter or
length.
2. Machines designed specifically as jig
grinders that do not have a z-axis or a w-axis,
with a positioning accuracy with ‘‘all
compensations available’’ less (better) than 4
µm.
3. 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 characteristics:
e.1. Removing material by means of any of
the following:
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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. Having two or more rotary axes which:
e.2.a. Can be coordinated simultaneously
for ‘‘contouring control’’; and
e.2.b. Have 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 5,000 mm and specially designed
components therefor.
16. In Supplement No. 1 to part 774
(the Commerce Control List), Category
2—Materials Processing, Export Control
Classification Number (ECCN) 2B005 is
amended by revising the ‘‘items’’
paragraph in the List of Items Controlled
section to read as follows:
I
2B005 Equipment specially designed for
the deposition, processing and in-process
control of inorganic overlays, coatings and
surface modifications, as follows, for nonelectronic substrates, by processes shown in
the Table and associated Notes following
2E003.f, and specially designed automated
handling, positioning, manipulation and
control components therefor.
*
*
*
*
*
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: * * *
Items:
a. Chemical vapor deposition (CVD)
production equipment having all of the
following:
a.1. 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. 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 (EB–PVD)
production equipment incorporating power
systems rated for over 80 kW, 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 characteristics:
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
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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
µm/h or more;
f. Cathodic arc deposition equipment
incorporating a grid of electromagnets for
steering control of the arc spot on the
cathode;
g. Ion plating production equipment
allowing for the 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—Materials Processing, Export Control
Classification Number (ECCN) 2B006 is
amended by revising the ‘‘items’’
paragraph in the List of Items Controlled
section to read as follows:
I
2B006 Dimensional inspection or
measuring systems and equipment, as
follows (see List of Items Controlled).
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: * * *
Items:
a. Computer controlled or ‘‘numerically
controlled’’ co-ordinate measuring machines
(CMM), having a three dimensional length
(volumetric) maximum permissible error of
indication (MPEE) at any point within the
operating range of the machine (i.e., within
the length of axes) equal to or less (better)
than (1.7 + L/1,000) µm (L is the measured
length in mm) tested according to ISO
10360–2 (2001);
b. Linear and angular displacement
measuring instruments, as follows:
b.1. Linear displacement measuring
instruments having any of the following:
Technical Note: For the purpose of
2B006.b.1 ‘‘linear displacement’’ means the
change of distance between the measuring
probe and the measured object.
b.1.a. Non-contact type measuring systems
with a ‘‘resolution’’ equal to or less (better)
than 0.2 µm within a measuring range up to
0.2 mm;
b.1.b. Linear voltage differential
transformer systems having all of the
following characteristics:
b.1.b.1. ‘‘Linearity’’ equal to or less (better)
than 0.1% within a measuring range up to 5
mm; and
b.1.b.2. Drift equal to or less (better) than
0.1% per day at a standard ambient test room
temperature ±1 K; or
b.1.c. Measuring systems having all of the
following:
b.1.c.1. Containing a ‘‘laser’’; and
b.1.c.2. Maintaining, for at least 12 hours,
over a temperature range of ±1 K around a
standard temperature and at a standard
pressure, all of the following:
b.1.c.2.a. A ‘‘resolution’’ over their full
scale of 0.1 µm or less (better); and
b.1.c.2.b. A ‘‘measurement uncertainty’’
equal to or less (better) than (0.2 + L/2,000)
µm (L is the measured length in mm);
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Note: 2B006.b.1 does not control
measuring interferometer systems, without
closed or open loop feedback, containing a
‘‘laser’’ to measure slide movement errors of
machine-tools, dimensional inspection
machines or similar equipment.
b.2. Angular displacement measuring
instruments having an ‘‘angular position
deviation’’ equal to or less (better) than
0.00025°;
Note: 2B006.b.2 does not control optical
instruments, such as autocollimators, using
collimated light (e.g., laser light) to detect
angular displacement of a mirror.
c. Equipment for measuring surface
irregularities, by measuring optical scatter as
a function of angle, with a sensitivity of 0.5
nm or less (better).
18. In Supplement No. 1 to part 774
(the Commerce Control List), Category
2—Materials Processing, Export Control
Classification Number (ECCN) 2B201 is
amended by revising the ‘‘items’’
paragraph in the List of Items Controlled
section to read as follows:
I
2B201 Machine tools, other than those
controlled by 2B001, for removing or cutting
metals, ceramics or ‘‘composites’’, which,
according to manufacturer’s technical
specifications, can be equipped with
electronic devices for simultaneous
‘‘contouring control’’ in two or more axes.
*
*
*
*
*
17:56 Jul 14, 2005
19. In Supplement No. 1 to part 774
(the Commerce Control List), Category
3—Electronics, Export Control
Classification Number (ECCN) 3A001 is
amended by revising the ‘‘items’’
paragraphs in the List of Items
Controlled section, to read as follows:
I
3A001 Electronic components, as follows
(see List of Items Controlled).
*
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: * * *
Items:
a. Machine tools for turning, that have
‘‘positioning accuracies’’ with all
compensations available better (less) than 6
µm according to ISO 230/2 (1988) along any
linear axis (overall positioning) for machines
capable of machining diameters greater than
35 mm;
Note: Item 2B201.a. does not control 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 characteristics:
b.1. Positioning accuracies with ‘‘all
compensations available’’ equal to or less
(better) than 6 µm along any linear axis
(overall positioning); or
b.2. Two or more contouring rotary axes.
Note: 2B201.b does not control milling
machines having the following
characteristics:
a. X-axis travel greater than 2 m; and
b. Overall positioning accuracy on the xaxis more (worse) than 30 µm.
c. Machine tools for grinding, having any
of the following characteristics:
c.1. Positioning accuracies with ‘‘all
compensations available’’ equal to or less
(better) than 4 µm along any linear axis
(overall positioning); or
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c.2. Two or more contouring rotary axes.
Note: 2B201.c does not control the
following grinding machines:
a. Cylindrical external, internal, and
external-internal grinding machines having
all of the following characteristics:
1. Limited to cylindrical grinding;
2. A maximum workpiece outside diameter
or length of 150 mm;
3. Not more than two axes that can be
coordinated simultaneously for ‘‘contouring
control’’; and
4. No contouring c-axis.
b. Jig grinders with axes limited to x, y, c
and a where c axis is used to maintain the
grinding wheel normal to the work surface,
and the a axis is configured to grind barrel
cams;
c. Tool or cutter grinding machines with
‘‘software’’ specially designed for the
production of tools or cutters; or
d. Crankshaft or camshaft grinding
machines.
Jkt 205001
*
*
*
*
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: * * *
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’’.
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, digital-to-analog converters,
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41105
electro-optical or ‘‘optical integrated circuits’’
designed for ‘‘signal processing’’, field
programmable logic devices, neural network
integrated circuits, 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 or static random-access memories
(SRAMs), 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’’,
‘‘micro-computer microcircuits’’ and
microcontroller microcircuits, having any of
the following characteristics:
Note: 3A001.a.3 includes digital signal
processors, digital array processors and
digital coprocessors.
a.3.a. [RESERVED]
a.3.b. Manufactured from a compound
semiconductor and operating at a clock
frequency exceeding 40 MHz; or
a.3.c. More than three data or instruction
bus or serial communication ports, each
providing direct external interconnection
between parallel ‘‘microprocessor
microcircuits’’ with a transfer rate of 1000
Mbyte/s or greater;
a.4. Storage integrated circuits
manufactured from a compound
semiconductor;
a.5. Analog-to-digital and digital-to-analog
converter integrated circuits, as follows:
a.5.a. Analog-to-digital converters having
any of the following:
a.5.a.1.A resolution of 8 bit or more, but
less than 10 bit, an output rate greater than
500 million words per second;
a.5.a..2 A resolution of 10 bit or more, but
less than 12 bit, with an output rate greater
than 200 million words per second;
a.5.a.3. A resolution of 12 bit with an
output rate greater than 50 million words per
second;
a.5.a.4. A resolution of more than 12 bit but
equal to or less than 14 bit with an output
rate greater than 5 million words per second;
or
a.5.a.5. A resolution of more than 14 bit
with an output rate greater than 1 million
words per second.
a.5.b. Digital-to-analog converters with a
resolution of 12 bit or more, and a ‘‘settling
time’’ of less than 10 ns;
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 analogue-todigital converter.
3. The output rate is the maximum output
rate of the converter, regardless of
architecture or oversampling. Vendors may
also refer to the output rate as sampling rate,
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conversion rate or throughput rate. It is often
specified in megahertz (MHz) or mega
samples per second (MSPS).
4. For the purpose of measuring output
rate, one output word per second is
equivalent to one Hertz or one sample per
second.
a.6. Electro-optical and ‘‘optical integrated
circuits’’ designed for ‘‘signal processing’’
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. An equivalent usable gate count of
more than 30,000 (2 input gates);
a.7.b. A typical ‘‘basic gate propagation
delay time’’ of less than 0.1 ns; or
a.7.c. A toggle frequency exceeding 133
MHz;
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), and Field Programmable
Interconnects (FPICs).
N.B.: Field programmable logic devices are
also known as field programmable gate or
field programmable logic arrays.
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 1,000 terminals;
a.10.b. A typical ‘‘basic gate propagation
delay time’’ of less than 0.1 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 µs.
b. Microwave or millimeter wave
components, as follows:
b.1. Electronic vacuum tubes and cathodes,
as follows:
Note 1: 3A001.b.1 does not control tubes
designed or rated for operation in any
frequency band which meets all of the
following characteristics:
(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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17:56 Jul 14, 2005
Jkt 205001
one frequency range, as defined by
3A001.b.2., is determined by the lowest
average output power control threshold.
Note 2: 3A001.b.1 does not control non‘‘space-qualified’’ tubes which meet all the
following characteristics:
(a) An average output power equal to or
less than 50 W; and
(b) Designed or rated for operation in any
frequency band which meets all of the
following characteristics:
(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 tubes, pulsed or
continuous wave, as follows:
b.1.a.1. Operating at frequencies exceeding
31.8 GHz;
b.1.a.2. Having a cathode heater element
with a turn on time to rated RF power of less
than 3 seconds;
b.1.a.3. Coupled cavity tubes, or
derivatives thereof, with a ‘‘fractional
bandwidth’’ of more than 7% or a peak
power exceeding 2.5 kW;
b.1.a.4. Helix tubes, or derivatives thereof,
with any of the following characteristics:
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; or
b.1.a.4.c. Being ‘‘space qualified’’;
b.1.b. Crossed-field amplifier tubes with a
gain of more than 17 dB;
b.1.c. Impregnated cathodes designed for
electronic tubes producing a continuous
emission current density at rated operating
conditions exceeding 5 A/cm2;
b.2. Microwave monolithic integrated
circuits (MMIC) power amplifiers having any
of the following:
b.2.a. Rated for operation at frequencies
exceeding 3.2 GHz up to and including 6
GHz and with an average output power
greater than 4W (36 dBm) with a ‘‘fractional
bandwidth’’ greater than 15%;
b.2.b. Rated for operation at frequencies
exceeding 6 GHz up to and including 16 GHz
and with an average output power greater
than 1W (30 dBm) with a ‘‘fractional
bandwidth’’ greater than 10%;
b.2.c. Rated for operation at frequencies
exceeding 16 GHz up to and including 31.8
GHz and with an average output power
greater than 0.8W (29 dBm) with a ‘‘fractional
bandwidth’’ greater than 10%;
b.2.d. Rated for operation at frequencies
exceeding 31.8 GHz up to and including 37.5
GHz;
b.2.e. Rated for operation at frequencies
exceeding 37.5 GHz up to and including 43.5
GHz and with an average output power
greater than 0.25W (24 dBm) with a
‘‘fractional bandwidth’’ greater than 10%; or
b.2.f. Rated for operation at frequencies
exceeding 43.5 GHz.
Note 1: 3A001.b.2 does not control
broadcast satellite equipment designed or
rated to operate in the frequency range of
40.5 to 42.5 GHz.
Note 3: Notes 1 and 2 following the
Category 3 heading for 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. Microwave transistors having any of
the following:
b.3.a. Rated for operation at frequencies
exceeding 3.2 GHz up to and including 6
GHz and having an average output power
greater than 60W (47.8 dBm);
b.3.b. Rated for operation at frequencies
exceeding 6 GHz up to and including 31.8
GHz and having an average output power
greater than 20W (43 dBm);
b.3.c. Rated for operation at frequencies
exceeding 31.8 GHz up to and including 37.5
GHz and having an average output power
greater than 0.5W (27 dBm);
b.3.d. Rated for operation at frequencies
exceeding 37.5 GHz up to and including 43.5
GHz and having an average output power
greater than 1W (30 dBm); or
b.3.e. Rated for operation at frequencies
exceeding 43.5 GHz.
Note: The control status of an item whose
operating frequency spans more than one
frequency range, as defined by 3A001.b.3, is
determined by the lowest average output
power control threshold.
b.4. Microwave solid state amplifiers and
microwave assemblies/modules containing
microwave amplifiers having any of the
following:
b.4.a. Rated for operation at frequencies
exceeding 3.2 GHz up to and including 6
GHz and with an average output power
greater than 60W (47.8 dBm) with a
‘‘fractional bandwidth’’ greater than 15%;
b.4.b. Rated for operation at frequencies
exceeding 6 GHz up to and including 31.8
GHz and with an average output power
greater than 15W (42 dBm) with a ‘‘fractional
bandwidth’’ greater than 10%;
b.4.c. Rated for operation at frequencies
exceeding 31.8 GHz up to and including 37.5
GHz;
b.4.d. Rated for operation at frequencies
exceeding 37.5 GHz up to and including 43.5
GHz and with an average output power
greater than 1W (30 dBm) with a ‘‘fractional
bandwidth’’ greater than 10%;
b.4.e. Rated for operation at frequencies
exceeding 43.5 GHz; or
b.4.f. Rated for operation at frequencies
above 3 GHz and all of the following:
b.4.f.1. An average output power (in watts),
P, greater than 150 divided by the maximum
operating frequency (in GHz) squared [P >
150 W*GHz2 /fGHz2];
b.4.f.2. A fractional bandwidth of 5% or
greater; and
b.4.f.3. Any two sides perpendicular to one
another with length d (in cm) equal to or less
than 15 divided by the lowest operating
frequency in GHz [d ≤ 15 cm*GHz / fGHz].
N.B. MMIC power amplifiers should be
evaluated against the criteria in 3A001.b.2.
Note 2: The control status of the MMIC
whose operating frequency spans more than
Note 1: 3A001.b.4. does not control
broadcast satellite equipment designed or
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rated to operate in the frequency range of
40.5 to 42.5 GHz.
Note 2: The control status of an item whose
operating frequency spans more than one
frequency range, as defined by 3A001.b.4, is
determined by the lowest average output
power 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 µs 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. Mixers and converters designed to
extend the frequency range of equipment
described in 3A002.c, 3A002.e or 3A002.f
beyond the limits stated therein;
b.8. Microwave power amplifiers
containing tubes controlled by 3A001.b and
having all of the following:
b.8.a. Operating frequencies above 3 GHz;
b.8.b. An average output power density
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.
c. Acoustic wave devices, as follows, and
specially designed components therefor:
c.1. Surface acoustic wave and surface
skimming (shallow bulk) acoustic wave
devices (i.e., ‘‘signal processing’’ devices
employing elastic waves in materials), having
any of the following:
c.1.a. A carrier frequency exceeding 2.5
GHz;
c.1.b. A carrier frequency exceeding 1 GHz,
but not exceeding 2.5 GHz, and having any
of the following:
c.1.b.1. A frequency side-lobe rejection
exceeding 55 dB;
c.1.b.2. A product of the maximum delay
time and the bandwidth (time in µs 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
µs; or
c.1.c. A carrier frequency of 1 GHz or less,
having any of the following:
c.1.c.1. A product of the maximum delay
time and the bandwidth (time in µs and
bandwidth in MHz) of more than 100;
c.1.c.2. A dispersive delay of more than 10
µs; or
c.1.c.3. A frequency side-lobe rejection
exceeding 55 dB and a bandwidth greater
than 50 MHz;
c.2. Bulk (volume) acoustic wave devices
(i.e., ‘‘signal processing’’ devices employing
elastic waves) that permit the direct
processing of signals at frequencies
exceeding 1 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;
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Jkt 205001
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, with 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. Batteries and photovoltaic arrays, as
follows:
Note: 3A001.e.1 does not control batteries
with volumes equal to or less than 27 cm3
(e.g., standard C-cells or R14 batteries).
e.1.a. Primary cells and batteries having an
energy density exceeding 480 Wh/kg and
rated for operation in the temperature range
from below 243 K (¥30 °C) to above 343 K
(70 °C);
e.1.b. Rechargeable cells and batteries
having an energy density exceeding 150 Wh/
kg after 75 charge/discharge cycles at a
discharge current equal to C/5 hours (C being
the nominal capacity in ampere hours) when
operating in the temperature range from
below 253 K (¥20 °C) to above 333 K (60 °C);
Technical Note: Energy density is obtained
by multiplying the average power in watts
(average voltage in volts times average
current in amperes) by the duration of the
discharge in hours to 75% of the open circuit
voltage divided by the total mass of the cell
(or battery) in kg.
e.1.c. ‘‘Space qualified’’ and radiation
hardened photovoltaic arrays with a specific
power exceeding 160 W/m2 at an operating
temperature of 301 K (28 °C) under a
tungsten illumination of 1 kW/m2 at 2,800 K
(2,527 °C);
e.2. High energy storage capacitors, as
follows:
e.2.a. Capacitors with a repetition rate of
less than 10 Hz (single shot capacitors)
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)
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, having all of the following:
Note: 3A001.e.3 does not control
‘‘superconductive’’ electromagnets or
solenoids specially designed for Magnetic
PO 00000
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41107
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;
f. Rotary input type shaft absolute position
encoders having any of the following:
f.1. A resolution of better than 1 part in
265,000 (18 bit resolution) of full scale; or
f.2. An accuracy better than ±2.5 seconds
of arc.
20. In Supplement No. 1 to part 774
(the Commerce Control List), Category
3—Electronics, Export Control
Classification Number (ECCN) 3A002 is
amended by revising the ‘‘items’’
paragraphs in the List of Items
Controlled section, to read as follows:
I
3A002 General purpose electronic
equipment, as follows (see List of Items
Controlled).
*
*
*
*
*
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: * * *
Items:
a. Recording equipment, as follows, and
specially designed test tape therefor:
a.1. Analog instrumentation magnetic tape
recorders, including those permitting the
recording of digital signals (e.g., using a high
density digital recording (HDDR) module),
having any of the following:
a.1.a. A bandwidth exceeding 4 MHz per
electronic channel or track;
a.1.b. A bandwidth exceeding 2 MHz per
electronic channel or track and having more
than 42 tracks; or
a.1.c. A time displacement (base) error,
measured in accordance with applicable IRIG
or EIA documents, of less than ±0.1 µs;
Note: Analog magnetic tape recorders
specially designed for civilian video
purposes are not considered to be
instrumentation tape recorders.
a.2. Digital video magnetic tape recorders
having a maximum digital interface transfer
rate exceeding 360 Mbit/s;
Note: 3A002.a.2 does not control digital
video magnetic tape recorders specially
designed for television recording using a
signal format, which may include a
compressed signal format, standardized or
recommended by the ITU, the IEC, the
SMPTE, the EBU , the ETSI, or the IEEE for
civil television applications.
a.3. Digital instrumentation magnetic tape
data recorders employing helical scan
techniques or fixed head techniques, having
any of the following:
a.3.a. A maximum digital interface transfer
rate exceeding 175 Mbit/s; or
a.3.b. Being ‘‘space qualified’’;
Note: 3A002.a.3 does not control analog
magnetic tape recorders equipped with
HDDR conversion electronics and configured
to record only digital data.
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a.4. Equipment, having a maximum digital
interface transfer rate exceeding 175 Mbit/s,
designed to convert digital video magnetic
tape recorders for use as digital
instrumentation data recorders;
a.5. Waveform digitizers and transient
recorders having all of the following:
N.B.: See also 3A292.
a.5.a. Digitizing rates equal to or more than
200 million samples per second and a
resolution of 10 bits or more; and
a.5.b. A continuous throughput of 2
Gbit/s or more;
Technical Note: 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. 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.
a.6. Digital instrumentation data recorders,
using magnetic disk storage technique,
having all of the following:
a.6.a. Digitizing rate equal to or more than
100 million samples per second and a
resolution of 8 bits or more; and
a.6.b. A continuous throughput of 1
Gbit/s or more;
b. ‘‘Frequency synthesizer’’, ‘‘electronic
assemblies’’ having a ‘‘frequency switching
time’’ from one selected frequency to another
of less than 1 ms;
c. Radio frequency ‘‘signal analyzers’’, as
follows:
c.1. ‘‘Signal analyzers’’ capable of
analyzing any frequencies exceeding 31.8
GHz but not exceeding 37.5 Ghz and having
a 3 dB resolution bandwidth (RBW)
exceeding 10 MHz;
c.2. ‘‘Signal analyzers’’ capable of
analyzing frequencies exceeding 43.5 GHz;
c.3. ‘‘Dynamic signal analyzers’’ having a
‘‘real-time bandwidth’’ exceeding 500 kHz;
Note: 3A002.c.3 does not control those
‘‘dynamic signal analyzers’’ using only
constant percentage bandwidth filters (also
known as octave or fractional octave filters).
d. Frequency synthesized signal generators
producing output frequencies, the accuracy
and short term and long term stability of
which are controlled, derived from or
disciplined by the internal master frequency,
and having any of the following:
d.1. A maximum synthesized frequency
exceeding 31.8 GHz, but not exceeding 43.5
GHz and rated to generate a pulse duration
of less than 100 ns;
d.2. A maximum synthesized frequency
exceeding 43.5 GHz;
d.3. A ‘‘frequency switching time’’ from
one selected frequency to another of less than
1 ms; or
d.4. A single sideband (SSB) phase noise
better than (¥126 + 20 log10F ¥20 log10f) in
dBc/Hz, where F is the off-set from the
operating frequency in Hz and f is the
operating frequency in MHz;
Technical Note: For the purposes of
3A002.d.1., ‘duration’ is defined as the time
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interval between the leading edge of the
pulse achieving 90% of the peak and the
trailing edge of the pulse achieving 10% of
the peak.
Note: 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.
e. Network analyzers with a maximum
operating frequency exceeding 43.5 GHz;
f. Microwave test receivers having all of the
following:
f.1. A maximum operating frequency
exceeding 43.5 GHz; and
f.2. Being capable of measuring amplitude
and phase simultaneously;
g. Atomic frequency standards having any
of the following:
g.1. Long-term stability (aging) less (better)
than 1 × 10¥11/month; or
g.2. Being ‘‘space qualified’’.
Note: 3A002.g.1 does not control non‘‘space qualified’’ rubidium standards.
21. In Supplement No. 1 to part 774
(the Commerce Control List), Category
3—Electronics, Export Control
Classification Number (ECCN) 3B001 is
amended revising the ‘‘items’’ paragraph
in the List of Items Controlled section, to
read as follows:
I
3B001 Equipment for the manufacturing of
semiconductor devices or materials, as
follows (see List of Items Controlled), and
specially designed components and
accessories therefor.
*
*
*
*
*
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: * * *
Items:
a. Equipment designed for epitaxial
growth, as follows:
a.1. Equipment capable of producing any of
the following:
a.1.a. A silicon layer with a thickness
uniform to less than ‘‘2.5% across a distance
of 200 mm or more; or
a.1.b. 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;
a.2. Metal organic chemical vapor
deposition (MOCVD) reactors specially
designed for compound semiconductor
crystal growth by the chemical reaction
between materials controlled by 3C003 or
3C004;
a.3. Molecular beam epitaxial growth
equipment using gas or solid sources;
b. Equipment designed for ion
implantation, having any of the following:
b.1. A beam energy (accelerating voltage)
exceeding 1MeV;
b.2. Being specially designed and
optimized to operate at a beam energy
(accelerating voltage of less than 2 keV;
PO 00000
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b.3. Direct write capability; or
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’’;
c. Anisotropic plasma dry etching
equipment, as follows:
c.1. Equipment with cassette-to-cassette
operation and load-locks, and having any of
the following:
c.1.a. Designed or optimized to produce
critical dimensions of 180 nm or less with
±5% 3 sigma precision; or
c.1.b. Designed for generating less than
0.04 particles/cm2 with a measurable particle
size greater than 0.1 µm in diameter;
c.2. Equipment specially designed for
equipment controlled by 3B001.e. and having
any of the following:
c.2.a. Designed or optimized to produce
critical dimensions of 180 nm or less with
±5% 3 sigma precision; or
c.2.b. Designed for generating less than
0.04 particles/cm2 with a measurable particle
size greater than 0.1 µm in diameter;
d. Plasma enhanced CVD equipment, as
follows:
d.1. Equipment with cassette-to-cassette
operation and load-locks, and designed
according to the manufacturer’s
specifications or optimized for use in the
production of semiconductor devices with
critical dimensions of 180 nm or less;
d.2. Equipment specially designed for
equipment controlled by 3B001.e. and
designed according to the manufacturer’s
specifications or optimized for use in the
production of semiconductor devices with
critical dimensions of 180 nm or less;
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 pieces of
semiconductor processing equipment are 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 not designed
to operate in a vacuum environment.
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, having
any of the following:
f.1.a. A light source wavelength shorter
than 245 nm; or
f.1.b. Capable of producing a pattern with
a minimum resolvable feature size of 180 nm
or less;
Technical Note: The minimum resolvable
feature size is calculated by the following
formula:
MRF =
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41109
where the K factor = 0.45
MRF = minimum resolvable feature size.
f.2. Equipment specially designed for mask
making or semiconductor device processing
using deflected focused electron beam, ion
beam or ‘‘laser’’ beam, having any of the
following:
f.2.a. A spot size smaller than 0.2 µm;
f.2.b. Being capable of producing a pattern
with a feature size of less than 1 µm; or
f.2.c. An overlay accuracy of better than
±0.20 µm (3 sigma);
g. Masks and reticles designed for
integrated circuits controlled by 3A001;
h. Multi-layer masks with a phase shift
layer.
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.
22. In Supplement No. 1 to part 774
(the Commerce Control List), Category
3—Electronics, Export Control
Classification Number (ECCN) 3B002 is
amended revising the heading and the
‘‘items’’ paragraph in the List of Items
Controlled section, to read as follows:
I
3B002 Test equipment, specially designed
for testing finished or unfinished
semiconductor devices, as follows (see List
of Items Controlled), and specially designed
components and accessories therefor.
*
*
*
*
*
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: * * *
Items:
a. For testing S-parameters of transistor
devices at frequencies exceeding 31.8 GHz;
b. [RESERVED]
c. For testing microwave integrated circuits
controlled by 3A001.b.2.
23. In Supplement No. 1 to part 774
(the Commerce Control List), Category
3—Electronics, Export Control
Classification Number (ECCN) 3B991 is
amended, revising the ‘‘items’’
paragraph in the List of Items Controlled
section, to read as follows:
I
3B991 Equipment not controlled by 3B001
for the manufacture of electronic
components and materials, and specially
designed components and accessories
therefor.
*
*
*
*
*
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: * * *
Items:
a. Equipment specially designed for the
manufacture of electron tubes, optical
elements and specially designed components
therefor controlled by 3A001 or 3A991;
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17:56 Jul 14, 2005
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b. Equipment specially designed for the
manufacture of semiconductor devices,
integrated circuits and ‘‘electronic
assemblies’’, as follows, and systems
incorporating or having the characteristics of
such equipment:
Note: 3B991.b also controls equipment
used or modified for use in the manufacture
of other devices, such as imaging devices,
electro-optical devices, acoustic-wave
devices.
b.1. Equipment for the processing of
materials for the manufacture of devices and
components as specified in the heading of
3B991.b, as follows:
Note: 3B991 does not control quartz
furnace tubes, furnace liners, paddles, boats
(except specially designed caged boats),
bubblers, cassettes or crucibles specially
designed for the processing equipment
controlled by 3B991.b.1.
b.1.a. Equipment for producing
polycrystalline silicon and materials
controlled by 3C001;
b.1.b. Equipment specially designed for
purifying or processing III/V and II/VI
semiconductor materials controlled by
3C001, 3C002, 3C003, or 3C004, except
crystal pullers, for which see 3B991.b.1.c
below;
b.1.c. Crystal pullers and furnaces, as
follows:
Note: 3B991.b.1.c does not control
diffusion and oxidation furnaces.
b.1.c.1. Annealing or recrystallizing
equipment other than constant temperature
furnaces employing high rates of energy
transfer capable of processing wafers at a rate
exceeding 0.005 m2 per minute;
b.1.c.2. ‘‘Stored program controlled’’
crystal pullers having any of the following
characteristics:
b.1.c.2.a. Rechargeable without replacing
the crucible container;
b.1.c.2.b. Capable of operation at pressures
above 2.5 × 105 Pa; or
b.1.c.2.c. Capable of pulling crystals of a
diameter exceeding 100 mm;
b.1.d. ‘‘Stored program controlled’’
equipment for epitaxial growth having any of
the following characteristics:
b.1.d.1. Capable of producing a layer
thickness uniformity across the wafer of
equal to or better than ±3.5%; or
b.1.d.2. Rotation of individual wafers
during processing;
b.1.e. Molecular beam epitaxial growth
equipment;
b.1.f. Magnetically enhanced ‘‘sputtering’’
equipment with specially designed integral
load locks capable of transferring wafers in
an isolated vacuum environment;
b.1.g. Equipment specially designed for ion
implantation, ion-enhanced or photoenhanced diffusion, having any of the
following characteristics:
b.1.g.1. Patterning capability;
b.1.g.2. Beam energy (accelerating voltage)
exceeding 200 keV;
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b.1.g.3. Optimized to operate at a beam
energy (accelerating voltage) of less than 10
keV; or
b.1.g.4. Capable of high energy oxygen
implant into a heated ‘‘substrate’’;
b.1.h. ‘‘Stored program controlled’’
equipment for the selective removal (etching)
by means of anisotropic dry methods (e.g.,
plasma), as follows:
b.1.h.1. Batch types having either of the
following:
b.1.h.1.a. End-point detection, other than
optical emission spectroscopy types; or
b.1.h.1.b. Reactor operational (etching)
pressure of 26.66 Pa or less;
b.1.h.2. Single wafer types having any of
the following:
b.1.h.2.a. End-point detection, other than
optical emission spectroscopy types;
b.1.h.2.b. Reactor operational (etching)
pressure of 26.66 Pa or less; or
b.1.h.2.c. Cassette-to-cassette and load
locks wafer handling;
Notes: 1. ‘‘Batch types’’ refers to machines
not specially designed for production
processing of single wafers. Such machines
can process two or more wafers
simultaneously with common process
parameters, e.g., RF power, temperature, etch
gas species, flow rates.
2. ‘‘Single wafer types’’ refers to machines
specially designed for production processing
of single wafers. These machines may use
automatic wafer handling techniques to load
a single wafer into the equipment for
processing. The definition includes
equipment that can load and process several
wafers but where the etching parameters, e.g.,
RF power or end point, can be independently
determined for each individual wafer.
b.1.i. ‘‘Chemical vapor deposition’’ (CVD)
equipment, e.g., plasma-enhanced CVD
(PECVD) or photo-enhanced CVD, for
semiconductor device manufacturing, having
either of the following capabilities, for
deposition of oxides, nitrides, metals or
polysilicon:
b.1.i.1. ‘‘Chemical vapor deposition’’
equipment operating below 105 Pa; or
b.1.i.2. PECVD equipment operating either
below 60 Pa (450 millitorr) or having
automatic cassette-to-cassette and load lock
wafer handling;
Note: 3B991.b.1.i does not control low
pressure ‘‘chemical vapor deposition’’
(LPCVD) systems or reactive ‘‘sputtering’’
equipment.
b.1.j. Electron beam systems specially
designed or modified for mask making or
semiconductor device processing having any
of the following characteristics:
b.1.j.1. Electrostatic beam deflection;
b.1.j.2. Shaped, non-Gaussian beam profile;
b.1.j.3. Digital-to-analog conversion rate
exceeding 3 MHz;
b.1.j.4. Digital-to-analog conversion
accuracy exceeding 12 bit; or
b.1.j.5. Target-to-beam position feedback
control precision of 1 micrometer or finer;
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Federal Register / Vol. 70, No. 135 / Friday, July 15, 2005 / Rules and Regulations
Note: 3B991.b.1.j does not control electron
beam deposition systems or general purpose
scanning electron microscopes.
b.1.k. Surface finishing equipment for the
processing of semiconductor wafers as
follows:
b.1.k.1. Specially designed equipment for
backside processing of wafers thinner than
100 micrometer and the subsequent
separation thereof; or
b.1.k.2. Specially designed equipment for
achieving a surface roughness of the active
surface of a processed wafer with a twosigma value of 2 micrometer or less, total
indicator reading (TIR);
Note: 3B991.b.1.k does not control singleside lapping and polishing equipment for
wafer surface finishing.
b.1.l. Interconnection equipment which
includes common single or multiple vacuum
chambers specially designed to permit the
integration of any equipment controlled by
3B991 into a complete system;
b.1.m. ‘‘Stored program controlled’’
equipment using ‘‘lasers’’ for the repair or
trimming of ‘‘monolithic integrated circuits’’
with either of the following characteristics:
b.1.m.1. Positioning accuracy less than ±1
micrometer; or
b.1.m.2. Spot size (kerf width) less than 3
micrometer.
b.2. Masks, mask ‘‘substrates’’, maskmaking equipment and image transfer
equipment for the manufacture of devices
and components as specified in the heading
of 3B991, as follows:
Note: The term ‘‘masks’’ refers to those
used in electron beam lithography, X-ray
lithography, and ultraviolet lithography, as
well as the usual ultraviolet and visible
photo-lithography.
b.2.a. Finished masks, reticles and designs
therefor, except:
b.2.a.1. Finished masks or reticles for the
production of unembargoed integrated
circuits; or
b.2.a.2. Masks or reticles, having both of
the following characteristics:
b.2.a.2.a. Their design is based on
geometries of 2.5 micrometer or more; and
b.2.a.2.b. The design does not include
special features to alter the intended use by
means of production equipment or
‘‘software’’;
b.2.b. Mask ‘‘substrates’’ as follows:
b.2.b.1. Hard surface (e.g., chromium,
silicon, molybdenum) coated ‘‘substrates’’
(e.g., glass, quartz, sapphire) for the
preparation of masks having dimensions
exceeding 125 mm × 125 mm; or
b.2.b.2. ‘‘Substrates’’ specially designed for
X-ray masks;
b.2.c. Equipment, other than general
purpose computers, specially designed for
computer aided design (CAD) of
semiconductor devices or integrated circuits;
b.2.d. Equipment or machines, as follows,
for mask or reticle fabrication:
b.2.d.1. Photo-optical step and repeat
cameras capable of producing arrays larger
than 100 mm x 100 mm, or capable of
producing a single exposure larger than 6
mm x 6 mm in the image (i.e., focal) plane,
or capable of producing line widths of less
than 2.5 micrometer in the photoresist on the
‘‘substrate’’;
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17:56 Jul 14, 2005
Jkt 205001
b.2.d.2. Mask or reticle fabrication
equipment using ion or ‘‘laser’’ beam
lithography capable of producing line widths
of less than 2.5 micrometer; or
b.2.d.3. Equipment or holders for altering
masks or reticles or adding pellicles to
remove defects;
Note: 3B991.b.2.d.1 and b.2.d.2 do not
control mask fabrication equipment using
photo-optical methods which was either
commercially available before the 1st
January, 1980, or has a performance no better
than such equipment.
b.2.e. ‘‘Stored program controlled’’
equipment for the inspection of masks,
reticles or pellicles with:
b.2.e.1. A resolution of 0.25 micrometer or
finer; and
b.2.e.2. A precision of 0.75 micrometer or
finer over a distance in one or two
coordinates of 63.5 mm or more;
Note: 3B991.b.2.e does not control general
purpose scanning electron microscopes
except when specially designed and
instrumented for automatic pattern
inspection.
b.2.f. Align and expose equipment for
wafer production using photo-optical or Xray methods, e.g., lithography equipment,
including both projection image transfer
equipment and step and repeat (direct step
on wafer) or step and scan (scanner)
equipment, capable of performing any of the
following functions:
Note: 3B991.b.2.f does not control photooptical contact and proximity mask align and
expose equipment or contact image transfer
equipment.
b.2.f.1. Production of a pattern size of less
than 2.5 micrometer;
b.2.f.2. Alignment with a precision finer
than ±0.25 micrometer (3 sigma);
b.2.f.3. Machine-to-machine overlay no
better than ±0.3 micrometer; or
b.2.f.4. A light source wavelength shorter
than 400 nm;
b.2.g. Electron beam, ion beam or X-ray
equipment for projection image transfer
capable of producing patterns less than 2.5
micrometer;
Note: For focused, deflected-beam systems
(direct write systems), see 3B991.b.1.j or b.10.
b.2.h. Equipment using ‘‘lasers’’ for direct
write on wafers capable of producing
patterns less than 2.5 micrometer.
b.3. Equipment for the assembly of
integrated circuits, as follows:
b.3.a. ‘‘Stored program controlled’’ die
bonders having all of the following
characteristics:
b.3.a.1. Specially designed for ‘‘hybrid
integrated circuits’’;
b.3.a.2. X–Y stage positioning travel
exceeding 37.5 x 37.5 mm; and
b.3.a.3. Placement accuracy in the X–Y
plane of finer than ±10 micrometer;
b.3.b. ‘‘Stored program controlled’’
equipment for producing multiple bonds in
a single operation (e.g., beam lead bonders,
chip carrier bonders, tape bonders);
b.3.c. Semi-automatic or automatic hot cap
sealers, in which the cap is heated locally to
a higher temperature than the body of the
package, specially designed for ceramic
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Fmt 4701
Sfmt 4700
microcircuit packages controlled by 3A001
and that have a throughput equal to or more
than one package per minute.
Note: 3B991.b.3 does not control general
purpose resistance type spot welders.
b.4. Filters for clean rooms capable of
providing an air environment of 10 or less
particles of 0.3 micrometer or smaller per
0.02832 m3 and filter materials therefor.
24. In Supplement No. 1 to part 774
(the Commerce Control List), Category
3—Electronics, Export Control
Classification Number (ECCN) 3B992 is
amended revising the ‘‘items’’ paragraph
in the List of Items Controlled section, to
read as follows:
I
3B992 Equipment not controlled by 3B002
for the inspection or testing of electronic
components and materials, and specially
designed components and accessories
therefor.
*
*
*
*
*
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: * * *
Items:
a. Equipment specially designed for the
inspection or testing of electron tubes, optical
elements and specially designed components
therefor controlled by 3A001 or 3A991;
b. Equipment specially designed for the
inspection or testing of semiconductor
devices, integrated circuits and ‘‘electronic
assemblies’’, as follows, and systems
incorporating or having the characteristics of
such equipment:
Note: 3B992.b also controls equipment
used or modified for use in the inspection or
testing of other devices, such as imaging
devices, electro-optical devices, acousticwave devices.
b.1. ‘‘Stored program controlled’’
inspection equipment for the automatic
detection of defects, errors or contaminants
of 0.6 micrometer or less in or on processed
wafers, ‘‘substrates’’, other than printed
circuit boards or chips, using optical image
acquisition techniques for pattern
comparison;
Note: 3B992.b.1 does not control general
purpose scanning electron microscopes,
except when specially designed and
instrumented for automatic pattern
inspection.
b.2. Specially designed ‘‘stored program
controlled’’ measuring and analysis
equipment, as follows:
b.2.a. Specially designed for the
measurement of oxygen or carbon content in
semiconductor materials;
b.2.b. Equipment for line width
measurement with a resolution of 1
micrometer or finer;
b.2.c. Specially designed flatness
measurement instruments capable of
measuring deviations from flatness of 10
micrometer or less with a resolution of 1
micrometer or finer.
b.3. ‘‘Stored program controlled’’ wafer
probing equipment having any of the
following characteristics:
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b.3.a. Positioning accuracy finer than 3.5
micrometer;
b.3.b. Capable of testing devices having
more than 68 terminals; or
b.3.c. Capable of testing at a frequency
exceeding 1 GHz;
b.4. Test equipment as follows:
b.4.a. ‘‘Stored program controlled’’
equipment specially designed for testing
discrete semiconductor devices and
unencapsulated dice, capable of testing at
frequencies exceeding 18 GHz;
Technical Note: Discrete semiconductor
devices include photocells and solar cells.
b.4.b. ‘‘Stored program controlled’’
equipment specially designed for testing
integrated circuits and ‘‘electronic
assemblies’’ thereof, capable of functional
testing:
b.4.b.1. At a ‘pattern rate’ exceeding 20
MHz; or
b.4.b.2. At a ‘pattern rate’ exceeding 10
MHz but not exceeding 20 MHz and capable
of testing packages of more than 68 terminals.
Notes: 3B992.b.4.b does not control test
equipment specially designed for testing:
1. memories;
2. ‘‘Assemblies’’ or a class of ‘‘electronic
assemblies’’ for home and entertainment
applications; and
3. Electronic components, ‘‘assemblies’’
and integrated circuits not controlled by
3A001 or 3A991 provided such test
equipment does not incorporate computing
facilities with ‘‘user accessible
programmability’’.
Technical Note: For purposes of
3B992.b.4.b, ‘pattern rate’ is defined as the
maximum frequency of digital operation of a
tester. It is therefore equivalent to the highest
data rate that a tester can provide in nonmultiplexed mode. It is also referred to as test
speed, maximum digital frequency or
maximum digital speed.
b.4.c. Equipment specially designed for
determining the performance of focal-plane
arrays at wavelengths of more than 1,200 nm,
using ‘‘stored program controlled’’
measurements or computer aided evaluation
and having any of the following
characteristics:
b.4.c.1. Using scanning light spot diameters
of less than 0.12 mm;
b.4.c.2. Designed for measuring
photosensitive performance parameters and
for evaluating frequency response,
modulation transfer function, uniformity of
responsivity or noise; or
b.4.c.3. Designed for evaluating arrays
capable of creating images with more than 32
x 32 line elements;
b.5. Electron beam test systems designed
for operation at 3 keV or below, or ‘‘laser’’
beam systems, for non-contactive probing of
powered-up semiconductor devices having
any of the following:
b.5.a. Stroboscopic capability with either
beam blanking or detector strobing;
b.5.b. An electron spectrometer for voltage
measurements with a resolution of less than
0.5 V; or
b.5.c. Electrical tests fixtures for
performance analysis of integrated circuits;
Note: 3B992.b.5 does not control scanning
electron microscopes, except when specially
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designed and instrumented for noncontactive probing of a powered-up
semiconductor device.
b.6. ‘‘Stored program controlled’’
multifunctional focused ion beam systems
specially designed for manufacturing,
repairing, physical layout analysis and
testing of masks or semiconductor devices
and having either of the following
characteristics:
b.6.a. Target-to-beam position feedback
control precision of 1 micrometer or finer; or
b.6.b. Digital-to-analog conversion
accuracy exceeding 12 bit;
b.7. Particle measuring systems employing
‘‘lasers’’ designed for measuring particle size
and concentration in air having both of the
following characteristics:
b.7.a. Capable of measuring particle sizes
of 0.2 micrometer or less at a flow rate of
0.02832 m3 per minute or more; and
b.7.b. Capable of characterizing Class 10
clean air or better.
25. In Supplement No. 1 to part 774
(the Commerce Control List), Category
4—Computers, Export Control
Classification Number (ECCN) 4A003 is
amended by revising the ‘‘items’’
paragraph in the List of Items Controlled
section, to read as follows:
I
4A003 ‘‘Digital computers’’, ‘‘electronic
assemblies’’, and related equipment therefor,
as follows, and specially designed
components therefor.
*
*
*
*
*
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: * * *
Items:
Note 1: 4A003 includes the following:
a. Vector processors;
b. Array processors;
c. Digital signal processors;
d. Logic processors;
e. Equipment designed for ‘‘image
enhancement’’;
f. Equipment designed for ‘‘signal
processing’’.
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).
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41111
c. The ‘‘technology’’ for the ‘‘digital
computers’’ and related equipment is
determined by 4E.
a. Designed or modified for ‘‘fault
tolerance’’;
Note: For the purposes of 4A003.a., ‘‘digital
computers’’ and related equipment are not
considered to be designed or modified for
‘‘fault tolerance’’ if they utilize any of the
following:
1. Error detection or correction algorithms
in ‘‘main storage’’;
2. The interconnection of two ‘‘digital
computers’’ so that, if the active central
processing unit fails, an idling but mirroring
central processing unit can continue the
system’s functioning;
3. The interconnection of two central
processing units by data channels or by use
of shared storage to permit one central
processing unit to perform other work until
the second central processing unit fails, at
which time the first central processing unit
takes over in order to continue the system’s
functioning; or
4. The synchronization of two central
processing units by ‘‘software’’ so that one
central processing unit recognizes when the
other central processing unit fails and
recovers tasks from the failing unit.
b. ‘‘Digital computers’’ having a
‘‘composite theoretical performance’’
(‘‘CTP’’) exceeding 190,000 million
theoretical operations per second (MTOPS);
c. ‘‘Electronic assemblies’’ specially
designed or modified to be capable of
enhancing performance by aggregation of
‘‘computing elements’’ (‘‘CEs’’) so that the
‘‘CTP’’ 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’’. It does not apply to
‘‘electronic assemblies’’ inherently limited by
nature of their design for use as related
equipment controlled by 4A003.e.
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. [RESERVED]
e. Equipment performing analog-to-digital
conversions exceeding the limits in
3A001.a.5;
f. [RESERVED]
g. Equipment specially designed to provide
external interconnection of ‘‘digital
computers’’ or associated equipment that
allows communications at data rates
exceeding 1.25 Gbyte/s.
Note: 4A003.g does not control internal
interconnection equipment (e.g., backplanes,
buses) passive interconnection equipment,
‘‘network access controllers’’ or
‘‘communication channel controllers’’.
26. In Supplement No. 1 to part 774
(the Commerce Control List), Category
4—Computers, Export Control
Classification Number (ECCN) 4A994 is
amended by revising the ‘‘items’’
I
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paragraph in the List of Items Controlled
section, to read as follows:
4A994 Computers, ‘‘electronic assemblies’’,
and related equipment not controlled by
4A001 or 4A003, and specially designed
components therefor.
*
*
*
*
*
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: * * *
Items:
Note 1: The control status of the ‘‘digital
computers’’ and related equipment described
in 4A994 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. Electronic computers and related
equipment, and ‘‘electronic assemblies’’ and
specially designed components therefor,
rated for operation at an ambient temperature
above 343 K (70 °C);
b. ‘‘Digital computers’’ having a
‘‘composite theoretical performance’’
(‘‘CTP’’) equal to or greater than 6 million
theoretical operations per second (MTOPS);
c. ‘‘Electronic assemblies’’ that are
specially designed or modified to enhance
performance by aggregation of ‘‘computing
elements’’ (‘‘CEs’’), as follows:
c.1. Designed to be capable of aggregation
in configurations of 16 or more ‘‘computing
elements’’ (‘‘CEs’’); or
c.2. Having a sum of maximum data rates
on all channels available for connection to
associated processors exceeding 40 million
Byte/s;
Note 1: 4A994.c applies only to ‘‘electronic
assemblies’’ and programmable
interconnections with a ‘‘CTP’’ not exceeding
the limits in 4A994.b, when shipped as
unintegrated ‘‘electronic assemblies’’. It does
not apply to ‘‘electronic assemblies’’
inherently limited by nature of their design
for use as related equipment controlled by
4A994.g and 4A994.k.
Note 2: 4A994.c does not control any
‘‘electronic assembly’’ specially designed for
a product or family of products whose
maximum configuration does not exceed the
limits of 4A994.b.
d. Disk drives and solid state storage
equipment:
d.1. Magnetic, erasable optical or magnetooptical disk drives with a ‘‘maximum bit
transfer rate’’ exceeding 25 million bit/s;
d.2. Solid state storage equipment, other
than ‘‘main storage’’ (also known as solid
state disks or RAM disks), with a ‘‘maximum
bit transfer rate’’ exceeding 36 million bit/s;
e. Input/output control units designed for
use with equipment controlled by 4A994.d;
f. Equipment for ‘‘signal processing’’ or
‘‘image enhancement’’ having a ‘‘composite
theoretical performance’’ (‘‘CTP’’) exceeding
8.5 million theoretical operations per second
(MTOPS);
g. Graphics accelerators or graphics
coprocessors that exceed a ‘‘three
dimensional vector rate’’ of 400,000 or, if
supported by 2–D vectors only, a ‘‘two
dimensional vector rate’’ of 600,000;
Note: The provisions of 4A994.g do not
apply to work stations designed for and
limited to:
a. Graphic arts (e.g., printing, publishing);
and
b. The display of two-dimensional vectors.
h. Color displays or monitors having more
than 120 resolvable elements per cm in the
direction of the maximum pixel density;
Note 1: 4A994.h does not control displays
or monitors not specially designed for
electronic computers.
Note 2: Displays specially designed for air
traffic control (ATC) systems are treated as
specially designed components for ATC
systems under Category 6.
i. Equipment containing ‘‘terminal
interface equipment’’ exceeding the limits in
5A991.
Note: For the purposes of 4A994.i,
‘‘terminal interface equipment’’ includes
‘‘local area network’’ interfaces, modems and
other communications interfaces. ‘‘Local area
network’’ interfaces are evaluated as
‘‘network access controllers’’.
j. Equipment specially designed to provide
external interconnection of ‘‘digital
computers’’ or associated equipment that
allows communications at data rates
exceeding 80 Mbyte/s.
Note: 4A994.j does not control internal
interconnection equipment (e.g., backplanes,
buses) passive interconnection equipment,
‘‘network access controllers’’ or
‘‘communication channel controllers’’.
k. ‘‘Hybrid computers’’ and ‘‘electronic
assemblies’’ and specially designed
components therefor, as follows:
k.1. Containing ‘‘digital computers’’
controlled by 4A003;
k.2. Containing analog-to-digital converters
having all of the following characteristics:
k.2.a. 32 channels or more; and
k.2.b. A resolution of 14 bit (plus sign bit)
or more with a conversion rate of 200,000
conversions/s or more.
27. In Supplement No. 1 to part 774
(the Commerce Control List), Category
4—Computers, Export Control
Classification Number (ECCN) 4D001 is
amended by revising the License
Requirements section, the ‘‘TSR’’
paragraph of the License Exception
section, and the ‘‘items’’ paragraph in the
List of Items Controlled section, to read
as follows:
I
4D001 ‘‘Software’’ specially designed or
modified for the ‘‘development’’,
‘‘production’’ or ‘‘use’’ of equipment or
‘‘software’’ controlled by 4A001 to 4A004, or
4D (except 4D980, 4D993 or 4D994), and
other specified software, see List of Items
Controlled.
License Requirements
Reason for Control: NS, CC, AT, NP, XP.
Control(s)
Country chart
NS applies to ‘‘software’’ for commodities or software controlled by 4A001 to 4A004, 4D001 to 4D003 ....................................
CC applies to ‘‘software’’ for computerized finger-print equipment controlled by 4A003 for CC reasons ....................................
AT applies to entire entry ...............................................................................................................................................................
NP applies, unless a License Exception is
available. See § 742.3(b) of the EAR for
information on applicable licensing review
policies.
XP applies to ‘‘software’’ for computers
with a CTP greater than 190,000 MTOPS,
unless a License Exception is available. XP
controls vary according to destination and
end-user and end-use; however, XP does not
apply to Canada. See § 742.12 of the EAR for
additional information.
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License Exceptions
CIV: * * *
TSR: Yes, except software for commodities
controlled by ECCN 4A003.b or ECCN
4A003.c is limited to software for
computers or electronic assemblies with a
CTP equal to or less than 190,000 MTOPS.
CTP: * * *
List of Items Controlled
PO 00000
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Frm 00020
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NS Column 1.
CC Column 1.
AT Column 1.
Related Controls: * * *
Related Definitions: * * *
Items:
a. ‘‘Software’’ specially designed or
modified for the ‘‘development’’,
‘‘production’’ or ‘‘use’’ of equipment or
‘‘software’’ controlled by 4A001 to 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:
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b.1. ‘‘Digital computers’’ having a
‘‘composite theoretical performance’’
(‘‘CTP’’) exceeding 75,000 MTOPS; or
b.2. ‘‘Electronic assemblies’’ specially
designed or modified for enhancing
performance by aggregation of ‘‘computing
elements’’ (‘‘CEs’’) so that the ‘‘CTP’’ of the
aggregation exceeds the limit in 4D001.b.1.
4—Computers, Export Control
Classification Number (ECCN) 4E001 is
amended by revising the License
Requirements section, the ‘‘TSR’’
paragraph in the License Exception
section, and the ‘‘items’’ paragraph in the
List of Items Controlled section, to read
as follows:
28. In Supplement No. 1 to part 774
(the Commerce Control List), Category
4E001 ‘‘Technology’’ according to the
General Technology Note, for the
I
‘‘development’’, ‘‘production’’ or ‘‘use’’ of
equipment or ‘‘software’’ controlled by 4A
(except 4A980, 4A993 or 4A994) or 4D
(except 4D980, 4D993, 4D994), and other
specified technology, see List of Items
Controlled.
License Requirements
Reason for Control: NS, MT, CC, AT, NP,
XP.
Control(s)
Country chart
NS applies to ‘‘technology’’ for commodities or software controlled by 4A001 to 4A004, 4D001 to 4D003 .................................
MT applies to ‘‘technology’’ for items controlled by 4A001.a and 4A101 for MT reasons ............................................................
CC applies to ‘‘technology’’ for computerized fingerprint equipment controlled by 4A003 for CC reasons ..................................
AT applies to entire entry ...............................................................................................................................................................
NP applies, unless a License Exception is
available. See § 742.3(b) of the EAR for
information on applicable licensing review
policies.
XP applies to ‘‘technology’’ for computers
with a CTP greater than 190,000 MTOPS,
unless a License Exception is available. XP
controls vary according to destination and
end-user and end-use, however, XP does not
apply to Canada. See § 742.12 of the EAR for
additional information.
License Exceptions
CIV: * * *
TSR: Yes, except technology for commodities
controlled by ECCN 4A003.b or ECCN
4A003.c is limited to technology for
computers or electronic assemblies with a
CTP equal to or less than 190,000 MTOPS.
CTP: * * *
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: * * *
Items:
a. ‘‘Technology’’ according to the General
Technology Note, for the ‘‘development,’’
‘‘production,’’ or ‘‘use’’ of equipment or
‘‘software’’ controlled by 4A (except 4A980,
4A993 or 4A994) or 4D (except 4D980,
4D993, 4D994).
b. ‘‘Technology’’, other than that controlled
by 4E001.a, specially designed or modified
for the ‘‘development’’ or ‘‘production’’ of:
b.1. ‘‘Digital computers’’ having a
‘‘composite theoretical performance’’
(‘‘CTP’’) exceeding 75,000 MTOPS; or
b.2. ‘‘Electronic assemblies’’ specially
designed or modified for enhancing
performance by aggregation of ‘‘computing
elements’’ (‘‘CEs’’) so that the ‘‘CTP’’ of the
aggregation exceeds the limit in 4E001.b.1.
29. In Supplement No. 1 to part 774
(the Commerce Control List), Category
5—Telecommunications and
‘‘Information Security’’, Part I—
Telecommunications, Export Control
Classification Number (ECCN) 5A001 is
amended by revising the License
Requirements and License Exceptions
sections, and revising the ‘‘Related
Controls’’ and ‘‘items’’ paragraphs in the
List of Items Controlled section, to read
as follows:
I
5A001 Telecommunications systems,
equipment, and components.
License Requirements
Reason for Control: NS, AT.
Control(s)
Country chart
NS applies to 5A001.a, and .e .......................................................................................................................................................
NS applies to 5A001.b, .c, or .d .....................................................................................................................................................
AT applies to entire entry ...............................................................................................................................................................
License Requirement Notes: See § 743.1 of
the EAR for reporting requirements for
exports under License Exceptions.
License Exceptions
LVS: N/A for 5A001.a, b.5, .e $5000 for
5A001b.1, b.2, b.3, b.6, and .d $3000 for
5A001.c.
GBS: Yes, except 5A001.a, b.5, .e.
CIV: Yes, except 5A001.a, b.3, b.5, .e.
List of Items Controlled
Unit: * * *
Related Controls: Telecommunications
equipment defined in 5A001.a.1 through
A001.a.3 for use on board satellites is subject
to the export licensing authority of the
Department of State, Directorate of Defense
Trade Controls (22 CFR part 121). Direction
finding equipment defined in 5A001.e is
subject to the export licensing authority of
the Department of State, Directorate of
Defense Trade Controls (22 CFR part 121).
See also 5A101 and 5A991.
Related Definitions: * * *
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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.
Note: 5A001.a.2 and 5A001.a.3 do not
apply to equipment on board satellites.
b. Telecommunication transmission
equipment and systems, and specially
designed components and accessories
therefor, having any of the following
characteristics, functions or features:
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MT Column 1.
CC Column 1.
AT Column 1.
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NS Column 1.
NS Column 2.
AT Column 1.
b.1 Being underwater communications
systems having any of the following
characteristics:
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;
b.2. Being radio equipment operating in the
1.5 MHz to 87.5 MHz band and having any
of the following characteristics:
b.2.a. Incorporating adaptive techniques
providing more than 15 dB suppression of an
interfering signal; or
b.2.b. Having all of the following:
b.2.b.1. Automatically predicting and
selecting frequencies and ‘‘total digital
transfer rates’’ per channel to optimize the
transmission; and
b.2.b.2. 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
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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, having any
of the following characteristics:
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;
Note: 5A001.b.3.b does not control radio
equipment specially designed for use with
civil cellular radio-communications systems.
Note: 5A001.b.3 does not control
equipment operating at an output power of
1.0 Watt or less.
b.4 Being radio equipment employing
‘‘time-modulated ultra-wideband’’
techniques, having user programmable
channelizing or scrambling codes;
b.5. Being digitally controlled radio
receivers having all of the following:
b.5.a. More than 1,000 channels;
b.5.b. A ‘‘frequency 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.
b.6. Employing functions of digital ‘‘signal
processing’’ to provide voice coding output at
rates of less than 2,400 bit/s.
Technical Note: For variable rate voice
coding, 5A001.b.6 applies to the voice coding
output of continuous speech.
c. Optical fiber communication cables,
optical fibers and accessories, as follows:
c.1. Optical fibers of more than 500 m in
length specified by the manufacturer as being
capable of withstanding a proof test tensile
stress of 2 × 10 9 N/m 2 or more;
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.
c.2. Optical fiber cables and accessories
designed for underwater use.
Note: 5A001.c.2 does not control standard
civil telecommunication cables and
accessories.
N.B. 1: For underwater umbilical cables,
and connectors thereof, see 8A002.a.3.
N.B. 2: For fiber-optic hull penetrators or
connectors, see 8A002.c.
d. ‘‘Electronically steerable phased array
antennae’’ operating above 31.8 GHz.
Note: 5A001.d does not control
‘‘electronically steerable phased array
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antennae’’ for landing systems with
instruments meeting ICAO standards
covering microwave landing systems (MLS).
e. Direction finding equipment operating at
frequencies above 30 MHz and having all of
the following characteristics, and specially
designed components therefor:
e.1. ‘‘Instantaneous bandwidth’’ of 1 MHz
or more;
e.2. Parallel processing of more than 100
frequency channels; and
e.3. Processing rate of more than 1,000
direction finding results per second and per
frequency channel.
a.1.a.1. Being designed to take
measurements at an angle exceeding 20° from
the vertical;
a.1.a.2. Being designed to measure depths
exceeding 600 m below the water surface;
and
a.1.a.3. Being designed to provide any of
the following:
a.1.a.3.a. Incorporation of multiple beams
any of which is less than 1.9°; or
a.1.a.3.b. Data accuracies of better than
0.3% of water depth across the swath
averaged over the individual measurements
within the swath;
a.1.b. Object detection or location systems
I 30. In Supplement No. 1 to part 774
having any of the following:
a.1.b.1. A transmitting frequency below 10
(the Commerce Control List), Category
kHz;
6—Sensors, Export Control
a.1.b.2. Sound pressure level exceeding
Classification Number (ECCN) 6A001 is
224dB (reference 1 µPa at 1 m) for equipment
amended by revising the ‘‘LVS’’
with an operating frequency in the band from
paragraph in the License Exceptions
10 kHz to 24 kHz inclusive;
section, and the ‘‘items’’ paragraph in the
a.1.b.3. Sound pressure level exceeding
List of Items Controlled section, to read
235 dB (reference 1 µPa at 1 m) for
as follows:
equipment with an operating frequency in
the band between 24 kHz and 30 kHz;
6A001 Acoustics.
a.1.b.4. Forming beams of less than 1° on
*
*
*
*
*
any axis and having an operating frequency
of less than 100 kHz;
License Exceptions
a.1.b.5. Designed to operate with an
LVS: $3000; N/A for 6A001.a.1.b.1 object
unambiguous display range exceeding 5,120
detection and location systems having a
m; or
transmitting frequency below 5 kHz or a
a.1.b.6. Designed to withstand pressure
sound pressure level exceeding 210 dB
during normal operation at depths exceeding
(reference 1 µPa at 1 m) for equipment with
1,000 m and having transducers with any of
an operating frequency in the band from 30
the following:
kHz to 2 kHz inclusive; 6A001.a.2.a.1,
a.1.b.6.a. Dynamic compensation for
a.2.a.2, 6A001.a.2.a.3, a.2.a.5, a.2.a.6,
pressure; or
6A001.a.2.b; processing equipment
a.1.b.6.b. Incorporating other than lead
controlled by 6A001.a.2.c, and specially
zirconate titanate as the transduction
designed for real time application with
element;
towed acoustic hydrophone arrays; a.2.e.1,
a.1.c. Acoustic projectors, including
a.2.e.2; and bottom or bay cable systems
transducers, incorporating piezoelectric,
controlled by 6A001.a.2.f and having
magnetostrictive, electrostrictive,
processing equipment specially designed
electrodynamic or hydraulic elements
for real time application with bottom or
operating individually or in a designed
bay cable systems.
combination, having any of the following:
GBS: * * *
Notes: 1. The control status of acoustic
CIV: * * *
projectors, including transducers, specially
List of Items Controlled
designed for other equipment is determined
by the control status of the other equipment.
Unit: * * *
2. 6A001.a.1.c does not control electronic
Related Controls: * * *
sources that direct the sound vertically only,
Related Definitions: * * *
or mechanical (e.g., air gun or vapor-shock
Items:
a. Marine acoustic systems, equipment and gun) or chemical (e.g., explosive) sources.
specially designed components therefor, as
a.1.c.1. An instantaneous radiated acoustic
follows:
power density exceeding 0.01 mW/mm2/Hz
for devices operating at frequencies below 10
a.1. Active (transmitting or transmittingkHz;
and-receiving) systems, equipment and
a.1.c.2. A continuously radiated acoustic
specially designed components therefor, as
power density exceeding 0.001 Mw/mm2/Hz
follows:
for devices operating at frequencies below 10
Note: 6A001.a.1 does not control:
kHz; or
a. Depth sounders operating vertically
Technical Note: Acoustic power density is
below the apparatus, not including a
obtained by dividing the output acoustic
scanning function exceeding ±20°, and
power by the product of the area of the
limited to measuring the depth of water, the
radiating surface and the frequency of
distance of submerged or buried objects or
operation.
fish finding;
b. Acoustic beacons, as follows:
a.1.c.3. Side-lobe suppression exceeding 22
1. Acoustic emergency beacons;
dB;
2. Pingers specially designed for relocating
a.1.d. Acoustic systems, equipment and
or returning to an underwater position.
specially designed components for
determining the position of surface vessels or
a.1.a. Wide-swath bathymetric survey
underwater vehicles designed to operate at a
systems designed for sea bed topographic
range exceeding 1,000 m with a positioning
mapping, having all of the following:
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Federal Register / Vol. 70, No. 135 / Friday, July 15, 2005 / Rules and Regulations
accuracy 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.2. Passive (receiving, whether or not
related in normal application to separate
active equipment) systems, equipment and
specially designed components therefor, as
follows:
a.2.a. Hydrophones having any of the
following characteristics:
Note: The control status of hydrophones
specially designed for other equipment is
determined by the control status of the other
equipment.
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; or
a.2.a.3.b. Piezoelectric polymer films other
than polyvinylidene-fluoride (PVDF) and its
co-polymers {P(VDF–TrFE) and P(VDF–
TFE)}; or
a.2.a.3.c. Flexible piezoelectric composites;
a.2.a.4. A hydrophone sensitivity better
than ¥180dB at any depth with no
acceleration compensation;
a.2.a.5. When 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
reference, when the hydrophone sensor,
without a pre-amplifier, is placed in a plane
wave acoustic field with an rms pressure of
1 µPa. For example, a hydrophone of ¥160
dB (reference 1 V per µPa) 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:
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;
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Jkt 205001
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. Multiplexed hydrophone group
signals 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; or
a.2.b.7. Hydrophone characteristics
controlled by 6A001.a.2.a;
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;
a.2.e. Bottom or bay cable systems having
any of the following:
a.2.e.1. Incorporating hydrophones
controlled by 6A001.a.2.a; or
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;
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;
b. Correlation-velocity sonar log equipment
designed to measure the horizontal speed of
the equipment carrier relative to the sea bed
at distances between the carrier and the sea
bed exceeding 500 m.
31. In Supplement No. 1 to part 774
(the Commerce Control List), Category
6—Sensors, Export Control
Classification Number (ECCN) 6A002 is
amended by revising the ‘‘items’’
paragraph in the List of Items Controlled
section, to read as follows:
I
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6A002
*
41115
Optical sensors.
*
*
*
*
List of Items Controlled
Unit: * * *
Related Controls:
Related Definitions: * * *
Items:
a. Optical detectors, as follows:
Note: 6A002.a does not control germanium
or silicon photodevices.
N.B. Silicon and other material based
‘‘microbolometer’’ non ‘‘space-qualified’’
‘‘focal plane arrays’’ are only specified under
6A002.a.3.f.
a.1. ‘‘Space-qualified’’ solid-state detectors,
as follows:
a.1.a. ‘‘Space-qualified’’ solid-state
detectors, having all of the following:
a.1.a.1. A peak response in the wavelength
range exceeding 10 nm but not exceeding 300
nm; and
a.1.a.2. A response of less than 0.1%
relative to the peak response at a wavelength
exceeding 400 nm;
a.1.b. ‘‘Space-qualified’’ solid-state
detectors, having all of the following:
a.1.b.1. A peak response in the wavelength
range exceeding 900 nm but not exceeding
1,200 nm; and
a.1.b.2. A response ‘‘time constant’’ of 95
ns or less;
a.1.c. ‘‘Space-qualified’’ solid-state
detectors having a peak response in the
wavelength range exceeding 1,200 nm but
not exceeding 30,000 nm;
a.2. Image intensifier tubes and specially
designed components therefor, as follows:
a.2.a. Image intensifier tubes having all of
the following:
a.2.a.1. A peak response in the wavelength
range exceeding 400 nm but not exceeding
1,050 nm;
a.2.a.2. A microchannel plate for electron
image amplification with a hole pitch
(center-to-center spacing) of 12 µm or less;
and
a.2.a.3. Any of the following
photocathodes:
a.2.a.3.a. S-20, S-25 or multialkali
photocathodes with a luminous sensitivity
exceeding 350 µA/lm;
a.2.a.3.b. GaAs or GaInAs photocathodes;
or
a.2.a.3.c. Other III–V compound
semiconductor photocathodes;
Note: 6A002.a.2.a.3.c does not apply to
compound semiconductor photocathodes
with a maximum radiant sensitivity of 10
mA/W or less.
a.2.b. Specially designed components, as
follows:
a.2.b.1. Microchannel plates having a hole
pitch (center-to-center spacing) of 12 µm or
less;
a.2.b.2. GaAs or GaInAs photocathodes;
a.2.b.3. Other III–V compound
semiconductor photocathodes;
Note: 6A002.a.2.b.3 does not control
compound semiconductor photocathodes
with a maximum radiant sensitivity of 10
mA/W or less.
a.3. Non-‘‘space-qualified’’ ‘‘focal plane
arrays’’, as follows:
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Federal Register / Vol. 70, No. 135 / Friday, July 15, 2005 / Rules and Regulations
N.B. Silicon and other material based
‘microbolometer’ non ‘‘space-qualified’’
‘‘focal plane arrays’’ are only specified in
6A002.a.3.f.
Technical Notes:
1. Linear or two-dimensional multielement detector arrays are referred to as
‘‘focal plane arrays’’.
2. For the purposes of 6A002.a.3. ‘cross
scan direction’ is defined as the axis parallel
to the linear array of detector elements and
the ‘scan direction’ is defined as the axis
perpendicular to the linear array of detector
elements.
Note 1: 6A002.a.3 includes
photoconductive arrays and photovoltaic
arrays.
Note 2: 6A002.a.3 does not control:
a. Multi-element (not to exceed 16
elements) encapsulated photoconductive
cells using either lead sulphide or lead
selenide;
b. Pyroelectric detectors using any of the
following:
b.1. Triglycine sulphate and variants;
b.2. Lead-lanthanum-zirconium titanate
and variants;
b.3. Lithium tantalate;
b.4. Polyvinylidene fluoride and variants;
or
b.5. Strontium barium niobate and
variants.
a.3.a. Non-‘‘space-qualified’’ ‘‘focal plane
arrays’’, having all of the following:
a.3.a.1. Individual elements with a peak
response within the wavelength range
exceeding 900 nm but not exceeding 1,050
nm; and
a.3.a.2. A response ‘‘time constant’’ of less
than 0.5 ns;
a.3.b. Non-‘‘space-qualified’’ ‘‘focal plane
arrays’’, having all of the following:
a.3.b.1. Individual elements with a peak
response in the wavelength range exceeding
1,050 nm but not exceeding 1,200 nm; and
a.3.b.2. A response ‘‘time constant’’ of 95
ns or less;
a.3.c. Non-‘‘space-qualified’’ non-linear (2dimensional) ‘‘focal plane arrays’’, having
individual elements with a peak response in
the wavelength range exceeding 1,200 nm but
not exceeding 30,000 nm;
N.B. Silicon and other material based
‘microbolometer’ non-‘‘space-qualified’’
‘‘focal plane arrays’’ are only specified in
6A002.a.3.f.
a.3.d. Non-‘‘space-qualified’’ linear (1dimensional) ‘‘focal plane arrays’’, having all
of the following :
a.3.d.1. Individual elements with a peak
response in the wavelength range exceeding
1,200 nm but not exceeding 2,500 nm; and
a.3.d.2. Any of the following:
a.3.d.2.a. A ratio of scan direction
dimension of the detector element to the
cross-scan direction dimension of the
detector element of less than 3.8; or
a.3.d.2.b. Signal processing in the element
(SPRITE);
a.3.e. Non-‘‘space-qualified’’ linear (1dimensional) ‘‘focal plane arrays’’, having
individual elements with a peak response in
the wavelength range exceeding 2,500 nm but
not exceeding 30,000 nm.
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Jkt 205001
a.3.f. Non-‘‘space-qualified’’ non-linear (2dimensional) infrared ‘‘focal plane arrays’’
based on ‘microbolometer’ material having
individual elements with an unfiltered
response in the wavelength range equal to or
exceeding 8,000 nm but not exceeding 14,000
nm.
Technical Notes:
1. For the purposes of 6A002.a.3.f.
‘microbolometer’ is defined as a thermal
imaging detector that, as a result of a
temperature change in the detector caused by
the absorption of infrared radiation, is used
to generate any usable signal.
2. Non-imaging thermal detectors are not
controlled by 6A002.a.3. Imaging thermal
detectors are a multi-element array of thermal
detectors with the capacity to form a visual,
electronic or other representation of an object
with sufficient fidelity to enable
understanding of its shape or other spatial
characteristics, such as height, width, or area.
A multi-element array of thermal detectors
without the capacity to form spatial
representation of an object is non-imaging.
3. 6A002.a.3.f captures all non-‘‘spacequalified’’ non-linear (2-dimensional)
infrared ‘‘focal plane arrays’’ based on
microbolometer material having individual
elements with any unfiltered response
between 8,000 nm and 14,000 nm.
b. ‘‘Monospectral imaging sensors’’ and
‘‘multispectral imaging sensors’’ designed for
remote sensing applications, having any of
the following:
b.1. An Instantaneous-Field-Of-View
(IFOV) of less than 200 µrad (microradians);
or
b.2. Being specified for operation in the
wavelength range exceeding 400 nm but not
exceeding 30,000 nm and having all the
following;
b.2.a. Providing output imaging data in
digital format; and
b.2.b. Being any of the following:
b.2.b.1. ‘‘Space-qualified’; or
b.2.b.2. Designed for airborne operation,
using other than silicon detectors, and having
an IFOV of less than 2.5 mrad (milliradians).
c. Direct view imaging equipment
operating in the visible or infrared spectrum,
incorporating any of the following:
c.1. Image intensifier tubes having the
characteristics listed in 6A002.a.2.a; or
c.2. ‘‘Focal plane arrays’’ having the
characteristics listed in 6A002.a.3.
Technical Note: ‘‘Direct view’’ refers to
imaging equipment, operating in the visible
or infrared spectrum, that presents a visual
image to a human observer without
converting the image into an electronic signal
for television display, and that cannot record
or store the image photographically,
electronically or by any other means.
Note: 6A002.c does not control the
following equipment incorporating other
than GaAs or GaInAs photocathodes:
a. Industrial or civilian intrusion alarm,
traffic or industrial movement control or
counting systems;
b. Medical equipment;
c. Industrial equipment used for
inspection, sorting or analysis of the
properties of materials;
d. Flame detectors for industrial furnaces;
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e. Equipment specially designed for
laboratory use.
d. Special support components for optical
sensors, as follows:
d.1. ‘‘Space-qualified’’ cryocoolers;
d.2. Non-‘‘space-qualified’’ cryocoolers,
having a cooling source temperature below
218 K (¥55 °C), as follows:
d.2.a. Closed cycle type with a specified
Mean-Time-To-Failure (MTTF), or MeanTime-Between-Failures (MTBF), exceeding
2,500 hours;
d.2.b. Joule-Thomson (JT) self-regulating
minicoolers having bore (outside) diameters
of less than 8 mm;
d.3. Optical sensing fibers specially
fabricated either compositionally or
structurally, or modified by coating, to be
acoustically, thermally, inertially,
electromagnetically or nuclear radiation
sensitive.
e. ‘‘Space qualified’’ ‘‘focal plane arrays’’
having more than 2,048 elements per array
and having a peak response in the
wavelength range exceeding 300 nm but not
exceeding 900 nm.
32. In Supplement No. 1 to part 774
(the Commerce Control List), Category
6—Sensors, Export Control
Classification Number (ECCN) 6A003 is
amended by revising the ‘‘Items’’
paragraphs in the List of Items
Controlled section, to read as follows:
I
6A003
*
Cameras.
*
*
*
*
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: * * *
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 having writing speeds exceeding 10
mm/µs;
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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Federal Register / Vol. 70, No. 135 / Friday, July 15, 2005 / Rules and Regulations
a.5.a. An electronic shutter speed (gating
capability) of less than 1 µs 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 in 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 10nm, 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;
b.3. Imaging cameras incorporating image
intensifier tubes having the characteristics
listed in 6A002.a.2.a;
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.; or
b.4.b. Incorporating ‘‘focal plane arrays’’
controlled by 6A002.a.3.f.
Note 1: ‘‘Imaging cameras’’ described in
6A003.b.4 include ‘‘focal plane arrays’’
combined with sufficient signal processing
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41117
electronics, beyond the read out integrated
circuit, to enable as a minimum the output
of an analog or digital signal once power is
supplied.
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 2: 6A003.b.4.a does not control
imaging cameras incorporating linear ‘‘focal
plane arrays’’ with twelve elements or fewer,
not employing time-delay-and-integration
within the element, 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
characteristics:
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/pixel (milliradians/pixel);
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.
33. In Supplement No. 1 to part 774
(the Commerce Control List), Category
6—Sensors, Export Control
Classification Number (ECCN) 6A006 is
amended by revising the ‘‘LVS’’
paragraph in the License Exceptions
section, and the ‘‘items’’ paragraph in the
List of Items Controlled section, to read
as follows:
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. Where the camera is specially designed
for installation into a civilian passenger land
vehicle of less than three tons (gross vehicle
weight) and having all of the following:
1. Is operable only when installed in any
of the following:
a. The civilian passenger land vehicle for
which it was intended; or
b. A specially designed, authorized
maintenance test facility; and
2. 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
PO 00000
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I
6A006 ‘‘Magnetometers’’, ‘‘magnetic
gradiometers’’, ‘‘intrinsic magnetic
gradiometers’’ and compensation systems,
and specially designed components therefor,
as follows (see List of Items Controlled).
*
*
*
*
*
License Exceptions
LVS: $1500, N/A for 6A006.a.1;
‘‘Magnetometers’’ and subsystems defined
in 6A006.a.2 using optically pumped or
nuclear precession (proton/Overhauser)
having a ‘‘noise level’’ (sensitivity) lower
(better) than 2 pT rms per square root Hz;
and 6A006.c.
GBS: * * *
CIV: * * *
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: * * *
Items:
a. ‘‘Magnetometers’’ and subsystems, as
follows:
a.1. Using ‘‘superconductive’’ (SQUID)
‘‘technology’’ and having any of the
following characteristics:
a.1.a. SQUID systems designed for
stationary operation, without specially
designed subsystems designed to reduce inmotion noise, and having a ‘‘noise level’’
(sensitivity) equal to or lower (better) than 50
fT (rms) per square root Hz at a frequency of
1 Hz; or
a.1.b. SQUID systems having an in-motionmagnetometer ‘‘noise level’’ (sensitivity)
lower (better) than 20 pT (rms) per square
root Hz at a frequency of 1 Hz and specially
designed to reduce in-motion noise;
a.2. Using optically pumped or nuclear
precession (proton/Overhauser) ‘‘technology’’
having a ‘‘noise level’’ (sensitivity) lower
(better) than 20 pT (rms) per square root Hz;
a.3. Using fluxgate ‘‘technology’’ having a
‘‘noise level’’ (sensitivity) equal to or lower
(better) than 10 pT (rms) per square root Hz
at a frequency of 1 Hz;
a.4. Induction coil ‘‘magnetometers’’
having a ‘‘noise level’’ (sensitivity) lower
(better) than any of the following:
a.4.a. 0.05 nT rms/square root Hz at
frequencies of less than 1 Hz;
a.4.b. 1 × 10¥3 nT rms/square root Hz at
frequencies of 1 Hz or more but not
exceeding 10 Hz; or
a.4.c. 1 × 10¥4 nT rms/square root Hz at
frequencies exceeding 10 Hz;
a.5. Fiber optic ‘‘magnetometers’’ having a
‘‘noise level’’ (sensitivity) lower (better) than
1 nT rms per square root Hz;
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b. Magnetic gradiometers, as follows:
b.1. ‘‘Magnetic gradiometers’’ using
multiple ‘‘magnetometers’’ controlled by
6A006.a;
b.2. Fiber optic ‘‘intrinsic magnetic
gradiometers’’ having a magnetic gradient
field ‘‘noise level’’ (sensitivity) lower (better)
than 0.3 nT/m rms per square root Hz;
b.3. ‘‘Intrinsic magnetic gradiometers’’,
using ‘‘technology’’ other than fiber-optic
‘‘technology’’, having a magnetic gradient
field ‘‘noise level’’ (sensitivity) lower (better)
than 0.015 nT/m rms per square root Hz; and
c. Magnetic compensation systems for
magnetic sensors designed for operation on
mobile platforms.
34. In Supplement No. 1 to part 774
(the Commerce Control List), Category
6—Sensors, Export Control
I
Classification Number (ECCN) 6A993 is
added after ECCN 6A992 and before
ECCN 6A994, to read as follows:
6A993 Cameras, not controlled by 6A003
or 6A203, as follows (see List of Items
Controlled).
License Requirements
Reason for Control: AT
Control(s)
Country chart
AT applies to entire entry ...............................................................................................................................................................
b.3.c. Designed to function without
magnetic shielding in the earth’s ambient
magnetic field; or
b.3.d. Having a temperature coefficient less
(smaller) than 0.1 magnetic flux quantum/K.
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Number
Related Controls: N/A
Related Definitions: N/A
Items:
a. Cameras that meet the criteria of Note 3
to 6A003.b.4.
b. [Reserved.]
36. In Supplement No. 1 to part 774
(the Commerce Control List), Category
6—Sensors, Export Control
Classification Number (ECCN) 6E001 is
amended by revising the License
Exceptions section, to read as follows:
I
6E001 ‘‘Technology’’ according to the
General Technology Note for the
I 35. In Supplement No. 1 to part 774
‘‘development’’ of equipment, materials or
(the Commerce Control List), Category
‘‘software’’ controlled by 6A (except 6A991,
6A992, 6A994, 6A995, 6A996, 6A997, or
6—Sensors, Export Control
Classification Number (ECCN) 6A996 is 6A998), 6B (except 6B995), 6C (except 6C992
amended by revising the heading and the or 6C994), or 6D (except 6D991, 6D992, or
6D993).
‘‘items’’ paragraph in the List of Items
Controlled section, to read as follows:
6A996 ‘‘Magnetometers’’ not controlled by
ECCN 6A006, ‘‘Superconductive’’
electromagnetic sensors, and specially
designed components therefor, as follows
(see List of Items Controlled).
*
*
*
*
*
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: * * *
Items:
a. ‘‘Magnetometers’’, n.e.s., having a ‘‘noise
level’’ (sensitivity) lower (better) than 1.0 nT
rms per square root Hz.
b. ‘‘Superconductive’’ electromagnetic
sensors, components manufactured from
‘‘superconductive’’ materials:
b.1. Designed for operation at temperatures
below the ‘‘critical temperature’’ of at least
one of their ‘‘superconductive’’ constituents
(including Josephson effect devices or
‘‘superconductive’’ quantum interference
devices (SQUIDS));
b.2. Designed for sensing electromagnetic
field variations at frequencies of 1 KHz or
less; and
b.3. Having any of the following
characteristics:
b.3.a. Incorporating thin-film SQUIDS with
a minimum feature size of less than 2 µm and
with associated input and output coupling
circuits;
b.3.b. Designed to operate with a magnetic
field slew rate exceeding 1 × 10 6 magnetic
flux quanta per second;
VerDate jul<14>2003
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Jkt 205001
*
*
*
*
*
License Exceptions
CIV: N/A
TSR: Yes, except for the following:
(1) Items controlled for MT reasons;
(2) ‘‘Technology’’ for commodities
controlled by 6A002.e, 6A004.e, or 6A008.j.1;
(3) ‘‘Technology’’ for ‘‘software’’ specially
designed for ‘‘space qualified’’ ‘‘laser’’ radar
or Light Detection and Ranging (LIDAR)
equipment defined in 6A008.j.1 and
controlled by 6D001 or 6D002;
(4) Exports or reexports to destinations
outside of Austria, Belgium, Canada,
Denmark, Finland, France, Germany, Greece,
Ireland, Italy, Japan, Luxembourg, the
Netherlands, Portugal, Spain, Sweden, or the
United Kingdom of ‘‘technology’’ for the
‘‘development’’ of the following: (a) Items
controlled by 6A001.a.1.b.1, 6A001.a.2.a.1,
6A001.a.2.a.2, 6A001.a.2.a.3, 6A001.a.2.a.5,
6A001.a.2.a.6,6A001.a.2.b, 6A001.a.2.e.,
6A002.a.1.c, 6A008.l.3, 6B008, 6D003.a; (b)
Equipment controlled by 6A001.a.2.c or
6A001.a.2.f when specially designed for real
time applications; or (c) ‘‘Software’’
controlled by 6D001 and specially designed
for the ‘‘development’’ or ‘‘production’’ of
equipment controlled by 6A008.l.3 or 6B008;
or
(5) Exports or reexports to Rwanda.
*
*
*
*
*
37. In Supplement No. 1 to part 774
(the Commerce Control List), Category
6—Sensors, Export Control
Classification Number (ECCN) 6E002 is
I
PO 00000
Frm 00026
Fmt 4701
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AT Column 1.
amended by revising the License
Exceptions section, to read as follows:
6E002 ‘‘Technology’’ according to the
General Technology Note for the
‘‘production’’ of equipment or materials
controlled by 6A (except 6A991, 6A992,
6A994, 6A995, 6A996, 6A997 or 6A998), 6B
(except 6B995) or 6C (except 6C992 or
6C994).
*
*
*
*
*
License Exceptions
CIV: N/A
TSR: Yes, except for the following:
(1) Items controlled for MT reasons;
(2) ‘‘Technology’’ for commodities
controlled by 6A002.e, 6A004.e, 6A008.j.1;
(3) Exports or reexports to destinations
outside of Austria, Belgium, Canada,
Denmark, Finland, France, Germany, Greece,
Ireland, Italy, Japan, Luxembourg, the
Netherlands, Portugal, Spain, Sweden, or the
United Kingdom of ‘‘technology’’ for the
‘‘development’’ of the following: (a) Items
controlled by 6A001.a.1.b.1, 6A001.a.2.a.1,
6A001.a.2.a.2, 6A001.a.2.a.3, 6A001.a.2.a.5,
6A001.a.2.a.6, 6A001.a.2.b, and 6A001.a.2.c;
and (b) Equipment controlled by 6A001.a.2.e
and 6A001.a.2.f when specially designed for
real time applications; or (c) ‘‘Software’’
controlled by 6D001 and specially designed
for the ‘‘development’’ or ‘‘production’’ of
equipment controlled by 6A002.a.1.c,
6A008.l.3 or 6B008; or
(4) Exports or reexports to Rwanda.
*
*
*
*
*
38. In Supplement No. 1 to part 774
(the Commerce Control List), Category
6—Sensors, Export Control
Classification Number (ECCN) 6E003 is
amended by revising the ‘‘items’’
paragraph in the List of Items Controlled
section, to read as follows:
I
6E003 Other ‘‘technology’’, as follows (see
List of Items Controlled).
*
*
*
*
*
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: * * *
Items:
a. Acoustics. None.
b. Optical sensors. None.
c. Cameras. None.
d. Optics, ‘‘technology’’, as follows:
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d.1. Optical surface coating and treatment
‘‘technology’’ ‘‘required’’ to achieve
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.
d.2. Optical fabrication ‘‘technology’’ 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;
e. Lasers. ‘‘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;
f. Magnetometers. None
g. Gravimeters. None
h. Radar. None
39. In Supplement No. 1 to part 774
(the Commerce Control List), Category
6—Sensors, Export Control
Classification Number (ECCN) 6E991 is
amended by revising the heading to read
as follows:
I
6E991 ‘‘Technology’’ for the
‘‘development’’, ‘‘production’’ or ‘‘use’’ of
equipment controlled by 6A991, 6A996,
6A997, or 6A998.
resolution exceeding 0.75 line pairs per
milliradian;
c. ‘‘Technology’’ for the ‘‘development’’ or
*
*
*
*
*
‘‘production’’ of cameras controlled by
6A993;
I 40. In Supplement No. 1 to part 774
d. ‘‘Technology’’ ‘‘required’’ for the
(the Commerce Control List), Category
‘‘development’’ or ‘‘production’’ of non6—Sensors, Export Control
triaxial fluxgate ‘‘magnetometers’’ or nonClassification Number (ECCN) 6E993 is
triaxial fluxgate ‘‘magnetometer’’ systems,
amended by revising the heading and the having any of the following:
d.1. A ‘‘noise level’’ of less than 0.05 nT
‘‘items’’ paragraph in the List of Items
rms per square root Hz at frequencies of less
Controlled section, to read as follows:
than 1 Hz; or
6E993 Other ‘‘technology’’, not controlled
d.2. A ‘‘noise level’’ of less than 1 × 10¥3
by 6E003, as follows (see List of Items
nT rms per square root Hz at frequencies of
Controlled).
1 Hz or more.
*
*
*
*
*
41. In Supplement No. 1 to part 774
(the Commerce Control List), Category
7—Navigation and Avionics, Export
Control Classification Number (ECCN)
7A002 is amended by revising the
License Requirements section, and the
‘‘items’’ paragraph in the List of Items
Controlled section, to read as follows:
I
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: * * *
Items:
a. Optical fabrication technologies for
serially producing optical components at a
rate exceeding 10 m2 of surface area per year
on any single spindle and with:
a.1. An area exceeding 1 m2; and
a.2. A surface figure exceeding lambda/10
rms at the designed wavelength;
b. ‘‘Technology’’ for optical filters with a
bandwidth equal to or less than 10 nm, a
field of view (FOV) exceeding 40° and a
7A002 Gyros, and angular or rotational
accelerometers, having any of the following
characteristics (see List of Items Controlled),
and specially designed components therefor.
License Requirements
Reason for Control: NS, MT, AT
Control(s)
Country chart
NS applies to entire entry ...............................................................................................................................................................
MT applies to, commodities described in this entry that meet the parameters of 7A102 .............................................................
AT applies to entire entry ...............................................................................................................................................................
*
*
*
*
*
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: * * *
Items:
a. A ‘‘drift rate’’ ‘‘stability’’, when
measured in a 1 g environment over a period
of one month and with respect to a fixed
calibration value, of:
a.1. Less (better) than 0.1 degree per hour
when specified to function at linear
acceleration levels below 12 g; or
a.2. Less (better) than 0.5 degree per hour
when specified to function at linear
acceleration levels from 12 g to 100 g
inclusive;
b. An angle random walk of less (better)
than or equal to 0.0035 degree per square root
hour; or
Note: 7A002.b does not control spinning
mass gyros (spinning mass gyros are gyros
which use a continually rotating mass to
sense angular motion).
Technical Note: For the purpose of
7A002.b, ‘‘angle random walk’’ is the angular
error buildup with time that is due to white
noise in angular rate. (IEEE STD 528–2001).
c. Specified to function at linear
acceleration levels exceeding 100 g.
VerDate jul<14>2003
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42. In Supplement No. 1 to part 774
(the Commerce Control List), Category
7—Navigation and Avionics, Export
Control Classification Number (ECCN)
7A007 is removed.
I
Jkt 205001
43. In Supplement No. 1 to part 774
(the Commerce Control List), Category
8—Marine, Export Control Classification
Number (ECCN) 8A002 is amended by
revising the ‘‘items’’ paragraph in the
List of Items Controlled section, to read
as follows:
I
8A002 Systems and equipment, as follows
(see List of Items Controlled).
*
*
*
*
*
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: * * *
Items:
a. Systems and equipment, specially
designed or modified for submersible
vehicles, 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;
PO 00000
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NS Column 1.
MT Column 1.
AT Column 1.
a.3. Umbilical cables, and connectors
therefor, using optical fiber and having
synthetic strength members;
b. Systems specially designed or modified
for the automated control of the motion of
submersible vehicles controlled by 8A001
using navigation data and having closed loop
servo-controls:
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 hull penetrators or
connectors;
d. Underwater vision systems, as follows:
d.1. Television systems and television
cameras, as follows:
d.1.a. Television systems (comprising
camera, monitoring and signal transmission
equipment) having a limiting resolution
when measured in air of more than 800 lines
and specially designed or modified for
remote operation with a submersible vehicle;
d.1.b. Underwater television cameras
having a limiting resolution when measured
in air of more than 1,100 lines;
d.1.c. Low light level television cameras
specially designed or modified for
underwater use containing all of the
following:
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Federal Register / Vol. 70, No. 135 / Friday, July 15, 2005 / Rules and Regulations
d.1.c.1. Image intensifier tubes controlled
by 6A002.a.2.a; and
d.1.c.2. More than 150,000 ‘‘active pixels’’
per solid state area array;
Technical Note: Limiting resolution in
television is a measure of horizontal
resolution usually expressed in terms of the
maximum number of lines per picture height
discriminated on a test chart, using IEEE
Standard 208/1960 or any equivalent
standard.
d.2. Systems, specially designed or
modified for remote operation with an
underwater vehicle, employing techniques to
minimize the effects of back scatter,
including range-gated illuminators or ‘‘laser’’
systems;
e. Photographic still cameras specially
designed or modified for underwater use
below 150 m having a film format of 35 mm
or larger, and having any of the following:
e.1. Annotation of the film with data
provided by a source external to the camera;
e.2. Automatic back focal distance
correction; or
e.3. Automatic compensation control
specially designed to permit an underwater
camera housing to be usable at depths
exceeding 1,000 m;
f. Electronic imaging systems, specially
designed or modified for underwater use,
capable of storing digitally more than 50
exposed images;
g. Light systems, as follows, specially
designed or modified for underwater use:
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, 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 ‘‘fibrous or
filamentary’’ ‘‘composite’’ materials in their
structural members;
i. Remotely controlled articulated
manipulators specially designed or modified
for use with submersible vehicles, having any
of the following:
i.1. Systems which control the manipulator
using the information from sensors which
measure the torque or force applied to an
external object, or tactile sense between the
manipulator and an external object; or
i.2. Controlled by proportional masterslave techniques or by using a dedicated
computer, and having 5 degrees of freedom
of movement or more;
Note: Only functions having proportional
control using positional feedback or by using
a dedicated computer are counted when
determining the number of degrees of
freedom of movement.
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17:56 Jul 14, 2005
Jkt 205001
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 specially designed:
j.1.d.1. To pressurize the products of
reaction or for fuel reformation;
j.1.d.2. To store the products of the
reaction; and
j.1.d.3. 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
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 specially designed:
j.3.b.1. To pressurize the products of
reaction or for fuel reformation;
j.3.b.2. To store the products of the
reaction; and
j.3.b.3. 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
j.4.b. Specially designed exhaust systems
which discharge the products of combustion
against a pressure of 100 kPa or more;
k. Skirts, seals and fingers, having any of
the following:
k.1. Designed for cushion pressures of
3,830 Pa or more, operating in a significant
wave height of 1.25 m (Sea State 3) or more
and specially designed for surface effect
vehicles (fully skirted variety) controlled by
8A001.f; or
k.2. Designed for cushion pressures of
6,224 Pa or more, operating in a significant
wave height of 3.25 m (Sea State 5) or more
and specially designed for surface effect
vehicles (rigid sidewalls) controlled by
8A001.g;
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Frm 00028
Fmt 4701
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l. Lift fans rated at more than 400 kW
specially designed for surface effect vehicles
controlled by 8A001.f or 8A001.g;
m. Fully submerged subcavitating or
supercavitating hydrofoils specially designed
for vessels controlled by 8A001.h;
n. Active systems specially designed or
modified to control automatically the seainduced motion of vehicles or vessels
controlled by 8A001.f, 8A001.g, 8A001.h or
8A001.i;
o. Propellers, power transmission systems,
power generation systems and noise
reduction systems, as follows:
o.1. Water-screw propeller or power
transmission systems, as follows, specially
designed for surface effect vehicles (fully
skirted or rigid sidewall variety), hydrofoils
or small waterplane area vessels controlled
by 8A001.f, 8A001.g, .8A001.h or 8A001.i:
o.1.a. Supercavitating, super-ventilated,
partially-submerged or surface piercing
propellers rated at more than 7.5 MW;
o.1.b. Contrarotating propeller systems
rated at more than 15 MW;
o.1.c. Systems employing pre-swirl or postswirl techniques for smoothing the flow into
a propeller;
o.1.d. Light-weight, high capacity (K factor
exceeding 300) reduction gearing;
o.1.e. Power transmission shaft systems,
incorporating ‘‘composite’’ material
components, capable of transmitting more
than 1 MW;
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
components, 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 tons 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,
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, and incorporating 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 a
power output exceeding 2.5 MW using
divergent nozzle and flow conditioning vane
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Federal Register / Vol. 70, No. 135 / Friday, July 15, 2005 / Rules and Regulations
techniques to improve propulsive efficiency
or reduce propulsion-generated underwaterradiated noise.
q. Self-contained, closed or semi-closed
circuit (rebreathing) diving and underwater
swimming apparatus.
Note: 8A002.q does not control an
individual apparatus for personal use when
accompanying its user.
44. In Supplement No. 1 to part 774
(the Commerce Control List), Category
9—Propulsion Systems, Space Vehicles
and Related Equipment, Export Control
Classification Number (ECCN) 9A001 is
amended by revising the ‘‘items’’
I
VerDate jul<14>2003
17:56 Jul 14, 2005
Jkt 205001
paragraph in the List of Items Controlled
section, to read as follows:
9A001 Aero gas turbine engines having any
of the following (see List of Items
Controlled).
*
*
*
*
*
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: * * *
Items:
a. Incorporating any of the technologies
controlled by 9E003.a.; or
Note: 9A001.a. does not control aero gas
turbine engines which meet all of the
following:
PO 00000
Frm 00029
Fmt 4701
Sfmt 4700
41121
1. Certified by the civil aviation authority
in a country listed in Supplement No. 1 to
part 743; and
2. Intended to power non-military manned
aircraft for which a civil Type Certificate has
been issued by a country listed in
Supplement No. 1 to part 743.
b. Designed to power an aircraft designed
to cruise at Mach 1 or higher for more than
30 minutes.
Dated: July 1, 2005.
Matthew S. Borman,
Deputy Assistant Secretary for Export
Administration.
[FR Doc. 05–13581 Filed 7–14–05; 8:45 am]
BILLING CODE 3510–33–P
E:\FR\FM\15JYR2.SGM
15JYR2
]]>Agencies
[Federal Register Volume 70, Number 135 (Friday, July 15, 2005)]
[Rules and Regulations]
[Pages 41094-41121]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 05-13581]
[[Page 41093]]
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Part II
Department of Commerce
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Bureau of Industry and Security
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15 CFR Parts 740, 742, 743, 772, and 774
Export Administration Regulations: December 2004 Wassenaar Arrangement
Plenary Agreement Implementation; Final Rule
Federal Register / Vol. 70, No. 135 / Friday, July 15, 2005 / Rules
and Regulations
[[Page 41094]]
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DEPARTMENT OF COMMERCE
Bureau of Industry and Security
15 CFR Parts 740, 742, 743, 772 and 774
[Docket No. 050607153-5153-01]
RIN 0694-AD41
December 2004 Wassenaar Arrangement Plenary Agreement
Implementation: Categories 1, 2, 3, 4, 5 Part I (Telecommunications),
6, 7, 8, and 9 of the Commerce Control List; Wassenaar Reporting
Requirements; Definitions; and Certain New or Expanded Export Controls
AGENCY: Bureau of Industry and Security, Commerce.
ACTION: Final rule.
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SUMMARY: The Bureau of Industry and Security (BIS) maintains the
Commerce Control List (CCL), which identifies items subject to
Department of Commerce export controls. This final rule revises certain
entries controlled for national security reasons in Categories 1, 2, 3,
4, 5 Part I (telecommunications), 6, 7, 8, and 9, and Definitions to
conform with changes in the Wassenaar Arrangement's List of Dual-Use
Goods and Technologies and Statements of Understanding 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). The Wassenaar Arrangement focuses
on implementation of effective export controls on strategic items with
the objective of improving regional and international security and
stability.
The purpose of this final rule is to make the necessary changes to
the CCL, definitions of terms used in the Export Administration
Regulations (EAR), and Wassenaar reporting requirements to implement
Wassenaar List revisions that were agreed upon in the December 2004
Wassenaar Arrangement Plenary Meeting. In addition, this rule adds
Slovenia to the list of Wassenaar member countries in the EAR.
This rule also adds or expands unilateral U.S. controls on certain
items consistent with the amendments made to implement the Wassenaar
Arrangement's decisions.
DATES: Effective Date: This rule is effective July 15, 2005.
FOR FURTHER INFORMATION CONTACT: For questions of a general nature
contact Sharron Cook, Office of Exporter Services, Bureau of Industry
and Security, U.S. Department of Commerce at (202) 482-2440 or e-mail:
scook@bis.doc.gov.
For questions of a technical nature contact:
Category 1: Bob Teer 202-482-4749
Category 2: George Loh 202-482-3570
Category 3: Brian Baker 202-482-5534
Category 4 and 5 part 1: Joe Young 202-482-4197
Category 5 part 2: Norm La Croix 202-482-4439
Category 6: Chris Costanzo (night vision) 202-482-0718 or Wayne Hovis
(lasers) 202-482-1837
Categories 7 and 8: Dan Squire 202-482-3710
Categories 8 and 9: Gene Christensen 202-482-2984
SUPPLEMENTARY INFORMATION:
Background
In July 1996, the United States and thirty-three other countries
gave final approval to the establishment of a new multilateral export
control arrangement, called the Wassenaar Arrangement on Export
Controls for Conventional Arms and Dual-Use Goods and Technologies
(Wassenaar Arrangement). The Wassenaar Arrangement contributes 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 of such items. Participating states have committed to
exchange information on exports of dual-use goods and technologies to
non-participating states for the purposes of enhancing transparency and
assisting in developing common understandings of the risks associated
with the transfers of these items.
Addition of Slovenia
Slovenia was welcomed as a new Participating State to the Wassenaar
Arrangement at the December 2004 Plenary Meeting. To reflect this
change, this rule adds Slovenia to the list of Wassenaar Arrangement
member Countries in Supplement No. 1 to part 743.
Expansion or New Export Controls
New or expanded antiterrorism (AT) controls imposed by this rule.
This rule imposes a unilateral U.S. license requirement to export and
reexport commodities (and related software and technology) controlled
under ECCNs 6A001.a.2.a.3.b, 6A001.a.2.a.3.c, 6A001.a.2.a.6,
6A002.a.3.f, 6A003.b.4.b, 7A002.b for AT reasons to Cuba, Iran, Libya,
North Korea, Sudan and Syria, in addition to the national security
controls imposed to implement the Wassenaar Arrangement's decisions.
There is a general policy of denial for applications to terrorism
supporting countries, as set forth in part 742. In addition, certain of
these countries are also subject to embargoes, as set forth in part
746. A license is also required for the export and reexport of these
items to specially designated terrorists and foreign terrorist
organizations, as set forth in part 744; license applications to these
parties are reviewed under a general policy of denial.
New or expanded regional security (RS) controls imposed by this
rule. This rule also imposes a unilateral U.S. license requirement to
export and reexport commodities (and related technology) controlled
under ECCNs 6A002.a.3.f and 6A003.b.4.b for RS reasons to all
countries, except Canada, in addition to the national security controls
imposed to implement the Wassenaar Arrangement's decisions. These
destinations have an ``X'' indicated in RS column 1 on the Commerce
Country Chart of Supplement No. 1 to part 738. Applications to export
and reexport these commodities will be reviewed on a case-by-case basis
to determine whether the export or reexport could contribute directly
or indirectly to any country's military capabilities in a manner that
would alter or destabilize a region's military balance contrary to the
foreign policy interests of the United States. For designated
terrorism-supporting countries, the applicable licensing policies are
found in parts 742 and 746 of the EAR.
New or expanded United Nations (UN) controls imposed by this rule.
This rule also imposes a license requirement to export and reexport
commodities (and related technology) controlled under ECCN 6A002.a.3.f
for UN reasons to Rwanda in addition to the national security controls
imposed to implement the Wassenaar Arrangement's decisions. The U.S.
Government has a general policy of denial for export or reexport of
certain items, including 6A002.a.3, to Rwanda. However, proposed
exports or reexports to the Government of Rwanda are reviewed on a
case-by-case basis. The implementation of UN controls under
6A002.a.3.f, indirectly expands the UN controls under ECCNs 6A003.b.4,
6E001, and 6E002.
New or expanded NS Column 2 controls imposed by this rule. This
rule imposes a license requirement under section 742.4(a) of the EAR
for exports and reexports of commodities (and related software and
technology) described in ECCNs 6A001.a.2.a.3.b, 6A001.a.2.a.3.c,
6A001.a.2.a.6, 6A002.a.3.f, and 6A003.b.4.b to all
[[Page 41095]]
destinations that are not Country Group A:1 or cooperating countries
(see Supplement No. 1 to part 740). These destinations have an ``X''
indicated in NS column 2 on the Commerce Country Chart of Supplement
No. 1 to part 738. The purpose of the controls is to ensure that these
items do not make a contribution to the military potential that would
prove detrimental to the national security of the United States.
New or expanded NS Column 1 controls imposed by this rule. This
rule imposes a license requirement under section 742.4(a) of the EAR
for exports and reexports of commodities (and related software and
technology) described in ECCN 7A002.b to all destinations, except
Canada. These destinations have an ``X'' indicated in NS column 1 on
the Commerce Country Chart of Supplement No. 1 to part 738. The purpose
of the controls is to ensure that these items do not make a
contribution to the military potential that would prove detrimental to
the national security of the United States.
The licensing policy for national security controlled items
exported or reexported to any country except a country in Country Group
D:1 (see Supplement No. 1 to part 740) is to approve applications
unless there is a significant risk that the items will be diverted to a
country in Country Group D:1. The general policy for exports and
reexport of items to Country Group D:1 is to approve applications when
BIS determines, on a case-by-case basis, that the items are for
civilian use or would otherwise not make a significant contribution to
the military potential of the country of destination that would prove
detrimental to the national security of the United States.
This rule revises a number of entries on the Commerce Control List
(CCL) to conform with the December 2004 agreed revisions to the
Wassenaar List of Dual-Use Goods and Technologies. This rule also
revises language to provide a complete or more accurate description of
controls. A description of the specific amendments to the CCL pursuant
to the December 2004 Wassenaar Agreement is provided below. The ECCNs
affected, as described below, are 1C008, 2B001, 2B005, 2B006, 2B201,
3A001, 3A001, 3A002, 3B001, 3B002, 3B991, 3B992, 4D001, 4E001, 5A001,
6A001, 6A002, 6A003, 6A006, 6A993, 6A996, 6E001, 6E002, 6E003, 6E991,
6E993, 7A002, 7A007, 8A002, and 9A001.
Category 1--Materials, Chemicals, ``Microorganisms,'' and Toxins
ECCN 1C008 is amended by:
(a) Deleting the phrase ``determined using the dry method described
in ASTM D 3418'' from 1C008.a.4;
(b) Replacing the phrase ``ASTM D-648, method A'' with the phrase
``ISO 75-3 (2004)'' in 1C008.b;
(c) Adding the phrase ``having a glass transition temperature
(Tg) exceeding 513 K (240 [deg]C)'' to the end of 1C008.f;
and
(d) Replacing the phrase ``ASTM D 3418 using the dry method'' with
the phrase ``ISO 11357-2 (1999) or national equivalents'' in the
technical note to 1C008.
The amendments in 1C008 were agreed to by the Wassenaar Arrangement
for consistency and to avoid differing treatment of resins having the
same applications and functional capabilities. The plastic resins that
are controlled under 1C008.a.4 are extremely similar to those
controlled under 1C008.f. The characteristics of these two types of
resins allow them to be used interchangeably for the same end-uses. The
resins under 1C008.a.4 are controlled differently than those under
1C008.f. This has created a marketing distortion which favors the
resins controlled under 1C008.a.4. This rule clarifies the distinction
in the control of these resins by including a glass transition
temperature for items described in 1C008.f.
Category 2--Materials Processing
ECCN 2B001 is amended by:
(a) Removing the Note to 2B001.a regarding the contact lens turning
machines exception and placing it under the NS Reason for Control; and
(b) Revising Note 2 to 2B001.c regarding what jig grinders are not
controlled by ECCN 2B001.
Although the Wassenaar Arrangement agreed to not control under
2B001.c grinding machines that are ``designed specifically as jig
grinders that do not have a z-axis or w-axis, with a positioning
accuracy with `all compensations available' less (better) than 3 [mu]m
according to ISO 230/2 (1997) or national equivalents,'' Technical Note
6 at the beginning of Category 2 Product Group B states that ``The
positioning accuracy of `numerically controlled' machine tools is to be
determined and presented in accordance with ISO 230/2 (1988).''
Therefore, in Note 2 to 2B001.c BIS has replaced the ``3 [mu]m'' with
``4 [mu]m,'' which is the equivalent positioning accuracy under the
1988 standard.
The amendments to ECCN 2B001 were agreed to by the Wassenaar
Arrangement because many of the latest generation jig grinders today
utilize a Computer Numerical Controller (CNC) to control and coordinate
3 or more axes. The wording of the Note to 2B001.c could be interpreted
to release 3- or more axes jig grinders with full CNC contouring
control if a c- or an a-axis, as listed in 2B001.c Note 2, is added to
their current capabilities. This was not the original intent of the
Note. The revisions presented in this rule clarify that jig grinders
with precise 3-dimensional contouring capability are controlled,
because of their capacity to produce high-precision, complex military
components. The revision limits the exclusion by placing accuracy
parameters on the third linear axis (z or w).
ECCN 2B005 is amended by removing the term ``stored program
controlled'' from paragraphs 2B005.a, .b, .c, .d, .e, .f, and .g. ECCN
2B006 is amended by removing the term ``stored program controlled''
from paragraph 2B006.a. This term is removed because most equipment is
computer controlled now and the term no longer adds any value to the
control.
ECCN 2B201 is amended by revising the list of items controlled by
redesignating paragraphs (a) and (b) as paragraphs (b) and (c) and
adding a new paragraph (a) that describes machine tools with
``positioning accuracies'' to mirror 1.B.2.a and the Note to 1.B.2.a
from the Nuclear Suppliers Group INFCIRC/254/Rev. 5/Part 2 dated May
2003. This amendment is being added to conform with the Wassenaar
Arrangement's exclusion note for turning machines specially designed
for the production of contact lenses and capable of machining diameters
greater than 35 mm in 2B001. Also, because of the structure of the
numbering system for ECCNs in the CCL, an item (such as the item
covered under ECCN 2B201) which is controlled for NP reasons but not NS
reasons cannot remain in an NS-controlled ECCN where the second digit
is a ``0'' (2B001), because ``0'' indicates that an item is controlled
for NS reasons. The second digit differentiates individual CCL entries
by identifying the type of controls associated with the items contained
in the entry. (For example, zero indicates NS controls, one MT
controls, two NP controls, etc.)
Category 3--Electronics
ECCN 3A001 is amended by:
(a) Revising paragraph 3A001.a.3.c for microprocessor
microcircuits, micro-computer microcircuits, and microcontroller
microcircuits by increasing the controlling number of data or
instruction bus or serial communication ports from ``one'' to
``three,'' and increasing the direct
[[Page 41096]]
external interconnection between parallel microprocessor microcircuits
from a transfer rate exceeding ``150 Mbyte/s'' to ``1000 Mbyte/s or
greater.''
The Wassenaar Arrangement agreed to raise the threshold for the
number of ports to three and the transfer rate to 1000 Mbyte/s in
3A001.a.3.c because these thresholds will not adversely affect national
security, as the new thresholds fall just below what is currently being
used in some military systems.
The revision to 3A001.a.3.c will expand the availability of License
Exception CIV for deemed exports of technology for the development or
production of 3A001.a.3.c commodities, as described in 3E001.
(b) Revising the control parameter of conversion time to output
word rate to reduce control interpretation ambiguities across various
analog-to-digital (A-D) architectures. The conversion time parameter
did not take into account latency or techniques used to perform
conversions. Therefore, this rule revises paragraph 3A001.a.5.a for A-D
converter integrated circuits by:
(b.1) Splitting 3A001.a.5.a.1 into two separate ranges of
resolution with different controlling output parameters: ``A resolution
of 8 bit or more, but less than 10 bit, with an output rate greater
than 500 million words per second;'' and ``A resolution of 10 bit or
more, but less than 12 bit, with an output rate greater than 200
million words per second;''
(b.2) Revising the controlling parameter in 3A001.a.5.a.3 for A-D
converter integrated circuits with a resolution of 12 bit from ``with a
total conversion time of less than 20 ns'' to ``with an output rate
greater than 50 million words per second;''
(b.3) Revising the controlling parameter in 3A001.a.5.a.4 for A-D
converter integrated circuits with a resolution of more than 12 bit but
equal to or less than 14 bit from a ``total conversion time of less
than 200 ns;'' to an ``output rate greater than 5 million words per
second;''
(b.4) Revising the controlling parameter in 3A001.a.5.a.5 for A-D
converter integrated circuits with a resolution of more than 14 bit
from ``a total conversion time of less than 1 [mu]s'' to an ``output
rate greater than 1 million words per second.''
(c) Replacing the explanation for ``total conversion time'' in
Technical Note 2 with explanations ``for number of bits in the output
word'' and ``output rate'' in the new Technical Notes 2 through 4. This
change was made pursuant to agreed definition clarifications made at
the Plenary Meeting to be consistent with changes to the control
parameters for Analog-Digital Converters.
The amendments to 3A001.a.5.a were agreed to by the Wassenaar
Arrangement because the use of conversion time and sample rate metrics
are not consistent across different Analog-Digital Converter (ADC)
architectures. The revisions in this rule update the control parameter
to account for changes on the architectures of ADCs--specifically
pipelined converters and sigma delta converters--where conversion time
and sampling rate are not appropriate indicators of a converter's
capabilities.
ECCN 3A002 is amended by:
(a) Removing a comma in 3A002.b to conform to the Wassenaar Dual-
use List; and
(b) Redesignating 3A002.c.2 as new paragraph 3A002.c.3 and revising
3A002.c.1 by splitting it into two paragraphs 3A002.c.1 and new
3A002.c.2:
(a.1) Paragraph 3A002.c.1 is revised by adding a new parameter
``having a 3 dB resolution bandwidth (RBW) exceeding 10 MHz'' for
signal analyzers capable of analyzing any frequencies exceeding 31.8
GHz but not exceeding 37.5 GHz.
(a.2) New paragraph 3A002.c.2 controls signal analyzers capable of
analyzing frequencies exceeding 43.5 GHz, which used to be controlled
in 3A002.c.1.
The amendments to 3A002.c were agreed to by the Wassenaar
Arrangement to revise the decontrol to certain signal analyzers by
replacing the 31.8-37.5 GHz range frequency blackout that was agreed to
in December 2002 with controls based on resolution bandwidth. This
action is complementary to and consistent with the controls on signal
generators agreed to by the Wassenaar Arrangement in December 2003.
ECCN 3B001 is amended by:
(a) Revising the dimensions parameter for anisotropic plasma dry
etching equipment with cassette-to-cassette operation and load-locks
from ``0.3 [mu]m or less'' to 180 nm or less'' in 3B001.c.1.a;
(b) Revising the dimensions parameter for anisotropic plasma dry
etching equipment specially designed for equipment controlled by
3B001.e from ``0.3 [mu]m or less'' to ``180 nm or less'' in
3B001.c.2.a;
(c) Revising the wavelength parameter for lithography equipment
from ``350 nm'' to ``245 nm'' in 3B001.f.1.a;
(d) Revising the minimum resolvable feature size for lithograph
equipment from ``0.35 [mu]m'' to ``180 nm'' in 3B001.f.1.b; and
(e) Revising the K factor of the MRF formula in the Technical Note
from ``0.7'' to ``0.45.''
The Wassenaar Arrangement agreed to the revisions in 3B001 because
consensus was reached regarding PE-CVD equipment controlled by
3B001.d.1, one of the thresholds, ``critical dimensions,'' was relaxed
to 180 nm. ``Critical dimensions'' or ``feature size'' do not directly
indicate the performance of PE-CVD equipment; however, they are related
to the ``design rule'' of the semiconductor devices. In order to unify
as much as possible in other provisions of 3B001, 180 nm was adopted in
other relevant corresponding entries of the list for consistency. In
order for the relaxation under 3B001.d.1 to be effective, revisions had
to be made accordingly to 3B001.f.1.a (because the light source of KrF
steppers are 248nm). In addition, the Technical Note to 3B001.f.1.b is
revised because the level of K-factor has become lower based on the
recent technological developments, e.g., the K-factor of most current
lithography equipment is less than 0.45.
Commodities no longer controlled under ECCN 3B001 continue to be
controlled for antiterrorism reasons under ECCN 3B991.b.2.f for exports
and reexports to designated terrorism-supporting countries, as set
forth in parts 742 and 746 of the EAR and as indicated in AT Column 1
of the Commerce Country Chart.
ECCN 3B002 is amended by removing the term ``stored program
controlled'' from the heading. This term is removed because most
equipment is computer controlled now and the term no longer adds any
value to the control. ECCN 3B002 is further amended by removing and
reserving 3B002.b, including the Note and Technical Note. The Wassenaar
Arrangement agreed to the removal of 3B002.b because although enhancing
production efficiencies, semiconductor test equipment in 3B002 is not
considered to be a choke point technology or a key enabler for
semiconductor production. This type of testing equipment lowers
manufacturing costs and increases output but does not otherwise provide
semiconductor producers with the ability to create particular chips or
technically advanced devices. Restricting test equipment also does not
prevent the production of semiconductors targeted for military use. In
addition, the most advanced semiconductor devices can be produced
without requiring full speed testing on automatic test equipment.
Moreover, test services have become readily available through
international test
[[Page 41097]]
outsourcing companies. Semiconductors can be developed and manufactured
in one country and then tested in other countries with no restrictions.
ECCN 3B991 is amended by adding the words ``e.g., lithography'' to
3B991.b.2.f, to clarify that lithography equipment is controlled under
that paragraph.
ECCN 3B992 is amended by:
(a) Organizing the notes after 3B992.b.4.b, and adding a note that
3B992.b.4.b does not control test equipment specially designed for
testing memories; and
(b) Adding a technical note to define ``pattern rate.''
Commodities no longer controlled under ECCN 3B002 continue to be
controlled for antiterrorism reasons under ECCN 3B992 for exports and
reexports to designated terrorism-supporting countries, as set forth in
parts 742 and 746 of the EAR and as indicated in AT Column 1 of the
Commerce Country Chart.
Category 4--Computers
ECCN 4A003 is amended by making an editorial correction, removing a
reference to ``4A003.d'' in Note 1 to 4A003.c.
ECCN 4A994 is amended by making an editorial correction, clarifying
the reference to ``4A994'' to read ``4A994.g and 4A994.k'' in Note 1 to
4A994.c.
ECCN 4D001 is amended by:
(a) Removing the License Requirement Note that provided a reference
to Wassenaar reporting requirements for computer software under ECCN
4D001, because this rule removed this Wassenaar reporting requirement.
(b) Raising the CTP limit from ``33,000 MTOPS'' to ``190,000
MTOPS'' in the License Exception TSR eligibility paragraph under the
License Exception section of ECCN 4D001.
(c) Raising the composite theoretical performance (CTP) control
threshold for software for the production, development, or use of
computers from ``28,000 MTOPS'' to ``75,000 MTOPS'' in 4D001.b.1.
ECCN 4E001 is amended by:
(a) Removing the License Requirement Note that provided a reference
to Wassenaar reporting requirements for computer technology under ECCN
4E001, because this rule removed this Wassenaar reporting requirement.
(b) Raising the CTP limit from ``33,000 MTOPS'' to ``190,000
MTOPS'' in the License Exception TSR eligibility paragraph under the
License Exception section of 4E001.
(c) Raising the composite theoretical performance (CTP) control
threshold for technology for the production, development, or use of
computers from ``28,000 MTOPS'' to ``75,000 MTOPS'' in 4E001.b.1.
The amendments to 4D001 and 4E001 were agreed to in the Wassenaar
Arrangement because digital computers capable of either 75,000 or
190,000 MTOPS are becoming more common. The Wassenaar Arrangement
recognized this with its decontrol of hardware to 190,000 MTOPS. Most
of the multi-processor computer servers sold in this range are for
commercial applications. It is for these reasons that the Wassenaar
Arrangement removed computer technology and software from the Annex 2
(Very Sensitive List), raised the Annex 1 (Sensitive List) threshold
from ``150,000 MTOPS'' to ``190,000 MTOPS,'' and raised the control
threshold from ``33,000 MTOPS'' to ``75,000 MTOPS.'' Therefore, this
rule revises to the CTP limit for License Exception TSR eligibility in
ECCNs 4D001 and 4E001 accordingly.
BIS expects that the raising of the threshold for computer software
and technology in 4D001 and 4E001, along with raising the eligibility
limit for License Exceptions TSR and CTP will decrease the number of
Category 4 license applications received by BIS by about 15 percent
(i.e., 150 applications) over the next 6 months.
Software and technology no longer controlled under ECCNs 4D001 and
4E001 continue to be controlled for antiterrorism reasons under ECCN
4D994 and 4E992, respectively, for exports and reexports to designated
terrorism-supporting countries, as set forth in parts 742 and 746 of
the EAR and as indicated in AT Column 1 of the Commerce Country Chart.
Category 5--Part I--Telecommunications
ECCN 5A001 is amended by:
(a) Raising the operating frequency for electronically steerable
phased array antennae from ``31 GHz'' to ``31.8 GHz'' in paragraph
5A001.d.
In 2003, all frequency control units in Categories 3 and 5 were
changed from 31 GHz to 31.8 GHz, except 5.A.1.d. This revision is a
technical correction to implement a change that was inadvertently
overlooked in 2003.
(b) Moving ECCN 7A007 to 5A001.e--direction finding equipment
operating at frequencies above 30 MHz, and having other characteristics
set forth in 5A001.e.1 through e.3, and specially designed components
therefor.
This rule adds a note to the Related Controls paragraph in the List
of Items Controlled section that states, ``Direction finding equipment
defined in 5A001.e is subject to the export licensing authority of the
Department of State, Directorate of Defense Trade Controls (22 CFR part
121).'' Direction finding equipment defined in 5A001.e is specifically
excluded from eligibility for License Exceptions LVS, GBS, and CIV,
because this equipment will remain under the jurisdiction of the
Department of State, Directorate of Defense Trade Controls.
ECCN 7A007 is moved to 5A001.e to ensure that direction-finding
equipment for navigation is not confused with direction-finding
equipment for surveillance. Direction finding equipment defined in
5A001.e is subject to the export licensing authority of the Department
of State, Directorate of Defense Trade Controls (22 CFR part 121),
because radio surveillance equipment and systems capable of finding the
line-of-bearing (LOB) to a radio transmitter are used in tactical
applications for locating and targeting hostile emitters. Historically,
direction finding equipment for surveillance equipment has been
controlled under International Munitions List (IML) Category 11.
However, the International Telecommunications Union Spectrum Monitoring
Handbook recommends that civil spectrum authorities employ radio-
surveillance direction finding systems (DF) capable of finding the LOB
to emitters with signals with a duration of less than 10 milliseconds.
Systems which meet and exceed this threshold are marketed for this
purpose, indicating that surveillance equipment and systems for
locating non-cooperating emitters may be becoming more dual-use in
nature, even though it is still of tactical interest.
Category 6--Sensors
ECCN 6A001 is amended by:
(a) Redesignating paragraphs 6A001.a.2.a.2 through 6A001.a.2.a.5,
to 6A001.a.2.a.3 through 6A001.a.2.a.6;
This rule revises License Exception LVS eligibility to harmonize
with the redesignation of these paragraphs.
(b) Revising 6A001.a.2.a.1 to separate the characteristics for
hydrophones into two paragraphs 6A001.a.2.a.1 and a new paragraph
6A001.a.2.a.2;
(c) Redesignating paragraph 6A001.a.2.a.3.b as 6A001.a.2.a.3.c and
revising the control language from ``Flexible piezoelectric ceramic
materials'' to ``Flexible piezoelectric composites'' in the newly
designated 6A001.a.2.a.3 (used to be 6A001.a.2.a.2);
(d) Adding a new paragraph 6A001.a.2.a.3.b to control
``Piezoelectric polymer films other than polyvinylidene-fluoride (PVDF)
and its
[[Page 41098]]
co-polymers {P(VDF-TrFE) and P(VDF-TFE){time} ;'' and
(e) Adding two new Technical Notes to 6A001.a.2.a to define
``Piezoelectric polymer film'' and ``Flexible piezoelectric
composite.''
The Wassenaar Arrangement agreed to the revisions in ECCN 6A001
because the original intention was not to include all kinds of semi-
rigid assemblies of discrete sensor elements, but only sensitive sensor
elements constituting a flexible assembly and thereby making an array
easy to handle.
ECCN 6A002 is amended by:
(a) Adding an N.B. to 6A002.a to state that 6A002.a includes
``focal plane arrays'' based on microbolometer material (see
6A002.a.3.f), and that silicon-based ``focal plane arrays'' are only
specified under 6A002.a.3.f;
(b) Adding a Note Bene to 6A002.a.3 to read as follows: ``N.B.
Silicon and other material based `microbolometer' non ``space-
qualified'' ``focal plane arrays'' are only specified in 6A002.a.3.f.''
(c) Removing paragraph (a) from Note 2 to 6A002.a.3 and
redesignating the other paragraphs accordingly. Paragraph (a) of Note 2
to 6A002.a.3 stated that 6A002.a.3 does not control silicon ``focal
plane arrays'';
(d) Adding a Note Bene to 6A002.a.3.c to read ``N.B. Silicon and
other material based `microbolometer' non-``space-qualified'' ``focal
plane arrays'' are only specified in 6A002.a.3.f.''
(e) Adding paragraph 6A002.a.3.f to control non-``space-qualified''
non-linear (2-dimensional) infrared ``focal plane arrays'' based on
microbolometer material having individual elements with an unfiltered
response in the wavelength range equal to or exceeding 8,000 nm but not
exceeding 14,000 nm; and
(f) Adding a technical note for 6A002.a.3.f to define
``microbolometer'' as a thermal imaging detector that, as a result of a
temperature change in the detector caused by the absorption of infrared
radiation, is used to generate any usable signal.
(g) Adding a technical note for 6A002.a.3.f that specifies that
microbolometers having any response between 8,000 nm and 14,000 nm are
controlled.
The amendments to ECCNs 6A002 and 6A003 (and indirectly 6E001 and
6E002) were agreed to by the Wassenaar Arrangement because, while
silicon infrared focal plane arrays (SIIRFPAs) are used in cameras and
other systems for civilian fire fighting, commercial collision
avoidance (e.g. automotive, aircraft, maritime), predictive/
preventative maintenance, and medical imaging applications, they also
have the potential to be used in strategic military applications
including surveillance systems, vehicle systems, soldier systems, rifle
sights, and unmanned vehicle systems.
The focal plane array industry is changing rapidly and needs to be
monitored. The amendments to ECCNs 6A002 and 6A003 are subject to a
Validity Note. Control of these items is valid until December 5, 2007.
Renewal of controls will require unanimous consent by all Wassenaar
Arrangement Participating States. Applying a validity note on these
items requires Participating States to reassess the need for
controlling these items based on technological developments and
strategic applications.
By interagency agreement, there are no devices that are no longer
controlled under ECCN 6A002 as a result of these amendments that merit
application of antiterrorism controls. Therefore, this rule does not
amend ECCN 6A992.
ECCN 6A003 is amended by:
(a) Adding paragraph 6A003.b.4.a to clarify that imaging cameras
incorporating ``focal plane arrays'' controlled by 6A002.a.3.a to
6A002.a.3.e are controlled by 6A003.b.4.a;
(b) Adding paragraph 6A003.b.4.b to add a control for imaging
cameras incorporating 6A002.a.3.f--non-``space-qualified'' non-linear
(2-dimensional) infrared ``focal plane arrays'' based on microbolometer
material having individual elements with an unfiltered response in the
wavelength range equal to or exceeding 8,000 nm but not exceeding
14,000 nm;
(c) Renumbering the existing note as Note 2 and adding Note 1 to
6A003.b.4 to read ```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 analogue or digital signal once power is
supplied.'';
(d) Adding Note 3 to 6A003.b.4.b to explain what is not controlled
under 6A003.b.4.b. The new note explains that ECCN 6A003.b.4.b does not
control the following items:
(a) Imaging cameras having a maximum frame rate equal to or less
than 9 Hz; or
(b) Imaging cameras having a minimum horizontal or vertical
Instantaneous-Field-of-View (IFOV) of at least 10 mrad/pixel
(milliradians/pixel), incorporating a fixed focal-length lens that is
not designed to be removed, not incorporating a direct view display,
having no facility to obtain a viewable image or designed for a single
kind of application and designed not to be user modified; or
(c) Imaging cameras that are specially designed for installation
into certain civilian passenger land vehicles, and that incorporate a
tamper-proof mechanism.
A note to this entry states that detailed information about items
must 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. The intent of this
note is to require exporters in Wassenaar Arrangement countries to
provide detailed technical data, if requested by their governments, to
assist in making licensing decisions. Such a procedure is common
practice in the United States, and this note imposes no additional
burden on U.S. exporters.
Certain commodities no longer controlled under ECCN 6A003, as well
as certain items not previously listed on the Commerce Control List,
are controlled for antiterrorism reasons under new ECCN 6A993 for
exports and reexports to designated terrorism-supporting countries, as
set forth in parts 742 and 746 of the EAR and as indicated in AT Column
1 of the Commerce Country Chart (see discussion of 6A993 below).
The revisions to ECCNs 6A002 and 6A003 affect U.S. exporters of
imaging cameras and non-space qualified silicon infrared focal plane
arrays (SIIRFPAs), original equipment manufacturers who use non-space
qualified SIIRFPAs in their products, and distributors of these
products and technologies. Based on discussions with industry, BIS
expects that the imposition of license requirements on systems that
contain these non-space qualified SIIRFPAs and related software and
technology will increase the number of Category 6 license applications
received by BIS by more than 40 percent (i.e., 800 to 1000
applications) over the next 6 months.
ECCN 6A006 is amended by:
(a) Splitting 6A006.a (Magnetometers) into three separate
paragraphs: 6A006.a.1 to control those using superconductive (SQUID)
technology, 6A006.a.2 those using optically pumped or nuclear
precession (proton/Overhauser) technology, and 6A006.a.3 to control
those using fluxgate technology;
(b) Adding the following two characteristics for 6A006.a.1
(magnetometers using superconductive (SQUID) technology):
(1) 6A006.a.1.a, which are those that have SQUID systems designed
for stationary operation with certain characteristics; and
[[Page 41099]]
(2) 6A006.a.1.b, which are those that have SQUID systems designed
for in-motion operation with certain characteristics;
Note that this rule removes License Exception LVS eligibility for
``magnetometers'' and subsystems defined in 6A006.a.1, because
magnetometers and subsystems with these characteristics are utilized in
military applications and 6A006.a.1 is the old 6A006.h, which is listed
on the Wassenaar Arrangement's Sensitive List (Annex 1).
(c) Revising the noise level (sensitivity) for magnetometers and
subsystems defined using optically pumped or nuclear precession
(proton/Overhauser) technology, in 6A002.a.2, from ``lower (better)
than 0.05 nT rms per square root Hz'' to ``lower (better) than 20
pT(rms) per square root Hz;
Note also that this rule removes License Exception LVS eligibility
for ``magnetometers'' and subsystems defined in 6A006.a.2 using
optically pumped or nuclear precession (proton/Overhauser) having a
``noise level'' (sensitivity) lower (better) than 2 pT rms per square
root Hz, because magnetometers and subsystems with these
characteristics are utilized in military applications and are therefore
listed on the Wassenaar Arrangement's Sensitive List (Annex 1).
(d) Revising the noise level (sensitivity) for magnetometers and
subsystems using fluxgate technology, in 6A006.a.3, from ``lower
(better) than 0.05 nT rms per square root Hz'' to ``lower (better) than
10 pT (rms) per square root Hz at a frequency of 1 Hz;''
(e) Redesignating 6A006.b (induction coil magnetometers) and
6A006.c (fiber optic magnetometers) as 6A006.a.4 and 6A006.a.5;
(f) Redesignating 6A006.d (Magnetic gradiometers), 6A006.e (Fiber
optic intrinsic magnetic gradiometers), 6A006.f (Intrinsic magnetic
gradiometers other than fiber optic), and 6A006.g (magnetic
compensation systems) as 6A006.b.1, 6A006.b.2, 6A006.b.3, and 6A006.c
respectively; and
(g) Removing 6A006.h (Superconductive electromagnetic sensors).
The Wassenaar Arrangement agreed to the revisions in 6A006 because
it makes no difference what technology is used to perform a
measurement, only the sensitivity, therefore the specific technologies
were dropped from the control.
Commodities no longer controlled under ECCN 6A006, and related
technology no longer controlled under 6E001, continue to be controlled
for antiterrorism reasons under ECCNs 6A996 and 6E991, respectively,
for exports and reexports to designated terrorism-supporting countries,
as set forth in parts 742 and 746 of the EAR and as indicated in AT
Column 1 of the Commerce Country Chart.
ECCN 6A993 is added to EAR to control for antiterrorism (AT)
reasons imaging cameras no longer controlled under 6A003.b.4.b (see
Note 3 to 6A003.b.4.b). ECCN 6A993 also captures certain cameras that
previously were not controlled on the CCL such as cameras incorporating
microbolometers made from amorphous silicon or thermopiles that fall
below the control thresholds for 6A003. The effect of adding this entry
is to require a license to export or reexport certain low performance
thermal imaging cameras to those countries determined by the Department
of State to have provided support for international terrorism.
ECCN 6A996 is amended by revising the entry to include not only
magnetometers, but also superconductive electromagnetic sensors
formerly controlled for NS reasons in 6A006.h.
ECCNs 6E001 and 6E002 are amended by:
(a) Removing License Exception TSR eligibility for exports or
reexports of 6A001.a.1.b.1 (Object detection or location systems) to
destinations outside of Austria, Belgium, Canada, Denmark, Finland,
France, Germany, Greece, Ireland, Italy, Japan, Luxembourg, the
Netherlands, Portugal, Spain, Sweden, or the United Kingdom, because
6A001.a.1.b.1 is listed on the Wassenaar Arrangement's Annex 2 (Very
Sensitive List).
(b) Replacing 6A001.a.2.a.3 with 6A001.a.2.a.4, and adding
6A001.a.2.a.6 to the list of ineligible commodities under License
Exception TSR, because of the redesignation of paragraphs in
6A001.a.2.a and because these paragraphs are listed on the Wassenaar
Arrangement's Annex 2 (Very Sensitive List).
ECCN 6E003 is amended by removing ECCN 6E003.f (Technology required
for the development or production of non-triaxial fluxgate
magnetometers or non-triaxial fluxgate magnetometer systems), to
conform with a similar change on the Wassenaar Arrangement list.
Technology no longer controlled under ECCN 6E003 continues to be
controlled for antiterrorism reasons under ECCN 6E993 for exports and
reexports to designated terrorism-supporting countries, as set forth in
parts 742 and 746 of the EAR and as indicated in AT Column 1 of the
Commerce Country Chart.
ECCN 6E991 is amended by making an editorial correction to the
heading, i.e., revising the phrase ``or use equipment'' to read ``or
use of equipment.''
ECCN 6E993 is amended by:
(a) Revising the ``heading'' to include the phrase ``as follows
(see List of Items Controlled)'' to clarify that 6E993 only controls
the technology in the List of Items Controlled;
(b) Adding a new paragraph 6E993.c to control technology for the
development or production of cameras controlled by 6A993, i.e., those
cameras decontrolled by Note 3 to 6A003.b.4.b; and
(c) Adding a new paragraph 6E993.d (formally 6E003.f) to control
technology required for the development or production of non-triaxial
fluxgate magnetometers or non-triaxial fluxgate magnetometer systems.
Because technology entries generally directly correspond to
commodity entries, the shift of commodities from NS-controlled entries
to AT-controlled entries (e.g., 6A003 to 6A993) necessitates a
corresponding shift in technology controls (e.g., 6E003 to 6E993).
Category 7--Navigation and Avionics
ECCN 7A002 (Gyros, and angular or rotational accelerometers) is
amended by:
(a) Revising the time frame in which drift rate stability is
measured from ``over a period of three months'' to ``over a period of
one month'' in 7A002.a;
(b) Revising the linear acceleration level from ``below 10 g'' to
``below 12 g'' in 7A002.a.1;
(c) Revising the linear acceleration level from ``from 10 g to 100
g'' to ``from 12 g to 100 g'' in 7A002.a.2;
(d) Redesignating 7A002.b as 7A002.c; and
(e) Adding a new control parameter in new paragraph 7A002.b (angle
random walk in degree per square root hour), including a Note
describing that 7A002.b does not control spinning mass gyros, and a
Technical Note defining ``angle random walk''. This rule also revises
the MT control in the License Requirements section to exempt the newly
added 7A002.b from MT controls, as this is not a control parameter for
gyros on the Missile Technology Control Regime Annex.
The amendments to 7A002.a and the addition of 7A002.b were agreed
to by the Wassenaar Arrangement, because 7A002.a only addressed
gyroscopes with long-term stability, mainly used for spacecraft,
vessels and submersibles. The current control did not adequately
address gyroscopes with short-term
[[Page 41100]]
stability that are used for aircraft, land vehicles, rockets and
tactical missiles. This rule revises 7A002.a and adds new parameters in
7A002.b to address highly accurate gyroscopes necessary to meet the
existing inertial system's parameters in 7A003.a. and 7A003.c.1.
ECCN 7A007 is removed and the direction finding equipment is now
controlled under ECCN 5A001.e. This amendment is explained in the
description of amendments to Category 5 in paragraph (b) above.
Category 8--Marine
ECCN 8A002 is amended by removing the term ``stored program
controlled'' from 8A002.h, 8A002.i.2, and the Note following 8A002.i.2.
This term is removed because most equipment is computer controlled now
and the term no longer adds any value to the control.
Category 9--Propulsion Systems, Space Vehicles and Related Equipment
ECCN 9A001 is amended by:
(a) Revising the heading to make it more general, so that the
parameter in the heading could be placed in a new paragraph 9A001.a;
(b) Moving old 9A001.a. and 9A001.b to the new Note to 9A001.a; and
(c) Redesignating 9A001.c (aero gas turbine engines that are
designed to power an aircraft designed to cruise at Mach 1 or higher
for more than 30 minutes) as 9A001.b.
The Wassenaar Arrangement agreed to the revisions in ECCN 9A001
because it was unclear whether the certification referred to in 9A001
had to be done by aviation authorities in a Wassenaar Participating
State or whether the certification could be done by aviation
authorities in any country, including rogue countries who could evade
the Wassenaar controls by issuing civil certification for aircraft that
would never be considered acceptable by a Wassenaar Participating
State.
Section 740.7--License Exception Computers (CTP)
This rule raises the Composite Theoretical Performance (CTP)
eligibility limit from 75,000 MTOPS to 190,000 MTOPS for deemed exports
of computer technology and source code to foreign nationals of Computer
Tier 3 destinations, because doing so will assist the computer industry
in the area of research and development to advance computer technology,
and because it will not adversely affect the national security of the
United States. Certain deemed exports to Computer Tier 3 foreign
nationals are subject to a Foreign National Review requirement.
Digital computers capable of either 75,000 or 190,000 MTOPS are
becoming more common. The Wassenaar Arrangement (WA) recognized this
with its decontrol of hardware to 190,000 MTOPS. Most of the multi-
processor computer servers sold in this range are for commercial
applications. It is for these reasons that WA removed computer
technology and software from the Annex 2 (Very Sensitive List), raised
the Annex 1 (Sensitive List) threshold from ``150,000 MTOPS'' to
``190,000 MTOPS,'' and raised the control threshold under ECCNs 4D001
and 4E001 from ``33,000 MTOPS'' to ``75,000 MTOPS.''
Generally, Wassenaar Arrangement countries do not have in-country
transfer controls (deemed export controls), with the exception of
classified material. A deemed export is any release of technology or
source code subject to the EAR to a foreign national within the United
States. Such release is deemed to be an export to the home country or
countries of the foreign national. The deemed export rule does not
apply to persons lawfully admitted for permanent residence in the
United States and does not apply to persons who are protected
individuals under the Immigration and Naturalization Act (8 U.S.C.
1324b(a)(3)). Deemed export license applications for foreign nationals
with dual citizenship should be based on the most recently obtained
country citizenship. Applications for foreign nationals with temporary
or permanent residence status of a third country (i.e., non-U.S. and a
temporary or permanent residence status other than a foreign national's
country of origin) should be based on the foreign national's country of
citizenship.
Because the United States is one of the only Wassenaar Arrangement
member countries to implement deemed export controls, U.S. industry has
been required to obtain license authorization for these deemed exports
when other Wassenaar Arrangement member countries have not imposed such
controls on their industries. Expanding the availability of a License
Exception for deemed exports of computer technology and source code
provides relief from licensing burdens for U.S. industry and levels the
playing field in global competition. BIS agrees with the analysis of WA
and has decided that the expansion of license exception availability
under the technology parameters set forth above will not have an
adverse impact on the U.S. national security, and will assist in
strengthening the U.S. national security through advancements in
computer technology.
Section 740.11 and Supplement No. 1 to Part 740.11--License Exception
GOV
The Wassenaar Arrangement agreed to remove computer technology and
software from the Annex 2 (Very Sensitive List) for reasons stated in a
note under Category 4 above. Therefore, this rule removes the
restrictions for computer software classified under ECCN 4D001 and
computer technology under ECCN 4E001 under License Exception GOV for:
(1) The official use of any agency of a cooperating government within
the territory of any cooperating government; (2) the official use of a
diplomatic or consular mission of a cooperating government located in
any country in Country Group B (see Supplement No. 1 to part 740); and
(3) the official international safeguard use of the International
Atomic Energy Agency (IAEA) and the European Atomic Energy Community
(Euratom). However, the access of computer restriction by nationals of
countries in Country Group E:1 will be retained in a new paragraph
740.11(a)(4).
In addition, this rule removes computers from the list of items
excluded from eligibility under License Exception GOV to the
Organization for Prohibition of Chemical Weapons (OPCW). However, the
access of computer restriction by nationals of countries in Country
Group E:1 will be retained in a new paragraph 740.11(c)(4).
1. Section 740.11 is amended by removing and reserving paragraphs
(a)(2)(ii), (a)(2)(iii), and (a)(2)(vi)(A). In addition, the Note to
740.11(a)(2)(iii) is removed.
2. Supplement No. 1 to 740.11 is amended by removing and reserving
paragraphs (a)(1)(vi)(A), (a)(1)(vii)(B), (b)(1)(vi)(A), and
(b)(1)(vii)(B).
Because of the redesignation of the paragraphs in 6A001.a.2,
concerning hydrophones, the following corresponding revisions were made
to section 740.11 and Supplement No. 1 to section 740.11 to ensure that
all cross-references are accurate:
1. Section 740.11 is amended by revising paragraph (a)(2), and
2. Supplement No. 1 to 740.11 is amended by revising paragraphs
(a)(1), (a)(1)(vii)(D), (a)(1)(vii)(E), (b)(1), (b)(1)(vii)(D), and
(b)(1)(vii)(E).
Section 742.12 ``High Performance Computers''
Section 742.12 is amended by revising the phrase ``greater than
75,000 MTOPS.'' to read ``greater than 190,000 MTOPS.'' in paragraph
(a)(3), to harmonize the CTP value in this paragraph with the Wassenaar
reporting requirement in 743.1(c)(2).
[[Page 41101]]
Section 743.1 ``Wassenaar Arrangement''
Section 743.1 is amended by revising the phrase ``having a CTP
exceeding 75,000 MTOPS.'' to read ``having a CTP exceeding 190,000
MTOPS.'' in paragraph (c)(2), because the Wassenaar Arrangement agreed
to raise the threshold to 190,000 MTOPS in the Sensitive List (Annex
1).
Definitions in Part 772
``Allocated by the ITU'' has been amended by revising which ITU
Radio Regulations should be consulted for the allocation of frequency
bands, from ``edition 1998'' to ``current edition of the'' ITU Radio
Regulations.
``Stored program controlled'' was removed from the Wassenaar
Arrangement's definitions because most equipment is computer controlled
now and the term no longer adds any value to the control, therefore the
term has been removed from many paragraphs in the CCL. However, BIS
will retain this definition in part 772, because the term is still used
in some ECCNs controlled for anti-terrorism reasons, e.g., ECCNs 3B991,
4B994, and 5A991, and to remove the term from these entries would allow
the rare instance of manually controlled equipment to be used in
nefarious ways.
Although the Export Administration Act expired on August 20, 2001,
Executive Order 13222 of August 17, 2001 (3 CFR, 2001 Comp., p. 783
(2002)), as extended by the Notice of August 6, 2004, 69 FR 48763
(August 10, 2004) continues the Regulations in effect under the
International Emergency Economic Powers Act.
Saving Clause
Shipments of items removed from license exception eligibility or
eligibility for export 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, 2005, pursuant to actual orders for export 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
exported from the United States before September 13, 2005. Any such
items not actually exported before midnight, on September 13, 2005,
require a license in accordance with this regulation.
Rulemaking Requirements
1. This final rule has been determined to be not significant for
purposes of E.O. 12866.
2. Notwithstanding any other provision of law, no person is
required to respond to, nor shall any person be subject to a penalty
for failure to comply with a collection of information, subject to the
requirements of the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et
seq.) (PRA), unless that collection of information displays a currently
valid Office of Management and Budget (OMB) Control Number. This rule
involves two collections of information subject to the PRA. One of the
collections has been approved by OMB under control number 0694-0088,
``Multi-Purpose Application,'' and carries a burden hour estimate of 58
minutes for a manual or electronic submission. The other of the
collections has been approved by OMB under control number 0694-0106,
``Reporting and Recordkeeping Requirements under the Wassenaar
Arrangement,'' and carries a burden hour estimate of 21 minutes for a
manual or electronic submission. Send comments regarding these burden
estimates or any other aspect of these collections of information,
including suggestions for reducing the burden, to OMB Desk Officer, New
Executive Office Building, Washington, DC 20503; and to the Office of
Administration, Bureau of Industry and Security, Department of
Commerce, 14th and Pennsylvania Avenue, NW., Room 6883, Washington, DC
20230.
3. This rule does not contain policies with Federalism implications
as that term is defined under E.O. 13132.
4. 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 regulation involves a military and foreign affairs
function of the United States (5 U.S.C. 553(a)(1)). 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. Therefore,
this regulation is issued in final form. Although there is no formal
comment period, public comments on this regulation are welcome on a
continuing basis. Comments should be submitted to Sharron Cook, Office
of Exporter Services, Bureau of Industry and Security, Department of
Commerce, P.O. Box 273, Washington, DC 20044.
List of Subjects
15 CFR Part 740
Administrative practice and procedure, Exports, Reporting and
recordkeeping requirements.
15 CFR Part 742
Exports, Terrorism.
15 CFR Part 743
Administrative practice and procedure, Reporting and recordkeeping
requirements.
15 CFR Part 772
Exports.
15 CFR Part 774
Exports, Reporting and recordkeeping requirements.
0
Accordingly, parts 740, 742, 743, 772 and 774 of the Export
Administration Regulations (15 CFR parts 730-799) 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. app. 2401 et seq.; 50 U.S.C. 1701 et seq.;
Sec. 901-911, Pub. L. 106-387; 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 6, 2004, 69 FR 48763 (August 10, 2004).
Sec. 740.7 [Amended]
0
2. Section 740.7 is amended by revising the phrase ``with a CTP less
than or equal to 75,000 MTOPS are eligible for deemed exports under
License Exception CTP to foreign nationals of Tier 3 destinations'' to
read ``with a CTP less than or equal to 190,000 MTOPS are eligible for
deemed exports under License Exception CTP to foreign nationals of Tier
3 destinations'' in paragraph (d)(3).
0
3. Section 740.11 is amended by:
0
(a) Revising paragraph (a)(2) introductory text as set forth below;
0
(b) Removing and reserving paragraphs (a)(2)(ii), (a)(2)(iii),
(a)(2)(vi)(A), and (c)(2)(i);
0
(c) Removing the Note to 740.11(a)(2)(iii); and
0
(d) Adding two new paragraphs (a)(4) and (c)(4) to read as follows:
Sec. 740.11 Governments, international organizations, and
international inspections under the Chemical Weapons Convention (GOV).
* * * * *
(a) * * *
(2) The following items controlled for national security (NS)
reasons under
[[Page 41102]]
Export Control Classification Numbers (ECCNs) identified on the
Commerce Control List may not be exported or reexported under this
License Exception to destinations other than Austria, Belgium, Canada,
Denmark, Finland, France, Germany, Greece, Ireland, Italy, Luxembourg,
the Netherlands, Portugal, Spain, Sweden, and the United Kingdom:
1C001, 5A001.b.5, 6A001.a.1.b.1 object detection and location systems
having 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 Hz to
2 kHz inclusive, 6A001.a.2.a.1, 6A001.a.2.a.2, 6A001.a.2.a.3,
6A001.a.2.a.5, 6A001.a.2.a.6, 6A001.a.2.b, 6A001.a.2.e, 6A002.a.1.c,
6A008.l.3, 6B008, 8A001.b, 8A001.d, 8A002.o.3.b; and
* * * * *
(4) Restrictions. Nationals of countries in Country Group E:1 may
not physically or computationally access computers that have been
enhanced by ``electronic assemblies'', which have been exported or
reexported under License Exception GOV and have been used to enhance
such computers by aggregation of ``computing elements'' so that the CTP
of the aggregation exceeds the CTP parameter set forth in ECCN 4A003.b.
of the Commerce Control List in Supplement No. 1 to part 774 of the
EAR, without prior authorization from the Bureau of Industry and
Security.
* * * * *
(c) * * *
(4) Restrictions. Nationals of countries in Country Group E:1 may
not physically or computationally access computers that have been
enhanced by ``electronic assemblies'', which have been exported or
reexported under License Exception GOV and have been used to enhance
such computers by aggregation of ``computing elements'' so that the CTP
of the aggregation exceeds the CTP parameter set forth in ECCN 4A003.b.
of the Commerce Control List in Supplement No. 1 to part 774 of the
EAR, without prior authorization from the Bureau of Industry and
Security.
0
4. Supplement No. 1 to 740.11 is amended by:
0
a. Removing and reserving paragraphs (a)(1)(vi)(A), (a)(1)(vii)(B),
(b)(1)(vi)(A), and (b)(1)(vii)(B); and
0
b. Revising paragraphs (a)(1) introductory text, (a)(1)(vii)(D),
(a)(1)(vii)(E)(b)(1) introductory text, (b)(1)(vii)(D), and
(b)(1)(vii)(E), to read as follows:
Supplement No. 1 to Sec. 740.11--Additional Restrictions on Use of
License Exception Gov
(a) * * *
(1) Items identified on the Commerce Control List as controlled
for national security (NS) reasons under Export Control
Classification Numbers (ECCNs) as follows for export or reexport to
destinations other than Austria, Belgium, Canada, Denmark, Finland,
France, Germany, Greece, Ireland, Italy, Luxembourg, the
Netherlands, Portugal, Spain, Sweden, or the United Kingdom: 1C001,
5A001.b.5, 6A001.a.1.b.1 object detection and location systems
having 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 Hz to 2 kHz inclusive, 6A001.a.2.a.1, 6A001.a.2.a.2,
6A001.a.2.a.3, 6A001.a.2.a.5, 6A001.a.2.a.6, 6A001.a.2.b,
6A001.a.2.e, 6A002.a.1.c, 6A008.1.3, 6B008, 8A001.b, 8A001.d,
8A002.o.3.b; and
* * * * *
(vii) * * *
(D) Controlled by 6E001 for the ``development'' of equipment or
``software'' in 6A001.a.1.b.1, 6A001.a.2.a.1, 6A001.a.2.a.2,
6A001.a.2.a.3, 6A001.a.2.a.5, 6A001.a.2.a.6, 6A001.a.2.b,
6A001.a.2.c, 6A001.a.2.e, 6A001.a.2.f, 6A002.a.1.c, 6A008.1.3, or
6B008, as described in paragraph (a)(1) of this Supplement; and
(E) Controlled by 6E002 for the ``production'' of equipment
controlled by 6A001.a.1.b.1, 6A001.a.2.a.1, 6A001.a.2.a.2,
6A001.a.2.a.3, 6A001.a.2.a.5, 6A001.a.2.a.6, 6A001.a.2.b,
6A001.a.2.c, 6A001.a.2.e, 6A001.a.2.f, 6A002.a.1.c, 6A008.1.3, or
6B008, as described in paragraph (a)(1) of this Supplement; and
* * * * *
(b) * * *
(1) Items identified on the Commerce Control List as controlled
for national security (NS) reasons under Export Control
Classification Numbers (ECCNs) as follows for export or reexport to
destinations other than Austria, Belgium, Canada, Denmark, Finland,
France, Germany, Greece, Ireland, Italy, Luxembourg, the
Netherlands, Portugal, Spain, Sweden, or the United Kingdom: 1C001,
5A001.b.5, 6A001.a.1.b.1 object detection and location systems
having 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 Hz to 2 kHz inclusive, 6A001.a.2.a.1, 6A001.a.2.a.2,
6A001.a.2.a.3, 6A001.a.2.a.5, 6A001.a.2.a.6, 6A001.a.2.b,
6A001.a.2.e, 6A002.a.1.c, 6A008.1.3, 6B008, 8A001.b, 8A001.d,
8A002.o.3.b; and
* * * * *
(vii) * * *
(D) Controlled by 6E001 for the ``development'' of equipment or
``software'' in 6A001.a.1.b.1, 6A001.a.2.a.1, 6A001.a.2.a.2,
6A001.a.2.a.3, 6A001.a.2.a.5, 6A001.a.2.a.6, 6A001.a.2.b,
6A001.a.2.c, 6A001.a.2.e, 6A001.a.2.f, 6A002.a.1.c, 6A008.1.3, or
6B008, as described in paragraph (a)(1) of this supplement; and
(E) Controlled by 6E002 for the ``production'' of equipment
controlled by 6A001.a.1.b.1, 6A001.a.2.a.1, 6A001.a.2.a.2,
6A001.a.2.a.3, 6A001.a.2.a.5, 6A001.a.2.a.6, 6A001.a.2.b,
6A001.a.2.c, 6A001.a.2.e, 6A001.a.2.f, 6A002.a.1.c, 6A008.l.3, or
6B008, as described in paragraph (a)(1) of this Supplement; and
* * * * *
PART 742--[AMENDED]
0
5. The authority citation for part 742 is revised to read as follows:
Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.;
18 U.S.C. 2510 et seq.; 22 U.S.C. 3201 et seq.; 42 U.S.C. 2139a;
Sec. 901-911, Pub. L. 106-387; Sec. 221, Pub. L. 107-56; Sec 1503,
Pub.L. 108-11,117 Stat. 559; E.O. 12058, 43 FR 20947, 3 CFR, 1978
Comp., p. 179; E.O. 12851, 58 FR 33181, 3 CFR, 1993 Comp., p. 608;
E.O. 12938, 59 FR 59099, 3 CFR, 1994 Comp., p. 950; E.O. 13026, 61
FR 58767, 3 CFR, 1996 Comp., p. 228; E.O. 13222, 66 FR 44025, 3 CFR,
2001 Comp., p. 783; Presidential Determination 2003-23 of May 7,
2003, 68 FR 26459, 3 CFR, 2003 Comp., p. 320; Notice of August 6,
2004, 69 FR 48763, 3 CFR, 2004 Comp., p. 284; Notice of November 4,
2004, 69 FR 64637, 3 CFR, 2004 Comp., p. 303.
Sec. 742.12 [Amended]
0
6. Section 742.12 is amended by revising the phrase ``greater than
75,000 MTOPS.'' to read ``greater than 190,000 MTOPS.'' in paragraph
(a)(3).
PART 743--[AMENDED]
0
7. The authority citation for part 743 is revised to read as follows:
Authority: 50 U.S.C. app. 2401 et seq.; Pub. L. 106-508; 50
U.S.C. 1701 et seq.; E.O. 13206, 66 FR 18397, 3 CFR, 2001 Comp., p.
763.
Sec. 743.1 [Amended]
0
8. Section 743.1 is amended by revising the phrase ``having a CTP
exceeding 75,000 MTOPS.'' to read ``having a CTP exceeding 190,000
MTOPS.'' in paragraph (c)(2).
Supplement No. 1 to Part 743 [Amended]
0
9. Supplement No. 1 to part 743 is amended by adding ``Slovenia'' in
alphabetical order after ``Slovakia'' and before ``South Korea''.
PART 772--[AMENDED]
0
10. The authority citation for part 772 is revised to read as follows:
Authority: 50
