Wassenaar Arrangement 2017 Plenary Agreements Implementation, 53742-53793 [2018-22163]
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Federal Register / Vol. 83, No. 206 / Wednesday, October 24, 2018 / Rules and Regulations
DEPARTMENT OF COMMERCE
Bureau of Industry and Security
15 CFR Parts 740, 742, 744, 772, and
774
[Docket No. 170831854–7854–01]
RIN 0694–AH44
Wassenaar Arrangement 2017 Plenary
Agreements Implementation
Bureau of Industry and
Security, Commerce.
ACTION: Final rule.
AGENCY:
The Bureau of Industry and
Security (BIS) maintains, as part of its
Export Administration Regulations
(EAR), the Commerce Control List
(CCL), which identifies certain items
subject to Department of Commerce
jurisdiction. This final rule revises the
CCL, as well as corresponding parts of
the EAR, to implement changes made to
the Wassenaar Arrangement List of
Dual-Use Goods and Technologies (WA
List) maintained and agreed to by
governments participating in the
Wassenaar Arrangement on Export
Controls for Conventional Arms and
Dual-Use Goods and Technologies
(Wassenaar Arrangement, or WA) at the
December 2017 WA Plenary meeting.
The Wassenaar Arrangement advocates
implementation of effective export
controls on strategic items with the
objective of improving regional and
international security and stability. This
rule harmonizes the CCL with the
agreements reached at the 2017 Plenary
meeting by revising Export Control
Classification Numbers (ECCNs)
controlled for national security reasons
in each category of the CCL. This rule
also makes other associated changes to
the EAR and makes a correction.
DATES: This rule is effective October 24,
2018.
FOR FURTHER INFORMATION CONTACT: For
general questions, contact Sharron
Cook, Office of Exporter Services,
Bureau of Industry and Security, U.S.
Department of Commerce at 202–482–
2440 or by email: Sharron.Cook@
bis.doc.gov.
For technical questions contact:
Categories 0, 1 & 2: Joseph Giunta at
202–482–3127.
Category 3: Brian Baker at 202–482–
5534.
Categories 4 & 5: Aaron Amundson or
Anita Zinzuvadia 202–482–0707.
Category 6 (optics): Chris Costanzo at
202–482–5299.
Category 6 (lasers and radar): Michael
Rithmire 202–482–6105.
Category 6 (sensors and cameras):
John Varesi 202–482–1114.
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SUMMARY:
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Categories 7 & 9: Michael Rithmire
202–482–6105 or Michael Tu 202–482–
6462.
Category 9x515 (Satellites): Michael
Tu 202–482–6462.
Category ‘‘600 Series’’ (Munitions
Items): Christopher Williams at 202–
482–6023 or Heather Moore at 202–482–
4786.
SUPPLEMENTARY INFORMATION:
Background
The Wassenaar Arrangement
(Wassenaar or WA) (https://
www.wassenaar.org/) on Export
Controls for Conventional Arms and
Dual-Use Goods and Technologies is a
group of 42 like-minded states
committed to promoting responsibility
and transparency in the global arms
trade, and preventing destabilizing
accumulations of arms. As a
Participating State, the United States
has committed to controlling for export
all items on the WA control lists. The
lists were first established in 1996 and
have been revised annually thereafter.
Proposals for changes to the WA control
lists that achieve consensus are
approved by Participating States at
annual plenary meetings. Participating
States are charged with implementing
the agreed list changes as soon as
possible after approval. The United
States’ implementation of WA list
changes ensures U.S. companies have a
level playing field with their
competitors in other WA Participating
States.
The changes in this rule, which reflect
the changes to the WA control lists that
were approved at the December 2017
WA Plenary meeting, update the
corresponding items listed in the EAR,
and reflect the most recent changes in
technologies and conditions. Unless
explicitly discussed below, the revisions
made by this rule will not impact the
number of license applications
submitted to BIS.
Revisions to the Commerce Control List
Related to WA 2017 Plenary
Agreements
Revises (50) ECCNs: 0A617, 0A919,
1A002, 1C001, 1C002, 1C007, 1C010,
1C608, 2A001, 2B001, 2B006, 2B007,
2B008, 2E003, 3A001, 3A002, 3B001,
3B002, 3C002, 3C005, 3C006, 3C992,
3E001, 4A003, 4A004, 4D001, 4E001,
5A001, 5A002, 5D002, 5E002, 6A002,
6A003, 6A004, 6A005, 6A008, 6A203,
6D003, 6D991, 6E001, 6E002, 6E201,
7A006, 7E004, 9A002, 9A004, 9D001,
9D002, 9D004, and 9E003.
License Exception eligibility
additions: 3A001.i (GBS).
ECCN Removals: 6A990 and 6E990.
ECCN Correction: 3A991.
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ECCN change to maintain NP
controls: 2B206.
Category 0—Nuclear Materials,
Facilities, and Equipment [and
Miscellaneous Items]
0A617 Miscellaneous ‘‘Equipment’’,
Materials, and Related Commodities
ECCN 0A617, paragraph y.3,
containers for shipping or packing
defense articles or items controlled by
‘‘600 series’’ ECCNs, is amended by
narrowing the scope to International
Organization for Standardization (ISO)
intermodal containers or demountable
vehicle bodies (i.e., swap bodies), but
also expands the scope beyond
‘‘specially designed’’ by adding ‘‘or
modified’’. As the term ‘modified’ is in
single quotes, BIS is also adding the
technical note that defines ‘modified,’
which was already existing text in
Wassenaar Arrangement Military List of
2017 (WAML 17).
0A919 ‘‘Military Commodities’’
Located and Produced Outside the
United States
ECCN 0A919 is revised to remove
reference to 6A990, because this rule
removes 6A990 from the CCL and Read
Out Integrated Circuits (ROICs) are now
controlled under 6A002.f.
Category 1—Special Materials and
Related Equipment, Chemicals,
‘‘Microorganisms’’, and ‘‘Toxins’’
1A002 ‘‘Composite’’ Structures or
Laminates
The heading of ECCN 1A002 is
amended by replacing ‘‘having any of
the following’’ with ‘‘as follows’’. An
‘‘as follows’’ phrase is usually followed
by items, but in this case it is followed
by parameters. The phrase ‘‘consisting
of’’ is replaced by ‘‘made from’’ in both
sub-paragraph .a and .b. Also, more
descriptive text is added for clarity and
the scope of the control is not changed.
The superfluous word ‘‘purely’’ is
removed from Note 2, which does not
change the effect of the Note.
1C001 Materials ‘‘Specially Designed’’
for Use as Absorbing of Electromagnetic
Radiation, or Intrinsically Conductive
Polymers
The heading of ECCN 1C001 is
amended by replacing ‘‘absorbers’’ with
‘‘absorbing’’ and replacing ‘‘waves’’
with ‘‘radiation’’. Subparagraph .b is
amended by moving the phrase ‘‘not
transparent to visible light’’ to the
beginning and adding more descriptive
text ‘‘near-infrared radiation having a
wavelength’’ to clarify the scope of the
control. Also the parameters are
changed from ‘‘1.5 × 1014 Hz’’ to ‘‘810
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nm’’ and ‘‘3.7 × 1014 Hz’’ to ‘‘2,000 nm
(frequencies exceeding 150 THz but less
than 370 THz)’’. The frequency band is
changed to the equivalent wavelength
band to make the parameter easier to
understand and not to change the scope
of control. Therefore, these revisions
will not affect the number of license
applications submitted to BIS.
1C002 Metal Alloys, Metal Alloy
Powder and Alloyed Materials
Item paragraphs c.2 and d.3 are
amended by replacing the double quotes
with single quotes around the terms in
c.2.a through c.2.h and d.3.a through
d.3.c. Double quotes indicate the term is
used multiple times in the Commerce
Control List (CCL) or separated by a
large amount of space within a single
ECCN and the definition for the term is
found in part 772. Single quotes
indicate the term is used only in a single
ECCN and the definition for the term is
found within the ECCN where the term
is used. These and many other terms in
this rule were found to only be used in
a single ECCN and should not be
defined in part 772, but in the ECCN.
The definitions for the terms, in c.2.a
through c.2.h and d.3.a through d.3.c,
are moved from part 772 to a new
Technical Note after Items paragraph
d.3.c. These amendments do not change
the number of license applications
submitted to BIS.
1C007 Ceramic Powders, Ceramic
‘‘Matrix’’ ‘‘Composite’’ Materials and
‘‘Precursor Materials’’
In the Nota Bene (N.B.) to Item
paragraphs c.2, .d and .f, the phrase
‘‘listed under’’ is replaced by ‘‘specified
by’’ to be consistent with the terms used
to reference new locations for controlled
items. This does not change the number
of license applications submitted to BIS.
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1C010 ‘‘Fibrous or Filamentary
Materials’’
Item paragraphs d.2 and .e, and Note
1 below Item paragraph e.2.c are
amended by replacing the double quotes
with single quotes around defined
terms, because the terms are only used
in this ECCN. The definition for
‘commingled’ is moved from part 772 to
the Technical Note below Items
paragraph d.2. The definition for
‘carbon fiber preforms’ is moved from
part 772 to the Technical Note at the
end of the List of Items Controlled.
These amendments do not change the
number of license applications
submitted to BIS.
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1C608 ‘‘Energetic Materials’’ and
Related Commodities
WA agreed to add a Note specifying
that WAML 8.c.1 does not apply to
aircraft fuels—JP–4, JP–5 and JP–8. This
rule adds this Note below 1C608.n ‘‘Any
explosives, ‘propellants,’ oxidizers,
‘‘pyrotechnics’’, fuels, binders, or
additives . . .’’ as well as bringing forth
another Note from WAML 8.c.1 that
specifies that aircraft fuels specified by
WAML 8.c.1 are finished products, not
their constituents.
Category 2—Materials Processing
2A001 Anti-Friction Bearings and
Bearing Systems
Note 2 at the beginning of the Items
paragraph is amended by adding ‘‘(or
national equivalents)’’, in order to help
efficiently classify bearings using
national standards that are equivalent to
ISO 3290 as grade 5.
2B001
Machine Tools
An editorial change is made to Note
2 to 2B001.a by replacing ‘‘and/or’’ with
‘‘or’’. Items paragraph c.1.b is revised
from specifying ‘‘three or more axes’’ to
‘‘three or four axes’’ to remove the
overlap between c.2 ‘‘five or more axes’’
and c.1.b for machine tools for grinding.
This will not affect license submissions
to BIS.
2B006 Dimensional Inspection or
Measuring Systems, Equipment,
Position Feedback Units and ‘‘Electronic
Assemblies’’
The Heading is revised to add
‘‘position feedback units’’ and
‘‘electronic assemblies’’ to more
accurately describe the scope of controls
in Items paragraph .b. Angular
displacement measuring systems
formerly in 2B006.b.2 are moved to
2B006.c. Linear Variable Differential
Transformer (LVDT) systems formerly in
2B006.b.1.b are moved to 2B206.d and
no longer have a national security
control. The License Requirements
section is amended by revising the
Nuclear Proliferation (NP) controls from
‘‘2B006.a and .b’’ to ‘‘2B006.a, .b.1, b.3,
and .c (angular displacement measuring
instruments)’’ to account for moving the
LVDT systems to 2B206 and moving the
angular displacement measuring
instruments from 2B006.b.2 to .c. Item
paragraphs 2B008.a (linear position
feedback units) and .b.2 (rotary position
feedback units) are moved to 2B006.b.2
and .c, respectively, so that all the
measuring systems for machine tools are
in one place. Equipment for measuring
surface roughness is moved from Items
paragraph 2B006.c to .d.
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2B007 ‘‘Robots’’
Item paragraph .a ‘‘[Robots] capable in
real-time of full three-dimensional
image processing or full threedimensional ‘‘scene analysis’’ to
generate or modify ‘‘programs’’ or to
generate or modify numerical program
data’’ is removed and reserved because
of insufficient connection to military
capabilities. Robots of national security
concern are controlled under 2B007.b, .c
and .d. This change will have a minimal
effect on license application
submissions to BIS.
2B008 ‘‘Compound Rotary Tables’’
and ‘‘Tilting Spindles’’, ‘‘Specially
Designed’’ for Machine Tools
The Heading is amended by replacing
‘‘assemblies or units’’ with ‘compound
rotary tables’ and ‘‘tilting spindles’’, as
well as removing ‘‘or dimensional
inspection or measuring systems and
equipment’’ to align with revisions
made to the List of Items Controlled in
this ECCN. Item paragraphs .a (linear
position feedback units) and .b (rotary
position feedback units) are removed
and reserved, because this rule moves
these items to 2B006.b.2 and .c,
respectively. Item paragraph .c is
amended by replacing and cascading the
parameter paragraphs, as well as moving
the definition for ‘compound rotary
table’ from part 772 to a Technical Note
under this Item paragraph. ‘‘Tilting
spindles’’ are moved from Item
paragraph .c to new Item paragraph .d
to separate it from the compound rotary
table control. The parameters have been
revised in both paragraphs .c and .d to
remove ambiguity, which will not affect
license application submissions.
2B206 Dimensional Inspection
Machines, Instruments or Systems,
Other Than Those Described in 2B006
2B206 is amended by adding Linear
Variable Differential Transformer
(LVDT) systems to Item paragraph .d,
because this item is removed from
2B006.b.1.b. While LVDT systems are
no longer controlled for national
security reasons, they are still on the
Nuclear Supplier’s Group (NSG) list
under 1.B.3.b.2 and remain controlled
for nuclear nonproliferation reasons on
the CCL.
2E003 Other ‘‘Technology’’
Item paragraph .a (‘‘technology’’ for
the ‘‘development’’ of interactive
graphics as an integrated part in
‘‘numerical control’’ units for
preparation or modification of part
programs) is removed and reserved
because of the advancement of
technology. Therefore, Item paragraph .a
is removed from License Exception TSR.
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The double quotes are replaced with
single quotes around the term ‘directacting hydraulic pressing’ in Item
paragraphs b.1.c and b.1.d and ‘hot
isostatic densification’ in Item
paragraph b.2.d. Additionally, the
definition for these terms is moved from
part 772 to the Technical Notes below
Item paragraph b.2.d.3, because these
terms are only used in this ECCN. Item
paragraph .d (‘‘technology’’ for the
‘‘development’’ of generators of machine
tool instructions . . . from design data
residing inside ‘‘numerical control’’
units) is removed and reserved because
of the advancement of technology.
When items are removed because of
technological advancement, it does not
affect the annual number of license
application submissions to BIS.
Category 3—Electronics
Product Group A. ‘‘End Items’’,
‘‘Equipment’’, ‘‘Accessories’’,
‘‘Attachments’’, ‘‘Parts’’,
‘‘Components’’, and ‘‘Systems’’
Note 1 at the beginning of Category 3
is amended by making an editorial
correction by moving an ‘‘or’’ and
adding ‘‘to’’ in order to correctly specify
which ECCN 3A001 subparagraphs are
excluded from the scope statement for
Category 3.
Note 2 at the beginning of Category 3
is amended by making an editorial
correction by moving an ‘‘or’’, adding
‘‘to’’, adding a comma and replacing
‘‘that’’ with ‘‘which’’. These revisions
are made to correctly specify which
ECCN 3A001 subparagraphs are
included in the scope statement for
Category 3.
The Nota Bene after Note 2 is
amended to make an editorial correction
by moving an ‘‘and’’ and adding ‘‘to’’ in
order to correctly specify the scope of
this N.B.
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3A001
Electronic Items
Item paragraph a.2 is amended by
replacing ‘‘Electrical Erasable
Programmable Read-Only Memories
(EEPROMS), flash memories, and
MRAMs’’ with ‘non-volatile memories’
and adding a Technical Note to define
‘non-volatile memories,’ to provide a
more generic term for these types of
memory integrated circuits.
Item paragraph a.5.a ‘‘ADCs’’ and the
Technical Note below a.5.a are amended
by replacing the term ‘‘output rate’’ with
the ‘‘sample rate’’ as measured points at
the input, except for oversampling
(defined as output sample rate), and the
Technical Note identifies common ways
manufacturers specify ‘sample rate.’ The
definition for ‘‘sample rate’’ is added to
part 772 ‘‘Definition of Terms. . . .’’
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Also the superfluous term ‘‘Mega
Samples Per Second’’, is removed from
several subparagraphs in a.5.a, but
leaves its acronym ‘‘MSPS’’. The
Technical Notes below Items paragraph
a.5.a are amended by adding an
explanation for the resolution of the
ADC, removing the explanation for
output rate, replacing single quotes with
double quotes around the term
‘‘interleaved ADCs’’ and ‘‘multiple
channel ADCs’’, and removing
Technical Notes 6 through 9. The
definitions for the terms ‘‘interleaved
ADCs’’ and ‘‘multiple channel ADCs’’
are added to part 772 ‘‘Definition of
terms. . . .’’. These revisions will not
change the number of submissions of
license applications.
Item paragraph a.5.b.2.a, ‘‘settling
time’’ parameter, is amended by adding
‘‘arrive at or within’’ to clarify the
potentially ambiguous parameter with
common usage and understanding of
DAC specifications, so that it will not be
misinterpreted to mean the time to
deviate by the specific amount from the
original level.
The inclusion Note to 3A001.a.7 is
amended by removing ‘‘Simple
Programmable Logic Devices (SPLDs)’’
because of technological advancements,
which will not affect the number of
license application submissions.
Item paragraph a.14 is amended by
replacing ‘‘Integrated circuits that
perform all of the following:’’ with
‘‘Integrated circuits that perform or are
programmed to perform all of the
following:’’. The term ‘‘input sample
rate’’ is replaced with ‘‘sample rate’’ that
is defined in part 772. The superfluous
‘‘Giga Samples Per Second’’ is removed,
but the acronym GSPS remains, as
‘‘Mega Samples Per Second’’ is removed
and MSPS remains. Technical Notes are
added below Items paragraph a.14.b.2 to
provide more explanation of the
parameters in Item paragraph .a,
especially, resolution of ADC and the
‘‘sample rate’’ for integrated circuits
with interleaving or non-interleaving
‘‘multiple channel ADCs’’. These
changes will have little effect on the
number of licenses submitted to BIS.
Nota Bene 3 is added after Item
paragraph b.4.f to reference 3A001.b.7
for converters and harmonic mixers,
designed to extend the operating or
frequency range of signal analyzers,
signal generators, network analyzers or
microwave test receivers.
In Item paragraph b.11 double quotes
are replaced with single quotes around
the term ‘frequency synthesizer’ and the
definition is moved from part 772 to a
Technical Note below Item paragraph
b.11.g, because the term is only used in
this ECCN.
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The Technical Notes after Item
paragraph b.12.d are amended by
correcting the reference
‘‘3A001.b.4.12.c’’ to read
‘‘3A001.b.12.c’’ in Technical Note 5.
The parameters for ‘primary cells’ in
Item paragraph e.1.a are amended by
cascading the parameters and adding a
‘continuous power density’ parameter
and the definition for it in Technical
Note 5 below Item paragraph e.1.b,
because military uses for these items
have requirements in both energy and
power density. This revision should
lower the annual number of license
applications submitted to BIS by 5.
Intensity, amplitude, or phase electrooptic modulators, designed for analog
signals, including electro-optic
modulators having optical input and
output connectors are added to new
paragraph 3A001.i to address photonic
components for analog Radio Frequency
(RF) over fiber antenna remoting, and
analog RF distribution of signals. One of
the parameters for these items is ‘halfwave voltage’ (‘Vp’), which is defined in
a Technical Note below the new
paragraph. These items will be eligible
for License Exception GBS; therefore,
the GBS paragraph is revised to add
Item paragraph .i. This new entry is
estimated to add 10 new license
application submissions to BIS
annually.
3A991 Electronic Devices, and
‘‘Components’’ Not Controlled by 3A001
On September 20, 2016, BIS
published a WA rule (81 FR 64682) that
increased the energy density in
3A001.e.1.b from 300 to 350 Wh/kg, but
did not make the corresponding change
to ECCN 3A991.j.2, which left a gap in
control. This rule corrects 3A991.j.2 by
increasing the energy density from 300
to 350 Wh/kg or less in order to close
a gap of control between 3A001.e.1.b
and 3A991.j.2 for secondary cells.
3A002 General Purpose ‘‘Electronic
Assemblies’’, Modules and Equipment
The frequency parameter is raised
from ‘‘exceeding 10 MHz’’ to ‘‘exceeding
40 MHz’’ for signal analyzers having a
3 dB resolution bandwidth (RBW) in
Item paragraph c.1, which is estimated
to reduce annual license application
submissions to BIS by 5.
Double quotes are replaced with
single quotes for the term ‘real-time
bandwidth’ in Item paragraph c.4.a and
for ‘frequency mask trigger’ in Item
paragraph c.4.b.2, because these terms
are only used in this ECCN. The
definitions for these terms are moved
from part 772 to the Technical Notes
after Item paragraph c.4.b.2.
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The scientific unit ‘‘billion samples
per second’’ is replaced with ‘‘Giga
Samples Per Second (GSPS)’’ in Item
paragraph h.1.a. The scientific unit
‘‘billion samples per second’’ is
replaced with the acronym GSPS in
Item paragraphs h.1.b and h.1.c. The
scientific unit ‘‘million samples per
second’’ is replaced with ‘‘Mega
Samples Per Second (MSPS)’’ in Item
paragraph h.1.d. The scientific unit
‘‘million samples per second’’ is
replaced with the acronym ‘‘MSPS’’ in
Item paragraph h.1.e. These revisions
are made for simplification purposes.
The Technical Note below Item
paragraph h.2.c is replaced by the same
Technical Notes that are added below
3A001.a.5.a, explaining resolution and
‘‘sample rate’’ for interleaved and noninterleaved multiple-channel
‘‘electronic assemblies’’, modules, or
equipment.
3B001 Equipment for the
Manufacturing of Semiconductor
Devices or Materials
Mask ‘‘substrate blanks’’ with
multilayer reflector structure consisting
of molybdenum and silicon being
‘‘specially designed’’ for ‘Extreme
Ultraviolet (EUV)’ lithography and being
compliant with SEMI Standard P37 are
added to new paragraph 3B001.j,
because mask ‘‘substrate blanks’’ and
the subsequent substrate blank with
multilayer reflector structure are critical
materials for EUV lithography. This
addition is estimated to increase annual
license application submissions to BIS
by 7. EUV lithography opens up
integrated circuit fabrication at the most
advanced state-of-the-art technology
node. The definition for ‘Extreme
Ultraviolet (EUV)’ is added to a
Technical Note below Item paragraph
j.2.
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3B002 Test Equipment ‘‘Specially
Designed’’ for Testing Finished or
Unfinished Semiconductor Devices
Item paragraph .a is revised from ‘‘For
testing S-parameters of transistor device
at frequencies exceeding 31.8 GHz’’ to
read ‘‘For testing S-parameters of items
specified by 3A001.b.3’’ to remove
potential overlapping controls for
network analyzers (which measure Sparameters) described in 3A002.e, to
harmonize the control text of equipment
for testing S-parameters of transistors
specified in paragraphs 3A001.b.3.a and
3A001.b.3.b (i.e., transistors that are
below 31.8 GHz), and to remove
ambiguity regarding the meaning of the
phrase ‘‘transistor devices’’ by
substituting the unambiguous reference
to transistors specified by 3A001.b.3.
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3C002 Resist Materials
The wavelength for positive resists in
Item paragraph a.1 is revised from
‘‘wavelengths less than 245 nm . . . .’’
to ‘‘wavelengths less than 193 nm
. . . .’’ in order to match the material
control with the lithography equipment
parameters in 3B001.f.1.a, which is
estimated to reduce by 3 the annual
number of license application
submissions to BIS.
for items specified by 3A001. A
Technical Note is added below Note 3
to define ‘Process Design Kit’ (‘PDK’).
PDKs do not provide knowledge about
production tools. This will not result in
a change to license application
submissions, because no license
submissions have been submitted to BIS
for PDK under 3E001.
3C005 High Resistivity Materials
The Heading of ECCN 3C005 is
revised to move the items that were in
the Heading to Items paragraph .a.
Polycrystalline ‘‘substrates’’ or
polycrystalline ceramic ‘‘substrates’’ are
added to Item paragraph .b, because
there are both military and commercial
applications for microwave transistors
fabricated on the engineered substrates.
These newly added substrates will be
controlled for NS:2 and AT:1 and have
License Exception LVS ($3,000), GBS
and CIV eligibility. It is anticipated that
this new control will result in an
increase of 15 new license application
submissions to BIS annually.
In Note 2 at the top of Category 4, the
double quotes are replaced with single
quotes around the term ‘main storage’
because the term is only used in these
Category 4 Notes. The definition is
moved from part 772 to a Technical
Note at the end of the Category 4 Notes
section.
3C006 Materials, Not Specified by
3C001, Consisting of a ‘‘Substrate’’
Specified in 3C005 With at Least One
Epitaxial Layer of Silicon Carbide,
Gallium Nitride, Aluminum Nitride or
Aluminum Gallium Nitride
The Heading is amended by adding
‘‘Materials, not specified by 3C001,
consisting of a’’ at the beginning of the
Heading in order to clarify the scope of
the control. The former language of
3C001, 3C005 and 3C006 has common
elements that have led to some
confusion around the control of silicon
carbide wafers.
3C992 Positive Resists Designed for
Semiconductor Lithography
The Heading of 3C992 is amended by
replacing the wavelength range from
‘‘370 and 245 nm’’ to ‘‘370 and 193
nm.’’ This is to harmonize this ECCN
with the amendment to ECCN
3C002.a.1.
3E001 ‘‘Technology’’
License Exception CIV eligibility
paragraph is corrected by removing the
eligibility for 3B001.c, because that
paragraph was removed and reserved on
September 20, 2016 (81 FR 64658).
Note 2 is amended by harmonizing
the scope of the paragraph to be
‘‘technology’’ for integrated circuits
controlled by 3A001.a.3 to a.14.
Note 3 is added to exclude from
3E001 ‘Process Design Kits’ (‘PDKs’)
unless they include libraries
implementing functions or technologies
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Category 4—Computers
4A003 ‘‘Digital Computers’’,
‘‘Electronic Assemblies’’, and Related
Equipment Therefor
The Adjusted Peak Performance (APP)
is raised from ‘‘exceeding 16 WT’’ to
‘‘exceeding 29 WT’’ in Item paragraph .b
and in accordance with this revision the
APP is raised to 29 in the AT control
text in the License Requirements table
and in two places in the Note to the
table. This change will not immediately
affect the annual number of license
application submissions to BIS because
this is keeping up with technological
advancement. However, absent
additional increases next year, BIS
estimates that this level would result in
an increase of 600 license applications
per year.
4A004
Computers
The double quotes are replaced with
single quotes around the terms ‘systolic
array computers,’ ‘neural computers’
and ‘optical computers,’ because these
terms are only used in this ECCN. The
definitions for these terms are moved
from part 772 to Technical Notes at the
end of the Items paragraph of 4A004.
4D001 ‘‘Software’’ & 4E001
‘‘Technology’’
The Adjusted Peak Performance (APP)
is raised from 16 Weighted TeraFLOPs
(WT) to 29 WT in License Exceptions
TSR and STA in accordance with the
new APP level in 4A003.b. The APP
control level is raised from ‘‘exceeding
8 WT’’ to ‘‘exceeding 15 WT’’ in Item
paragraph b.1. These revisions continue
to address the need to track incremental
(e.g., ‘‘Moore’s Law’’) improvements in
microprocessor technology. This change
will not affect the annual number of
license application submissions to BIS
because this is keeping up with
technological advancement.
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Technical Note on ‘‘Adjusted Peak
Performance’’ (‘‘APP’’)
In the Outline of ‘‘APP’’ calculation
method, the Note to paragraph 1, an
‘‘and/or’’ is replaced with ‘‘or,’’ which
does not change the meaning at all.
Category 5—Part 1—
‘‘Telecommunications’’
5A001 Telecommunications Systems,
Equipment, ‘‘Components’’ and
‘‘Accessories’’
In the NS Column 1 paragraph of the
License Requirements table, the order of
the referenced Item paragraphs is
corrected.
For telecommunications equipment
specially designed to withstand
transitory electronic effects or
electromagnetic pulse effects, the
temperature range parameters is
changed from ‘‘to operate outside the
temperature range from 218K (-55 °C) to
397 K (124 °C)’’ to ‘‘below 218K (-55°C)’’
in Item paragraph a.3 or ‘‘above 397 K
(124 °C)’’ in new Item paragraph a.4,
which does not change the scope of
control, but seeks to make the text easier
to understand. The Note to 5A001.a.3 is
modified to add 5A001.a.4, so that it
reads ‘‘5A001.a.3 and 5A001.a.4 apply
only to electronic equipment’’.
Double quotes are replaced by single
quotes around the term ‘electronically
steerable phased array antennae’ in Item
paragraph .d. The word ‘antennas’ is
replaced with ‘antennae’ in this
paragraph and in Note 1 to this
paragraph. The quotes are revised
because the term is only used in this
ECCN. The definition for the term is
moved from part 772 to a Technical
Note above Item paragraph .e. Because
of technology advances, phased array
antennae are increasingly being
developed for civil telecommunications
applications, including cellular, WLAN,
802.15, and wireless HDMI. Exclusion
Note 2 is added in order to remove from
control phased array antennae specially
designed for those purposes.
Category 5—Part 2—‘‘Information
Security’’
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5A002 ‘‘Information Security’’
Systems, Equipment and ‘‘Components’’
5A002 is amended to clarify controls
on products with dormant encryption.
These changes do not affect the scope of
items controlled. Items paragraph .a is
amended by replacing the phrase
‘‘where that cryptographic capability is
usable without ‘‘cryptographic
activation’’ or has been activated’’ with
the phrase ‘‘where that cryptographic
capability is usable, has been activated,
or can be activated by means of
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‘‘cryptographic activation’’ not
employing a secure mechanism’’. The
revision clarified that an item is
controlled if (1) the ‘cryptography for
data confidentially’ is usable from the
beginning regardless of ‘‘cryptographic
activation’’ (i.e., not dormant), (2) the
cryptographic capability was previously
dormant but is now usable (whether by
‘‘cryptographic activation’’ or by other
means; or (3) the ‘‘cryptographic
activation’’ mechanism is not secure
(i.e., the cryptographic capability is not
securely kept dormant).
Items paragraph .b is amended by
replacing ‘‘to enable’’ an item with ‘‘for
converting’’ an item and replacing ‘‘to
achieve or exceed the controlled
performance levels for functionality
specified by 5A002.a that would not
otherwise be enabled’’ with ‘‘not
specified by Category 5 —Part 2 into an
item specified by 5A002.a or 5D002.c.1,
and not released by the Cryptography
Note (Note 3 in Category 5—Part 2), or
for enabling, by means of
‘‘cryptographic activation’’, additional
functionality specified by 5A002.a of an
item already specified by Category 5—
Part 2’’. This clarifies that a
‘‘cryptographic activation’’ mechanism
is controlled by 5A002.b in two
situations: (1) It converts an item
classified outside of Category 5—Part 2
into a 5A002.a item (e.g., by activating
‘cryptography for data confidentiality’
capability in an item that was
previously limited to performing
‘‘authentication,’’ or by activating
encryption capability which disqualifies
a product from the Cryptography Note
exclusion (Note 3 in Category 5—Part
2)); or (2) it enables additional
functionality specified in 5A002.a in an
item that was already classified in
Category 5—Part 2 (e.g., making
additional encryption algorithms usable
by the item, or that would change the
item from being eligible or described
under § 740.17(b)(1) into an item
described under § 740.17(b)(2) or (3)).
5D002 ‘‘Software’’ and 5E002
‘‘Technology’’
Item paragraph .b of ECCNs 5D002
and 5E002 is amended by replacing
‘‘enable’’ with ‘‘for converting’’ and
replacing ‘‘to meet the criteria for
functionality specified by 5A002.a, that
would not otherwise be met’’ with ‘‘not
specified by Category 5—Part 2 into an
item specified by 5A002.a or 5D002.c.1,
and not released by the Cryptography
Note (Note 3 in Category 5—Part 2), or
for enabling, by means of
‘‘cryptographic activation’’, additional
functionality specified by 5A002.a of an
item already specified by Category 5—
Part 2’’. These revisions are made to
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create mirroring entries consistent with
the changes being made to 5A002.b.
Category 6—Sensors and Lasers
6A002 Optical Sensors and
Equipment, and ‘‘Components’’
Item paragraph .f is added to establish
a control for Read-Out Integrated
Circuits (ROICs) to ensure that certain
ROICs not controlled on the Munitions
List, but that provide night vision
capability, are controlled. In order to
maintain consistent paragraph
placement with the WA List this rule
adds and reserves Items paragraph .e, so
that ROICs can be added to Item
paragraph .f. For consistency, Items
paragraph .f is added to the Regional
Stability controls (RS Column 1) in the
License Requirements section, because
6A990, where ROICs were formerly
controlled, was controlled for RS
Column 1.
6A003 Cameras, Systems or
Equipment, and ‘‘Components’’
Therefor
Item paragraphs a.1 (high-speed
cinema recording cameras) and a.2
(mechanical high speed cameras) are
removed and reserved because of the
advancement of technology. Item
paragraph a.3.a (mechanical streak
cameras) is also removed because of the
advancement of technology. As a result
of this change, electronic streak cameras
are moved from Item paragraph a.3.b to
a.3. BIS anticipates that there will be a
negligible impact on the annual number
of license applications submitted to BIS
as a result of these removals and
revisions.
6A004 Optical Equipment and
‘‘Components’’
The double quotes are replaced with
single quotes around the term
‘deformable mirrors’ in Item paragraph
a.1 because the term is only used in this
ECCN. The definition for ‘deformable
mirrors’ is moved from part 772 to the
Technical Note below Item paragraph
a.1.b.2. At the end of Item paragraph e.3
the period is changed to a semicolon,
because a new Item paragraph is added.
Dynamic wavefront measuring
equipment is added to Item paragraph .f,
with parameters in subparagraphs and a
Technical Note at the end to define
‘‘frame rate’’. The purpose of wavefront
sensing is to measure the level of the
wavefront aberration as it is transferred
through an optical system, regardless if
the source of that aberration is the
optical system itself or something
external to that system. Wavefront
sensors are principally used as one of
the main components of adaptive optics
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systems where they serve to close the
control loop and feed the information
about the required correction to
deformable mirrors and beam steering
mirrors in real-time, which are also
controlled in this ECCN.
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6A005 ‘‘Lasers’’, ‘‘Components’’ and
Optical Equipment
An editorial amendment is made to
Note 1, below Item paragraph a.6.b.2, by
replacing ‘‘and/or’’ with ‘‘or’’, which
does not change the scope of the Note.
The double quotes are replaced with
single quotes around the term ‘transfer
lasers’ in Item paragraph d.5.c. The
definition for ‘transfer lasers’ is moved
from part 772 to the Technical Note
below Item paragraph d.5.c.2, because
this term is only found in this ECCN.
Item paragraph f.1 (dynamic
wavefront (phase) measuring
equipment) is removed and reserved,
because this item is moved to ECCN
6A004.f, because of its close association
to the mirrors controlled in 6A004. A
Nota Bene is added to point to the new
Item paragraph where this item is
controlled.
Item paragraph f.2 (‘‘Laser’’ diagnostic
equipment) is amended by replacing
‘‘capable of measuring’’ with ‘‘specially
designed for dynamic measurement of’’
and replacing ‘‘equal to or less than’’
with ‘‘and having an angular ‘‘accuracy’’
of’’ to refine the scope of the entry. The
phrase ‘‘(microradians) or less (better)’’
is added after ‘‘10 mrad’’ to clarify the
unit. BIS does not anticipate and change
to the annual number of license
application submissions as a result of
these changes.
Item paragraph f.3 (Optical equipment
and components) is amended by moving
the phrase ‘‘coherent beam
combination’’ for better readability. The
‘‘accuracy’’ parameter is cascaded down
to Item paragraph f.3.b and a new
‘‘accuracy’’ parameter is added to f.3.a,
so that the equipment is controlled if it
meets either of the ‘‘accuracy’’
parameters.
6A008 Radar Systems, Equipment and
Assemblies
Item paragraph a.1 is amended by
removing the double quotes around the
term ‘‘average output power’’ in order to
be consistent with the WA List.
Item paragraph .e is amended by
replacing ‘‘steerable array antennas’’
with ‘‘scanned array antennae’’ as well
as adding a Technical Note to make
people aware that electronically
scanned array antennae are also known
as electronically steerable array
antennae. This revision uses more
current, and standard, language to
describe E-scan radar.
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Double quotes are replaced by single
quotes around the term ‘automatic target
tracking’ in Item paragraph l.1 and the
definition is moved from part 772 to a
Technical Note under the Note to
6A008.l.1, because this term only
appears in this ECCN.
Double quotes are replaced by single
quotes around ‘geographically
dispersed’ in Item paragraph l.4 and the
definition is moved from part 772 to the
Technical Note below Item paragraph
l.4, because this term only appears in
this ECCN.
6A203 High-Speed Cameras, Imaging
Devices and ‘‘Components’’ Therefor
The Related Controls paragraph is
revised to remove a reference to ECCN
6A003.a.2, which is removed and
reserved by this rule.
6A990 Read-Out Integrated Circuits
and 6E990 Technology for ROICs
ECCNs 6A990 and 6E990 are removed
because this rule adds ROICs to ECCN
6A002.f.
6D003 Other ‘‘Software’’
ECCN 6D003 is amended by removing
the unnecessary word ‘‘and’’ in Item
paragraph h.2 and replacing ‘‘steerable
phased array antennae’’ with ‘‘scanned
array antennae’’ in Item paragraph h.2.a
in order to use a more standard term.
Item paragraph h.2.a is also amended by
replacing ‘‘controlled’’ with ‘‘specified’’
in order to be more precise, because an
item may or may not be controlled
depending on the reasons for control
and destination of the export.
6D991, 6E001 and 6E002
Each of these ECCNs are amended to
remove references to 6A990 or 6E990,
because this rule adds ROICs to ECCN
6A002.f. For consistency, the License
Requirements sections of 6E001 and
6E002 are amended to add a reference
to 6A002.f to the Regional Stability
Column 1 controls, because this
technology was controlled for Regional
Stability Column 1 under ECCN 6E990,
where it was formerly controlled.
6E201 ‘‘Technology’’ According to the
General Technology Note for the ‘‘USE’’
of Equipment
The Heading of ECCN 6E201 is
revised to remove reference to
6A003.a.2, which is removed and
reserved by this rule.
Category 7—Navigation and Avionics
7A006 Airborne Altimeters
Double quotes are replaced by single
quotes around the term ‘power
management’ and the definition for the
term is moved from part 772 to a
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53747
Technical Note below Item paragraph .a
because the term is only used in this
ECCN.
7E004
Other ‘‘Technology’’
Double quotes are replaced by single
quotes around the term ‘primary flight
control’ in Item paragraph a.5 and the
definition for the term is moved from
part 772 to a Technical Note below Item
paragraph .a.5 because the term is only
used in this ECCN.
Double quotes are replaced by single
quotes around the term ‘flight control
optical sensor array’ in Item paragraph
a.6 and the definition for the term is
moved from part 772 to a Technical
Note below Item paragraph a.6 because
the term is only used in the ECCN.
Double quotes are replaced by single
quotes around the term ‘flight path
optimization’ in paragraph 1. of the
Note to 7E004.b.5 and the definition is
moved from part 772 to a Technical
Note below the Note to 7E004.b.5
because the term is only used in this
ECCN.
Double quotes are replaced by single
quotes around the term ‘variable
geometry airfoils’ in Item paragraph c.3
and the definition for the term is moved
from part 772 to a Technical Note below
Item paragraph c.3 because the term
only appears in this ECCN.
Category 9—Aerospace and Propulsion
9A002 ‘‘Marine Gas Turbine Engines’’
The Heading is amended by revising
and moving the parameter ‘‘with an ISO
standard continuous power rating of
24,245 kW or more and a specific fuel
consumption not exceeding 0.219 kg/
kWh in the power range from 35 to
100%’’ to the Items paragraph and
adding ‘‘designed to use liquid fuel and
having all of the following (see List of
Items Controlled),’’ to the Heading. The
definition for ‘marine gas turbine
engines’ is moved from the Related
Definition paragraph of the ECCN to a
Note below Item paragraph .b in order
to be more consistent with the WA list.
Two parameters are added for this
ECCN: Maximum continuous power and
‘corrected specific fuel consumption’.
The definition for ‘corrected specific
fuel consumption’ is added to a
Technical Note below the Note that is
below Item paragraph .b. This change
removes the ambiguity in this ECCN by
removing the reference to power range.
These revisions therefore do not change
the scope of the existing control text,
but rather clarify it by making it clear
that the specific fuel consumption of
concern applies at the ‘‘turndown
performance’’ of 35%.
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9A004 Space Launch Vehicles and
‘‘Spacecraft’’, ‘‘Spacecraft Buses’’,
‘‘Spacecraft Payloads’’, ‘‘Spacecraft’’
On-board Systems or Equipment, and
Terrestrial Equipment
The scope of Item paragraph f.1
(Telemetry and telecommand
equipment) is clarified by adding
‘‘specially designed’’ and two specific
end uses in order to eliminate data
processing equipment for mission data,
such as GPS, science data,
communication and broadcasting, since
this data is not meant to be controlled
under 9A004.f.1. The scope of Item
paragraph f.2 (Simulators) is narrowed
by adding ‘‘specially designed for
‘verification of operational procedures’
of ‘‘spacecraft’’. A Technical Note is
added below Item paragraph f.2 to
define ‘verification of operational
procedures.’ These clarifications will
not result in a change to the number of
annual license application submissions
to BIS.
9D001 and 9D002 ‘‘Software’’
The Heading of 9D001 and 9D002 are
amended by adding ‘‘not specified in
9D003 or 9D004’’ to clarify the scope of
these entries and eliminate any possible
overlap of control.
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9D004 Other ‘‘Software’’
Item paragraph .b (‘‘Software’’ for
testing aero gas turbine engines,
assemblies, ‘‘parts’’ or ‘‘components’’) is
amended by removing the parameter
and cascading subparagraphs with
specific features or functions, such as
‘‘specially designed’’ for testing aero gas
turbine engines . . . , to clarify and
focus (narrow) the scope of control. A
Note is added above Item paragraph .c
to exclude software for operation of the
test facility or operator safety, or
production, repair or maintenance
acceptance-testing . . .’’ It is estimated
that these changes will not affect the
annual number of license application
submissions to BIS.
9E003 Other ‘‘Technology’’
In Technical Note 2 below Item
paragraph a.2.d and in the Technical
Note below Item paragraph a.5, the
single quotes are replaced with double
quotes around the term ‘‘steady state
mode’’ because this term is also used in
another ECCN 9A002.a. The definition
for ‘‘steady state mode’’ is moved from
the Technical Note 2 below a.5 to part
772 ‘‘Definitions and Terms’’.
Technical Note 4 below the Note to
9E003.c is amended by removing
‘‘techniques’’ and moving ‘‘methods’’
from the end of the Technical Note 4 to
the top of Technical Note 4. Also
revising the phrase ‘‘include ‘‘laser’’,
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water jet . . .’’ to read ‘‘ ‘‘include
‘‘laser’’ beam machining, water jet
machining . . .’’ to be consistent with
the other types of machining specified
in Technical Note 4.
Part 772—Definitions of Terms as Used
in the Export Administration
Regulations (EAR)
This rule removes 37 definitions from
§ 772.1 and adds them to the ECCNs
where they are used. According to the
WA drafting guidelines, if a term is only
used in a single ECCN, then the
definition must be located in a
Technical Note close to where that term
is used. However, if the term is
separated by many subparagraphs, then
the definition may be located in the
Definitions section of the WA List. The
following 37 definitions are removed
from part 772, because they are only
used within a single ECCN: Automatic
target tracking, carbon fiber preforms,
commingled, comminution, compound
rotary table, deformable mirrors, direct
acting hydraulic pressing, effective
gram, electronically steerable phased
array antenna, flight control optical
sensor array, flight path optimization,
frequency mask trigger, frequency
synthesizer, gas atomization,
geographically dispersed, hot isostatic
densification, linearity, main storage,
mechanical alloying, melt extraction,
melt spinning, neural computers,
optical computer, plasma atomization,
power management, previously
separated, primary flight control, realtime bandwidth, resolution, rotary
atomization, settling time, splat
quenching, systolic array computer,
transfer laser, vacuum atomization and
variable geometry airfoils. The following
definitions are revised for reasons stated
either in the Federal Register
instruction or under an ECCN where the
term is used: Compensation systems,
cryptographic activation, and useraccessible programmability. Two terms
used in ECCNs 3A001 and 3A002
related to Analog-to-Digital Converters
(ADC) are added to § 772.1. The term
‘‘sample rate’’, which is used in both
ECCN 3A001 and 3A002, is added to
§ 772.1. The definition ‘‘steady state
mode’’ is moved from Technical Note 2
to 9E003.a.5 to § 772.1 because it is now
also used in a new parameter for
‘marine gas turbine engines’ in ECCN
9A002, as well as in Technical Notes in
9E003.a.2.d and 9E003.a.5. The Category
5—Part 2 definition ‘‘cryptographic
activation’’ is amended by adding the
word ‘‘specifically’’ before ‘‘activates or
enables’’, and taking the word ‘‘secure’’
out of the definition, to fit with the
changes being made in the control list
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entries that refer to this definition
(ECCNs 5A002.b, 5D002.b and 5E002.b).
Supplement No. 6 to Part 774—
Sensitive List
Paragraph (1)(i), ECCN 1A002, is
amended by narrowing the scope from
all of ECCN 1A002 to only subparagraph
a.1 ‘‘ ‘‘Composite’’ structures or
laminates made from an organic
‘‘matrix’’ and ‘‘fibrous or filamentary
materials’’ specified by 1C010.c or
1C010.d’’, because the rest of the items
in ECCN 1A002 do not warrant control
on the Sensitive List as they are not key
technologies. This revision will
minimally affect the annual number of
Wassenaar reports to BIS.
Paragraph (2)(i)—ECCN 2D001, (ii)—
ECCN 2E001, and (iii)—ECCN 2E002 are
simplified and restructured for easier
understanding and compliance. The
revisions also focus the Sensitive List
entries for software and technology for
machine tools having a unidirectional
repeatability at 0.9 microns. For
machine tools having no variations
specified at 0.9 microns, there is no
change to the thresholds.
Supplement No. 7 to Part 774—Very
Sensitive List
Paragraph (1)(i), ECCN 1A002, is
amended by narrowing the scope from
subparagraph .a to subparagraph a.1
(‘‘Composite’’ structures or laminates
made from an organic ‘‘matrix’’ and
‘‘fibrous or filamentary materials’’
specified by 1C010.c or 1C0010.d),
because the rest of the items in ECCN
1A002.a do not warrant control on the
Sensitive List as they are not key
technologies. It is estimated that this
will minimally affect the annual number
of Wassenaar reports to BIS.
Paragraphs (3)(iv), ECCN 6A001.a.2.c,
and (3)(vi), ECCN 6A002.a.2.f, are
amended by replacing the phase ‘‘user
accessible programmability’’ with ‘‘useraccessible programmability’’ to add a
hyphen for correctness.
Section 740.16 Additional Permissive
Reexports (APR)
License Exception APR is amended to
remove a reference to ECCN 6A990 in
paragraphs (a)(2) and (b)(2)(v), because
ECCN 6A990 is removed from the CCL
by this rule. ROICs are now specified in
6A002.f.
Section 740.17 Encryption
Commodities, Software and Technology
(ENC)
License Exception ENC is corrected to
replace a reference to 5D002.d with a
reference to 5D002.b in the Note to
paragraph (b)(2) and in paragraph
(b)(3)(iv).
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Federal Register / Vol. 83, No. 206 / Wednesday, October 24, 2018 / Rules and Regulations
Section 740.20 License Exception
Strategic Trade Authorization (STA)
License Exception STA is amended to
remove reference to ECCNs 6A990 and
6E990 from paragraph (b)(2)(x), because
these ECCNs are removed from the CCL.
ROICs are now specified in 6A002.f and
ROIC technology is specified in ECCNs
6E001 and 6E002.
Section 742.6 Regional Stability
Paragraph (b)(1)(ii) is amended by
removing reference to ECCN 6E990,
because this ECCN is removed by this
rule. ROIC technology is now controlled
under ECCNs 6E001 and 6E002.
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Section 744.9 Restrictions on Exports,
Reexports, and Transfers (In-Country)
of Certain Cameras, Systems, or Related
Components
Section 744.9 is amended by
removing reference to ECCN 6A990
from paragraphs (a) and (b), because this
ECCN is removed from the CCL. ROICs
are now controlled under ECCN
6A002.f.
Export Control Reform Act of 2018
On August 13, 2018, the President
signed into law the John S. McCain
National Defense Authorization Act for
Fiscal Year 2019, which included the
Export Control Reform Act of 2018
(ECRA) (Title XVII, Subtitle B of Pub. L.
115–232) that provides the legal basis
for BIS’s principal authorities and
serves as the authority under which BIS
issues this rule. As set forth in Section
1768 of ECRA, all delegations, rules,
regulations, orders, determinations,
licenses, or other forms of
administrative action that have been
made, issued, conducted, or allowed to
become effective under the Export
Administration Act of 1979 (50 U.S.C.
4601 et seq.) (as in effect prior to August
13, 2018 and as continued in effect
pursuant to the International Emergency
Economic Powers Act (50 U.S.C. 1701 et
seq.) and Executive Order 13222 of
August 17, 2001, 3 CFR, 2001 Comp., p.
783 (2002), as amended by Executive
Order 13637 of March 8, 2013, 78 FR
16129 (March 13, 2013), and as
extended by the Notice of August 8,
2018, 83 FR 39871 (August 13, 2018)),
or the Export Administration
Regulations, and are in effect as of
August 13, 2018, shall continue in effect
according to their terms until modified,
superseded, set aside, or revoked under
the authority of ECRA.
Saving Clause
Shipments of items removed from
license exception eligibility or eligibility
for export, reexport or transfer (incountry) without a license as a result of
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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 October
24, 2018, pursuant to actual orders for
exports, reexports and transfers (incountry) to a foreign destination, may
proceed to that destination under the
previous license exception eligibility or
without a license so long as they have
been exported, reexported or transferred
(in-country) before December 24, 2018.
Any such items not actually exported,
reexported or transferred (in-country)
before midnight, on December 24, 2018,
require a license in accordance with this
final rule.
Executive Order Requirements
Executive Orders 13563 and 12866
direct agencies to assess all costs and
benefits of available regulatory
alternatives and, if regulation is
necessary, to select regulatory
approaches that maximize net benefits
(including potential economic,
environmental, public health and safety
effects, distributive impacts, and
equity). Executive Order 13563
emphasizes the importance of
quantifying both costs and benefits, of
reducing costs, of harmonizing rules,
and of promoting flexibility.
This rule has been designated a
‘‘significant regulatory action’’ under
Executive Order 12866. The Wassenaar
Arrangement (WA) has been established
in order to contribute to regional and
international security and stability, by
promoting transparency and greater
responsibility in transfers of
conventional arms and dual-use goods
and technologies, thus preventing
destabilizing accumulations. The aim is
also to prevent the acquisition of these
items by terrorists. There are presently
42 Participating States, including the
United States, that seek through their
national policies to ensure that transfers
of these items do not contribute to the
development or enhancement of
military capabilities that undermine
these goals, and to ensure that these
items are not diverted to support such
military capabilities that undermine
these goals. Implementation of the WA
agreements in a timely manner
enhances the national security of the
United States and global international
trade.
This rule does not contain policies
with Federalism implications as that
term is defined under Executive Order
13132.
This rule is not subject to the
requirements of E.O. 13771 (82 FR 9339,
February 3, 2017) because it is issued
with respect to a national security
function of the United States.
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Paperwork Reduction Act
Requirements
Notwithstanding any other provision
of law, no person is required to respond
to, nor shall any person be subject to a
penalty for failure to comply with a
collection of information subject to the
requirements of the Paperwork
Reduction Act of 1995 (44 U.S.C. 3501
et seq.) (PRA), unless that collection of
information displays a currently valid
Office of Management and Budget
(OMB) Control Number.
This rule involves the following OMB
approved collections of information
subject to the PRA: 0694–0088, ‘‘MultiPurpose Application’’, and carries a
burden hour estimate of 29.6 minutes
for a manual or electronic submission;
0694–0106, ‘‘Reporting and
Recordkeeping Requirements under the
Wassenaar Arrangement’’, which carries
a burden hour estimate of 21 minutes
for a manual or electronic submission;
0694–0137 ‘‘License Exceptions and
Exclusions’’, which carries a burden
hour estimate average of 1.5 hours per
submission (Note: submissions for
License Exceptions are rarely required);
0694–0096 ‘‘Five Year Records
Retention Period’’, which carries a
burden hour estimate of less than 1
minute; and 0607–0152 ‘‘Automated
Export System (AES) Program, which
carries a burden hour estimate of 3
minutes per electronic submission.
Specific license application submission
estimates are discussed further in the
preamble of this rule where the revision
is explained. BIS estimates that
revisions that are editorial, moving the
location of control text on the
Commerce Control List, or clarifications
will result in no change in license
application submissions.
Any comments regarding these
collections of information, including
suggestions for reducing the burden,
may be sent to OMB Desk Officer, New
Executive Office Building, Washington,
DC 20503; and to Jasmeet K. Seehra,
Office of Management and Budget
(OMB), by email to Jasmeet_K._Seehra@
omb.eop.gov, or by fax to (202) 395–
7285.
Administrative Procedure Act and
Regulatory Flexibility Act
Requirements
The provisions of the Administrative
Procedure Act (5 U.S.C. 553) requiring
notice of proposed rulemaking, the
opportunity for public participation,
and a delay in effective date, are
inapplicable because this action
involves a military and foreign affairs
function of the United States (5 U.S.C.
553(a)(1)). Immediate implementation of
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these amendments fulfills the United
States’ international commitments to the
WA. The WA is committed to
contributing to regional and
international security and stability by
promoting responsibility and
transparency in the global arms trade,
and preventing destabilizing
accumulations of arms. As a
Participating State, the United States is
charged with implementing the agreed
list changes as soon as possible after
approval. Because the United States is a
significant exporter of the list items
discussed in this rule, implementation
of this provision is necessary for the WA
to achieve its purpose, and will enhance
the national security of the United
States and global international trade.
Although the APA requirements in
section 553 are not applicable to this
action under the provisions of
paragraph (a)(1), this action also falls
within two other exceptions in the
section. The subsection (b) requirement
that agencies publish a notice of
proposed rulemaking that includes
information on the public proceedings
does not apply when an agency for good
cause finds that the notice and public
procedures are impracticable,
unnecessary, or contrary to the public
interest, and the agency incorporates the
finding (and reasons therefor) in the rule
that is issued (5 U.S.C. 553(b)(B)). In
addition, the section 553(d) requirement
that publication of a rule shall be made
not less than 30 days before its effective
date can be waived if an agency finds
there is good cause to do so.
The section 553 requirements for
notice and public procedures and for a
delay in the date of effectiveness do not
apply to this rule, as there is good cause
to waive such practices. Delay in
implementation would disrupt the
movement of these potential nationalsecurity controlled items globally,
creating disharmony between export
control measures implemented by the
42 WA Participating States. Export
controls work best when all countries
implement the same export controls in
a timely manner. Delaying this
rulemaking would prevent the United
States from fulfilling its commitment to
the WA in a timely manner, would
injure the credibility of the United
States in this and other multilateral
regimes, and may impair the
international community’s ability to
effectively control the export of national
security controlled items. Therefore,
this regulation is issued in final form,
and is effective October 24, 2018.
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
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notice of proposed rulemaking and an
opportunity for public comment are not
required to be given for this rule under
the Administrative Procedure Act or by
any other law, the analytical
requirements of the Regulatory
Flexibility Act (5 U.S.C. 601 et seq.) are
not applicable. Accordingly, no
regulatory flexibility analysis is required
and none has been prepared.
§ 740.17
[Amended]
3. Section 740.17 is amended by
removing the reference to ‘‘5D002.d’’
and adding in its place ‘‘5D002.b’’ in the
Note to paragraph (b)(2) and in
paragraph (b)(3)(iv).
■ 4. Section 740.20 is amended by
revising paragraph (b)(2)(x) to read as
follows:
■
List of Subjects
§ 740.20 License Exception Strategic
Trade Authorization (STA).
15 CFR Part 740
*
Administrative practice and
procedure, Exports, Reporting and
recordkeeping requirements.
15 CFR Part 742
Exports, Terrorism.
15 CFR Part 744
Exports, Reporting and recordkeeping
requirements, Terrorism.
15 CFR Part 772
Exports.
15 CFR Part 774
Exports, Reporting and recordkeeping
requirements.
Accordingly, parts 740, 742, 744, 772,
and 774 of the Export Administration
Regulations (15 CFR parts 730 through
774) are amended as follows:
PART 740—[AMENDED]
1. The authority citation for part 740
is revised to read as follows:
■
Authority: Pub. L. 115–232, Title XVII,
Subtitle B. 50 U.S.C. 4601 et seq.; 50 U.S.C.
1701 et seq.; 22 U.S.C. 7201 et seq.; E.O.
13026, 61 FR 58767, 3 CFR, 1996 Comp., p.
228; E.O. 13222, 66 FR 44025, 3 CFR, 2001
Comp., p. 783; Notice of August 8, 2018, 83
FR 39871 (August 13, 2018).
2. Section 740.16 is amended by
revising paragraphs (a)(2) and (b)(2)(v)
to read as follows:
■
§ 740.16
(APR).
Additional permissive reexports
*
*
*
*
*
(a) * * *
(2) The commodities being reexported
are not controlled for NP, CB, MT, SI or
CC reasons or described in ECCN
0A919, 3A001.b.2 or b.3 (except those
that are being reexported for use in civil
telecommunications applications),
6A002, or 6A003; and
*
*
*
*
*
(b) * * *
(2) * * *
(v) Commodities described in ECCN
6A002.
*
*
*
*
*
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*
*
*
*
(b) * * *
(2) * * *
(x) License Exception STA may not be
used for items controlled by ECCN
6A002; 6D002 (software ‘‘specially
designed’’ for the ‘‘use’’ of commodities
controlled under 6A002.b); 6D003.c;
6D991 (software ‘‘specially designed’’
for the ‘‘development,’’ ‘‘production,’’ or
‘‘use’’ of commodities controlled under
6A002 or 6A003); 6E001 (‘‘technology’’
for the ‘‘development’’ of commodities
controlled under ECCN 6A002 or
6A003); or 6E002 ‘‘technology’’ (for the
‘‘production’’ of commodities controlled
under ECCN 6A002 or 6A003).
*
*
*
*
*
PART 742—[AMENDED]
5. The authority citation for part 742
is revised to read as follows:
■
Authority: Pub. L. 115–232, Title XVII,
Subtitle B. 50 U.S.C. 4601 et seq.; 50 U.S.C.
1701 et seq.; 22 U.S.C. 3201 et seq.; 42 U.S.C.
2139a; 22 U.S.C. 7201 et seq.; 22 U.S.C. 7210;
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, 68
FR 26459, 3 CFR, 2004 Comp., p. 320; Notice
of November 6, 2017, 82 FR 51971
(November 8, 2017); Notice of August 8,
2018, 83 FR 39871 (August 13, 2018).
6. Section 742.6 is amended by
revising paragraph (b)(1)(ii) to read as
follows:
■
§ 742.6
Regional stability.
*
*
*
*
*
(b) * * *
(1) * * *
(ii) Applications for exports and
reexports to a country listed in Country
Group D:5 (in supplement no. 1 to part
740 of the EAR) of technology
controlled under 6E001 for the
development of focal plane arrays, readout integrated circuits (ROICs) or image
intensifier tubes described in 6A002 or
technology controlled under 6E002 for
the production of focal plane arrays,
read-out integrated circuits (ROICs) or
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image intensifier tubes described in
6A002 will be reviewed with a
presumption of denial.
*
*
*
*
*
PART 744—[AMENDED]
7. The authority citation for part 744
is revised to read as follows:
■
Authority: Pub. L. 115–232, Title XVII,
Subtitle B. 50 U.S.C. 4601 et seq.; 50 U.S.C.
1701 et seq.; 22 U.S.C. 3201 et seq.; 42 U.S.C.
2139a; 22 U.S.C. 7201 et seq.; 22 U.S.C. 7210;
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. 12947, 60 FR
5079, 3 CFR, 1995 Comp., p. 356; E.O. 13026,
61 FR 58767, 3 CFR, 1996 Comp., p. 228; E.O.
13099, 63 FR 45167, 3 CFR, 1998 Comp., p.
208; E.O. 13222, 66 FR 44025, 3 CFR, 2001
Comp., p. 783; E.O. 13224, 66 FR 49079, 3
CFR, 2001 Comp., p. 786; Notice of
September 18, 2017, 82 FR 43825 (September
19, 2017); Notice of November 6, 2017, 82 FR
51971 (November 8, 2017); Notice of January
17, 2018, 83 FR 2731 (January 18, 2018);
Notice of August 8, 2018, 83 FR 39871
(August 13, 2018).
§ 744.9
[Amended]
8. Section 744.9 is amended by
removing the reference ‘‘6A990,’’ from
paragraphs (a)(1) introductory text and
(b).
■
PART 772—[AMENDED]
9. The authority citation for part 772
is revised to read as follows:
■
Authority: Pub. L. 115–232, Title XVII,
Subtitle B. 50 U.S.C. 4601 et seq.; 50 U.S.C.
1701 et seq.; E.O. 13222, 66 FR 44025, 3 CFR,
2001 Comp., p. 783; Notice of August 8,
2018, 83 FR 39871 (August 13, 2018).
10. Section 772.1 is amended by:
a. Removing definitions for
‘‘Automatic target tracking’’, ‘‘Carbon
fiber preforms’’, ‘‘Commingled’’, and
‘‘Comminution’’;
■ b. Revising the definition for
‘‘Compensation systems’’;
■ c. Removing the definition for
‘‘Compound rotary table’’;
■ d. Revising the definition for
‘‘Cryptographic activation’’;
■ e. Removing the definitions for
‘‘Deformable mirrors’’, ‘‘Direct-acting
hydraulic pressing’’, ‘‘Effective Gram’’,
‘‘Electronically steerable phased array
antenna’’, ‘‘Flight control optical sensor
array’’, ‘‘Flight path optimization’’,
‘‘Frequency mask trigger’’, ‘‘Frequency
synthesizer’’, ‘‘Gas Atomization’’,
‘‘Geographically dispersed’’, and ‘‘Hot
isostatic densification’’;
■ f. Adding the definition for
‘‘Interleaved Analog-to-Digital Converter
(ADC)’’ in alphabetical order;
■ g. Removing the definitions for
‘‘Linearity’’, ‘‘Main storage’’,
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■
■
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‘‘Mechanical alloying’’, ‘‘Melt
Extraction’’, and ‘‘Melt Spinning’’;
■ h. Adding the definition for ‘‘Multiple
channel Analog-to-Digital Converter
(ADC)’’ in alphabetical order;
■ i. Removing the definitions for
‘‘Neural computer’’, ‘‘Optical
computer’’, ‘‘Plasma atomization’’,
‘‘Power management’’, ‘‘Previously
separated’’, ‘‘Primary flight control’’,
‘‘Real-time bandwidth’’, ‘‘Resolution’’,
and ‘‘Rotary Atomization’’;
■ j. Adding the definition for ‘‘Sample
rate’’ in alphabetical order;
■ k. Removing the definitions for
‘‘Settling time’’ and ‘‘Splat Quenching’’;
■ l. Adding the definition for ‘‘Steady
state mode’’ in alphabetical order;
■ m. Removing the definitions for
‘‘Systolic array computer’’ and
‘‘Transfer laser’’;
■ n. In the definition for ‘‘Useraccessible programmability’’, removing
‘‘Cat 4, 5, and 6’’ and adding in its place
‘‘Cat 6’’; and
■ o. Removing the definitions for
‘‘Vacuum Atomization’’ and ‘‘Variable
geometry airfoils’’.
The revisions and additions read as
follows:
§ 772.1 Definitions of terms as used in the
Export Administration Regulations (EAR).
*
*
*
*
*
Compensation systems. (Cat 6)
Consist of the primary scalar sensor, one
or more reference sensors (e.g., vector
‘‘magnetometers’’) together with
software that permit reduction of rigid
body rotation noise of the platform.
*
*
*
*
*
Cryptographic activation. (Cat 5P2)
Any technique that specifically activates
or enables cryptographic capability of
an item, by means of a mechanism
implemented by the manufacturer of the
item, where this mechanism is uniquely
bound to any of the following:
(1) A single instance of the item; or
(2) One customer, for multiple
instances of the item.
Technical note 1 to definition of
‘‘Cryptographic activation’’: ‘‘Cryptographic
activation’’ techniques and mechanisms may
be implemented as hardware, ‘‘software’’ or
‘‘technology’’.
Technical note 2 to definition of
‘‘Cryptographic activation’’: Mechanisms for
‘‘cryptographic activation’’ can, for example,
be serial number-based license keys or
authentication instruments such as digitally
signed certificates.
*
*
*
*
Interleaved Analog-to-Digital
Converter (ADC). (Cat 3) Devices that
have multiple ADC units that sample
the same analog input at different times
such that when the outputs are
aggregated, the analog input has been
effectively sampled and converted at a
higher sampling rate.
*
*
*
*
*
Multiple channel Analog-to-Digital
Converter (ADC). (Cat 3) Devices that
integrate more than one ADC, designed
so that each ADC has a separate analog
input.
*
*
*
*
*
Sample rate. (Cat 3) For an Analog-toDigital Converter (ADC) the maximum
number of samples that are measured at
the analog input over a period of one
second, except for oversampling ADCs.
For oversampling ADCs the ‘‘sample
rate’’ is taken to be its output word rate.
‘‘Sample rate’’ may also be referred to as
sampling rate, usually specified in Mega
Samples Per Second (MSPS) or Giga
Samples Per Second (GSPS), or
conversion rate, usually specified in
Hertz (Hz).
*
*
*
*
*
Steady state mode. (Cat 9) The term
‘‘steady state mode’’ defines engine
operation conditions, where the engine
parameters, such as thrust/power, rpm
and others, have no appreciable
fluctuations, when the ambient air
temperature and pressure at the engine
inlet are constant.
*
*
*
*
*
PART 774—[AMENDED]
11. The authority citation for part 774
is revised to read as follows:
■
Authority: Pub. L. 115–232, Title XVII,
Subtitle B. 50 U.S.C. 4601 et seq.; 50 U.S.C.
1701 et seq.; 10 U.S.C. 7420; 10 U.S.C.
7430(e); 22 U.S.C. 287c, 22 U.S.C. 3201 et
seq.; 22 U.S.C. 6004; 42 U.S.C. 2139a; 15
U.S.C. 1824a; 50 U.S.C. 4305; 22 U.S.C. 7201
et seq.; 22 U.S.C. 7210; E.O. 13026, 61 FR
58767, 3 CFR, 1996 Comp., p. 228; E.O.
13222, 66 FR 44025, 3 CFR, 2001 Comp., p.
783; Notice of August 8, 2018, 83 FR 39871
(August 13, 2018).
12. In supplement no. 1 to part 774,
Category 0, ECCN 0A617 is revised to
read as follows:
■
Supplement No. 1 to Part 774—The
Commerce Control List
*
Frm 00011
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*
*
*
*
0A617 Miscellaneous ‘‘Equipment’’,
Materials, and Related Commodities
(see List of Items Controlled).
License Requirements
Reason for Control: NS, RS, AT, UN
*
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Control(s)
NS applies to entire
entry, except
0A617.y.
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(see Supp. No. 1
to part 738)
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Control(s)
RS applies to entire
entry, except
0A617.y.
AT applies to entire
entry.
UN applies to entire
entry, except
0A617.y.
Country chart
(see Supp. No. 1
to part 738)
RS Column 1.
AT Column 1.
See § 764.1(b) of the
EAR for UN controls.
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
LVS: $1,500
GBS: N/A
CIV: N/A
Special Conditions for STA
STA: Paragraph (c)(2) of License Exception
STA (§ 740.20(c)(2) of the EAR) may not be
used for any item in 0A617.
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List of Items Controlled
Related Controls: (1) Defense articles, such as
materials made from classified
information, that are controlled by USML
Category XIII, and technical data
(including software) directly related
thereto, are subject to the ITAR. (2) See
ECCN 0A919 for foreign-made ‘‘military
commodities’’ that incorporate more than a
de minimis amount of U.S.-origin ‘‘600
series’’ controlled content. (3) For controls
on self-contained diving and underwater
swimming apparatus and related
commodities, see ECCN 8A620.f. (4) For
controls on robots, robot controllers, and
robot end-effectors, see USML Category VII
and ECCNs 0A606 and 2B007. (5)
‘‘Libraries’’, i.e., parametric technical
databases, ‘‘specially designed’’ for
military use with equipment controlled by
the USML or a ‘‘600 series’’ ECCN are
controlled by the technical data and
technology controls pertaining to such
items. (6) For controls on nuclear power
generating equipment or propulsion
equipment, including ‘‘nuclear reactors’’,
‘‘specially designed’’ for military use, and
‘‘parts’’ and ‘‘components’’ ‘‘specially
designed’’ therefor, see USML Categories
VI, XIII, XV, and XX. (7) Simulators
‘‘specially designed’’ for military ‘‘nuclear
reactors’’ are controlled by USML Category
IX(b). (8) See USML Categories X, XI and
XII for ‘‘laser’’ protection equipment (e.g.,
eye and sensor protection) ‘‘specially
designed’’ for military use. (9) ‘‘Fuel cells’’
‘‘specially designed’’ for a defense article
on the USML or a commodity controlled by
a ‘‘600 series’’ ECCN are controlled
according to the corresponding ‘‘600
series’’ ECCN for such end items. (10) See
USML Category XV for controls on fuel
cells ‘‘specially designed’’ for satellite or
spacecraft.
Related Definitions: N/A
Items:
a. [Reserved]
b. Concealment and deception equipment
‘‘specially designed’’ for military application,
including special paints, decoys, smoke or
obscuration equipment and simulators, and
‘‘parts’’, ‘‘components’’, ‘‘accessories’’, and
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‘‘attachments’’ ‘‘specially designed’’ therefor,
not controlled by USML Category XIII.
c. Ferries, bridges (other than those
described in ECCN 0A606 or USML Category
VII), and pontoons, ‘‘specially designed’’ for
military use.
d. Test models ‘‘specially designed’’ for the
‘‘development’’ of defense articles controlled
by USML Categories IV, VI, VII and VIII.
e. [Reserved]
f. ‘‘Metal embrittlement agents’’.
g. through x. [Reserved]
y. Other commodities as follows, and
‘‘parts’’, ‘‘components’’, ‘‘accessories’’, and
‘‘attachments’’ ‘‘specially designed’’
therefore:
y.1. Construction equipment ‘‘specially
designed’’ for military use, including such
equipment ‘‘specially designed’’ for transport
in aircraft controlled by USML VIII(a) or
ECCN 9A610.a.
y.2. ‘‘Parts’’, ‘‘components’’, ‘‘accessories’’,
and ‘‘attachments’’ ‘‘specially designed’’ for
commodities in paragraph .y.1 of this entry,
including crew protection kits used as
protective cabs.
y.3. ISO intermodal containers or
demountable vehicle bodies (i.e., swap
bodies), n.e.s., ‘‘specially designed’’ or
‘modified’ for shipping or packing defense
articles or items controlled by a ‘‘600 series’’
ECCN.
Technical Note: For the purpose of
0A617.y.3, ‘modified’ means any structural,
electrical, mechanical, or other change that
provides a non-military item with military
capabilities equivalent to an item which is
‘‘specially designed’’ for military use.
y.4. Field generators ‘‘specially designed’’
for military use.
y.5. Power controlled searchlights and
control units therefor, ‘‘specially designed’’
for military use, and ‘‘equipment’’ mounting
such units.
13. In supplement no. 1 to part 774,
Category 0, ECCN 0A919 is revised to
read as follows:
■
0A919 ‘‘Military commodities’’ located and
produced outside the United States as
follows (see list of items controlled).
License Requirements
Reasons for Control: RS, AT
Control(s)
RS applies to entire
entry.
AT applies to entire
entry.
Country chart
(see Supp. No. 1
to part 738)
RS Column 1, See
§ 742.6(a)(3) of the
EAR for license requirements.
AT Column 1.
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Related Controls: (1) ‘‘Military commodities’’
are subject to the export licensing
jurisdiction of the Department of State if
PO 00000
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they incorporate items that are subject to
the International Traffic in Arms
Regulations (ITAR) (22 CFR parts 120
through 130). (2) ‘‘Military commodities’’
described in this paragraph are subject to
the export licensing jurisdiction of the
Department of State if such commodities
are described on the U.S. Munitions List
(22 CFR part 121) and are in the United
States. (3) The furnishing of assistance
(including training) to foreign persons,
whether in the United States or abroad, in
the design, development, engineering,
manufacture, production, assembly,
testing, repair, maintenance, modification,
operation, demilitarization, destruction,
processing, or use of defense articles that
are subject to the ITAR; or the furnishing
to foreign persons of any technical data
controlled under 22 CFR 121.1 whether in
the United States or abroad are under the
licensing jurisdiction of the Department of
State. (4) Brokering activities (as defined in
22 CFR part 129) of ‘‘military
commodities’’ that are subject to the ITAR
are under the licensing jurisdiction of the
Department of State.
Related Definitions: ‘‘Military commodity’’ or
‘‘military commodities’’ means an article,
material or supply that is described on the
U.S. Munitions List (22 CFR part 121) or
on the Munitions List that is published by
the Wassenaar Arrangement on Export
Controls for Conventional Arms and DualUse Goods and Technologies (i.e., the
Wassenaar Arrangement Munitions List
(WAML)), but does not include software,
technology, any item listed in any ECCN
for which the last three numerals are 018,
or any item in the ‘‘600 series.’’
Items:
a. ‘‘Military commodities’’ produced and
located outside the United States that are not
subject to the International Traffic in Arms
Regulations (22 CFR parts 120 through 130)
and having any of the following
characteristics:
a.1. Incorporate more than a de minimis
amount of U.S.-origin controlled content
classified under ECCNs 6A002, 6A003, or
6A993.a (having a maximum frame rate equal
to or less than 9 Hz and thus meeting the
criterion of Note 3.a to 6A003.b.4);
a.2. Incorporate more than a de minimis
amount of U.S.-origin ‘‘600 series’’ controlled
content (see § 734.4 of the EAR); or
a.3. Are direct products of U.S.-origin ‘‘600
series’’ technology or software (see
§ 736.2(b)(3) of the EAR).
b. [Reserved]
14. In supplement no. 1 to part 774,
Category 1, ECCN 1A002 is revised to
read as follows:
■
1A002 ‘‘Composite’’ structures or
laminates, as follows (see List of Items
Controlled).
License Requirements
Reason for Control: NS, NP, AT
Control(s)
NS applies to entire
entry.
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Country chart
(see Supp. No. 1
to part 738)
NS Column 2.
Federal Register / Vol. 83, No. 206 / Wednesday, October 24, 2018 / Rules and Regulations
Control(s)
NP applies to
1A002.b.1 in the
form of tubes with
an inside diameter
between 75 mm
and 400 mm.
AT applies to entire
entry.
Note 2: 1A002 does not control semifinished items, ‘‘specially designed’’ for
civilian applications as follows:
a. Sporting goods;
b. Automotive industry;
c. Machine tool industry;
d. Medical applications.
NP Column 1.
AT Column 1.
Reporting Requirements
See § 743.1 of the EAR for reporting
requirements for exports under License
Exceptions, and Validated End-User
authorizations.
amozie on DSK3GDR082PROD with RULES2
a. An area not exceeding 1 m 2;
b. A length not exceeding 2.5 m; and
c. A width exceeding 15 mm.
Country chart
(see Supp. No. 1
to part 738)
Note 3: 1A002.b.1 does not apply to semifinished items containing a maximum of two
dimensions of interwoven filaments and
‘‘specially designed’’ for applications as
follows:
a. Metal heat-treatment furnaces for
tempering metals;
b. Silicon boule production equipment.
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
LVS: $1,500; N/A for NP; N/A for
‘‘composite’’ structures or laminates
controlled by 1A002.a, having an organic
‘‘matrix’’ and made from materials
controlled by 1C010.c or 1C010.d.
GBS: N/A
CIV: N/A
■
Special Conditions for STA
STA: License Exception STA may not be
used to ship any item in this entry to any
of the destinations listed in Country Group
A:6 (See Supplement No.1 to part 740 of
the EAR).
License Requirements
Reason for Control: NS, MT, AT
List of Items Controlled
Related Controls: (1) See ECCNs 1E001
(‘‘development’’ and ‘‘production’’) and
1E201 (‘‘use’’) for technology for items
controlled by this entry. (2) Also see
ECCNs 1A202, 1C010, 1C210, 9A010, and
9A110. (3) ‘‘Composite’’ structures
‘‘specially designed’’ for missile
applications (including ‘‘specially
designed’’ subsystems, ‘‘parts’’, and
‘‘components’’) are controlled by ECCN
9A110. (4) ‘‘Composite’’ structures or
laminates ‘‘specially designed’’ or prepared
for use in separating uranium isotopes are
subject to the export licensing authority of
the Nuclear Regulatory Commission (see 10
CFR part 110).
Related Definitions: N/A
Items:
a. Made from any of the following:
a.1. An organic ‘‘matrix’’ and ‘‘fibrous or
filamentary materials’’ specified by 1C010.c
or 1C010.d; or
a.2. Prepregs or preforms specified by
1C010.e;
b. Made from a metal or carbon ‘‘matrix’’,
and any of the following:
b.1. Carbon ‘‘fibrous or filamentary
materials’’ having all of the following:
b.1.a. A ‘‘specific modulus’’ exceeding
10.15 × 106 m; and
b.1.b. A ‘‘specific tensile strength’’
exceeding 17.7 × 104 m; or
b.2. Materials controlled by 1C010.c.
Note 1: 1A002 does not control
‘‘composite’’ structures or laminates made
from epoxy resin impregnated carbon
‘‘fibrous or filamentary materials’’, for the
repair of ‘‘civil aircraft’’ structures or
laminates, having all of the following:
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Jkt 247001
Note 4: 1A002 does not apply to finished
items ‘‘specially designed’’ for a specific
application.
15. In supplement no. 1 to part 774,
Category 1, ECCN 1C001 is revised to
read as follows:
1C001 Materials ‘‘specially designed’’ for
absorbing electromagnetic radiation, or
intrinsically conductive polymers, as
follows (see List of Items Controlled).
Control(s)
NS applies to entire
entry.
MT applies to entire
entry.
AT applies to entire
entry.
Country chart
(see Supp. No. 1
to part 738)
NS Column 1.
MT Column 1.
AT Column 1.
Reporting Requirements
See § 743.1 of the EAR for reporting
requirements for exports under License
Exceptions, and Validated End-User
authorizations.
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
LVS: N/A
GBS: N/A
CIV: N/A
Special Conditions for STA
STA: License Exception STA may not be
used to ship any item in this entry to any
of the destinations listed in Country Group
A:6 (See Supplement No.1 to part 740 of
the EAR).
List of Items Controlled
Related Controls: See also 1C101
Related Definitions: N/A
Items:
a. Materials for absorbing frequencies
exceeding 2 × 108 Hz but less than 3 × 1012
Hz.
Note 1: 1C001.a does not control:
a. Hair type absorbers, constructed of
natural or synthetic fibers, with nonmagnetic loading to provide absorption;
b. Absorbers having no magnetic loss and
whose incident surface is non-planar in
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shape, including pyramids, cones, wedges
and convoluted surfaces;
c. Planar absorbers, having all of the
following:
1. Made from any of the following:
a. Plastic foam materials (flexible or nonflexible) with carbon-loading, or organic
materials, including binders, providing more
than 5% echo compared with metal over a
bandwidth exceeding ±15% of the center
frequency of the incident energy, and not
capable of withstanding temperatures
exceeding 450 K (177 °C); or
b. Ceramic materials providing more than
20% echo compared with metal over a
bandwidth exceeding ±15% of the center
frequency of the incident energy, and not
capable of withstanding temperatures
exceeding 800 K (527 °C);
Technical Note: Absorption test samples
for 1C001.a. Note 1.c.1 should be a square at
least 5 wavelengths of the center frequency
on a side and positioned in the far field of
the radiating element.
2. Tensile strength less than 7 × 106 N/m2;
and
3. Compressive strength less than 14 × 106
N/m2;
d. Planar absorbers made of sintered ferrite,
having all of the following:
1. A specific gravity exceeding 4.4; and
2. A maximum operating temperature of
548 K (275 °C).
Note 2: Nothing in Note 1 releases
magnetic materials to provide absorption
when contained in paint.
b. Materials not transparent to visible light
and specially designed for absorbing nearinfrared radiation having a wavelength
exceeding 810 nm but less than 2,000 nm
(frequencies exceeding 150 THz but less than
370 THz);
Note: 1C001.b does not apply to materials,
‘‘specially designed’’ or formulated for any of
the following applications:
a. ‘‘Laser’’ marking of polymers; or
b. ‘‘Laser’’ welding of polymers.
c. Intrinsically conductive polymeric
materials with a ‘bulk electrical conductivity’
exceeding 10,000 S/m (Siemens per meter) or
a ‘sheet (surface) resistivity’ of less than 100
ohms/square, based on any of the following
polymers:
c.1. Polyaniline;
c.2. Polypyrrole;
c.3. Polythiophene;
c.4. Poly phenylene-vinylene; or
c.5. Poly thienylene-vinylene.
Note: 1C001.c does not apply to materials
in a liquid form.
Technical Note: ‘Bulk electrical
conductivity’ and ‘sheet (surface) resistivity’
should be determined using ASTM D–257 or
national equivalents.
16. In supplement no. 1 to part 774,
Category 1, ECCN 1C002 is revised to
read as follows:
■
1C002 Metal alloys, metal alloy powder
and alloyed materials, as follows (see
List of Items Controlled).
License Requirements
Reason for Control: NS, NP, AT
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Control(s)
NS applies to entire
entry.
NP applies to
1C002.b.3.
or b.4 if they exceed
the parameters
stated in 1C202.
AT applies to entire
entry.
Country chart
(see Supp. No. 1
to part 738)
NS Column 2.
NP Column 1.
AT Column 1.
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
LVS: $3000; N/A for NP
GBS: N/A
CIV: N/A
List of Items Controlled
Related Controls: (1) See ECCNs 1E001
(‘‘development’’ and ‘‘production’’) and
1E201 (‘‘use’’) for technology for items
controlled by this entry. (2) Also see ECCN
1C202. (3) Aluminum alloys and titanium
alloys in physical forms and finished
products ‘‘specially designed’’ or prepared
for use in separating uranium isotopes are
subject to the export licensing authority of
the Nuclear Regulatory Commission (see 10
CFR part 110).
Related Definition: N/A
Items:
Note: 1C002 does not control metal alloys,
metal alloy powder and alloyed materials,
specially formulated for coating purposes.
Technical Note 1: The metal alloys in
1C002 are those containing a higher
percentage by weight of the stated metal than
of any other element.
amozie on DSK3GDR082PROD with RULES2
Technical Note 2: ‘Stress-rupture life’
should be measured in accordance with
ASTM standard E–139 or national
equivalents.
Technical Note 3: ‘Low cycle fatigue life’
should be measured in accordance with
ASTM Standard E–606 ‘Recommended
Practice for Constant-Amplitude Low-Cycle
Fatigue Testing’ or national equivalents.
Testing should be axial with an average stress
ratio equal to 1 and a stress-concentration
factor (Kt) equal to 1. The average stress is
defined as maximum stress minus minimum
stress divided by maximum stress.
a. Aluminides, as follows:
a.1. Nickel aluminides containing a
minimum of 15% by weight aluminum, a
maximum of 38% by weight aluminum and
at least one additional alloying element;
a.2. Titanium aluminides containing 10%
by weight or more aluminum and at least one
additional alloying element;
b. Metal alloys, as follows, made from the
powder or particulate material controlled by
1C002.c:
b.1. Nickel alloys having any of the
following:
b.1.a. A ‘stress-rupture life’ of 10,000 hours
or longer at 923 K (650 °C) at a stress of 676
MPa; or
b.1.b. A ‘low cycle fatigue life’ of 10,000
cycles or more at 823 K (550 °C) at a
maximum stress of 1,095 MPa;
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Jkt 247001
b.2. Niobium alloys having any of the
following:
b.2.a. A ‘stress-rupture life’ of 10,000 hours
or longer at 1,073 K (800 °C) at a stress of
400 MPa; or
b.2.b. A ‘low cycle fatigue life’ of 10,000
cycles or more at 973 K (700 °C) at a
maximum stress of 700 MPa;
b.3. Titanium alloys having any of the
following:
b.3.a. A ‘stress-rupture life’ of 10,000 hours
or longer at 723 K (450 °C) at a stress of 200
MPa; or
b.3.b. A ‘low cycle fatigue life’ of 10,000
cycles or more at 723 K (450 °C) at a
maximum stress of 400 MPa;
b.4 Aluminum alloys having any of the
following:
b.4.a. A tensile strength of 240 MPa or
more at 473 K (200 °C); or
b.4.b. A tensile strength of 415 MPa or
more at 298 K (25 °C);
b.5. Magnesium alloys having all the
following:
b.5.a. A tensile strength of 345 MPa or
more; and
b.5.b. A corrosion rate of less than 1 mm/
year in 3% sodium chloride aqueous solution
measured in accordance with ASTM
standard G–31 or national equivalents;
c. Metal alloy powder or particulate
material, having all of the following:
c.1. Made from any of the following
composition systems:
Technical Note: X in the following equals
one or more alloying elements.
c.1.a. Nickel alloys (Ni-Al-X, Ni-X-Al)
qualified for turbine engine ‘‘parts’’ or
‘‘components’’, i.e., with less than 3 nonmetallic particles (introduced during the
manufacturing process) larger than 100 mm in
10 9 alloy particles;
c.1.b. Niobium alloys (Nb-Al-X or Nb-X-Al,
Nb-Si-X or Nb-X-Si, Nb-Ti-X or Nb-X-Ti);
c.1.c. Titanium alloys (Ti-Al-X or Ti-X-Al);
c.1.d. Aluminum alloys (Al-Mg-X or Al-XMg, Al-Zn-X or Al-X-Zn, Al-Fe-X or Al-X-Fe);
or
c.1.e. Magnesium alloys (Mg-Al-X or Mg-XAl);
c.2. Made in a controlled environment by
any of the following processes:
c.2.a. ‘Vacuum atomization’;
c.2.b. ‘Gas atomization’;
c.2.c. ‘Rotary atomization’;
c.2.d. ‘Splat quenching’;
c.2.e. ‘Melt spinning’ and ‘comminution’;
c.2.f. ‘Melt extraction’ and ‘comminution’;
c.2.g. ‘Mechanical alloying’; or
c.2.h. ‘Plasma atomization’; and
c.3. Capable of forming materials
controlled by 1C002.a or 1C002.b;
d. Alloyed materials, having all the
following:
d.1. Made from any of the composition
systems specified by 1C002.c.1;
d.2. In the form of uncomminuted flakes,
ribbons or thin rods; and
d.3. Produced in a controlled environment
by any of the following:
d.3.a. ‘Splat quenching’;
d.3.b. ‘Melt spinning’; or
d.3.c. ‘Melt extraction’.
Technical Notes: 1. ‘Vacuum atomisation’
is a process to reduce a molten stream of
metal to droplets of a diameter of 500 mm or
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Sfmt 4700
less by the rapid evolution of a dissolved gas
upon exposure to a vacuum.
2. ‘Gas atomisation’ is a process to reduce
a molten stream of metal alloy to droplets of
500 mm diameter or less by a high pressure
gas stream.
3. ‘Rotary atomisation’ is a process to
reduce a stream or pool of molten metal to
droplets to a diameter of 500 mm or less by
centrifugal force.
4. ‘Splat quenching’ is a process to ‘solidify
rapidly’ a molten metal stream impinging
upon a chilled block, forming a flake-like
product.
5. ‘Melt spinning’ is a process to ‘solidify
rapidly’ a molten metal stream impinging
upon a rotating chilled block, forming a flake,
ribbon or rod-like product.
6. ‘Comminution’ is a process to reduce a
material to particles by crushing or grinding.
7. ‘Melt extraction’ is a process to ‘solidify
rapidly’ and extract a ribbon-like alloy
product by the insertion of a short segment
of a rotating chilled block into a bath of a
molten metal alloy.
8. ‘Mechanical alloying’ is an alloying
process resulting from the bonding,
fracturing and rebonding of elemental and
master alloy powders by mechanical impact.
Non-metallic particles may be incorporated
in the alloy by addition of the appropriate
powders.
9. ‘Plasma atomisation’ is a process to
reduce a molten stream or solid metal to
droplets of 500 mm diameter or less, using
plasma torches in an inert gas environment.
10. ‘Solidify rapidly’ is a process involving
the solidification of molten material at
cooling rates exceeding 1000 K/sec.
17. In supplement no. 1 to part 774,
Category 1, ECCN 1C007 is revised to
read as follows:
■
1C007 Ceramic powders, ceramic ‘‘matrix’’
‘‘composite’’ materials and ‘precursor
materials,’ as follows (see List of Items
Controlled).
License Requirements
Reason for Control: NS, MT, AT
Country chart
(see Supp. No. 1 to
part 738)
Control(s)
NS applies to entire
entry.
MT applies to items
in 1C007.c when
the dielectric constant is less than 6
at any frequency
from 100 MHz to
100 GHz for use in
‘‘missile’’ radomes.
AT applies to entire
entry.
NS Column 2
MT Column 1
AT Column 1
Reporting Requirements
See § 743.1 of the EAR for reporting
requirements for exports under License
Exceptions, and Validated End-User
authorizations.
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List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
LVS: $5,000, except N/A for MT and for
1C007.e
GBS: N/A
CIV: N/A
1C010 ‘‘Fibrous or filamentary materials’’
as follows (see List of Items Controlled).
Special Conditions for STA
License Requirements
Reason for Control: NS, NP, AT
STA: License Exception STA may not be
used to ship any item in 1C007.c entry to
any of the destinations listed in Country
Group A:6 (See Supplement No.1 to part
740 of the EAR).
List of Items Controlled
amozie on DSK3GDR082PROD with RULES2
18. In supplement no. 1 to part 774,
Category 1, ECCN 1C010 is revised to
read as follows:
■
Related Controls: See also 1C107
Related Definitions: N/A
Items:
a. Ceramic powders of titanium diboride
(TiB2) (CAS 12045–63–5) having total
metallic impurities, excluding intentional
additions, of less than 5,000 ppm, an average
particle size equal to or less than 5 mm and
no more than 10% of the particles larger than
10 mm;
b. [Reserved]
c. Ceramic ‘‘matrix’’ ‘‘composite’’ materials
as follows:
c.1. Ceramic-ceramic ‘‘composite’’
materials with a glass or oxide-‘‘matrix’’ and
reinforced with any of the following:
c.1.a. Continuous fibers made from any of
the following materials:
c.1.a.1. Al2O3 (CAS 1344–28–1); or
c.1.a.2. Si-C-N; or
Note: 1C007.c.1.a does not apply to
‘‘composites’’ containing fibers with a tensile
strength of less than 700 MPa at 1,273 K
(1,000 °C) or tensile creep resistance of more
than 1% creep strain at 100 MPa load and
1,273 K (1,000 °C) for 100 hours.
c.1.b. Fibers being all of the following:
c.1.b.1. Made from any of the following
materials:
c.1.b.1.a. Si-N;
c.1.b.1.b. Si-C;
c.1.b.1.c. Si-Al-O-N; or
c.1.b.1.d. Si-O-N; and
c.1.b.2. Having a ‘‘specific tensile strength’’
exceeding 12.7 × 10 3 m;
c.2. Ceramic ‘‘matrix’’ ‘‘composite’’
materials with a ‘‘matrix’’ formed of carbides
or nitrides of silicon, zirconium or boron;
N.B.: For items previously specified by
1C007.c see 1C007.c.1.b.
d. [Reserved]
N.B.: For items previously specified by
1C007.d see 1C007.c.2.
e. ‘Precursor materials’ ‘‘specially
designed’’ for the ‘‘production’’ of materials
controlled by 1C007.c, as follows:
e.1. Polydiorganosilanes;
e.2. Polysilazanes;
e.3. Polycarbosilazanes;
Technical Note: For the purposes of 1C007,
‘precursor materials’ are special purpose
polymeric or metallo-organic materials used
for the ‘‘production’’ of silicon carbide,
silicon nitride, or ceramics with silicon,
carbon and nitrogen.
f. [Reserved]
N.B.: For items previously specified by
1C007.f see 1C007.c.1.a.
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Jkt 247001
Control(s)
NS applies to entire
entry.
NP applies to
1C010.a (aramid
‘‘fibrous or filamentary materials’’, b
(carbon ‘‘fibrous
and filamentary
materials’’), and e.1
for ‘‘fibrous and
filamentary materials’’ that meet or
exceed the control
criteria of ECCN
1C210.
AT applies to entire
entry.
Country chart
(see Supp. No. 1
to part 738)
NS Column 2
NP Column 1
AT Column 1
Reporting Requirements
See § 743.1 of the EAR for reporting
requirements for exports under License
Exceptions, and Validated End-User
authorizations.
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
LVS: $1,500, N/A for NP
GBS: N/A
CIV: N/A
Special Conditions for STA
STA: License Exception STA may not be
used to ship any item in 1C010.c to any of
the destinations listed in Country Group A:6
(See Supplement No. 1 to part 740 of the
EAR).
List of Items Controlled
Related Controls: (1) See ECCNs 1E001
(‘‘development’’ and ‘‘production’’) and
1E201 (‘‘use’’) for technology for items
controlled by this entry. (2) Also see
ECCNs 1C210 and 1C990. (3) See also
9C110 for material not controlled by
1C010.e, as defined by notes 1 or 2.
Related Definitions: (1) ‘‘Specific modulus’’:
Young’s modulus in pascals, equivalent to
N/m2 divided by specific weight in N/m3,
measured at a temperature of (296 + 2) K
((23 + 2) °C) and a relative humidity of (50
+ 5)%. (2) ‘‘Specific tensile strength’’:
ultimate tensile strength in pascals,
equivalent to N/m 2 divided by specific
weight in N/m3, measured at a temperature
of (296 + 2) K ((23 + 2) °C) and a relative
humidity of (50 + 5)%.
Items:
Technical Notes: 1. For the purpose of
calculating ‘‘specific tensile strength’’,
‘‘specific modulus’’ or specific weight of
‘‘fibrous or filamentary materials’’ in
1C010.a, 1C010.b or 1C010.c, the tensile
strength and modulus should be determined
PO 00000
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53755
by using Method A described in ISO 10618
(2004) or national equivalents.
2. Assessing the ‘‘specific tensile strength’’,
‘‘specific modulus’’ or specific weight of nonunidirectional ‘‘fibrous or filamentary
materials’’ (e.g., fabrics, random mats or
braids) in 1C010 is to be based on the
mechanical properties of the constituent
unidirectional monofilaments (e.g.,
monofilaments, yarns, rovings or tows) prior
to processing into the non-unidirectional
‘‘fibrous or filamentary materials’’.
a. Organic ‘‘fibrous or filamentary
materials’’, having all of the following:
a.1. ‘‘Specific modulus’’ exceeding 12.7 ×
106 m; and
a.2. ‘‘Specific tensile strength’’ exceeding
23.5 × 104 m;
Note: 1C010.a does not control
polyethylene.
b. Carbon ‘‘fibrous or filamentary
materials’’, having all of the following:
b.1. ‘‘Specific modulus’’ exceeding 14.65 ×
10 6 m; and
b.2. ‘‘Specific tensile strength’’ exceeding
26.82 × 10 4 m;
Note: 1C010.b does not control:
a. ‘‘Fibrous or filamentary materials’’, for
the repair of ‘‘civil aircraft’’ structures or
laminates, having all of the following:
1. An area not exceeding 1 m2;
2. A length not exceeding 2.5 m; and
3. A width exceeding 15 mm.
b. Mechanically chopped, milled or cut
carbon ‘‘fibrous or filamentary materials’’
25.0 mm or less in length.
c. Inorganic ‘‘fibrous or filamentary
materials’’, having all of the following:
c.1. ‘‘Specific modulus’’ exceeding 2.54 x
106 m; and
c.2. Melting, softening, decomposition or
sublimation point exceeding 1,922 K (1,649
°C) in an inert environment;
Note: 1C010.c does not control:
a. Discontinuous, multiphase,
polycrystalline alumina fibers in chopped
fiber or random mat form, containing 3% by
weight or more silica, with a ‘‘specific
modulus’’ of less than 10 × 106 m;
b. Molybdenum and molybdenum alloy
fibers;
c. Boron fibers;
d. Discontinuous ceramic fibers with a
melting, softening, decomposition or
sublimation point lower than 2,043 K (1,770
°C) in an inert environment.
d. ‘‘Fibrous or filamentary materials’’,
having any of the following:
d.1. Composed of any of the following:
d.1.a. Polyetherimides controlled by
1C008.a; or
d.1.b. Materials controlled by 1C008.b to
1C008.f; or
d.2. Composed of materials controlled by
1C010.d.1.a or 1C010.d.1.b and ‘commingled’
with other fibers controlled by 1C010.a,
1C010.b or 1C010.c.
Technical Note: ‘Commingled’ is filament
to filament blending of thermoplastic fibers
and reinforcement fibers in order to produce
a fiber reinforcement ‘‘matrix’’ mix in total
fiber form.
e. Fully or partially resin impregnated or
pitch impregnated ‘‘fibrous or filamentary
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Federal Register / Vol. 83, No. 206 / Wednesday, October 24, 2018 / Rules and Regulations
materials’’ (prepregs), metal or carbon coated
‘‘fibrous or filamentary materials’’ (preforms)
or ‘carbon fiber preforms’, having all of the
following:
e.1. Having any of the following:
e.1.a. Inorganic ‘‘fibrous or filamentary
materials’’ controlled by 1C010.c; or
e.1.b. Organic or carbon ‘‘fibrous or
filamentary materials’’, having all of the
following:
e.1.b.1. ‘‘Specific modulus’’ exceeding
10.15 × 106 m; and
e.1.b.2 ‘‘Specific tensile strength’’
exceeding 17.7 × 104 m; and
e.2. Having any of the following:
e.2.a. Resin or pitch, controlled by 1C008
or 1C009.b;
e.2.b. ‘Dynamic Mechanical Analysis glass
transition temperature (DMA Tg)’ equal to or
exceeding 453 K (180 °C) and having a
phenolic resin; or
e.2.c. ‘Dynamic Mechanical Analysis glass
transition temperature (DMA Tg)’ equal to or
exceeding 505 K (232 °C) and having a resin
or pitch, not specified by 1C008 or 1C009.b,
and not being a phenolic resin;
Note 1: Metal or carbon coated ‘‘fibrous or
filamentary materials’’ (preforms) or ‘carbon
fiber preforms’, not impregnated with resin
or pitch, are specified by ‘‘fibrous or
filamentary materials’’ in 1C010.a, 1C010.b or
1C010.c.
Note 2: 1C010.e does not apply to:
a. Epoxy resin ‘‘matrix’’ impregnated
carbon ‘‘fibrous or filamentary materials’’
(prepregs) for the repair of ‘‘civil aircraft’’
structures or laminates, having all of the
following:
1. An area not exceeding 1 m2;
2. A length not exceeding 2.5 m; and
3. A width exceeding 15 mm;
b. Fully or partially resin-impregnated or
pitch-impregnated mechanically chopped,
milled or cut carbon ‘‘fibrous or filamentary
materials’’ 25.0 mm or less in length when
using a resin or pitch other than those
specified by 1C008 or 1C009.b.
Technical Notes:
1. ‘Carbon fiber preforms’ are an ordered
arrangement of uncoated or coated fibers
intended to constitute a framework of a part
before the ‘‘matrix’’ is introduced to form a
‘‘composite’’.
2. The ‘Dynamic Mechanical Analysis glass
transition temperature (DMA Tg)’ for
materials controlled by 1C010.e is
determined using the method described in
ASTM D 7028–07, or equivalent national
standard, on a dry test specimen. In the case
of thermoset materials, degree of cure of a dry
test specimen shall be a minimum of 90% as
defined by ASTM E 2160 04 or equivalent
national standard.
19. In supplement no. 1 to part 774,
Category 1, ECCN 1C608 revised to read
as follows:
amozie on DSK3GDR082PROD with RULES2
■
1C608 ‘‘Energetic materials’’ and related
commodities (see List of Items
Controlled).
License Requirements
Reason for Control: NS, RS, MT, AT, UN
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18:49 Oct 23, 2018
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Control(s)
NS applies to entire
entry.
RS applies to entire
entry.
MT applies to
1C608.m.
AT applies to entire
entry.
UN applies to entire
entry.
Country chart
(see Supp. no. 1
to part 738)
NS Column 1
RS Column 1
MT Column 1
AT Column 1
See § 746.1(b) of the
EAR for UN controls
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
LVS: $1,500
GBS: N/A
CIV: N/A
Special Conditions for STA
STA: Paragraph (c)(2) of License Exception
STA (§ 740.20(c)(2) of the EAR) may not be
used for any item in 1C608.
List of Items Controlled
Related Controls: (1) The EAR does not
control devices or charges containing
materials controlled by USML
subparagraphs V(c)(6), V(h), or V(i). The
USML controls devices containing such
materials. (2) The USML in Categories III,
IV, or V controls devices and charges in
this entry if they contain materials
controlled by Category V (other than
slurries) and such materials can be easily
extracted without destroying the device or
charge. (3) See also explosives and other
items enumerated in ECCNs 1A006, 1A007,
1A008, 1C011, 1C111, 1C239, and 1C992.
(4) See ECCN 0A919 for foreign-made
‘‘military commodities’’ that incorporate
more than a de minimis amount of USorigin ‘‘600 series’’ controlled content.
Related Definitions: (1) For purposes of this
entry, the term ‘controlled materials’
means controlled energetic materials
enumerated in ECCNs 1C011, 1C111,
1C239, 1C608, or USML Category V. (2) For
the purposes of this entry, the term
‘propellants’ means substances or mixtures
that react chemically to produce large
volumes of hot gases at controlled rates to
perform mechanical work.
Items:
a. ‘Single base’, ‘double base’, and ‘triple
base’ ‘propellants’ having nitrocellulose with
nitrogen content greater than 12.6% in the
form of either:
a.1. ‘Sheetstock’ or ‘carpet rolls’; or
a.2. Grains with diameter greater than 0.10
inches.
Note: This entry does not control
‘propellant’ grains used in shotgun shells,
small arms cartridges, or rifle cartridges.
Technical Notes:
1. ‘Sheetstock’ is ‘propellant’ that has been
manufactured in the form of a sheet suitable
for further processing.
2. A ‘carpet roll’ is ‘propellant’ that has
been manufactured as a sheet, often cut to a
desired width, and subsequently rolled up
(like a carpet).
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3. ‘Single base’ is ‘propellant’ which
consists mostly of nitrocellulose.
4.‘Double base’ ‘propellant’ consist mostly
of nitrocellulose and nitroglycerine.
5. ‘Triple base’ consists mostly of
nitrocellulose, nitroglycerine, and
nitroguanidine. Such ‘propellants’ contain
other materials, such as resins or stabilizers,
that could include carbon, salts, burn rate
modifiers, nitrodiphenylamine, wax,
polyethylene glycol (PEG), polyglycol adipate
(PGA).
b. Shock tubes containing greater than
0.064 kg per meter (300 grains per foot), but
not more than 0.1 kg per meter (470 grains
per foot) of ‘controlled materials.’
c. Cartridge power devices containing
greater than 0.70 kg, but not more than 1.0
kg of ‘controlled materials.’
d. Detonators (electric or nonelectric) and
‘‘specially designed’’ assemblies therefor
containing greater than 0.01 kg, but not more
than 0.1 kg of ‘controlled materials’.
e. Igniters not controlled by USML
Categories III or IV that contain greater than
0.01 kg, but not more than 0.1 kg of
‘controlled materials’.
f. Oil well cartridges containing greater
than 0.015 kg, but not more than 0.1 kg of
‘controlled materials’.
g. Commercial cast or pressed boosters
containing greater than 1.0 kg, but not more
than 5.0 kg of ‘controlled materials’.
h. Commercial prefabricated slurries and
emulsions containing greater than 10 kg and
less than or equal to thirty-five percent by
weight of USML ‘controlled materials’.
i. [Reserved]
j. ‘‘Pyrotechnic’’ devices ‘‘specially
designed’’ for commercial purposes (e.g.,
theatrical stages, motion picture special
effects, and fireworks displays), and
containing greater than 3.0 kg, but not more
than 5.0 kg of ‘controlled materials’.
k. Other commercial explosive devices or
charges ‘‘specially designed’’ for commercial
applications, not controlled by 1C608.c
through .g above, containing greater than 1.0
kg, but not more than 5.0 kg of ‘controlled
materials’.
l. Propyleneimine (2 methylaziridine)
(C.A.S. #75–55–8).
m. Any oxidizer or ‘mixture’ thereof that is
a compound composed of fluorine and any
of the following: other halogens, oxygen, or
nitrogen.
Note 1 to 1C608.m: Nitrogen trifluoride
(NF3) (CAS 7783–54–2) in a gaseous state is
controlled under ECCN 1C992 and not under
ECCN 1C608.m.
Note 2 to 1C608.m: Chlorine trifluoride
(ClF3) (CAS 7790–91–2) is controlled under
ECCN 1C111.a.3.f and not under ECCN
1C608.m.
Note 3 to 1C608.m: Oxygen difluoride
(OF2) is controlled under USML Category
V.d.10 (see 22 CFR 121.1) and not under
ECCN 1C608.m.
Note to 1C608.l and m: If a chemical in
ECCN 1C608.l or .m is incorporated into a
commercial charge or device described in
ECCN 1C608.c through .k or in ECCN 1C992,
the classification of the commercial charge or
device applies to the item.
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Federal Register / Vol. 83, No. 206 / Wednesday, October 24, 2018 / Rules and Regulations
Technical Note to 1C608.m: ‘Mixture’
refers to a composition of two or more
substances with at least one substance being
enumerated in 1C011, 1C111, 1C239, 1C608,
USML Category V, or elsewhere on the
USML.
n. Any explosives, ‘propellants’, oxidizers,
‘‘pyrotechnics’’, fuels, binders, or additives
that are ‘‘specially designed’’ for military
application and not enumerated or otherwise
described in USML Category V or elsewhere
on the USML.
Note 1: 1C608.n does not apply to the
following ‘‘aircraft’’ fuels: JP–4, JP–5, and JP–
8.
Note 2: ‘‘Aircraft’’ fuels specified by
1C608.n, Note 1 are finished products, not
their constituents.
20. In supplement no. 1 to part 774,
Category 2, ECCN 2A001 is revised to
read as follows:
■
2A001 Anti-friction bearings and bearing
systems, as follows, (see List of Items
Controlled) and ‘‘components’’ therefor.
License Requirements
Reason for Control: NS, MT, AT
Control(s)
NS applies to entire
entry.
MT applies to radial
ball bearings having all tolerances
specified in accordance with ISO 492
Tolerance Class 2
(or ANSI/ABMA Std
20 Tolerance Class
ABEC–9, or other
national equivalents) or better and
having all the following characteristics: an inner ring
bore diameter between 12 and 50
mm; an outer ring
outside diameter
between 25 and
100 mm; and a
width between 10
and 20 mm..
AT applies to entire
entry.
Country chart
(see Supp. no. 1
to part 738)
Note 2: 2A001 does not control balls with
tolerances specified by the manufacturer in
accordance with ISO 3290 as grade 5 (or
national equivalents) or worse.
a. Ball bearings and solid roller bearings,
having all tolerances specified by the
manufacturer in accordance with ISO 492
Tolerance Class 4 (or national equivalents),
or better, and having both ‘rings’ and ‘rolling
elements’, made from monel or beryllium;
Note: 2A001.a does not control tapered
roller bearings.
Technical Notes:
1. ‘Ring’—annular part of a radial rolling
bearing incorporating one or more raceways
(ISO 5593:1997).
2. ‘Rolling element’—ball or roller which
rolls between raceways (ISO 5593:1997).
b. [Reserved]
c. Active magnetic bearing systems using
any of the following:
c.1. Materials with flux densities of 2.0 T
or greater and yield strengths greater than
414 MPa;
c.2. All-electromagnetic 3D homopolar bias
designs for actuators; or
c.3. High temperature (450 K (177 °C) and
above) position sensors.
21. In supplement no. 1 to part 774,
Category 2, ECCN 2B001 is revised to
read as follows:
■
NS Column 2
MT Column 1
2B001 Machine tools and any combination
thereof, for removing (or cutting) metals,
ceramics or ‘‘composites’’, which,
according to the manufacturer’s
technical specifications, can be
equipped with electronic devices for
‘‘numerical control’’; as follows (see List
of Items Controlled).
License Requirements
Reason for Control: NS, NP, AT
Control(s)
NS applies to entire
entry.
Country chart
(see Supp. No. 1
to part 738)
NS Column 2
AT Column 1
amozie on DSK3GDR082PROD with RULES2
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
LVS: $3,000, N/A for MT
GBS: Yes, for 2A001.a, N/A for MT
CIV: Yes, for 2A001.a, N/A for MT
18:49 Oct 23, 2018
Jkt 247001
PO 00000
NP applies to
2B001.a, .b, .c, and
.d, EXCEPT: (1)
Turning machines
under 2B001.a with
a capacity no
greater than 35
mm diameter; (2)
bar machines
(Swissturn), limited
to machining only
bar feed through, if
maximum bar diameter is equal to
or less than 42 mm
and there is no capability of mounting
chucks. (Machines
may have drilling
and/or milling capabilities for machining ‘‘parts’’ or
‘‘components’’ with
diameters less than
42 mm); or (3) milling machines under
2B001.b with x-axis
travel greater than
two meters and
overall positioning
accuracy according
to ISO 230/2
(2006) on the xaxis more (worse)
than 22.5 μm.
AT applies to entire
entry.
Country chart
(see Supp. No. 1
to part 738)
NP Column 1
AT Column 1
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Related Controls: (1) See ECCN 2B002 for
optical finishing machines. (2) See ECCNs
2D001 and 2D002 for software for items
controlled under this entry. (3) See ECCNs
2E001 (‘‘development’’), 2E002
(‘‘production’’), and 2E201 (‘‘use’’) for
technology for items controlled under this
entry. (4) Also see ECCNs 2B201 and
2B991.
Related Definitions: N/A
Items:
Note 1: 2B001 does not control special
purpose machine tools limited to the
manufacture of gears. For such machines, see
2B003.
Note 2: 2B001 does not control special
purpose machine tools limited to the
manufacture of any of the following:
a. Crank shafts or cam shafts;
b. Tools or cutters;
c. Extruder worms;
d. Engraved or faceted jewelry parts; or
e. Dental prostheses.
List of Items Controlled
Related Controls: (1) See also 2A991. (2)
Quiet running bearings are ‘‘subject to the
ITAR’’ (see 22 CFR parts 120 through 130).
Related Definitions: Annular Bearing
Engineers Committee (ABEC).
Items:
Note 1: 2A001.a includes ball bearing and
roller elements ‘‘specially designed’’ for the
items specified therein.
VerDate Sep<11>2014
Control(s)
53757
Note 3: A machine tool having at least two
of the three turning, milling or grinding
capabilities (e.g., a turning machine with
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Federal Register / Vol. 83, No. 206 / Wednesday, October 24, 2018 / Rules and Regulations
amozie on DSK3GDR082PROD with RULES2
milling capability), must be evaluated against
each applicable entry 2B001.a, .b or .c.
a. Machine tools for turning having two or
more axes which can be coordinated
simultaneously for ‘‘contouring control’’
having any of the following:
a.1. ‘‘Unidirectional positioning
repeatability’’ equal to or less (better) than
0.9 mm along one or more linear axis with a
travel length less than 1.0 m; or
a.2. ‘‘Unidirectional positioning
repeatability’’ equal to or less (better) than
1.1 mm along one or more linear axis with a
travel length equal to or greater than 1.0 m;
Note 1: 2B001.a does not control turning
machines ‘‘specially designed’’ for producing
contact lenses, having all of the following:
a. Machine controller limited to using
ophthalmic based ‘‘software’’ for part
programming data input; and
b. No vacuum chucking.
Note 2: 2B001.a does not apply to bar
machines (Swissturn), limited to machining
only bar feed thru, if maximum bar diameter
is equal to or less than 42 mm and there is
no capability of mounting chucks. Machines
may have drilling or milling capabilities for
machining parts with diameters less than 42
mm.
b. Machine tools for milling having any of
the following:
b.1. Three linear axes plus one rotary axis
which can be coordinated simultaneously for
‘‘contouring control’’ having any of the
following:
b.1.a. ‘‘Unidirectional positioning
repeatability’’ equal to or less (better) than
0.9 mm along one or more linear axis with a
travel length less than 1.0 m; or
b.1.b. ‘‘Unidirectional positioning
repeatability’’ equal to or less (better) than
1.1 mm along one or more linear axis with a
travel length equal to or greater than 1.0 m;
b.2. Five or more axes which can be
coordinated simultaneously for ‘‘contouring
control’’ having any of the following:
b.2.a. ‘‘Unidirectional positioning
repeatability’’ equal to or less (better) than
0.9 mm along one or more linear axis with a
travel length less than 1.0 m;
b.2.b. ‘‘Unidirectional positioning
repeatability’’ equal to or less (better) than
1.4 mm along one or more linear axis with a
travel length equal to or greater than 1 m and
less than 4 m; or
b.2.c. ‘‘Unidirectional positioning
repeatability’’ equal to or less (better) than
6.0 mm along one or more linear axis with a
travel length equal to or greater than 4 m;
b.3. A ‘‘unidirectional positioning
repeatability’’ for jig boring machines, equal
to or less (better) than 1.1 mm along one or
more linear axis; or
b.4. Fly cutting machines having all of the
following:
b.4.a. Spindle ‘‘run-out’’ and ‘‘camming’’
less (better) than 0.0004 mm TIR; and
b.4.b. Angular deviation of slide movement
(yaw, pitch and roll) less (better) than 2
seconds of arc, TIR, over 300 mm of travel;
c. Machine tools for grinding having any of
the following:
c.1. Having all of the following:
c.1.a. ‘‘Unidirectional positioning
repeatability’’ equal to or less (better) than
1.1 mm along one or more linear axis; and
VerDate Sep<11>2014
18:49 Oct 23, 2018
Jkt 247001
c.1.b. Three or four axes which can be
coordinated simultaneously for ‘‘contouring
control’’; or
c.2. Five or more axes which can be
coordinated simultaneously for ‘‘contouring
control’’ having any of the following:
c.2.a. ‘‘Unidirectional positioning
repeatability’’ equal to or less (better) than
1.1 mm along one or more linear axis with a
travel length less than 1 m;
c.2.b. ‘‘Unidirectional positioning
repeatability’’ equal to or less (better) than
1.4 mm along one or more linear axis with a
travel length equal to or greater than 1 m and
less than 4 m; or
c.2.c. ‘‘Unidirectional positioning
repeatability’’ equal to or less (better) than
6.0 mm along one or more linear axis with a
travel length equal to or greater than 4 m.
Notes: 2B001.c does not control grinding
machines as follows:
a. Cylindrical external, internal, and
external-internal grinding machines, having
all of the following:
a.1. Limited to cylindrical grinding; and
a.2. Limited to a maximum workpiece
capacity of 150 mm outside diameter or
length.
b. Machines designed specifically as jig
grinders that do not have a z-axis or a w-axis,
with a ‘‘unidirectional positioning
repeatability’’ less (better) than 1.1 mm.
c. Surface grinders.
d. Electrical discharge machines (EDM) of
the non-wire type which have two or more
rotary axes which can be coordinated
simultaneously for ‘‘contouring control’’;
e. Machine tools for removing metals,
ceramics or ‘‘composites’’, having all of the
following:
e.1. Removing material by means of any of
the following:
e.1.a. Water or other liquid jets, including
those employing abrasive additives;
e.1.b. Electron beam; or
e.1.c. ‘‘Laser’’ beam; and
e.2. At least two rotary axes having all of
the following:
e.2.a. Can be coordinated simultaneously
for ‘‘contouring control’’; and
e.2.b. A positioning ‘‘accuracy’’ of less
(better) than 0.003°;
f. Deep-hole-drilling machines and turning
machines modified for deep-hole-drilling,
having a maximum depth-of-bore capability
exceeding 5 m.
22. In supplement no. 1 to part 774,
Category 2, ECCN 2B006 is revised to
read as follows:
■
2B006 Dimensional inspection or
measuring systems, equipment, position
feedback units and ‘‘electronic
assemblies’’, as follows (see List of Items
Controlled).
License Requirements
Reason for Control: NS, NP, AT
Control(s)
NS applies to entire
entry.
PO 00000
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Fmt 4701
Country chart
(see Supp. No. 1
to part 738)
NS Column 2
Sfmt 4700
Country chart
(see Supp. No. 1
to part 738)
Control(s)
NP applies to those
items in 2B006.a,
.b.1, b.3, and .c
(angular displacement measuring instruments) that
meet or exceed the
technical parameters in 2B206.
AT applies to entire
entry.
NP Column 1
AT Column 1
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Related Controls: (1) See ECCNs 2D001 and
2D002 for ‘‘software’’ for items controlled
under this entry. (2) See ECCNs 2E001
(‘‘development’’), 2E002 (‘‘production’’),
and 2E201 (‘‘use’’) for technology for items
controlled under this entry. (3) Also see
ECCNs 2B206 and 2B996.
Related Definitions: N/A
Items:
a. Computer controlled or ‘‘numerically
controlled’’ Coordinate Measuring Machines
(CMM), having a three dimensional length
(volumetric) maximum permissible error of
length measurement (E0,MPE) 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) mm (L is the
measured length in mm) according to ISO
10360–2 (2009);
Technical Note: The E0,MPE of the most
accurate configuration of the CMM specified
by the manufacturer (e.g., best of the
following: Probe, stylus length, motion
parameters, environment) and with ‘‘all
compensations available’’ shall be compared
to the 1.7 + L/1,000 mm threshold.
b. Linear displacement measuring
instruments or systems, linear position
feedback units, and ‘‘electronic assemblies’’,
as follows:
Note: Interferometer and optical-encoder
measuring systems containing a ‘‘laser’’ are
only specified by 2B006.b.3.
b.1. ‘Non-contact type measuring systems’
with a ‘resolution’ equal to or less (better)
than 0.2 mm within a measuring range up to
0.2 mm;
Technical Note: For the purposes of
2B006.b.1, ‘non-contact type measuring
systems’ are designed to measure the
distance between the probe and measured
object along a single vector, where the probe
or measured object is in motion.
b.2. Linear position feedback units
‘‘specially designed’’ for machine tools and
having an overall ‘‘accuracy’’ less (better)
than (800 + (600 × L/1,000)) nm (L equals
effective length in mm);
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b.3. Measuring systems having all of the
following:
b.3.a. Containing a ‘‘laser’’;
b.3.b. A ‘resolution’ over their full scale of
0.200 nm or less (better); and
b.3.c. Capable of achieving a
‘‘measurement uncertainty’’ equal to or less
(better) than (1.6 + L/2,000) nm (L is the
measured length in mm) at any point within
a measuring range, when compensated for
the refractive index of air and measured over
a period of 30 seconds at a temperature of 20
± 0.01°C; or
Technical Note: For the purposes of
2B006.b, ‘resolution’ is the least increment of
a measuring device; on digital instruments,
the least significant bit.
b.4. ‘‘Electronic assemblies’’ ‘‘specially
designed’’ to provide feedback capability in
systems controlled by 2B006.b.3;
c. Rotary position feedback units ‘‘specially
designed’’ for machine tools or angular
displacement measuring instruments, having
an angular position ‘‘accuracy’’ equal to or
less (better) than 0.9 second of arc;
Note: 2B006.c does not control optical
instruments, such as autocollimators, using
collimated light (e.g., ‘‘laser’’ light) to detect
angular displacement of a mirror.
d. Equipment for measuring surface
roughness (including surface defects), by
measuring optical scatter with a sensitivity of
0.5 nm or less (better).
Note: 2B006 includes machine tools, other
than those specified by 2B001, that can be
used as measuring machines, if they meet or
exceed the criteria specified for the
measuring machine function.
(‘‘production’’), and 2E201 (‘‘use’’) for
technology for items controlled under this
entry. (3) Also see ECCNs 2B207, 2B225
and 2B997.
Related Definitions: N/A
Items:
a. [Reserved]
b. ‘‘Specially designed’’ to comply with
national safety standards applicable to
potentially explosive munitions
environments;
Note: 2B007.b does not apply to ‘‘robots’’
‘‘specially designed’’ for paint-spraying
booths.
c. ‘‘Specially designed’’ or rated as
radiation-hardened to withstand a total
radiation dose greater than 5 × 103 Gy
(silicon) without operational degradation; or
Technical Note: The term Gy (silicon)
refers to the energy in Joules per kilogram
absorbed by an unshielded silicon sample
when exposed to ionizing radiation.
d. ‘‘Specially designed’’ to operate at
altitudes exceeding 30,000 m.
24. In supplement no. 1 to part 774,
Category 2, ECCN 2B008 is revised to
read as follows:
■
2B008 ‘Compound rotary tables’ and ‘‘tilting
spindles’’, ‘‘specially designed’’ for
machine tools, as follows (see List of
Items Controlled).
License Requirements
Reason for Control: NS, AT
Control(s)
23. In supplement no. 1 to part 774,
Category 2, ECCN 2B007 is revised to
read as follows:
■
NS applies to entire
entry.
AT applies to entire
entry.
2B007 ‘‘Robots’’ having any of the
following characteristics described in
the List of Items Controlled and
‘‘specially designed’’ controllers and
‘‘end-effectors’’ therefor.
amozie on DSK3GDR082PROD with RULES2
NS applies to entire
entry.
NP applies to equipment that meets or
exceeds the criteria
in ECCNs 2B207.
AT applies to entire
entry.
Country chart
(see Supp. No. 1
to part 738)
NS Column 2
NP Column 1
AT Column 1
List of Items Controlled
Related Controls:
(1) See ECCN 2D001 for ‘‘software’’ for items
controlled under this entry. (2) See ECCNs
2E001 (‘‘development’’), 2E002
18:49 Oct 23, 2018
AT Column 1
LVS: N/A
GBS: N/A
CIV: N/A
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
LVS: $5,000, except 2B007.b and .c
GBS: N/A
CIV: N/A
VerDate Sep<11>2014
NS Column 2
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
License Requirements
Reason for Control: NS, NP, AT
Control(s)
Country chart
(see Supp. No. 1
to part 738)
Jkt 247001
List of Items Controlled
Related Controls: See also 2B998
Related Definition: N/A
Items:
a. [Reserved]
b. [Reserved]
c. ‘Compound rotary tables’ having all of
the following:
c.1. Designed for machine tools for turning,
milling or grinding; and
c.2. Two rotary axes designed to be
coordinated simultaneously for ‘‘contouring
control’’.
Technical Note: A ‘compound rotary table’
is a table allowing the workpiece to rotate
and tilt about two non-parallel axes.
d. ‘‘Tilting spindles’’ having all of the
following:
d.1. Designed for machine tools for turning,
milling or grinding; and
d.2. Designed to be coordinated
simultaneously for ‘‘contouring control’’.
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25. In supplement no. 1 to part 774,
Category 2, ECCN 2B206 is revised to
read as follows:
■
2B206 Dimensional inspection machines,
instruments or systems, other than those
described in 2B006, as follows (see List
of Items Controlled).
License Requirements
Reason for Control: NP, AT
Control(s)
NP applies to entire
entry.
AT applies to entire
entry.
Country chart
(see Supp. No. 1
to part 738)
NP Column 1
AT Column 1
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Related Controls: (1) See ECCNs 2D002 and
2D201 for ‘‘software’’ for items controlled
under this entry. (2) See ECCNs 2E001
(‘‘development’’), 2E002 (‘‘production’’),
and 2E201 (‘‘use’’) for technology for items
controlled under this entry. (3) Also see
ECCNs 2B006 and 2B996.
Related Definitions: N/A
Items:
Control Notes to ECCN 2B206: (1) Machine
tools that can be used as measuring machines
are controlled by ECCN 2B206 if they meet
or exceed the control parameters specified in
this entry for the measuring machine
function. (2) The machines described in
ECCN 2B206 are controlled by this entry if
they exceed the specified control threshold
anywhere in their operating range.
Technical Note to ECCN 2B206: All
parameters of measurement values in this
entry represent plus/minus, i.e., not total
band.
a. Computer controlled or numerically
controlled coordinate measuring machines
(CMM) with either of the following
characteristics:
a.1. Having only two axes with a maximum
permissible error of length measurement
along any axis (one dimension), identified as
any combination of E0x MPE, E0y MPE or E0z
MPE, equal to or less (better) than (1.25 + L/
1,000) mm (where L is the measured length
in mm) at any point within the operating
range of the machine (i.e., within the length
of the axis), according to ISO 10360–2 (2009);
or
a.2. Having three or more axes with a three
dimensional (volumetric) maximum
permissible error of length measurement,
identified as E0, MPE, equal to or less (better)
than (1.7 + L/800) mm (where L is the
measured length in mm) at any point within
the operating range of the machine (i.e.,
within the length of the axis), according to
ISO 10360–2 (2009).
Technical Note to 2B206.a.2: The E0, MPE
of the most accurate configuration of the
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CMM specified according to ISO 10360–2
(2009) by the manufacturer (e.g., best of the
following: Probe, stylus length, motion
parameters, environment) and with all
compensations available shall be compared
to the 1.7 + L/800 mm threshold.
b. Systems for simultaneous linear-angular
inspection of hemishells, having both of the
following characteristics:
b.1. ‘‘Measurement uncertainty’’ along any
linear axis equal to or less (better) than 3.5
mm per 5 mm; and
b.2. ‘‘Angular position deviation’’ equal to
or less than 0.02°.
c. Linear displacement measuring systems
having both of the following characteristics:
c.1. Containing a ‘‘laser;’’ and
c.2. Capable of maintaining, for at least 12
hours over a temperature range of ± 1 K
around a standard temperature and a
standard pressure, both:
c.2.a. A ‘‘resolution’’ over their full scale of
0.1 mm or better; and
c.2.b. A ‘‘measurement uncertainty’’ equal
to or better (less) than (0.2 + L/2,000) mm (L
is the measured length in millimeters).
Control Note to 2B206.c: 2B206.c 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.
Technical Note to 2B206.c: In 2B206.c,
‘‘linear displacement’’ means the change of
distance between the measuring probe and
the measured object.
d. Linear Variable Differential Transformer
(LVDT) systems having all of the following:
d.1. Having any of the following:
d.1.a. ‘‘Linearity’’ equal to or less (better)
than 0.1% measured from 0 to the full
operating range, for LVDTs with a full
operating range up to and including ±5 mm;
or
d.1.b. ‘‘Linearity’’ equal to or less (better)
than 0.1% measured from 0 to 5 mm for
LVDTs with a ‘full operating range’ greater
than ±5 mm; and
d.2. Drift equal to or less (better) than 0.1%
per day at a standard ambient test room
temperature ±1 K.
26. In supplement no. 1 to part 774,
Category 2, ECCN 2E003 is revised to
read as follows:
■
2E003 Other ‘‘technology’’, as follows (see
List of Items Controlled).
License Requirements
Reason for Control: NS, AT
amozie on DSK3GDR082PROD with RULES2
Control(s)
NS applies to entire
entry.
AT applies to entire
entry.
Country chart
(see Supp. No. 1
to part 738)
NS Column 1.
AT Column 1.
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
CIV: N/A
TSR: Yes, except 2E003.b, .e and .f
VerDate Sep<11>2014
18:49 Oct 23, 2018
Jkt 247001
List of Items Controlled
Related Controls: See 2E001, 2E002, and
2E101 for ‘‘development’’ and ‘‘use’’
technology for equipment that are designed
or modified for densification of carboncarbon composites, structural composite
rocket nozzles and reentry vehicle nose
tips.
Related Definitions: N/A
Items:
a. [Reserved]
b. ‘‘Technology’’ for metal-working
manufacturing processes, as follows:
b.1. ‘‘Technology’’ for the design of tools,
dies or fixtures ‘‘specially designed’’ for any
of the following processes:
b.1.a. ‘‘Superplastic forming’’;
b.1.b. ‘‘Diffusion bonding’’; or
b.1.c. ‘Direct-acting hydraulic pressing’;
b.2. Technical data consisting of process
methods or parameters as listed below used
to control:
b.2.a. ‘‘Superplastic forming’’ of aluminum
alloys, titanium alloys or ‘‘superalloys:’’
b.2.a.1. Surface preparation;
b.2.a.2. Strain rate;
b.2.a.3. Temperature;
b.2.a.4. Pressure;
b.2.b. ‘‘Diffusion bonding’’ of
‘‘superalloys’’ or titanium alloys:
b.2.b.1. Surface preparation;
b.2.b.2. Temperature;
b.2.b.3. Pressure;
b.2.c. ‘Direct-acting hydraulic pressing’ of
aluminum alloys or titanium alloys:
b.2.c.1. Pressure;
b.2.c.2. Cycle time;
b.2.d. ‘Hot isostatic densification’ of
titanium alloys, aluminum alloys or
‘‘superalloys’’:
b.2.d.1. Temperature;
b.2.d.2. Pressure;
b.2.d.3. Cycle time;
Technical Notes:
1. ‘Direct-acting hydraulic pressing’ is a
deformation process which uses a fluid-filled
flexible bladder in direct contact with the
workpiece.
2. ‘Hot isostatic densification’ is a process
of pressurizing a casting at temperatures
exceeding 375 K (102 °C) in a closed cavity
through various media (gas, liquid, solid
particles, etc.) to create equal force in all
directions to reduce or eliminate internal
voids in the casting.
c. ‘‘Technology’’ for the ‘‘development’’ or
‘‘production’’ of hydraulic stretch-forming
machines and dies therefor, for the
manufacture of airframe structures;
d. [Reserved]
e. ‘‘Technology’’ for the ‘‘development’’ of
integration ‘‘software’’ for incorporation of
expert systems for advanced decision support
of shop floor operations into ‘‘numerical
control’’ units;
f. ‘‘Technology’’ for the application of
inorganic overlay coatings or inorganic
surface modification coatings (specified in
column 3 of the following table) to nonelectronic substrates (specified in column 2
of the following table), by processes specified
in column 1 of the following table and
defined in the Technical Note.
N.B.: This table should be read to control
the technology of a particular ‘Coating
PO 00000
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Sfmt 4700
Process’ only when the resultant coating in
column 3 is in a paragraph directly across
from the relevant ‘Substrate’ under column 2.
For example, Chemical Vapor Deposition
(CVD) ‘coating process’ control the
‘‘technology’’ for a particular application of
‘silicides’ to ‘Carbon-carbon, Ceramic and
Metal ‘‘matrix’’ ‘‘composites’’ substrates, but
are not controlled for the application of
‘silicides’ to ‘Cemented tungsten carbide (16),
Silicon carbide (18)’ substrates. In the second
case, the resultant coating is not listed in the
paragraph under column 3 directly across
from the paragraph under column 2 listing
‘Cemented tungsten carbide (16), Silicon
carbide (18).’
27. In supplement no. 1 to part 774,
Category 3, Product Group A is
amended by revising Notes 1 and 2 and
N.B. before ECCN 3A001 to read as
follows:
■
Category 3—Electronics
A. ‘‘End Items’’, ‘‘Equipment’’,
‘‘Accessories’’, ‘‘Attachments’’, ‘‘Parts’’,
‘‘Components’’, and ‘‘Systems’’
Note 1: The control status of equipment
and ‘‘components’’ described in 3A001 or
3A002, other than those described in
3A001.a.3 to 3A001.a.10, or 3A001.a.12 to
3A001.a.14, which are ‘‘specially designed’’
for or which have the same functional
characteristics as other equipment is
determined by the control status of the other
equipment.
Note 2: The control status of integrated
circuits described in 3A001.a.3 to 3A001.a.9,
or 3A001.a.12 to 3A001.a.14, which are
unalterably programmed or designed for a
specific function for other equipment is
determined by the control status of the other
equipment.
N.B.: When the manufacturer or applicant
cannot determine the control status of the
other equipment, the control status of the
integrated circuits is determined in
3A001.a.3 to 3A001.a.9, and 3A001.a.12 to
3A001.a.14.
28. In supplement no. 1 to part 774,
Category 3, ECCN 3A001 is revised to
read as follows:
■
3A001 Electronic items as follows (see List
of Items Controlled).
Reason for Control: NS, RS, MT, NP, AT
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Control(s)
amozie on DSK3GDR082PROD with RULES2
NS applies to ‘‘Monolithic Microwave
Integrated Circuit’’
(‘‘MMIC’’) amplifiers
in 3A001.b.2 and
discrete microwave
transistors in
3A001.b.3, except
those 3A001.b.2
and b.3 items
being exported or
reexported for use
in civil telecommunications
applications.
NS applies to entire
entry.
RS applies ‘‘Monolithic Microwave Integrated Circuit’’
(‘‘MMIC’’) amplifiers
in 3A001.b.2 and
discrete microwave
transistors in
3A001.b.3, except
those 3A001.b.2
and b.3 items
being exported or
reexported for use
in civil telecommunications
applications.
MT applies to
3A001.a.1.a when
usable in ‘‘missiles’’; and to
3A001.a.5.a when
‘‘designed or modified’’ for military
use, hermetically
sealed and rated
for operation in the
temperature range
from below -54°C
to above +125°C.
NP applies to pulse
discharge capacitors in 3A001.e.2
and superconducting solenoidal
electromagnets in
3A001.e.3 that
meet or exceed the
technical parameters in 3A201.a
and 3A201.b, respectively.
AT applies to entire
entry.
Country chart
(see Supp. No. 1
to part 738)
NS Column 1
NS Column 2
RS Column 1
Special Conditions for STA
STA: License Exception STA may not be
used to ship any item in 3A001.b.2 or b.3,
except those that are being exported or
reexported for use in civil
telecommunications applications, to any of
the destinations listed in Country Group
A:5 or A:6 (See Supplement No.1 to part
740 of the EAR).
List of Items Controlled
Related Controls: (1) See Category XV of the
USML for certain ‘‘space-qualified’’
electronics and Category XI of the USML
for certain ASICs, ‘transmit/receive
modules,’ or ‘transmit modules’ ‘‘subject to
the ITAR’’ (see 22 CFR parts 120 through
130). (2) See also 3A101, 3A201, 3A611,
3A991, and 9A515.
Related Definitions: ‘Microcircuit’ means a
device in which a number of passive or
active elements are considered as
indivisibly associated on or within a
continuous structure to perform the
function of a circuit. For the purposes of
integrated circuits in 3A001.a.1, 5 × 103 Gy
(Si) = 5 × 105 Rads (Si); 5 × 106 Gy (Si)/
s = 5 × 108 Rads (Si)/s.
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.
MT Column 1
NP Column 1
AT Column 1
License Requirements Note: See § 744.17
of the EAR for additional license
requirements for microprocessors having a
processing speed of 5 GFLOPS or more and
an arithmetic logic unit with an access width
of 32 bit or more, including those
incorporating ‘‘information security’’
functionality, and associated ‘‘software’’ and
‘‘technology’’ for the ‘‘production’’ or
‘‘development’’ of such microprocessors.
VerDate Sep<11>2014
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
LVS: N/A for MT or NP; N/A for ‘‘Monolithic
Microwave Integrated Circuit’’ (‘‘MMIC’’)
amplifiers in 3A001.b.2 and discrete
microwave transistors in 3A001.b.3, except
those that are being exported or reexported
for use in civil telecommunications
applications
Yes for:
$1,500: 3A001.c
$3,000: 3A001.b.1, b.2 (exported or
reexported for use in civil
telecommunications applications), b.3
(exported or reexported for use in civil
telecommunications applications), b.9, .d,
.e, .f, and .g.
$5,000: 3A001.a (except a.1.a and a.5.a when
controlled for MT), b.4 to b.7, and b.12.
GBS: Yes for 3A001.a.1.b, a.2 to a.14 (except
.a.5.a when controlled for MT), b.2
(exported or reexported for use in civil
telecommunications applications), b.8
(except for vacuum electronic device
amplifiers exceeding 18 GHz), b.9, b.10, .g,
.h, and .i.
18:49 Oct 23, 2018
Jkt 247001
Note 2: Integrated circuits include the
following types:
—‘‘Monolithic integrated circuits’’
— ‘‘Hybrid integrated circuits’’;
— ‘‘Multichip integrated circuits’’;
— ‘‘Film type integrated circuits’’, including
silicon-on-sapphire integrated circuits;
— ‘‘Optical integrated circuits’’;
— ‘‘Three dimensional integrated circuits’’;
— ‘‘Monolithic Microwave Integrated
Circuits’’ (‘‘MMICs’’).
a.1. Integrated circuits designed or rated as
radiation hardened to withstand any of the
following:
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a.1.a. A total dose of 5 × 103 Gy (Si), or
higher;
a.1.b. A dose rate upset of 5 × 106 Gy (Si)/
s, or higher; or
a.1.c. A fluence (integrated flux) of
neutrons (1 MeV equivalent) of 5 × 1013 n/
cm2 or higher on silicon, or its equivalent for
other materials;
Note: 3A001.a.1.c does not apply to Metal
Insulator Semiconductors (MIS).
a.2. ‘‘Microprocessor microcircuits’’,
‘‘microcomputer microcircuits’’,
microcontroller microcircuits, storage
integrated circuits manufactured from a
compound semiconductor, analog-to-digital
converters, integrated circuits that contain
analog-to-digital converters and store or
process the digitized data, digital-to-analog
converters, electro-optical or ‘‘optical
integrated circuits’’ designed for ‘‘signal
processing’’, field programmable logic
devices, custom integrated circuits for which
either the function is unknown or the control
status of the equipment in which the
integrated circuit will be used in unknown,
Fast Fourier Transform (FFT) processors,
Static Random-Access Memories (SRAMs), or
‘non-volatile memories,’ having any of the
following:
Technical Note: ‘Non-volatile memories’
are memories with data retention over a
period of time after a power shutdown.
a.2.a. Rated for operation at an ambient
temperature above 398 K (+125 °C);
a.2.b. Rated for operation at an ambient
temperature below 218 K (¥55 °C); or
a.2.c. Rated for operation over the entire
ambient temperature range from 218 K (¥55
°C) to 398 K (125 °C);
Note: 3A001.a.2 does not apply to
integrated circuits for civil automobile or
railway train applications.
a.3. ‘‘Microprocessor microcircuits’’,
‘‘microcomputer microcircuits’’ and
microcontroller microcircuits, manufactured
from a compound semiconductor and
operating at a clock frequency exceeding 40
MHz;
Note: 3A001.a.3 includes digital signal
processors, digital array processors and
digital coprocessors.
a.4. [Reserved]
a.5. Analog-to-Digital Converter (ADC) and
Digital-to-Analog Converter (DAC) integrated
circuits, as follows:
a.5.a. ADCs having any of the following:
a.5.a.1. A resolution of 8 bit or more, but
less than 10 bit, with a ‘‘sample rate’’ greater
than 1.3 Giga Samples Per Second (GSPS);
a.5.a.2. A resolution of 10 bit or more, but
less than 12 bit, with a ‘‘sample rate’’ rate
greater than 600 Mega Samples Per Second
(MSPS);
a.5.a.3. A resolution of 12 bit or more, but
less than 14 bit, with a ‘‘sample rate’’ rate
greater than 400 MSPS;
a.5.a.4. A resolution of 14 bit or more, but
less than 16 bit, with a ‘‘sample rate’’ rate
greater than 250 MSPS; or
a.5.a.5. A resolution of 16 bit or more with
a ‘‘sample rate’’ rate greater than 65 MSPS;
N.B.: For integrated circuits that contain
analog-to-digital converters and store or
process the digitized data see 3A001.a.14.
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Technical Notes:
1. A resolution of n bit corresponds to a
quantization of 2n levels.
2. The resolution of the ADC is the number
of bits of the digital output that represents
the measured analog input. Effective Number
of Bits (ENOB) is not used to determine the
resolution of the ADC.
3. For ‘‘multiple channel ADCs’’, the
‘‘sample rate’’ is not aggregated and the
‘‘sample rate’’ is the maximum rate of any
single channel.
4. For ‘‘interleaved ADCs’’ or for ‘‘multiple
channel ADCs’’ that are specified to have an
interleaved mode of operation, the ‘‘sample
rates’’ are aggregated and the ‘‘sample rate’’
is the maximum combined total rate of all of
the interleaved channels.
a.5.b. Digital-to-Analog Converters (DAC)
having any of the following:
a.5.b.1. A resolution of 10 bit or more with
an ‘adjusted update rate’ of greater than 3,500
MSPS; or
a.5.b.2. A resolution of 12-bit or more with
an ‘adjusted update rate’ of greater than 1,250
MSPS and having any of the following:
a.5.b.2.a. A settling time less than 9 ns to
arrive at or within 0.024% of full scale from
a full scale step; or
a.5.b.2.b. A ‘Spurious Free Dynamic Range’
(SFDR) greater than 68 dBc (carrier) when
synthesizing a full scale analog signal of 100
MHz or the highest full scale analog signal
frequency specified below 100 MHz.
Technical Notes:
1. ‘Spurious Free Dynamic Range’ (SFDR)
is defined as the ratio of the RMS value of
the carrier frequency (maximum signal
component) at the input of the DAC to the
RMS value of the next largest noise or
harmonic distortion component at its output.
2. SFDR is determined directly from the
specification table or from the
characterization plots of SFDR versus
frequency.
3. A signal is defined to be full scale when
its amplitude is greater than ¥3 dBfs (full
scale).
4. ‘Adjusted update rate’ for DACs is:
a. For conventional (non-interpolating)
DACs, the ‘adjusted update rate’ is the rate
at which the digital signal is converted to an
analog signal and the output analog values
are changed by the DAC. For DACs where the
interpolation mode may be bypassed
(interpolation factor of one), the DAC should
be considered as a conventional (noninterpolating) DAC.
b. For interpolating DACs (oversampling
DACs), the ‘adjusted update rate’ is defined
as the DAC update rate divided by the
smallest interpolating factor. For
interpolating DACs, the ‘adjusted update rate’
may be referred to by different terms
including:
• Input data rate.
• input word rate.
• input sample rate.
• maximum total input bus rate.
• maximum DAC clock rate for DAC clock
input.
a.6. Electro-optical and ‘‘optical integrated
circuits’’, designed for ‘‘signal processing’’
and having all of the following:
a.6.a. One or more than one internal
‘‘laser’’ diode;
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20:04 Oct 23, 2018
Jkt 247001
a.6.b. One or more than one internal light
detecting element; and
a.6.c. Optical waveguides;
a.7. ‘Field programmable logic devices’
having any of the following:
a.7.a. A maximum number of single-ended
digital input/outputs of greater than 700; or
a.7.b. An ‘aggregate one-way peak serial
transceiver data rate’ of 500 Gb/s or greater;
Note: 3A001.a.7 includes:
—Complex Programmable Logic Devices
(CPLDs)
—Field Programmable Gate Arrays (FPGAs)
—Field Programmable Logic Arrays (FPLAs)
—Field Programmable Interconnects (FPICs)
N.B.: For integrated circuits having field
programmable logic devices that are
combined with an analog-to-digital converter,
see 3A001.a.14.
Technical Notes:
1. Maximum number of digital input/
outputs in 3A001.a.7.a is also referred to as
maximum user input/outputs or maximum
available input/outputs, whether the
integrated circuit is packaged or bare die.
2. ‘Aggregate one-way peak serial
transceiver data rate’ is the product of the
peak serial one-way transceiver data rate
times the number of transceivers on the
FPGA.
a.8. [Reserved]
a.9. Neural network integrated circuits;
a.10. Custom integrated circuits for which
the function is unknown, or the control
status of the equipment in which the
integrated circuits will be used is unknown
to the manufacturer, having any of the
following:
a.10.a. More than 1,500 terminals;
a.10.b. A typical ‘‘basic gate propagation
delay time’’ of less than 0.02 ns; or
a.10.c. An operating frequency exceeding 3
GHz;
a.11. Digital integrated circuits, other than
those described in 3A001.a.3 to 3A001.a.10
and 3A001.a.12, based upon any compound
semiconductor and having any of the
following:
a.11.a. An equivalent gate count of more
than 3,000 (2 input gates); or
a.11.b. A toggle frequency exceeding 1.2
GHz;
a.12. Fast Fourier Transform (FFT)
processors having a rated execution time for
an N-point complex FFT of less than (N log2
N)/20,480 ms, where N is the number of
points;
Technical Note: When N is equal to 1,024
points, the formula in 3A001.a.12 gives an
execution time of 500 ms.
a.13. Direct Digital Synthesizer (DDS)
integrated circuits having any of the
following:
a.13.a. A Digital-to-Analog Converter
(DAC) clock frequency of 3.5 GHz or more
and a DAC resolution of 10 bit or more, but
less than 12 bit; or
a.13.b. A DAC clock frequency of 1.25 GHz
or more and a DAC resolution of 12 bit or
more;
Technical Note: The DAC clock frequency
may be specified as the master clock
frequency or the input clock frequency.
a.14. Integrated circuits that perform or are
programmable to perform all of the following:
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a.14.a. Analog-to-digital conversions
meeting any of the following:
a.14.a.1. A resolution of 8 bit or more, but
less than 10 bit, with a ‘‘sample rate’’ greater
than 1.3 Giga Samples Per Second (GSPS);
a.14.a.2. A resolution of 10 bit or more, but
less than 12 bit, with a ‘‘sample rate’’ greater
than 1.0 GSPS;
a.14.a.3. A resolution of 12 bit or more, but
less than 14 bit, with a ‘‘sample rate’’ greater
than 1.0 GSPS;
a.14.a.4. A resolution of 14 bit or more, but
less than 16 bit, with a ‘‘sample rate’’ greater
than 400 Mega Samples Per Second (MSPS);
or
a.14.a.5. A resolution of 16 bit or more
with a ‘‘sample rate’’ greater than 180 MSPS;
and
a.14.b. Any of the following:
a.14.b.1. Storage of digitized data; or
a.14.b.2. Processing of digitized data;
N.B. 1: For analog-to-digital converter
integrated circuits see 3A001.a.5.a.
N.B. 2: For field programmable logic
devices see 3A001.a.7.
Technical Notes:
1. A resolution of n bit corresponds to a
quantization of 2n levels.
2. The resolution of the ADC is the number
of bits of the digital output of the ADC that
represents the measured analog input.
Effective Number of Bits (ENOB) is not used
to determine the resolution of the ADC.
3. For integrated circuits with noninterleaving ‘‘multiple channel ADCs’’, the
‘‘sample rate’’ is not aggregated and the
‘‘sample rate’’ is the maximum rate of any
single channel.
4. For integrated circuits with ‘‘interleaved
ADCs’’ or with ‘‘multiple channel ADCs’’ that
are specified to have an interleaved mode of
operation, the ‘‘sample rates’’ are aggregated
and the ‘‘sample rate’’ is the maximum
combined total rate of all of the interleaved
channels.
b. Microwave or millimeter wave items, as
follows:
Technical Note:
1. For purposes of 3A001.b, the parameter
peak saturated power output may also be
referred to on product data sheets as output
power, saturated power output, maximum
power output, peak power output, or peak
envelope power output.
2. For purposes of 3A001.b.1, ‘vacuum
electronic devices’ are electronic devices
based on the interaction of an electron beam
with an electromagnetic wave propagating in
a vacuum circuit or interacting with radiofrequency vacuum cavity resonators.
‘Vacuum electronic devices’ include
klystrons, traveling-wave tubes, and their
derivatives.
b.1. ‘Vacuum electronic devices’ and
cathodes, as follows:
Note 1: 3A001.b.1 does not control
‘vacuum electronic devices’ designed or rated
for operation in any frequency band and
having all of the following:
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a. Does not exceed 31.8 GHz; and
b. Is ‘‘allocated by the ITU’’ for radiocommunications services, but not for radiodetermination.
Note 2: 3A001.b.1 does not control non‘‘space-qualified’’ ‘vacuum electronic
devices’ having all the following:
a. An average output power equal to or less
than 50 W; and
b. Designed or rated for operation in any
frequency band and having all of the
following:
1. Exceeds 31.8 GHz but does not exceed
43.5 GHz; and
2. Is ‘‘allocated by the ITU’’ for radiocommunications services, but not for radiodetermination.
b.1.a. Traveling-wave ‘vacuum electronic
devices,’ pulsed or continuous wave, as
follows:
b.1.a.1. Devices operating at frequencies
exceeding 31.8 GHz;
b.1.a.2. Devices having a cathode heater
with a turn on time to rated RF power of less
than 3 seconds;
b.1.a.3. Coupled cavity devices, or
derivatives thereof, with a ‘‘fractional
bandwidth’’ of more than 7% or a peak
power exceeding 2.5 kW;
b.1.a.4. Devices based on helix, folded
waveguide, or serpentine waveguide circuits,
or derivatives thereof, having any of the
following:
b.1.a.4.a. An ‘‘instantaneous bandwidth’’ of
more than one octave, and average power
(expressed in kW) times frequency
(expressed in GHz) of more than 0.5;
b.1.a.4.b. An ‘‘instantaneous bandwidth’’ of
one octave or less, and average power
(expressed in kW) times frequency
(expressed in GHz) of more than 1;
b.1.a.4.c. Being ‘‘space-qualified’’; or
b.1.a.4.d. Having a gridded electron gun;
b.1.a.5. Devices with a ‘‘fractional
bandwidth’’ greater than or equal to 10%,
with any of the following:
b.1.a.5.a. An annular electron beam;
b.1.a.5.b. A non-axisymmetric electron
beam; or
b.1.a.5.c. Multiple electron beams;
b.1.b. Crossed-field amplifier ‘vacuum
electronic devices’ with a gain of more than
17 dB;
b.1.c. Thermionic cathodes, designed for
‘vacuum electronic devices,’ producing an
emission current density at rated operating
conditions exceeding 5 A/cm2 or a pulsed
(non-continuous) current density at rated
operating conditions exceeding 10 A/cm2;
b.1.d. ‘Vacuum electronic devices’ with the
capability to operate in a ‘dual mode.’
Technical Note: ‘Dual mode’ means the
‘vacuum electronic device’ beam current can
be intentionally changed between
continuous-wave and pulsed mode operation
by use of a grid and produces a peak pulse
output power greater than the continuouswave output power.
b.2. ‘‘Monolithic Microwave Integrated
Circuit’’ (‘‘MMIC’’) amplifiers that are any of
the following:
N.B.: For ‘‘MMIC’’ amplifiers that have an
integrated phase shifter see 3A001.b.12.
b.2.a. Rated for operation at frequencies
exceeding 2.7 GHz up to and including 6.8
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GHz with a ‘‘fractional bandwidth’’ greater
than 15%, and having any of the following:
b.2.a.1. A peak saturated power output
greater than 75 W (48.75 dBm) at any
frequency exceeding 2.7 GHz up to and
including 2.9 GHz;
b.2.a.2. A peak saturated power output
greater than 55 W (47.4 dBm) at any
frequency exceeding 2.9 GHz up to and
including 3.2 GHz;
b.2.a.3. A peak saturated power output
greater than 40 W (46 dBm) at any frequency
exceeding 3.2 GHz up to and including 3.7
GHz; or
b.2.a.4. A peak saturated power output
greater than 20 W (43 dBm) at any frequency
exceeding 3.7 GHz up to and including 6.8
GHz;
b.2.b. Rated for operation at frequencies
exceeding 6.8 GHz up to and including 16
GHz with a ‘‘fractional bandwidth’’ greater
than 10%, and having any of the following:
b.2.b.1. A peak saturated power output
greater than 10 W (40 dBm) at any frequency
exceeding 6.8 GHz up to and including 8.5
GHz; or
b.2.b.2. A peak saturated power output
greater than 5 W (37 dBm) at any frequency
exceeding 8.5 GHz up to and including 16
GHz;
b.2.c. Rated for operation with a peak
saturated power output greater than 3 W
(34.77 dBm) at any frequency exceeding 16
GHz up to and including 31.8 GHz, and with
a ‘‘fractional bandwidth’’ of greater than
10%;
b.2.d. Rated for operation with a peak
saturated power output greater than 0.1n W
(-70 dBm) at any frequency exceeding 31.8
GHz up to and including 37 GHz;
b.2.e. Rated for operation with a peak
saturated power output greater than 1 W (30
dBm) at any frequency exceeding 37 GHz up
to and including 43.5 GHz, and with a
‘‘fractional bandwidth’’ of greater than 10%;
b.2.f. Rated for operation with a peak
saturated power output greater than 31.62
mW (15 dBm) at any frequency exceeding
43.5 GHz up to and including 75 GHz, and
with a ‘‘fractional bandwidth’’ of greater than
10%;
b.2.g. Rated for operation with a peak
saturated power output greater than 10 mW
(10 dBm) at any frequency exceeding 75 GHz
up to and including 90 GHz, and with a
‘‘fractional bandwidth’’ of greater than 5%; or
b.2.h. Rated for operation with a peak
saturated power output greater than 0.1 nW
(-70 dBm) at any frequency exceeding 90
GHz;
Note 1: [Reserved]
Note 2: The control status of the ‘‘MMIC’’
whose rated operating frequency includes
frequencies listed in more than one
frequency range, as defined by 3A001.b.2.a
through 3A001.b.2.h, is determined by the
lowest peak saturated power output control
threshold.
Note 3: Notes 1 and 2 following the
Category 3 heading for product group A.
Systems, Equipment, and Components mean
that 3A001.b.2 does not control ‘‘MMICs’’ if
they are ‘‘specially designed’’ for other
applications, e.g., telecommunications, radar,
automobiles.
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b.3. Discrete microwave transistors that are
any of the following:
b.3.a. Rated for operation at frequencies
exceeding 2.7 GHz up to and including 6.8
GHz and having any of the following:
b.3.a.1. A peak saturated power output
greater than 400 W (56 dBm) at any
frequency exceeding 2.7 GHz up to and
including 2.9 GHz;
b.3.a.2. A peak saturated power output
greater than 205 W (53.12 dBm) at any
frequency exceeding 2.9 GHz up to and
including 3.2 GHz;
b.3.a.3. A peak saturated power output
greater than 115 W (50.61 dBm) at any
frequency exceeding 3.2 GHz up to and
including 3.7 GHz; or
b.3.a.4. A peak saturated power output
greater than 60 W (47.78 dBm) at any
frequency exceeding 3.7 GHz up to and
including 6.8 GHz;
b.3.b. Rated for operation at frequencies
exceeding 6.8 GHz up to and including 31.8
GHz and having any of the following:
b.3.b.1. A peak saturated power output
greater than 50 W (47 dBm) at any frequency
exceeding 6.8 GHz up to and including 8.5
GHz;
b.3.b.2. A peak saturated power output
greater than 15 W (41.76 dBm) at any
frequency exceeding 8.5 GHz up to and
including 12 GHz;
b.3.b.3. A peak saturated power output
greater than 40 W (46 dBm) at any frequency
exceeding 12 GHz up to and including 16
GHz; or
b.3.b.4. A peak saturated power output
greater than 7 W (38.45 dBm) at any
frequency exceeding 16 GHz up to and
including 31.8 GHz;
b.3.c. Rated for operation with a peak
saturated power output greater than 0.5 W
(27 dBm) at any frequency exceeding 31.8
GHz up to and including 37 GHz;
b.3.d. Rated for operation with a peak
saturated power output greater than 1 W (30
dBm) at any frequency exceeding 37 GHz up
to and including 43.5 GHz; or
b.3.e. Rated for operation with a peak
saturated power output greater than 0.1 nW
(¥70 dBm) at any frequency exceeding 43.5
GHz;
Note 1: The control status of a transistor,
whose rated operating frequency includes
frequencies listed in more than one
frequency range, as defined by 3A001.b.3.a
through 3A001.b.3.e, is determined by the
lowest peak saturated power output control
threshold.
Note 2: 3A001.b.3 includes bare dice, dice
mounted on carriers, or dice mounted in
packages. Some discrete transistors may also
be referred to as power amplifiers, but the
status of these discrete transistors is
determined by 3A001.b.3.
b.4. Microwave solid state amplifiers and
microwave assemblies/modules containing
microwave solid state amplifiers, that are any
of the following:
b.4.a. Rated for operation at frequencies
exceeding 2.7 GHz up to and including 6.8
GHz with a ‘‘fractional bandwidth’’ greater
than 15%, and having any of the following:
b.4.a.1. A peak saturated power output
greater than 500 W (57 dBm) at any
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frequency exceeding 2.7 GHz up to and
including 2.9 GHz;
b.4.a.2. A peak saturated power output
greater than 270 W (54.3 dBm) at any
frequency exceeding 2.9 GHz up to and
including 3.2 GHz;
b.4.a.3. A peak saturated power output
greater than 200 W (53 dBm) at any
frequency exceeding 3.2 GHz up to and
including 3.7 GHz; or
b.4.a.4. A peak saturated power output
greater than 90 W (49.54 dBm) at any
frequency exceeding 3.7 GHz up to and
including 6.8 GHz;
b.4.b. Rated for operation at frequencies
exceeding 6.8 GHz up to and including 31.8
GHz with a ‘‘fractional bandwidth’’ greater
than 10%, and having any of the following:
b.4.b.1. A peak saturated power output
greater than 70 W (48.54 dBm) at any
frequency exceeding 6.8 GHz up to and
including 8.5 GHz;
b.4.b.2. A peak saturated power output
greater than 50 W (47 dBm) at any frequency
exceeding 8.5 GHz up to and including 12
GHz;
b.4.b.3. A peak saturated power output
greater than 30 W (44.77 dBm) at any
frequency exceeding 12 GHz up to and
including 16 GHz; or
b.4.b.4. A peak saturated power output
greater than 20 W (43 dBm) at any frequency
exceeding 16 GHz up to and including 31.8
GHz;
b.4.c. Rated for operation with a peak
saturated power output greater than 0.5 W
(27 dBm) at any frequency exceeding 31.8
GHz up to and including 37 GHz;
b.4.d. Rated for operation with a peak
saturated power output greater than 2 W (33
dBm) at any frequency exceeding 37 GHz up
to and including 43.5 GHz, and with a
‘‘fractional bandwidth’’ of greater than 10%;
b.4.e. Rated for operation at frequencies
exceeding 43.5 GHz and having any of the
following:
b.4.e.1. A peak saturated power output
greater than 0.2 W (23 dBm) at any frequency
exceeding 43.5 GHz up to and including 75
GHz, and with a ‘‘fractional bandwidth’’ of
greater than 10%;
b.4.e.2. A peak saturated power output
greater than 20 mW (13 dBm) at any
frequency exceeding 75 GHz up to and
including 90 GHz, and with a ‘‘fractional
bandwidth’’ of greater than 5%; or
b.4.e.3. A peak saturated power output
greater than 0.1 nW (¥70 dBm) at any
frequency exceeding 90 GHz; or
b.4.f. [Reserved]
N.B.:
1. For ‘‘MMIC’’ amplifiers see 3A001.b.2.
2. For ‘transmit/receive modules’ and
‘transmit modules’ see 3A001.b.12.
3. For converters and harmonic mixers,
designed to extend the operating or
frequency range of signal analyzers, signal
generators, network analyzers or microwave
test receivers, see 3A001.b.7.
Note 1: [Reserved]
Note 2: The control status of an item whose
rated operating frequency includes
frequencies listed in more than one
frequency range, as defined by 3A001.b.4.a
through 3A001.b.4.e, is determined by the
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lowest peak saturated power output control
threshold.
b.5. Electronically or magnetically tunable
band-pass or band-stop filters, having more
than 5 tunable resonators capable of tuning
across a 1.5:1 frequency band (fmax/fmin) in
less than 10 ms and having any of the
following:
b.5.a. A band-pass bandwidth of more than
0.5% of center frequency; or
b.5.b. A band-stop bandwidth of less than
0.5% of center frequency;
b.6. [Reserved]
b.7. Converters and harmonic mixers, that
are any of the following:
b.7.a. Designed to extend the frequency
range of ‘‘signal analyzers’’ beyond 90 GHz;
b.7.b. Designed to extend the operating
range of signal generators as follows:
b.7.b.1. Beyond 90 GHz;
b.7.b.2. To an output power greater than
100 mW (20 dBm) anywhere within the
frequency range exceeding 43.5 GHz but not
exceeding 90 GHz;
b.7.c. Designed to extend the operating
range of network analyzers as follows:
b.7.c.1. Beyond 110 GHz;
b.7.c.2. To an output power greater than
31.62 mW (15 dBm) anywhere within the
frequency range exceeding 43.5 GHz but not
exceeding 90 GHz;
b.7.c.3. To an output power greater than 1
mW (0 dBm) anywhere within the frequency
range exceeding 90 GHz but not exceeding
110 GHz; or
b.7.d. Designed to extend the frequency
range of microwave test receivers beyond 110
GHz;
b.8. Microwave power amplifiers
containing ‘vacuum electronic devices’
controlled by 3A001.b.1 and having all of the
following:
b.8.a. Operating frequencies above 3 GHz;
b.8.b. An average output power to mass
ratio exceeding 80 W/kg; and
b.8.c. A volume of less than 400 cm3;
Note: 3A001.b.8 does not control
equipment designed or rated for operation in
any frequency band which is ‘‘allocated by
the ITU’’ for radio-communications services,
but not for radio-determination.
b.9. Microwave Power Modules (MPM)
consisting of, at least, a traveling-wave
‘vacuum electronic device,’ a ‘‘Monolithic
Microwave Integrated Circuit’’ (‘‘MMIC’’) and
an integrated electronic power conditioner
and having all of the following:
b.9.a. A ‘turn-on time’ from off to fully
operational in less than 10 seconds;
b.9.b. A volume less than the maximum
rated power in Watts multiplied by 10 cm3/
W; and
b.9.c. An ‘‘instantaneous bandwidth’’
greater than 1 octave (fmax. > 2fmin,) and
having any of the following:
b.9.c.1. For frequencies equal to or less
than 18 GHz, an RF output power greater
than 100 W; or
b.9.c.2. A frequency greater than 18 GHz;
Technical Notes: 1. To calculate the
volume in 3A001.b.9.b., the following
example is provided: For a maximum rated
power of 20 W, the volume would be: 20 W
× 10 cm3/W = 200 cm3.
2. The ‘turn-on time’ in 3A001.b.9.a. refers
to the time from fully-off to fully operational,
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i.e., it includes the warm-up time of the
MPM.
b.10. Oscillators or oscillator assemblies,
specified to operate with a single sideband
(SSB) phase noise, in dBc/Hz, less (better)
than ¥(126 + 20log10F¥20log10f) anywhere
within the range of 10 Hz ≤ F ≤ 10 kHz;
Technical Note: In 3A001.b.10, F is the
offset from the operating frequency in Hz and
f is the operating frequency in MHz.
b.11. ‘Frequency synthesizer’ ‘‘electronic
assemblies’’ having a ‘‘frequency switching
time’’ as specified by any of the following:
b.11.a. Less than 143 ps;
b.11.b. Less than 100 ms for any frequency
change exceeding 2.2 GHz within the
synthesized frequency range exceeding 4.8
GHz but not exceeding 31.8 GHz;
b.11.c. [Reserved]
b.11.d. Less than 500 ms for any frequency
change exceeding 550 MHz within the
synthesized frequency range exceeding 31.8
GHz but not exceeding 37 GHz; or
b.11.e. Less than 100 ms for any frequency
change exceeding 2.2 GHz within the
synthesized frequency range exceeding 37
GHz but not exceeding 90 GHz; or
b.11.f. [Reserved]
b.11.g. Less than 1 ms within the
synthesized frequency range exceeding 90
GHz;
Technical Note: A ‘frequency synthesizer’
is any kind of frequency source, regardless of
the actual technique used, providing a
multiplicity of simultaneous or alternative
output frequencies, from one or more
outputs, controlled by, derived from or
disciplined by a lesser number of standard
(or master) frequencies.
N.B.: For general purpose ‘‘signal
analyzers’’, signal generators, network
analyzers and microwave test receivers, see
3A002.c, 3A002.d, 3A002.e and 3A002.f,
respectively.
b.12. ‘Transmit/receive modules,’
‘transmit/receive MMICs,’ ‘transmit
modules,’ and ‘transmit MMICs,’ rated for
operation at frequencies above 2.7 GHz and
having all of the following:
b.12.a. A peak saturated power output (in
watts), Psat, greater than 505.62 divided by
the maximum operating frequency (in GHz)
squared [Psat > 505.62 W * GHz2/fGHz2] for
any channel;
b.12.b. A ‘‘fractional bandwidth’’ of 5% or
greater for any channel;
b.12.c. Any planar side with length d (in
cm) equal to or less than 15 divided by the
lowest operating frequency in GHz [d ≤ 15cm
* GHz * N/fGHz] where N is the number of
transmit or transmit/receive channels; and
b.12.d. An electronically variable phase
shifter per channel.
Technical Notes: 1. A ‘transmit/receive
module’ is a multifunction ‘‘electronic
assembly’’ that provides bi-directional
amplitude and phase control for transmission
and reception of signals.
2. A ‘transmit module’ is an ‘‘electronic
assembly’’ that provides amplitude and
phase control for transmission of signals.
3. A ‘transmit/receive MMIC’ is a
multifunction ‘‘MMIC’’ that provides bidirectional amplitude and phase control for
transmission and reception of signals.
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4. A ‘transmit MMIC’ is a ‘‘MMIC’’ that
provides amplitude and phase control for
transmission of signals.
5. 2.7 GHz should be used as the lowest
operating frequency (fGHz) in the formula in
3A001.b.12.c for transmit/receive or transmit
modules that have a rated operation range
extending downward to 2.7 GHz and below
[d ≤ 15cm * GHz * N/2.7 GHz].
6. 3A001.b.12 applies to ‘transmit/receive
modules’ or ‘transmit modules’ with or
without a heat sink. The value of d in
3A001.b.12.c does not include any portion of
the ‘transmit/receive module’ or ‘transmit
module’ that functions as a heat sink.
7. ‘Transmit/receive modules’ or ‘transmit
modules,’ ‘transmit/receive MMICs’ or
‘transmit MMICs’ may or may not have N
integrated radiating antenna elements where
N is the number of transmit or transmit/
receive channels.
c. Acoustic wave devices as follows and
‘‘specially designed’’ ‘‘components’’ therefor:
c.1. Surface acoustic wave and surface
skimming (shallow bulk) acoustic wave
devices, having any of the following:
c.1.a. A carrier frequency exceeding 6 GHz;
c.1.b. A carrier frequency exceeding 1 GHz,
but not exceeding 6 GHz and having any of
the following:
c.1.b.1. A ‘frequency side-lobe rejection’
exceeding 65 dB;
c.1.b.2. A product of the maximum delay
time and the bandwidth (time in ms and
bandwidth in MHz) of more than 100;
c.1.b.3. A bandwidth greater than 250
MHz; or
c.1.b.4. A dispersive delay of more than 10
ms; or
c.1.c. A carrier frequency of 1 GHz or less
and having any of the following:
c.1.c.1. A product of the maximum delay
time and the bandwidth (time in ms and
bandwidth in MHz) of more than 100;
c.1.c.2. A dispersive delay of more than 10
ms; or
c.1.c.3. A ‘frequency side-lobe rejection’
exceeding 65 dB and a bandwidth greater
than 100 MHz;
Technical Note: ‘Frequency side-lobe
rejection’ is the maximum rejection value
specified in data sheet.
c.2. Bulk (volume) acoustic wave devices
that permit the direct processing of signals at
frequencies exceeding 6 GHz;
c.3. Acoustic-optic ‘‘signal processing’’
devices employing interaction between
acoustic waves (bulk wave or surface wave)
and light waves that permit the direct
processing of signals or images, including
spectral analysis, correlation or convolution;
Note: 3A001.c does not control acoustic
wave devices that are limited to a single band
pass, low pass, high pass or notch filtering,
or resonating function.
d. Electronic devices and circuits
containing ‘‘components’’, manufactured
from ‘‘superconductive’’ materials, ‘‘specially
designed’’ for operation at temperatures
below the ‘‘critical temperature’’ of at least
one of the ‘‘superconductive’’ constituents
and having any of the following:
d.1. Current switching for digital circuits
using ‘‘superconductive’’ gates with a
product of delay time per gate (in seconds)
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and power dissipation per gate (in watts) of
less than 10¥14 J; or
d.2. Frequency selection at all frequencies
using resonant circuits with Q-values
exceeding 10,000;
e. High energy devices as follows:
e.1. ‘Cells’ as follows:
e.1.a. ‘Primary cells’ having any of the
following at 20 °C:
e.1.a.1. ‘Energy density’ exceeding 550 Wh/
kg and a ‘continuous power density’
exceeding 50 W/kg; or
e.1.a.2. ‘Energy density’ exceeding 50 Wh/
kg and a ‘continuous power density’
exceeding 350 W/kg;
e.1.b. ‘Secondary cells’ having an ‘energy
density’ exceeding 350 Wh/kg at 293 K (20
°C);
Technical Notes: 1. For the purpose of
3A001.e.1, ‘energy density’ (Wh/kg) is
calculated from the nominal voltage
multiplied by the nominal capacity in
ampere-hours (Ah) divided by the mass in
kilograms. If the nominal capacity is not
stated, energy density is calculated from the
nominal voltage squared then multiplied by
the discharge duration in hours divided by
the discharge load in Ohms and the mass in
kilograms.
2. For the purpose of 3A001.e.1, a ‘cell’ is
defined as an electrochemical device, which
has positive and negative electrodes, an
electrolyte, and is a source of electrical
energy. It is the basic building block of a
battery.
3. For the purpose of 3A001.e.1.a, a
‘primary cell’ is a ‘cell’ that is not designed
to be charged by any other source.
4. For the purpose of 3A001.e.1.b, a
‘secondary cell’ is a ‘cell’ that is designed to
be charged by an external electrical source.
5. For the purpose of 3A001.e.1.a,
‘continuous power density’ (W/kg) is
calculated from the nominal voltage
multiplied by the specified maximum
continuous discharge current in ampere (A)
divided by the mass in kilograms.
‘Continuous power density’ is also referred to
as specific power.
Note: 3A001.e does not control batteries,
including single-cell batteries.
e.2. High energy storage capacitors as
follows:
e.2.a. Capacitors with a repetition rate of
less than 10 Hz (single shot capacitors) and
having all of the following:
e.2.a.1. A voltage rating equal to or more
than 5 kV;
e.2.a.2. An energy density equal to or more
than 250 J/kg; and
e.2.a.3. A total energy equal to or more
than 25 kJ;
e.2.b. Capacitors with a repetition rate of
10 Hz or more (repetition rated capacitors)
and having all of the following:
e.2.b.1. A voltage rating equal to or more
than 5 kV;
e.2.b.2. An energy density equal to or more
than 50 J/kg;
e.2.b.3. A total energy equal to or more
than 100 J; and
e.2.b.4. A charge/discharge cycle life equal
to or more than 10,000;
e.3. ‘‘Superconductive’’ electromagnets and
solenoids, ‘‘specially designed’’ to be fully
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charged or discharged in less than one
second and having all of the following:
Note: 3A001.e.3 does not control
‘‘superconductive’’ electromagnets or
solenoids ‘‘specially designed’’ for Magnetic
Resonance Imaging (MRI) medical
equipment.
e.3.a. Energy delivered during the
discharge exceeding 10 kJ in the first second;
e.3.b. Inner diameter of the current
carrying windings of more than 250 mm; and
e.3.c. Rated for a magnetic induction of
more than 8 T or ‘‘overall current density’’
in the winding of more than 300 A/mm2;
e.4. Solar cells, cell-interconnectcoverglass (CIC) assemblies, solar panels, and
solar arrays, which are ‘‘space-qualified’’,
having a minimum average efficiency
exceeding 20% at an operating temperature
of 301 K (28 °C) under simulated ‘AM0’
illumination with an irradiance of 1,367
Watts per square meter (W/m2);
Technical Note: ‘AM0,’ or ‘Air Mass Zero,’
refers to the spectral irradiance of sun light
in the earth’s outer atmosphere when the
distance between the earth and sun is one
astronomical unit (AU).
f. Rotary input type absolute position
encoders having an ‘‘accuracy’’ equal to or
less (better) than ±1.0 second of arc and
‘‘specially designed’’ encoder rings, discs or
scales therefor;
g. Solid-state pulsed power switching
thyristor devices and ‘thyristor modules,’
using either electrically, optically, or electron
radiation controlled switch methods and
having any of the following:
g.1. A maximum turn-on current rate of
rise (di/dt) greater than 30,000 A/ms and offstate voltage greater than 1,100 V; or
g.2. A maximum turn-on current rate of
rise (di/dt) greater than 2,000 A/ms and
having all of the following:
g.2.a. An off-state peak voltage equal to or
greater than 3,000 V; and
g.2.b. A peak (surge) current equal to or
greater than 3,000 A;
Note: 3A001.g. includes:
—Silicon Controlled Rectifiers (SCRs)
—Electrical Triggering Thyristors (ETTs)
—Light Triggering Thyristors (LTTs)
—Integrated Gate Commutated Thyristors
(IGCTs)
—Gate Turn-off Thyristors (GTOs)
—MOS Controlled Thyristors (MCTs)
—Solidtrons
Note 2: 3A001.g. does not control thyristor
devices and ‘thyristor modules’ incorporated
into equipment designed for civil railway or
‘‘civil aircraft’’ applications.
Technical Note: For the purposes of
3A001.g, a ‘thyristor module’ contains one or
more thyristor devices.
h. Solid-state power semiconductor
switches, diodes, or ‘modules,’ having all of
the following:
h.1. Rated for a maximum operating
junction temperature greater than 488 K (215
°C);
h.2. Repetitive peak off-state voltage
(blocking voltage) exceeding 300 V; and
h.3. Continuous current greater than 1 A.
Technical Note: For the purposes of
3A001.h, ‘modules’ contain one or more
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solid-state power semiconductor switches or
diodes.
Note 1: Repetitive peak off-state voltage in
3A001.h includes drain to source voltage,
collector to emitter voltage, repetitive peak
reverse voltage and peak repetitive off-state
blocking voltage.
Note: 3A001.h includes:
—Junction Field Effect Transistors (JFETs)
—Vertical Junction Field Effect Transistors
(VJFETs)
—Metal Oxide Semiconductor Field Effect
Transistors (MOSFETs)
—Double Diffused Metal Oxide
Semiconductor Field Effect Transistor
(DMOSFET)
—Insulated Gate Bipolar Transistor (IGBT)
—High Electron Mobility Transistors
(HEMTs)
—Bipolar Junction Transistors (BJTs)
—Thyristors and Silicon Controlled
Rectifiers (SCRs)
—Gate Turn-Off Thyristors (GTOs)
—Emitter Turn-Off Thyristors (ETOs)
—PiN Diodes
—Schottky Diodes
Note 3: 3A001.h does not apply to
switches, diodes, or ‘modules,’ incorporated
into equipment designed for civil
automobile, civil railway, or ‘‘civil aircraft’’
applications.
i. Intensity, amplitude, or phase electrooptic modulators, designed for analog signals
and having any of the following:
i.1. A maximum operating frequency of
more than 10 GHz but less than 20 GHz, an
optical insertion loss equal to or less than 3
dB and having any of the following:
i.1.a. A ‘half-wave voltage’ (‘Vp’) less than
2.7 V when measured at a frequency of 1 GHz
or below; or
i.1.b. A ‘Vp’ of less than 4 V when
measured at a frequency of more than 1 GHz;
or
i.2. A maximum operating frequency equal
to or greater than 20 GHz, an optical insertion
loss equal to or less than 3 dB and having
any of the following:
i.2.a. A ‘Vp’ less than 3.3 V when measured
at a frequency of 1 GHz or below; or
i.2.b. A ‘Vp’ less than 5 V when measured
at a frequency of more than 1 GHz.
Note: 3A001.i includes electro-optic
modulators having optical input and output
connectors (e.g., fiber-optic pigtails).
Technical Note: For the purposes of
3A001.i, a ‘half-wave voltage’ (‘Vp’) is the
applied voltage necessary to make a phase
change of 180 degrees in the wavelength of
light propagating through the optical
modulator.
29. In supplement no. 1 to part 774,
Category 3, ECCN 3A002 is revised to
read as follows:
amozie on DSK3GDR082PROD with RULES2
■
3A002 General purpose ‘‘electronic
assemblies’’, modules and equipment, as
follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, MT, AT
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Control(s)
NS applies to entire
entry.
MT applies to
3A002.h when the
parameters in
3A101.a.2.b are
met or exceeded.
AT applies to entire
entry.
Country chart
(see Supp. No. 1
to part 738)
NS Column 2
MT Column 1
AT Column 1
Reporting Requirements
See § 743.1 of the EAR for reporting
requirements for exports under License
Exceptions, and Validated End-User
authorizations.
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
LVS: $3,000: 3A002.a, .e, .f, and .g
$5,000: 3A002.c to .d, and .h (unless
controlled for MT);
GBS: Yes, for 3A002.h (unless controlled for
MT)
CIV: Yes, for 3A002.h (unless controlled for
MT)
Special Conditions for STA
STA: License Exception STA may not be
used to ship any item in 3A002.g.1 to any
of the destinations listed in Country Group
A:6 (See Supplement No.1 to part 740 of
the EAR).
List of Items Controlled
Related Controls: See Category XV(e)(9) of
the USML for certain ‘‘space-qualified’’
atomic frequency standards ‘‘subject to the
ITAR’’ (see 22 CFR parts 120 through 130).
See also 3A101, 3A992 and 9A515.x.
Related Definitions: Constant percentage
bandwidth filters are also known as octave
or fractional octave filters.
Items:
a. Recording equipment and oscilloscopes,
as follows:
a.1. to a.5. [Reserved]
N.B.: For waveform digitizers and transient
recorders, see 3A002.h.
a.6. Digital data recorders having all of the
following:
a.6.a. A sustained ‘continuous throughput’
of more than 6.4 Gbit/s to disk or solid-state
drive memory; and
a.6.b. A processor that performs analysis of
radio frequency signal data while it is being
recorded;
Technical Notes:
1. For recorders with a parallel bus
architecture, the ‘continuous throughput’ rate
is the highest word rate multiplied by the
number of bits in a word.
2. ‘Continuous throughput’ is the fastest
data rate the instrument can record to disk
or solid-state drive memory without the loss
of any information while sustaining the input
digital data rate or digitizer conversion rate.
a.7. Real-time oscilloscopes having a
vertical root-mean-square (rms) noise voltage
of less than 2% of full-scale at the vertical
scale setting that provides the lowest noise
value for any input 3 dB bandwidth of 60
GHz or greater per channel;
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Note: 3A002.a.7 does not apply to
equivalent-time sampling oscilloscopes.
b. [Reserved]
c. ‘‘Signal analyzers’’ as follows:
c.1. ‘‘Signal analyzers’’ having a 3 dB
resolution bandwidth (RBW) exceeding 40
MHz anywhere within the frequency range
exceeding 31.8 GHz but not exceeding 37
GHz;
c.2. ‘‘Signal analyzers’’ having Displayed
Average Noise Level (DANL) less (better)
than ¥150 dBm/Hz anywhere within the
frequency range exceeding 43.5 GHz but not
exceeding 90 GHz;
c.3. ‘‘Signal analyzers’’ having a frequency
exceeding 90 GHz;
c.4. ‘‘Signal analyzers’’ having all of the
following:
c.4.a. ‘Real-time bandwidth’ exceeding 170
MHz; and
c.4.b. Having any of the following:
c.4.b.1. 100% probability of discovery,
with less than a 3 dB reduction from full
amplitude due to gaps or windowing effects,
of signals having a duration of 15 ms or less;
or
c.4.b.2. A ‘frequency mask trigger’
function, with 100% probability of trigger
(capture) for signals having a duration of 15
ms or less;
Technical Notes:
1. ‘Real-time bandwidth’ is the widest
frequency range for which the analyzer can
continuously transform time-domain data
entirely into frequency-domain results, using
a Fourier or other discrete time transform
that processes every incoming time point,
without a reduction of measured amplitude
of more than 3 dB below the actual signal
amplitude caused by gaps or windowing
effects, while outputting or displaying the
transformed data.
2. Probability of discovery in 3A002.c.4.b.1
is also referred to as probability of intercept
or probability of capture.
3. For the purposes of 3A002.c.4.b.1, the
duration for 100% probability of discovery is
equivalent to the minimum signal duration
necessary for the specified level
measurement uncertainty.
4. A ‘frequency mask trigger’ is a
mechanism where the trigger function is able
to select a frequency range to be triggered on
as a subset of the acquisition bandwidth
while ignoring other signals that may also be
present within the same acquisition
bandwidth. A ‘frequency mask trigger’ may
contain more than one independent set of
limits.
Note: 3A002.c.4 does not apply to those
‘‘signal analyzers’’ using only constant
percentage bandwidth filters (also known as
octave or fractional octave filters).
c.5. [Reserved]
d. Signal generators having any of the
following:
d.1. Specified to generate pulse-modulated
signals having all of the following, anywhere
within the frequency range exceeding 31.8
GHz but not exceeding 37 GHz:
d.1.a. ‘Pulse duration’ of less than 25 ns;
and
d.1.b. On/off ratio equal to or exceeding 65
dB;
d.2. An output power exceeding 100 mW
(20 dBm) anywhere within the frequency
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range exceeding 43.5 GHz but not exceeding
90 GHz;
d.3. A ‘‘frequency switching time’’ as
specified by any of the following:
d.3.a. [Reserved]
d.3.b. Less than 100 ms for any frequency
change exceeding 2.2 GHz within the
frequency range exceeding 4.8 GHz but not
exceeding 31.8 GHz;
d.3.c. [Reserved]
d.3.d. Less than 500 ms for any frequency
change exceeding 550 MHz within the
frequency range exceeding 31.8 GHz but not
exceeding 37 GHz; or
d.3.e. Less than 100 ms for any frequency
change exceeding 2.2 GHz within the
frequency range exceeding 37 GHz but not
exceeding 90 GHz;
d.3.f. [Reserved]
d.4. Single sideband (SSB) phase noise, in
dBc/Hz, specified as being any of the
following:
d.4.a. Less (better) than ¥(126 + 20log10 F
¥20log10f) for anywhere within the range of
10 Hz ≤ F ≤ 10 kHz anywhere within the
frequency range exceeding 3.2 GHz but not
exceeding 90 GHz; or
d.4.b. Less (better) than ¥(206 ¥ 20log10f)
for anywhere within the range of 10 kHz <
F ≤ 100 kHz anywhere within the frequency
range exceeding 3.2 GHz but not exceeding
90 GHz; or
Technical Note: In 3A002.d.4, F is the
offset from the operating frequency in Hz and
f is the operating frequency in MHz.
d.5. A maximum frequency exceeding 90
GHz;
Note 1: For the purpose of 3A002.d, signal
generators include arbitrary waveform and
function generators.
amozie on DSK3GDR082PROD with RULES2
Note 2: 3A002.d does not control
equipment in which the output frequency is
either produced by the addition or
subtraction of two or more crystal oscillator
frequencies, or by an addition or subtraction
followed by a multiplication of the result.
Technical Notes:
1. The maximum frequency of an arbitrary
waveform or function generator is calculated
by dividing the sample rate, in samples/
second, by a factor of 2.5.
2. For the purposes of 3A002.d.1.a, ‘pulse
duration’ is defined as the time interval from
the point on the leading edge that is 50% of
the pulse amplitude to the point on the
trailing edge that is 50% of the pulse
amplitude.
e. Network analyzers having any of the
following:
e.1. An output power exceeding 31.62 mW
(15 dBm) anywhere within the operating
frequency range exceeding 43.5 GHz but not
exceeding 90 GHz;
e.2. An output power exceeding 1 mW (0
dBm) anywhere within the operating
frequency range exceeding 90 GHz but not
exceeding 110 GHz;
e.3. ‘Nonlinear vector measurement
functionality’ at frequencies exceeding 50
GHz but not exceeding 110 GHz; or
Technical Note: ‘Nonlinear vector
measurement functionality’ is an
instrument’s ability to analyze the test results
of devices driven into the large-signal
domain or the non-linear distortion range.
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18:49 Oct 23, 2018
Jkt 247001
e.4. A maximum operating frequency
exceeding 110 GHz;
f. Microwave test receivers having all of the
following:
f.1. Maximum operating frequency
exceeding 110 GHz; and
f.2. Being capable of measuring amplitude
and phase simultaneously;
g. Atomic frequency standards being any of
the following:
g.1. ‘‘Space-qualified’’;
g.2. Non-rubidium and having a long-term
stability less (better) than 1 × 10¥11/month;
or
g.3. Non-‘‘space-qualified’’ and having all
of the following:
g.3.a. Being a rubidium standard;
g.3.b. Long-term stability less (better) than
1 × 10¥11/month; and
g.3.c. Total power consumption of less
than 1 Watt.
h. ‘‘Electronic assemblies’’, modules or
equipment, specified to perform all of the
following:
h.1. Analog-to-digital conversions meeting
any of the following:
h.1.a. A resolution of 8 bit or more, but less
than 10 bit, with an input sample rate greater
than 1.3 Giga Samples Per Second (GSPS);
h.1.b. A resolution of 10 bit or more, but
less than 12 bit, with an input sample rate
greater than 1.0 GSPS;
h.1.c. A resolution of 12 bit or more, but
less than 14 bit, with an input sample rate
greater than 1.0 GSPS;
h.1.d. A resolution of 14 bit or more but
less than 16 bit, with an input sample rate
greater than 400 Mega Samples Per Second
(MSPS); or
h.1.e. A resolution of 16 bit or more with
an input sample rate greater than 180 MSPS;
and
h.2. Any of the following:
h.2.a. Output of digitized data;
h.2.b. Storage of digitized data; or
h.2.c. Processing of digitized data;
N.B.: Digital data recorders, oscilloscopes,
‘‘signal analyzers’’, signal generators,
network analyzers and microwave test
receivers, are specified by 3A002.a.6,
3A002.a.7, 3A002.c, 3A002.d, 3A002.e and
3A002.f, respectively.
Technical Notes:
1. A resolution of n bit corresponds to a
quantization of 2n levels.
2. The resolution of the ADC is the number
of bits in of the digital output of the ADC that
represents the measured analog input word.
Effective Number of Bits (ENOB) is not used
to determine the resolution of the ADC.
3. For non-interleaved multiple-channel
‘‘electronic assemblies’’, modules, or
equipment, the ‘‘sample rate’’ is not
aggregated and the ‘‘sample rate’’ is the
maximum rate of any single channel.
4. For interleaved channels on multiplechannel ‘‘electronic assemblies’’, modules, or
equipment, the ‘‘sample rates’’ are aggregated
and the ‘‘sample rate’’ is the maximum
combined total rate of all the interleaved
channels.
Note: 3A002.h includes ADC cards,
waveform digitizers, data acquisition cards,
signal acquisition boards and transient
recorders.
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30. In supplement no. 1 to part 774,
Category 3, ECCN 3A991 is revised to
read as follows:
■
3A991 Electronic devices, and
‘‘components’’ not controlled by 3A001.
License Requirements
Reason for Control: AT
Control(s)
AT applies to entire
entry.
Country chart
(see Supp. No. 1
to part 738)
AT Column 1
License Requirements Note: See § 744.17
of the EAR for additional license
requirements for microprocessors having a
processing speed of 5 GFLOPS or more and
an arithmetic logic unit with an access width
of 32 bit or more, including those
incorporating ‘‘information security’’
functionality, and associated ‘‘software’’ and
‘‘technology’’ for the ‘‘production’’ or
‘‘development’’ of such microprocessors.
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items:
a. ‘‘Microprocessor microcircuits’’,
‘‘microcomputer microcircuits’’, and
microcontroller microcircuits having any of
the following:
a.1. A performance speed of 5 GFLOPS or
more and an arithmetic logic unit with an
access width of 32 bit or more;
a.2. A clock frequency rate exceeding 25
MHz; or
a.3. More than one data or instruction bus
or serial communication port that provides a
direct external interconnection between
parallel ‘‘microprocessor microcircuits’’ with
a transfer rate of 2.5 Mbyte/s.
b. Storage integrated circuits, as follows:
b.1. Electrical erasable programmable readonly memories (EEPROMs) with a storage
capacity;
b.1.a. Exceeding 16 Mbits per package for
flash memory types; or
b.1.b. Exceeding either of the following
limits for all other EEPROM types:
b.1.b.1. Exceeding 1 Mbit per package; or
b.1.b.2. Exceeding 256 kbit per package
and a maximum access time of less than 80
ns;
b.2. Static random access memories
(SRAMs) with a storage capacity:
b.2.a. Exceeding 1 Mbit per package; or
b.2.b. Exceeding 256 kbit per package and
a maximum access time of less than 25 ns;
c. Analog-to-digital converters having any
of the following:
c.1. A resolution of 8 bit or more, but less
than 12 bit, with an output rate greater than
200 million words per second;
c.2. A resolution of 12 bit with an output
rate greater than 105 million words per
second;
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amozie on DSK3GDR082PROD with RULES2
c.3. A resolution of more than 12 bit but
equal to or less than 14 bit with an output
rate greater than 10 million words per
second; or
c.4. A resolution of more than 14 bit with
an output rate greater than 2.5 million words
per second.
d. Field programmable logic devices
having a maximum number of single-ended
digital input/outputs between 200 and 700;
e. Fast Fourier Transform (FFT) processors
having a rated execution time for a 1,024
point complex FFT of less than 1 ms.
f. Custom integrated circuits for which
either the function is unknown, or the
control status of the equipment in which the
integrated circuits will be used is unknown
to the manufacturer, having any of the
following:
f.1. More than 144 terminals; or
f.2. A typical ‘‘basic propagation delay
time’’ of less than 0.4 ns.
g. Traveling-wave ‘vacuum electronic
devices’, pulsed or continuous wave, as
follows:
g.1. Coupled cavity devices, or derivatives
thereof;
g.2. Helix devices based on helix, folded
waveguide, or serpentine waveguide circuits,
or derivatives thereof, with any of the
following:
g.2.a. An ‘‘instantaneous bandwidth’’ of
half an octave or more; and
g.2.b. The product of the rated average
output power (expressed in kW) and the
maximum operating frequency (expressed in
GHz) of more than 0.2;
g.2.c. An ‘‘instantaneous bandwidth’’ of
less than half an octave; and
g.2.d. The product of the rated average
output power (expressed in kW) and the
maximum operating frequency (expressed in
GHz) of more than 0.4;
h. Flexible waveguides designed for use at
frequencies exceeding 40 GHz;
i. Surface acoustic wave and surface
skimming (shallow bulk) acoustic wave
devices (i.e., ‘‘signal processing’’ devices
employing elastic waves in materials), having
either of the following:
i.1. A carrier frequency exceeding 1 GHz;
or
i.2. A carrier frequency of 1 GHz or less;
and
i.2.a. A frequency side-lobe rejection
exceeding 55 Db;
i.2.b. A product of the maximum delay
time and bandwidth (time in microseconds
and bandwidth in MHz) of more than 100; or
i.2.c. A dispersive delay of more than 10
microseconds.
j. Cells as follows:
j.1. Primary cells having an energy density
of 550 Wh/kg or less at 293 K (20 °C);
j.2. Secondary cells having an energy
density of 350 Wh/kg or less at 293 K (20 °C).
Note: 3A991.j. does not control batteries,
including single cell batteries.
Technical Notes:
1. For the purpose of 3A991.j energy
density (Wh/kg) is calculated from the
nominal voltage multiplied by the nominal
capacity in ampere-hours divided by the
mass in kilograms. If the nominal capacity is
not stated, energy density is calculated from
the nominal voltage squared then multiplied
VerDate Sep<11>2014
18:49 Oct 23, 2018
Jkt 247001
by the discharge duration in hours divided
by the discharge load in Ohms and the mass
in kilograms.
2. For the purpose of 3A991.j, a ‘cell’ is
defined as an electrochemical device, which
has positive and negative electrodes, and
electrolyte, and is a source of electrical
energy. It is the basic building block of a
battery.
3. For the purpose of 3A991.j.1, a ‘primary
cell’ is a ‘cell’ that is not designed to be
charged by any other source.
4. For the purpose of 3A991.j.2., a
‘secondary cell’ is a ‘cell’ that is designed to
be charged by an external electrical source.
k. ‘‘Superconductive’’ electromagnets or
solenoids ‘‘specially designed’’ to be fully
charged or discharged in less than one
minute, having all of the following:
Note: 3A991.k does not control
‘‘superconductive’’ electromagnets or
solenoids designed for Magnetic Resonance
Imaging (MRI) medical equipment.
k.1. Maximum energy delivered during the
discharge divided by the duration of the
discharge of more than 500 kJ per minute;
k.2. Inner diameter of the current carrying
windings of more than 250 mm; and
k.3. Rated for a magnetic induction of more
than 8T or ‘‘overall current density’’ in the
winding of more than 300 A/mm2.
l. Circuits or systems for electromagnetic
energy storage, containing ‘‘components’’
manufactured from ‘‘superconductive’’
materials ‘‘specially designed’’ for operation
at temperatures below the ‘‘critical
temperature’’ of at least one of their
‘‘superconductive’’ constituents, having all of
the following:
l.1. Resonant operating frequencies
exceeding 1 MHz;
l.2. A stored energy density of 1 MJ/M3 or
more; and
l.3. A discharge time of less than 1 ms;
m. Hydrogen/hydrogen-isotope thyratrons
of ceramic-metal construction and rate for a
peak current of 500 A or more;
n. Digital integrated circuits based on any
compound semiconductor having an
equivalent gate count of more than 300 (2
input gates).
o. Solar cells, cell-interconnect-coverglass
(CIC) assemblies, solar panels, and solar
arrays, which are ‘‘space qualified’’ and not
controlled by 3A001.e.4.
31. In supplement no. 1 to part 774,
Category 3, ECCN 3B001 is revised to
read as follows:
■
3B001 Equipment for the manufacturing of
semiconductor devices or materials, as
follows (see List of Items Controlled)
and ‘‘specially designed’’ ‘‘components’’
and ‘‘accessories’’ therefor.
License Requirements
Reason for Control: NS, AT
Control(s)
NS applies to entire
entry.
AT applies to entire
entry.
PO 00000
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(see Supp. No. 1
to part 738)
NS Column 2
AT Column 1
Sfmt 4700
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
LVS: $500
GBS: Yes, except a.3 (molecular beam
epitaxial growth equipment using gas
sources), .e (automatic loading multichamber central wafer handling systems
only if connected to equipment controlled
by 3B001. a.3, or .f), and .f (lithography
equipment).
CIV: Yes for equipment controlled by
3B001.a.1 and a.2.
List of Items Controlled
Related Controls: See also 3B991
Related Definitions: N/A
Items:
a. Equipment designed for epitaxial growth
as follows:
a.1. Equipment designed or modified to
produce a layer of any material other than
silicon with a thickness uniform to less than
±2.5% across a distance of 75 mm or more;
Note: 3B001.a.1 includes atomic layer
epitaxy (ALE) equipment.
a.2. Metal Organic Chemical Vapor
Deposition (MOCVD) reactors designed for
compound semiconductor epitaxial growth of
material having two or more of the following
elements: aluminum, gallium, indium,
arsenic, phosphorus, antimony, or nitrogen;
a.3. Molecular beam epitaxial growth
equipment using gas or solid sources;
b. Equipment designed for ion
implantation and having any of the
following:
b.1. [Reserved]
b.2. Being designed and optimized to
operate at a beam energy of 20 keV or more
and a beam current of 10 mA or more for
hydrogen, deuterium, or helium implant;
b.3. Direct write capability;
b.4. A beam energy of 65 keV or more and
a beam current of 45 mA or more for high
energy oxygen implant into a heated
semiconductor material ‘‘substrate’’; or
b.5. Being designed and optimized to
operate at beam energy of 20keV or more and
a beam current of 10mA or more for silicon
implant into a semiconductor material
‘‘substrate’’ heated to 600 °C or greater;
c. [Reserved]
d. [Reserved]
e. Automatic loading multi-chamber
central wafer handling systems having all of
the following:
e.1. Interfaces for wafer input and output,
to which more than two functionally
different ‘semiconductor process tools’
controlled by 3B001.a.1, 3B001.a.2, 3B001.a.3
or 3B001.b are designed to be connected; and
e.2. Designed to form an integrated system
in a vacuum environment for ‘sequential
multiple wafer processing’;
Note: 3B001.e does not control automatic
robotic wafer handling systems ‘‘specially
designed’’ for parallel wafer processing.
Technical Notes: 1. For the purpose of
3B001.e, ‘semiconductor process tools’ refers
to modular tools that provide physical
processes for semiconductor production that
are functionally different, such as deposition,
implant or thermal processing.
2. For the purpose of 3B001.e, ‘sequential
multiple wafer processing’ means the
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Federal Register / Vol. 83, No. 206 / Wednesday, October 24, 2018 / Rules and Regulations
i. Imprint lithography templates designed
for integrated circuits by 3A001;
j. Mask ‘‘substrate blanks’’ with multilayer
reflector structure consisting of molybdenum
and silicon, and having all of the following:
j.1. ‘‘Specially designed’’ for ‘Extreme
Ultraviolet (EUV)’ lithography; and
j.2. Compliant with SEMI Standard P37.
Technical Note: ‘Extreme Ultraviolet
(EUV)’ refers to electromagnetic spectrum
wavelengths greater than 5 nm and less than
124 nm.
32. In supplement no. 1 to part 774,
Category 3, ECCN 3B002 is revised to
read as follows:
■
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.
License Requirements
Reason for Control: NS, AT
amozie on DSK3GDR082PROD with RULES2
Control(s)
where the K factor = 0.35
f.2 Imprint lithography equipment capable
of production features of 45 nm or less;
Note: 3B001.f.2 includes:
—Micro contact printing tools
—Hot embossing tools
—Nano-imprint lithography tools
—Step and flash imprint lithography (S–
FIL) tools
f.3. Equipment ‘‘specially designed’’ for
mask making having all of the following:
f.3.a. A deflected focused electron beam,
ion beam or ‘‘laser’’ beam; and
f.3.b. Having any of the following:
f.3.b.1. A Full-Width Half-Maximum
(FWHM) spot size smaller than 65 nm and an
image placement less than 17 nm (mean + 3
sigma); or
f.3.b.2. [Reserved]
f.3.b.3. A second-layer overlay error of less
than 23 nm (mean + 3 sigma) on the mask;
f.4. Equipment designed for device
processing using direct writing methods,
having all of the following:
f.4.a. A deflected focused electron beam;
and
f.4.b. Having any of the following:
f.4.b.1. A minimum beam size equal to or
smaller than 15 nm; or
f.4.b.2. An overlay error less than 27 nm
(mean + 3 sigma);
g. Masks and reticles, designed for
integrated circuits controlled by 3A001;
h. Multi-layer masks with a phase shift
layer not specified by 3B001.g and having
any of the following:
h.1. Made on a mask ‘‘substrate blank’’
from glass specified as having less than 7
nm/cm birefringence; or
h.2. Designed to be used by lithography
equipment having a light source wavelength
less than 245 nm;
Note: 3B001.h. does not control multi-layer
masks with a phase shift layer designed for
the fabrication of memory devices not
controlled by 3A001.
VerDate Sep<11>2014
18:49 Oct 23, 2018
Jkt 247001
NS applies to entire
entry.
AT applies to entire
entry.
Country chart
(see Supp. No. 1
to part 738)
NS Column 2
AT Column 1
CIV: Yes for 3C002.a provided that they are
not also controlled by 3C002.b through .e.
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items:
a. Resists designed for semiconductor
lithography as follows:
a.1. Positive resists adjusted (optimized)
for use at wavelengths less than 193 nm but
equal to or greater than 15 nm;
a.2. Resists adjusted (optimized) for use at
wavelengths less than 15 nm but greater than
1 nm;
b. All resists designed for use with electron
beams or ion beams, with a sensitivity of 0.01
mcoulomb/mm2 or better;
c. [Reserved]
d. All resists optimized for surface imaging
technologies;
e. All resists designed or optimized for use
with imprint lithography equipment
specified by 3B001.f.2 that use either a
thermal or photo-curable process.
34. In supplement no. 1 to part 774,
Category 3, ECCN 3C005 is revised to
read as follows:
■
3C005 High resistivity materials as follows
(See List of Items Controlled).
License Requirements
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
LVS: $500
GBS: Yes
CIV: N/A
Reason for Control: NS, AT
List of Items Controlled
Related Controls: See also 3A999.a and
3B992
Related Definitions: N/A
Items:
a. For testing S-parameters of items
specified by 3A001.b.3;
b. [Reserved]
c. For testing microwave integrated circuits
controlled by 3A001.b.2.
NS applies to entire
entry.
AT applies to entire
entry.
33. In supplement no. 1 to part 774,
Category 3, ECCN 3C002 is revised to
read as follows:
■
3C002 Resist materials as follows (see List
of Items Controlled) and ‘‘substrates’’
coated with the following resists.
License Requirements
Reason for Control: NS, AT
Control(s)
NS applies to entire
entry.
AT applies to entire
entry.
Country chart
(see Supp. No. 1
to part 738)
NS Column 2
AT Column 1
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
LVS: $3,000
GBS: Yes for 3C002.a provided that they are
not also controlled by 3C002.b through .e.
PO 00000
Frm 00029
Fmt 4701
Sfmt 4700
Control(s)
Country chart
(see Supp. No. 1
to part 738)
NS Column 2
AT Column 1
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
LVS: $3,000
GBS: Yes
CIV: Yes
List of Items Controlled
Related Controls: See ECCN 3E001 for related
development and production technology,
and ECCN 3B991.b.1.b for related
production equipment.
Related Definition: N/A
Items:
a. Silicon carbide (SiC), gallium nitride
(GaN), aluminum nitride (AlN) or aluminum
gallium nitride (AlGaN) semiconductor
‘‘substrates’’, or ingots, boules, or other
preforms of those materials, having
resistivities greater than 10,000 ohm-cm at 20
°C;
b. Polycrystalline ‘‘substrates’’ or
polycrystalline ceramic ‘‘substrates’’, having
resistivities greater than 10,000 ohm-cm at 20
°C and having at least one non-epitaxial
single-crystal layer of silicon (Si), silicon
carbide (SiC), gallium nitride (GaN),
aluminum nitride (AlN), or aluminum
gallium nitride (AlGaN) on the surface of the
‘‘substrate’’.
E:\FR\FM\24OCR2.SGM
24OCR2
ER24OC18.000</GPH>
capability to process each wafer in different
‘semiconductor process tools,’ such as by
transferring each wafer from one tool to a
second tool and on to a third tool with the
automatic loading multi-chamber central
wafer handling systems.
f. Lithography equipment as follows:
f.1. Align and expose step and repeat
(direct step on wafer) or step and scan
(scanner) equipment for wafer processing
using photo-optical or X-ray methods and
having any of the following:
f.1.a. A light source wavelength shorter
than 193 nm; or
f.1.b. Capable of producing a pattern with
a ‘‘Minimum Resolvable Feature size’’ (MRF)
of 45 nm or less;
Technical Note: The ‘Minimum Resolvable
Feature size’ (MRF) is calculated by the
following formula:
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Federal Register / Vol. 83, No. 206 / Wednesday, October 24, 2018 / Rules and Regulations
3C006 Materials, not specified by 3C001,
consisting of a ‘‘substrate’’ specified by
3C005 with at least one epitaxial layer
of silicon carbide, gallium nitride,
aluminum nitride or aluminum gallium
nitride.
License Requirements
Reason for Control: NS, MT, NP, AT
Control(s)
License Requirements
Reason for Control: NS, AT
Control(s)
NS applies to entire
entry.
AT applies to entire
entry.
Country chart
(see Supp. No. 1
to part 738)
NS Column 2
AT Column 1
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
LVS: $3,000
GBS: Yes
CIV: Yes
List of Items Controlled
Related Controls: See ECCN 3D001 for related
‘‘development’’ or ‘‘production’’
‘‘software’’, ECCN 3E001 for related
‘‘development’’ and ‘‘production’’
‘‘technology’’, and ECCN 3B991.b.1.b for
related ‘‘production’’ equipment.
Related Definition: N/A
Items:
The list of items controlled is contained in
the ECCN heading.
36. In supplement no. 1 to part 774,
Category 3, ECCN 3C992 is revised to
read as follows:
■
3C992 Positive resists designed for
semiconductor lithography specially
adjusted (optimized) for use at
wavelengths between 370 and 193 nm.
License Requirements
Reason for Control: AT
Control(s)
AT applies to entire
entry.
Country chart
(see Supp. No. 1
to part 738)
AT Column 1
amozie on DSK3GDR082PROD with RULES2
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items:
The list of items controlled is contained in
the ECCN heading.
37. In supplement no. 1 to part 774,
Category 3, ECCN 3E001 is revised to
read as follows:
■
3E001 ‘‘Technology’’ according to the
General Technology Note for the
VerDate Sep<11>2014
18:49 Oct 23, 2018
Jkt 247001
Supplement No.1 to part 740 of the EAR).
License Exception STA may not be used to
ship or transmit ‘‘technology’’ according to
the General Technology Note for the
‘‘development’’ or ‘‘production’’ of
components specified by ECCN 3A001.b.2
or b.3 to any of the destinations listed in
Country Group A:5 or A:6 (See Supplement
No.1 to part 740 of the EAR).
‘‘development’’ or ‘‘production’’ of
equipment or materials controlled by 3A
(except 3A980, 3A981, 3A991, 3A992, or
3A999), 3B (except 3B991 or 3B992) or
3C (except 3C992).
35. In supplement no. 1 to part 774,
Category 3, ECCN 3C006 is revised to
read as follows:
■
NS applies to ‘‘technology’’ for items
controlled by
3A001, 3A002,
3A003, 3B001,
3B002, or 3C001 to
3C006.
MT applies to ‘‘technology’’ for equipment controlled by
3A001 or 3A101 for
MT reasons.
NP applies to ‘‘technology’’ for equipment controlled by
3A001, 3A201, or
3A225 to 3A234 for
NP reasons.
AT applies to entire
entry.
Country chart
(see Supp. No. 1
to part 738)
NS Column 1
MT Column 1
NP Column 1
AT Column 1
License Requirements Note: See § 744.17
of the EAR for additional license
requirements for microprocessors having a
processing speed of 5 GFLOPS or more and
an arithmetic logic unit with an access width
of 32 bit or more, including those
incorporating ‘‘information security’’
functionality, and associated ‘‘software’’ and
‘‘technology’’ for the ‘‘production’’ or
‘‘development’’ of such microprocessors.
Reporting Requirements
See § 743.1 of the EAR for reporting
requirements for exports under License
Exceptions, Special Comprehensive
Licenses, and Validated End-User
authorizations.
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
CIV: N/A.
TSR: Yes, except N/A for MT, and
‘‘technology’’ for the ‘‘development’’ or
‘‘production’’ of: (a) Vacuum electronic
device amplifiers described in 3A001.b.8,
having operating frequencies exceeding 19
GHz; (b) solar cells, coverglassinterconnect-cells or covered-interconnectcells (CIC) ‘‘assemblies’’, solar arrays and/
or solar panels described in 3A001.e.4; (c)
‘‘Monolithic Microwave Integrated Circuit’’
(‘‘MMIC’’) amplifiers in 3A001.b.2; and (d)
discrete microwave transistors in
3A001.b.3.
Special Conditions for STA
STA: License Exception STA may not be
used to ship or transmit ‘‘technology’’
according to the General Technology Note
for the ‘‘development’’ or ‘‘production’’ of
equipment specified by ECCNs 3A002.g.1
or 3B001.a.2 to any of the destinations
listed in Country Group A:6 (See
PO 00000
Frm 00030
Fmt 4701
Sfmt 4700
List of Items Controlled
Related Controls: (1) ‘‘Technology’’ according
to the General Technology Note for the
‘‘development’’ or ‘‘production’’ of certain
‘‘space-qualified’’ atomic frequency
standards described in Category XV(e)(9),
MMICs described in Category XV(e)(14),
and oscillators described in Category
XV(e)(15) of the USML are ‘‘subject to the
ITAR’’ (see 22 CFR parts 120 through 130).
See also 3E101, 3E201 and 9E515. (2)
‘‘Technology’’ for ‘‘development’’ or
‘‘production’’ of ‘‘Microwave Monolithic
Integrated Circuits’’ (‘‘MMIC’’) amplifiers
in 3A001.b.2 is controlled in this ECCN
3E001; 5E001.d refers only to that
additional ‘‘technology’’ ‘‘required’’ for
telecommunications.
Related Definition: N/A
Items:
The list of items controlled is contained in
the ECCN heading.
Note 1: 3E001 does not control
‘‘technology’’ for equipment or
‘‘components’’ controlled by 3A003.
Note 2: 3E001 does not control
‘‘technology’’ for integrated circuits
controlled by 3A001.a.3 to a.14, having all of
the following:
(a) Using ‘‘technology’’ at or above
0.130 mm; and
(b) Incorporating multi-layer structures
with three or fewer metal layers.
Note 3: 3E001 does not apply to ‘Process
Design Kits’ (‘PDKs’) unless they include
libraries implementing functions or
technologies for items specified by 3A001.
Technical Note: A ‘Process Design Kit’
(‘PDK’) is a software tool provided by a
semiconductor manufacturer to ensure that
the required design practices and rules are
taken into account in order to successfully
produce a specific integrated circuit design
in a specific semiconductor process, in
accordance with technological and
manufacturing constraints (each
semiconductor manufacturing process has its
particular ‘PDK’).
38. In supplement no. 1 to part 774,
the notes at the beginning of Category 4
are revised to read as follows:
■
Category 4—Computers
Note 1: Computers, related equipment and
‘‘software’’ performing telecommunications
or ‘‘local area network’’ functions must also
be evaluated against the performance
characteristics of Category 5, Part 1
(Telecommunications).
Note 2: Control units that directly
interconnect the buses or channels of central
processing units, ‘main storage’ or disk
controllers are not regarded as
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Federal Register / Vol. 83, No. 206 / Wednesday, October 24, 2018 / Rules and Regulations
telecommunications equipment described in
Category 5, Part 1 (Telecommunications).
N.B.: For the control status of ‘‘software’’
‘‘specially designed’’ for packet switching,
see ECCN 5D001. (Telecommunications).
Technical Note: ‘Main storage’ is the
primary storage for data or instructions for
rapid access by a central processing unit. It
consists of the internal storage of a ‘‘digital
computer’’ and any hierarchical extension
thereto, such as cache storage or nonsequentially accessed extended storage.
39. In supplement no. 1 to part 774,
Category 4, ECCN 4A003 is revised to
read as follows:
■
4A003 ‘‘Digital computers’’, ‘‘electronic
assemblies’’, and related equipment
therefor, as follows (see List of Items
Controlled) and ‘‘specially designed’’
‘‘components’’ therefor.
License Requirements
Reason for Control: NS, CC, AT
Control(s)
NS applies to
4A003.b and .c.
NS applies to
4A003.e and .g.
CC applies to ‘‘digital
computers’’ for
computerized finger-print equipment.
AT applies to entire
entry (refer to
4A994 for controls
on ‘‘digital computers’’ with a APP
> 0.0128 but ≤ 29
WT).
Country chart
(see Supp. No. 1
to part 738)
NS Column 1
NS Column 2
CC Column 1
AT Column 1
amozie on DSK3GDR082PROD with RULES2
Note: For all destinations, except those
countries in Country Group E:1 or E:2 of
Supplement No. 1 to part 740 of the EAR, no
license is required (NLR) for computers with
an ‘‘Adjusted Peak Performance’’ (‘‘APP’’) not
exceeding 29 Weighted TeraFLOPS (WT) and
for ‘‘electronic assemblies’’ described in
4A003.c that are not capable of exceeding an
‘‘Adjusted Peak Performance’’ (‘‘APP’’)
exceeding 29 Weighted TeraFLOPS (WT) in
aggregation, except certain transfers as set
forth in § 746.3 of the EAR (Iraq).
Note 1: 4A003 includes the following:
—‘Vector processors’ (as defined in Note 7 of
the ‘‘Technical Note on ‘‘Adjusted Peak
Performance’’ (‘‘APP’’)’’);
—Array processors;
— Digital signal processors;
— Logic processors;
— Equipment designed for ‘‘image
enhancement’’.
Note 2: The control status of the ‘‘digital
computers’’ and related equipment described
in 4A003 is determined by the control status
of other equipment or systems provided:
a. The ‘‘digital computers’’ or related
equipment are essential for the operation of
the other equipment or systems;
b. The ‘‘digital computers’’ or related
equipment are not a ‘‘principal element’’ of
the other equipment or systems; and
N.B. 1: The control status of ‘‘signal
processing’’ or ‘‘image enhancement’’
equipment ‘‘specially designed’’ for other
equipment with functions limited to those
required for the other equipment is
determined by the control status of the other
equipment even if it exceeds the ‘‘principal
element’’ criterion.
N.B. 2: For the control status of ‘‘digital
computers’’ or related equipment for
telecommunications equipment, see Category
5, Part 1 (Telecommunications).
c. The ‘‘technology’’ for the ‘‘digital
computers’’ and related equipment is
determined by 4E.
a. [Reserved]
b. ‘‘Digital computers’’ having an
‘‘Adjusted Peak Performance’’ (‘‘APP’’)
exceeding 29 Weighted TeraFLOPS (WT);
c. ‘‘Electronic assemblies’’ ‘‘specially
designed’’ or modified to be capable of
enhancing performance by aggregation of
processors so that the ‘‘APP’’ of the
aggregation exceeds the limit in 4A003.b.;
Note 1: 4A003.c applies only to ‘‘electronic
assemblies’’ and programmable
interconnections not exceeding the limit in
4A003.b when shipped as unintegrated
‘‘electronic assemblies’’.
Note 2: 4A003.c does not control
‘‘electronic assemblies’’ ‘‘specially designed’’
for a product or family of products whose
maximum configuration does not exceed the
limit of 4A003.b.
d. to f. [Reserved]
N.B.: For ‘‘electronic assemblies’’, modules
or equipment, performing analog-to-digital
conversions, see 3A002.h.
g. Equipment ‘‘specially designed’’ for
aggregating the performance of ‘‘digital
computers’’ by providing external
interconnections which allow
communications at unidirectonal data rates
exceeding 2.0 Gbyte/s per link.
Note: 4A003.g does not control internal
interconnection equipment (e.g., backplanes,
buses) passive interconnection equipment,
‘‘network access controllers’’ or
‘‘communication channel controllers’’.
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
LVS: $5000; N/A for 4A003.b and .c.
GBS: Yes, for 4A003.g and ‘‘specially
designed’’ ‘‘parts’’ and ‘‘components’’
therefor, exported separately or as part of
a system.
APP: Yes, for computers controlled by
4A003.b, and ‘‘electronic assemblies’’
controlled by 4A003.c, to the exclusion of
other technical parameters. See § 740.7 of
the EAR.
CIV: Yes, for 4A003.g.
■
List of Items Controlled
Related Controls: See also 4A994 and 4A980
Related Definitions: N/A
Items:
4A004 Computers as follows (see List of
Items Controlled) and ‘‘specially
VerDate Sep<11>2014
20:04 Oct 23, 2018
Jkt 247001
40. In supplement no. 1 to part 774,
Category 4, ECCN 4A004 is revised to
read as follows:
PO 00000
Frm 00031
Fmt 4701
Sfmt 4700
53771
designed’’ related equipment,
‘‘electronic assemblies’’ and
‘‘components’’ therefor.
License Requirements
Reason for Control: NS, AT
Control(s)
NS applies to entire
entry.
AT applies to entire
entry.
Country chart
(see Supp. No. 1
to part 738)
NS Column 2
AT Column 1
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
LVS: $5,000
GBS: N/A
CIV:N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items:
a. ‘Systolic array computers’;
b. ‘Neural computers’;
c. ‘Optical computers’.
Technical Notes:
1. ‘Systolic array computers’ are computers
where the flow and modification of the data
is dynamically controllable at the logic gate
level by the user.
2. ‘Neural computers’ are computational
devices designed or modified to mimic the
behaviour of a neuron or a collection of
neurons, i.e., computational devices which
are distinguished by their hardware
capability to modulate the weights and
numbers of the interconnections of a
multiplicity of computational components
based on previous data.
3. ‘Optical computers’ are computers
designed or modified to use light to represent
data and whose computational logic elements
are based on directly coupled optical devices.
41. In supplement no. 1 to part 774,
Category 4, ECCN 4D001 is revised to
read as follows:
■
4D001 ‘‘Software’’ as follows (see List of
Items Controlled).
License Requirements
Reason for Control: NS, CC, AT
Control(s)
NS applies to entire
entry.
CC applies to ‘‘software’’ for computerized finger-print
equipment controlled by 4A003 for
CC reasons.
AT applies to entire
entry.
Country chart
(see Supp. No. 1
to part 738)
NS Column 1
CC Column 1
AT Column 1
Reporting Requirements
See § 743.1 of the EAR for reporting
requirements for exports under License
Exceptions, and Validated End-User
authorizations.
E:\FR\FM\24OCR2.SGM
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Federal Register / Vol. 83, No. 206 / Wednesday, October 24, 2018 / Rules and Regulations
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
CIV: N/A
TSR: Yes, except for ‘‘software’’ for the
‘‘development’’ or ‘‘production’’ of
commodities with an ‘‘Adjusted Peak
Performance’’ (‘‘APP’’) exceeding 29 WT.
APP: Yes to specific countries (see § 740.7 of
the EAR for eligibility criteria)
Special Conditions for STA
STA: License Exception STA may not be
used to ship or transmit ‘‘software’’
‘‘specially designed’’ for the
‘‘development’’ or ‘‘production’’ of
equipment specified by ECCN 4A001.a.2 or
for the ‘‘development’’ or ‘‘production’’ of
‘‘digital computers’’ having an ‘Adjusted
Peak Performance’ (‘APP’) exceeding 29
Weighted TeraFLOPS (WT) to any of the
destinations listed in Country Group A:6
(See Supplement No.1 to part 740 of the
EAR).
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items:
a. ‘‘Software’’ ‘‘specially designed’’ or
modified for the ‘‘development’’ or
‘‘production’’ of equipment or ‘‘software’’
controlled by 4A001, 4A003, 4A004, or 4D
(except 4D980, 4D993 or 4D994).
b. ‘‘Software’’, other than that controlled by
4D001.a, ‘‘specially designed’’ or modified
for the ‘‘development’’ or ‘‘production’’ of
equipment as follows:
b.1. ‘‘Digital computers’’ having an
‘‘Adjusted Peak Performance’’ (‘‘APP’’)
exceeding 15 Weighted TeraFLOPS (WT);
b.2. ‘‘Electronic assemblies’’ ‘‘specially
designed’’ or modified for enhancing
performance by aggregation of processors so
that the ‘‘APP’’ of the aggregation exceeds the
limit in 4D001.b.1.
42. In supplement no. 1 to part 774,
Category 4, ECCN 4E001 is revised to
read as follows:
■
4E001 ‘‘Technology’’ as follows (see List of
Items Controlled).
License Requirements
Reason for Control: NS, MT, CC, AT
amozie on DSK3GDR082PROD with RULES2
Control(s)
NS applies to entire
entry.
MT applies to ‘‘technology’’ for items
controlled by
4A001.a and
4A101 for MT reasons.
CC applies to ‘‘software’’ for computerized finger-print
equipment controlled by 4A003 for
CC reasons.
AT applies to entire
entry.
VerDate Sep<11>2014
MT Column 1
CC Column 1
AT Column 1
18:49 Oct 23, 2018
Jkt 247001
Outline of ‘‘APP’’ calculation method
1. For each processor i, determine the peak
number of 64-bit or larger floating-point
operations, FPOi, performed per cycle for
each processor in the ‘‘digital computer’’.
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
CIV: N/A
TSR: Yes, except for ‘‘technology’’ for the
‘‘development’’ or ‘‘production’’ of
commodities with an ‘‘Adjusted Peak
Performance’’ (‘‘APP’’) exceeding 29 WT.
APP: Yes to specific countries (see § 740.7 of
the EAR for eligibility criteria).
Note: In determining FPO, include only 64bit or larger floating point additions or
multiplications. All floating point operations
must be expressed in operations per
processor cycle; operations requiring
multiple cycles may be expressed in
fractional results per cycle. For processors
not capable of performing calculations on
floating-point operands of 64-bits or more the
effective calculating rate R is zero.
2. Calculate the floating point rate R for
each processor
Ri = FPOi/ti.
3. Calculate ‘‘APP’’ as
‘‘APP’’ = W1 × R1 + W2 × R2 + . . . + Wn
× R n.
4. For ‘vector processors’’, Wi = 0.9. For
non-‘vector processors’, Wi = 0.3.
Special Conditions for STA
STA: License Exception STA may not be
used to ship or transmit ‘‘technology’’
according to the General Technology Note
for the ‘‘development’’ or ‘‘production’’ of
any of the following equipment or
‘‘software’’: a. Equipment specified by
ECCN 4A001.a.2; b. ‘‘Digital computers’’
having an ‘Adjusted Peak Performance’
(‘APP’) exceeding 29 Weighted TeraFLOPS
(WT); or c. ‘‘software’’ specified in the
License Exception STA paragraph found in
the License Exception section of ECCN
4D001 to any of the destinations listed in
Country Group A:6 (See Supplement No. 1
to part 740 of the EAR).
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items:
a. ‘‘Technology’’ according to the General
Technology Note, for the ‘‘development’’,
‘‘production’’, or ‘‘use’’ of equipment or
‘‘software’’ controlled by 4A (except 4A980
or 4A994) or 4D (except 4D980, 4D993,
4D994).
b. ‘‘Technology’’ according to the General
Technology Note, other than that controlled
by 4E001.a, for the ‘‘development’’ or
‘‘production’’ of equipment as follows:
b.1. ‘‘Digital computers’’ having an
‘‘Adjusted Peak Performance’’ (‘‘APP’’)
exceeding 15 Weighted TeraFLOPS (WT);
b.2. ‘‘Electronic assemblies’’ ‘‘specially
designed’’ or modified for enhancing
performance by aggregation of processors so
that the ‘‘APP’’ of the aggregation exceeds the
limit in 4E001.b.1.
43. In supplement no. 1 to part 774,
Category 4, the Technical Note on
‘‘Adjusted Peak Performance’’ (‘‘APP’’)
is revised to read as follows:
■
Country chart
(see Supp. No. 1
to part 738)
NS Column 1
Reporting Requirements
See § 743.1 of the EAR for reporting
requirements for exports under License
Exceptions, and Validated End-User
authorizations.
Technical Note on ‘‘Adjusted Peak
Performance’’ (‘‘APP’’)
‘‘APP’’ is an adjusted peak rate at which
‘‘digital computers’’ perform 64-bit or larger
floating point additions and multiplications.
Abbreviations used in this Technical Note
n number of processors in the ‘‘digital
computer’’
I processor number (i . . . . n)
ti processor cycle time (ti = 1/Fi)
Fi processor frequency
Ri peak floating point calculating rate
Wi architecture adjustment factor
‘‘APP’’ is expressed in Weighted
TeraFLOPS (WT), in units of 1012 adjusted
floating point operations per second.
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Note 1: For processors that perform
compound operations in a cycle, such as an
addition and multiplication, each operation
is counted.
Note 2: For a pipelined processor the
effective calculating rate R is the faster of the
pipelined rate, once the pipeline is full, or
the non-pipelined rate.
Note 3: The calculating rate R of each
contributing processor is to be calculated at
its maximum value theoretically possible
before the ‘‘APP’’ of the combination is
derived. Simultaneous operations are
assumed to exist when the computer
manufacturer claims concurrent, parallel, or
simultaneous operation or execution in a
manual or brochure for the computer.
Note 4: Do not include processors that are
limited to input/output and peripheral
functions (e.g., disk drive, communication
and video display) when calculating ‘‘APP’’.
Note 5: ‘‘APP’’ values are not to be
calculated for processor
combinations(inter)connected by ‘‘Local Area
Networks’’, Wide Area Networks, I/O shared
connections/devices, I/O controllers and any
communication interconnection
implemented by ‘‘software’’.
Note 6: ‘‘APP’’ values must be calculated
for processor combinations containing
processors ‘‘specially designed’’ to enhance
performance by aggregation, operating
simultaneously and sharing memory.
Technical Notes
1. Aggregate all processors and accelerators
operating simultaneously and located on the
same die.
2. Processor combinations share memory
when any processor is capable of accessing
any memory location in the system through
the hardware transmission of cache lines or
memory words, without the involvement of
any software mechanism, which may be
achieved using ‘‘electronic assemblies’’
specified in 4A003.c.
Note 7: A ‘vector processor’ is defined as
a processor with built-in instructions that
perform multiple calculations on floatingpoint vectors (one-dimensional arrays of 64-
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bit or larger numbers) simultaneously, having
at least 2 vector functional units and at least
8 vector registers of at least 64 elements each.
44. In supplement no. 1 to part 774,
Category 5, part 1, ECCN 5A001 is
revised to read as follows:
■
5A001 Telecommunications systems,
equipment, ‘‘components’’ and
‘‘accessories’’, as follows (see List of
Items Controlled).
License Requirements
Reason for Control: NS, SL, AT
Country chart
(see Supp. No. 1
to part 738).
Control(s)
NS applies to
5A001.a, .b.5, .e,
f.3 and .h.
NS applies to
5A001.b (except
.b.5), .c, .d, .f (except f.3), and .g.
SL applies to
5A001.f.1.
AT applies to entire
entry.
NS Column 1
NS Column 2
A license is required
for all destinations,
as specified in
§ 742.13 of the
EAR. Accordingly, a
column specific to
this control does
not appear on the
Commerce Country
Chart (Supplement
No. 1 to part 738 of
the EAR).
Note to SL paragraph: This licensing requirement
does not supersede, nor does it
implement, construe or limit the
scope of any criminal statute, including, but not limited
to the Omnibus
Safe Streets Act of
1968, as amended.
AT Column 1
Reporting Requirements
See § 743.1 of the EAR for reporting
requirements for exports under License
Exceptions, and Validated End-User
authorizations.
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List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
LVS: N/A for 5A001.a, b.5, .e, f.3 and .h;
$5,000 for 5A001.b.1, .b.2, .b.3, .b.6, .d, f.2,
f.4, and .g; $3,000 for 5A001.c.
GBS: Yes, except 5A001.a, b.5, e, and h.
CIV: Yes, except 5A001.a, b.3, b.5, e, and h.
Special Conditions for STA
STA: License Exception STA may not be
used to ship any commodity in 5A001.b.3,
.b.5 or .h to any of the destinations listed
in Country Group A:6 (See Supplement
No.1 to part 740 of the EAR).
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List of Items Controlled
Related Controls: (1) See USML Category XI
for controls on direction-finding
‘‘equipment’’ including types of
‘‘equipment’’ in ECCN 5A001.e and any
other military or intelligence electronic
‘‘equipment’’ that is ‘‘subject to the ITAR’’.
(2) See USML Category XI(a)(4)(iii) for
controls on electronic attack and jamming
‘‘equipment’’ defined in 5A001.f and .h
that are subject to the ITAR. (3) See also
ECCNs 5A101, 5A980, and 5A991.
Related Definitions: N/A
Items:
a. Any type of telecommunications
equipment having any of the following
characteristics, functions or features:
a.1. ‘‘Specially designed’’ to withstand
transitory electronic effects or
electromagnetic pulse effects, both arising
from a nuclear explosion;
a.2. Specially hardened to withstand
gamma, neutron or ion radiation;
a.3. ‘‘Specially designed’’ to operate below
218 K (¥55 °C); or
a.4. ‘‘Specially designed’’ to operate above
397 K (124 °C);
Note: 5A001.a.3 and 5A001.a.4 apply only
to electronic equipment.
b. Telecommunication systems and
equipment, and ‘‘specially designed’’
‘‘components’’ and ‘‘accessories’’ therefor,
having any of the following characteristics,
functions or features:
b.1. Being underwater untethered
communications systems having any of the
following:
b.1.a. An acoustic carrier frequency outside
the range from 20 kHz to 60 kHz;
b.1.b. Using an electromagnetic carrier
frequency below 30 kHz; or
b.1.c. Using electronic beam steering
techniques; or
b.1.d. Using ‘‘lasers’’ or light-emitting
diodes (LEDs), with an output wavelength
greater than 400 nm and less than 700 nm,
in a ‘‘local area network’’;
b.2. Being radio equipment operating in the
1.5 MHz to 87.5 MHz band and having all of
the following:
b.2.a. Automatically predicting and
selecting frequencies and ‘‘total digital
transfer rates’’ per channel to optimize the
transmission; and
b.2.b. Incorporating a linear power
amplifier configuration having a capability to
support multiple signals simultaneously at
an output power of 1 kW or more in the
frequency range of 1.5 MHz or more but less
than 30 MHz, or 250 W or more in the
frequency range of 30 MHz or more but not
exceeding 87.5 MHz, over an ‘‘instantaneous
bandwidth’’ of one octave or more and with
an output harmonic and distortion content of
better than ¥80 dB;
b.3. Being radio equipment employing
‘‘spread spectrum’’ techniques, including
‘‘frequency hopping’’ techniques, not
controlled in 5A001.b.4 and having any of
the following:
b.3.a. User programmable spreading codes;
or
b.3.b. A total transmitted bandwidth which
is 100 or more times the bandwidth of any
one information channel and in excess of 50
kHz;
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53773
Note: 5A001.b.3.b does not control radio
equipment ‘‘specially designed’’ for use with
any of the following:
a. Civil cellular radio-communications
systems; or
b. Fixed or mobile satellite Earth stations
for commercial civil telecommunications.
Note: 5A001.b.3 does not control
equipment operating at an output power of
1 W or less.
b.4. Being radio equipment employing
ultra-wideband modulation techniques,
having user programmable channelizing
codes, scrambling codes, or network
identification codes and having any of the
following:
b.4.a. A bandwidth exceeding 500 MHz; or
b.4.b. A ‘‘fractional bandwidth’’ of 20% or
more;
b.5. Being digitally controlled radio
receivers having all of the following:
b.5.a. More than 1,000 channels;
b.5.b. A ‘channel switching time’ of less
than 1 ms;
b.5.c. Automatic searching or scanning of
a part of the electromagnetic spectrum; and
b.5.d. Identification of the received signals
or the type of transmitter; or
Note: 5A001.b.5 does not control radio
equipment ‘‘specially designed’’ for use with
civil cellular radio-communications systems.
Technical Note: ‘Channel switching time’:
The time (i.e., delay) to change from one
receiving frequency to another, to arrive at or
within ±0.05% of the final specified
receiving frequency. Items having a specified
frequency range of less than ±0.05% around
their center frequency are defined to be
incapable of channel frequency switching.
b.6. Employing functions of digital ‘‘signal
processing’’ to provide ‘voice coding’ output
at rates of less than 700 bit/s.
Technical Notes:
1. For variable rate ‘voice coding’,
5A001.b.6 applies to the ‘voice coding’
output of continuous speech.
2. For the purpose of 5A001.b.6, ‘voice
coding’ is defined as the technique to take
samples of human voice and then convert
these samples of human voice into a digital
signal taking into account specific
characteristics of human speech.
c. Optical fibers of more than 500 m in
length and specified by the manufacturer as
being capable of withstanding a ‘proof test’
tensile stress of 2 × 109 N/m2 or more;
N.B.: For underwater umbilical cables, see
8A002.a.3.
Technical Note: ‘Proof Test:’ On-line or offline production screen testing that
dynamically applies a prescribed tensile
stress over a 0.5 to 3 m length of fiber at a
running rate of 2 to 5 m/s while passing
between capstans approximately 150 mm in
diameter. The ambient temperature is a
nominal 293 K (20 °C) and relative humidity
40%. Equivalent national standards may be
used for executing the proof test.
d. ‘Electronically steerable phased array
antennae’ as follows:
d.1. Rated for operation above 31.8 GHz,
but not exceeding 57 GHz, and having an
Effective Radiated Power (ERP) equal to or
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greater than +20 dBm (22.15 dBm Effective
Isotropic Radiated Power (EIRP));
d.2. Rated for operation above 57 GHz, but
not exceeding 66 GHz, and having an ERP
equal to or greater than +24 dBm (26.15 dBm
EIRP);
d.3. Rated for operation above 66 GHz, but
not exceeding 90 GHz, and having an ERP
equal to or greater than +20 dBm (22.15 dBm
EIRP);
d.4. Rated for operation above 90 GHz;
Note 1: 5A001.d does not control
‘electronically steerable phased array
antennae’ for landing systems with
instruments meeting ICAO standards
covering Microwave Landing Systems (MLS).
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Note 2: 5A001.d does not apply to
antennae specially designed for any of the
following:
a. Civil cellular or WLAN radiocommunications systems;
b. IEEE 802.15 or wireless HDMI; or
c. Fixed or mobile satellite earth stations
for commercial civil telecommunications.
Technical Note: For the purposes of
5A001.d ‘electronically steerable phased
array antenna’ is an antenna which forms a
beam by means of phase coupling, (i.e., the
beam direction is controlled by the complex
excitation coefficients of the radiating
elements) and the direction of that beam can
be varied (both in transmission and
reception) in azimuth or in elevation, or both,
by application of an electrical signal.
e. Radio direction finding equipment
operating at frequencies above 30 MHz and
having all of the following, and ‘‘specially
designed’’ ‘‘components’’ therefor:
e.1. ‘‘Instantaneous bandwidth’’ of 10 MHz
or more; and
e.2. Capable of finding a Line Of Bearing
(LOB) to non-cooperating radio transmitters
with a signal duration of less than 1 ms;
f. Mobile telecommunications interception
or jamming equipment, and monitoring
equipment therefor, as follows, and
‘‘specially designed’’ ‘‘components’’ therefor:
f.1. Interception equipment designed for
the extraction of voice or data, transmitted
over the air interface;
f.2. Interception equipment not specified in
5A001.f.1, designed for the extraction of
client device or subscriber identifiers (e.g.,
IMSI, TIMSI or IMEI), signaling, or other
metadata transmitted over the air interface;
f.3. Jamming equipment ‘‘specially
designed’’ or modified to intentionally and
selectively interfere with, deny, inhibit,
degrade or seduce mobile telecommunication
services and performing any of the following:
f.3.a. Simulate the functions of Radio
Access Network (RAN) equipment;
f.3.b. Detect and exploit specific
characteristics of the mobile
telecommunications protocol employed (e.g.,
GSM); or
f.3.c. Exploit specific characteristics of the
mobile telecommunications protocol
employed (e.g., GSM);
f.4. Radio Frequency (RF) monitoring
equipment designed or modified to identify
the operation of items specified in 5A001.f.1,
5A001.f.2 or 5A001.f.3.
Note: 5A001.f.1 and 5A001.f.2 do not apply
to any of the following:
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Jkt 247001
a. Equipment ‘‘specially designed’’ for the
interception of analog Private Mobile Radio
(PMR), IEEE 802.11 WLAN;
b. Equipment designed for mobile
telecommunications network operators; or
c. Equipment designed for the
‘‘development’’ or ‘‘production’’ of mobile
telecommunications equipment or systems.
N.B. 1: See also the International Traffic in
Arms Regulations (ITAR) (22 CFR parts 120
through 130). For items specified by
5A001.f.1 (including as previously specified
by 5A001.i), see also5A980 and the U.S.
Munitions List (22 CFR part 121).
N.B. 2: For radio receivers see 5A001.b.5.
g. Passive Coherent Location (PCL) systems
or equipment, ‘‘specially designed’’ for
detecting and tracking moving objects by
measuring reflections of ambient radio
frequency emissions, supplied by non-radar
transmitters.
Technical Note: Non-radar transmitters
may include commercial radio, television or
cellular telecommunications base stations.
Note: 5A001.g. does not control:
a. Radio-astronomical equipment; or
b. Systems or equipment, that require any
radio transmission from the target.
h. Counter Improvised Explosive Device
(IED) equipment and related equipment, as
follows:
h.1. Radio Frequency (RF) transmitting
equipment, not specified by 5A001.f,
designed or modified for prematurely
activating or preventing the initiation of
Improvised Explosive Devices (IEDs);
h.2. Equipment using techniques designed
to enable radio communications in the same
frequency channels on which co-located
equipment specified by 5A001.h.1 is
transmitting.
N.B.: See also Category XI of the
International Traffic in Arms Regulations
(ITAR) (22 CFR parts 120 through 130).
i. [Reserved]
N.B.: See 5A001.f.1 for items previously
specified by 5A001.i.
45. In supplement no. 1 to part 774,
Category 5, part 2, ECCN 5A002 is
revised to read as follows:
■
5A002 ‘‘Information security’’ systems,
equipment and ‘‘components’’, as
follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, AT, EI
Control(s)
NS applies to entire
entry.
AT applies to entire
entry.
EI applies to entire
entry.
Country chart
(see Supp. No. 1
to part 738)
NS Column 1
AT Column 1
Refer to § 742.15 of
the EAR
License Requirements Note: See § 744.17
of the EAR for additional license
requirements for microprocessors having a
processing speed of 5 GFLOPS or more and
an arithmetic logic unit with an access width
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of 32 bit or more, including those
incorporating ‘‘information security’’
functionality, and associated ‘‘software’’ and
‘‘technology’’ for the ‘‘production’’ or
‘‘development’’ of such microprocessors.
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
LVS: Yes: $500 for ‘‘components’’. N/A for
systems and equipment.
GBS: N/A
CIV: N/A
ENC: Yes for certain EI controlled
commodities, see § 740.17 of the EAR for
eligibility.
List of Items Controlled
Related Controls: (1) ECCN 5A002.a controls
‘‘components’’ providing the means or
functions necessary for ‘‘information
security’’. All such ‘‘components’’ are
presumptively ‘‘specially designed’’ and
controlled by 5A002.a. (2) See USML
Categories XI (including XI(b)) and XIII(b)
(including XIII(b)(2)) for controls on
systems, equipment, and components
described in 5A002.d or .e that are subject
to the ITAR. (3) For Global Navigation
Satellite Systems (GNSS) receiving
equipment containing or employing
decryption see 7A005, and for related
decryption ‘‘software’’ and ‘‘technology’’
see 7D005 and 7E001. (4) Noting that items
may be controlled elsewhere on the CCL,
examples of items not controlled by ECCN
5A002.a.4 include the following: (a) An
automobile where the only ‘cryptography
for data confidentiality’ ‘in excess of 56
bits of symmetric key length, or equivalent’
is performed by a Category 5—Part 2 Note
3 eligible mobile telephone that is built
into the car. In this case, secure phone
communications support a non-primary
function of the automobile but the mobile
telephone (equipment), as a standalone
item, is not controlled by ECCN 5A002
because it is excluded by the Cryptography
Note (Note 3) (See ECCN 5A992.c). (b) An
exercise bike with an embedded Category
5—Part 2 Note 3 eligible web browser,
where the only controlled cryptography is
performed by the web browser. In this case,
secure web browsing supports a nonprimary function of the exercise bike but
the web browser (‘‘software’’), as a
standalone item, is not controlled by ECCN
5D002 because it is excluded by the
Cryptography Note (Note 3) (See ECCN
5D992.c). (5) After classification or selfclassification in accordance with
§ 740.17(b) of the EAR, mass market
encryption commodities that meet
eligibility requirements are released from
‘‘EI’’ and ‘‘NS’’ controls. These
commodities are designated 5A992.c.
Related Definitions: N/A
Items:
a. Designed or modified to use
‘cryptography for data confidentiality’
‘having in excess of 56 bits of symmetric key
length, or equivalent,’ where that
cryptographic capability is usable, has been
activated, or can be activated by means of
‘‘cryptographic activation’’ not employing a
secure mechanism, as follows:
a.1. Items having ‘‘information security’’ as
a primary function;
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a.2. Digital communication or networking
systems, equipment or components, not
specified in paragraph 5A002.a.1;
a.3. Computers, other items having
information storage or processing as a
primary function, and components therefor,
not specified in paragraphs 5A002.a.1 or .a.2;
N.B.: For operating systems see also
5D002.a.1 and .c.1.
a.4. Items, not specified in paragraphs
5A002.a.1 to a.3, where the ‘cryptography for
data confidentiality’ ‘having in excess of 56
bits of symmetric key length, or equivalent’
meets all of the following:
a.4.a. It supports a non-primary function of
the item; and
a.4.b. It is performed by incorporated
equipment or ‘‘software’’ that would, as a
standalone item, be specified by ECCNs
5A002, 5A003, 5A004, 5B002 or 5D002.
N.B. to paragraph a.4: See Related Control
Paragraph (4) of this ECCN 5A002 for
examples of items not controlled by
5A002.a.4.
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Technical Notes:
1. For the purposes of 5A002.a,
‘cryptography for data confidentiality’ means
‘‘cryptography’’ that employs digital
techniques and performs any cryptographic
function other than any of the following:
1.a. ‘‘Authentication’’;
1.b. Digital signature;
1.c. Data integrity;
1.d. Non-repudiation;
1.e. Digital rights management, including
the execution of copy-protected ‘‘software’’;
1.f. Encryption or decryption in support of
entertainment, mass commercial broadcasts
or medical records management; or
1.g. Key management in support of any
function described in paragraphs 1.a to 1.f of
this Technical Note paragraph 1.
2. For the purposes of 5A002.a, ‘in excess
of 56 bits of symmetric key length, or
equivalent’ means any of the following:
2.a. A ‘‘symmetric algorithm’’ employing a
key length in excess of 56 bits, not including
parity bits; or
2.b. An ‘‘asymmetric algorithm’’ where the
security of the algorithm is based on any of
the following:
2.b.1. Factorization of integers in excess of
512 bits (e.g., RSA);
2.b.2. Computation of discrete logarithms
in a multiplicative group of a finite field of
size greater than 512 bits (e.g., Diffie-Hellman
over Z/pZ); or
2.b.3. Discrete logarithms in a group other
than mentioned in paragraph 2.b.2 of this
Technical Note in excess of 112 bits (e.g.,
Diffie-Hellman over an elliptic curve).
Note 1: Details of items must be accessible
and provided upon request, in order to
establish any of the following:
a. Whether the item meets the criteria of
5A002.a.1 to a.4; or
b. Whether the cryptographic capability for
data confidentiality specified by 5A002.a is
usable without ‘‘cryptographic activation’’.
Note 2: 5A002.a does not control any of the
following items, or specially designed
‘‘information security’’ components therefor:
a. Smart cards and smart card ‘readers/
writers’ as follows:
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a.1. A smart card or an electronically
readable personal document (e.g., token coin,
e-passport) that meets any of the following:
a.1.a. The cryptographic capability meets
all of the following:
a.1.a.1. It is restricted for use in any of the
following:
a.1.a.1.a. Equipment or systems, not
described by 5A002.a.1 to a.4;
a.1.a.1.b. Equipment or systems, not using
‘cryptography for data confidentiality’ having
‘in excess of 56 bits of symmetric key length,
or equivalent’; or
a.1.a.1.c. Equipment or systems, excluded
from 5A002.a by entries b. to f. of this Note;
and
a.1.a.2. It cannot be reprogrammed for any
other use; or
a.1.b. Having all of the following:
a.1.b.1. It is specially designed and limited
to allow protection of ‘personal data’ stored
within;
a.1.b.2. Has been, or can only be,
personalized for public or commercial
transactions or individual identification; and
a.1.b.3. Where the cryptographic capability
is not user-accessible;
Technical Note to paragraph a.1.b of Note
2: ‘Personal data’ includes any data specific
to a particular person or entity, such as the
amount of money stored and data necessary
for ‘‘authentication’’.
a.2. ‘Readers/writers’ specially designed or
modified, and limited, for items specified by
paragraph a.1 of this Note;
Technical Note to paragraph a.2 of Note 2:
‘Readers/writers’ include equipment that
communicates with smart cards or
electronically readable documents through a
network.
b. Cryptographic equipment specially
designed and limited for banking use or
‘money transactions’;
Technical Note to paragraph b. of Note 2:
‘Money transactions’ in 5A002 Note 2
paragraph b. includes the collection and
settlement of fares or credit functions.
c. Portable or mobile radiotelephones for
civil use (e.g., for use with commercial civil
cellular radio communication systems) that
are not capable of transmitting encrypted
data directly to another radiotelephone or
equipment (other than Radio Access Network
(RAN) equipment), nor of passing encrypted
data through RAN equipment (e.g., Radio
Network Controller (RNC) or Base Station
Controller (BSC));
d. Cordless telephone equipment not
capable of end-to-end encryption where the
maximum effective range of unboosted
cordless operation (i.e., a single, unrelayed
hop between terminal and home base station)
is less than 400 meters according to the
manufacturer’s specifications;
e. Portable or mobile radiotelephones and
similar client wireless devices for civil use,
that implement only published or
commercial cryptographic standards (except
for anti-piracy functions, which may be nonpublished) and also meet the provisions of
paragraphs a.2 to a.4 of the Cryptography
Note (Note 3 in Category 5—Part 2), that have
been customized for a specific civil industry
application with features that do not affect
the cryptographic functionality of these
original non-customized devices;
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53775
f. Items, where the ‘‘information security’’
functionality is limited to wireless ‘‘personal
area network’’ functionality, meeting all of
the following:
f.1. Implement only published or
commercial cryptographic standards; and
f.2. The cryptographic capability is limited
to a nominal operating range not exceeding
30 meters according to the manufacturer’s
specifications, or not exceeding 100 meters
according to the manufacturer’s
specifications for equipment that cannot
interconnect with more than seven devices;
g. Mobile telecommunications Radio
Access Network (RAN) equipment designed
for civil use, which also meet the provisions
of paragraphs a.2 to a.4 of the Cryptography
Note (Note 3 in Category 5—Part 2), having
an RF output power limited to 0.1W (20
dBm) or less, and supporting 16 or fewer
concurrent users;
h. Routers, switches or relays, where the
‘‘information security’’ functionality is
limited to the tasks of ‘‘Operations,
Administration or Maintenance’’ (‘‘OAM’’)
implementing only published or commercial
cryptographic standards; or
i. General purpose computing equipment
or servers, where the ‘‘information security’’
functionality meets all of the following:
i.1. Uses only published or commercial
cryptographic standards; and
i.2. Is any of the following:
i.2.a. Integral to a CPU that meets the
provisions of Note 3 in Category 5—Part 2;
i.2.b. Integral to an operating system that
is not specified by 5D002; or
i.2.c. Limited to ‘‘OAM’’ of the equipment.
b. Designed or modified for converting, by
means of ‘‘cryptographic activation’’, an item
not specified by Category 5—Part 2 into an
item specified by 5A002.a or 5D002.c.1, and
not released by the Cryptography Note (Note
3 in Category 5—Part 2), or for enabling, by
means of ‘‘cryptographic activation’’,
additional functionality specified by 5A002.a
of an item already specified by Category 5—
Part 2;
c. Designed or modified to use or perform
‘‘quantum cryptography’’;
Technical Note: ‘‘Quantum cryptography’’
is also known as Quantum Key Distribution
(QKD).
d. Designed or modified to use
cryptographic techniques to generate
channelizing codes, scrambling codes or
network identification codes, for systems
using ultra-wideband modulation techniques
and having any of the following:
d.1. A bandwidth exceeding 500 MHz; or
d.2. A ‘‘fractional bandwidth’’ of 20% or
more;
e. Designed or modified to use
cryptographic techniques to generate the
spreading code for ‘‘spread spectrum’’
systems, not specified by 5A002.d, including
the hopping code for ‘‘frequency hopping’’
systems.
46. In supplement no. 1 to part 774,
Category 5, part 2, ECCN 5D002 is
revised to read as follows:
■
5D002 ‘‘Software’’ as follows (see List of
Items Controlled).
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Federal Register / Vol. 83, No. 206 / Wednesday, October 24, 2018 / Rules and Regulations
License Requirements
Reason for Control: NS, AT, EI
Control(s)
NS applies to entire
entry.
AT applies to entire
entry.
EI applies to ‘‘software’’ in
5D002.a.1, a.3, .b,
c.1 and c.3, for
commodities or
‘‘software’’ controlled for EI reasons in ECCNs
5A002, 5A004 or
5D002.
Country chart
(see Supp. No. 1
to part 738)
NS Column 1
AT Column 1
Refer to § 742.15 of
the EAR
Note: Encryption software is controlled
because of its functional capacity, and
not because of any
informational value
of such software;
such software is not
accorded the same
treatment under the
EAR as other ‘‘software’; and for export licensing purposes, encryption
software is treated
under the EAR in
the same manner
as a commodity included in ECCN
5A002
License Requirements Note: See § 744.17
of the EAR for additional license
requirements for microprocessors having a
processing speed of 5 GFLOPS or more and
an arithmetic logic unit with an access width
of 32 bit or more, including those
incorporating ‘‘information security’’
functionality, and associated ‘‘software’’ and
‘‘technology’’ for the ‘‘production’’ or
‘‘development’’ of such microprocessors.
47. In supplement no. 1 to part 774,
Category 5, part 2, ECCN 5E002 is
revised to read as follows:
■
5E002 ‘‘Technology’’ as follows (see List of
Items Controlled).
License Requirements
Reason for Control: NS, AT, EI
Control(s)
Country chart
(see Supp. No. 1
to part 738)
List of Items Controlled
NS applies to entire
entry.
AT applies to entire
entry.
EI applies to ‘‘technology’’ in 5E002.a
for commodities or
‘‘software’’ controlled for EI reasons in ECCNs
5A002, 5A004 or
5D002, and to
‘‘technology’’ in
5E002.b.
Related Controls: After classification or selfclassification in accordance with
§ 740.17(b) of the EAR, mass market
encryption software that meet eligibility
requirements are released from ‘‘EI’’ and
‘‘NS’’ controls. This software is designated
as 5D992.c.
Related Definitions: 5D002.a controls
‘‘software’’ designed or modified to use
‘‘cryptography’’ employing digital or
analog techniques to ensure ‘‘information
security’’.
Items:
a. ‘‘Software’’ ‘‘specially designed’’ or
modified for the ‘‘development’’,
‘‘production’’ or ‘‘use’’ of any of the
following:
a.1. Equipment specified by 5A002 or
‘‘software’’ specified by 5D002.c.1;
a.2. Equipment specified by 5A003 or
‘‘software’’ specified by 5D002.c.2; or
License Requirements Notes: (1) See
§ 744.17 of the EAR for additional license
requirements for microprocessors having a
processing speed of 5 GFLOPS or more and
an arithmetic logic unit with an access width
of 32 bit or more, including those
incorporating ‘‘information security’’
functionality, and associated ‘‘software’’ and
‘‘technology’’ for the ‘‘production’’ or
‘‘development’’ of such microprocessors.
(2) When a person performs or provides
technical assistance that incorporates, or
otherwise draws upon, ‘‘technology’’ that
was either obtained in the United States or
is of US-origin, then a release of the
‘‘technology’’ takes place. Such technical
assistance, when rendered with the intent to
aid in the ‘‘development’’ or ‘‘production’’ of
encryption commodities or software that
would be controlled for ‘‘EI’’ reasons under
ECCN 5A002, 5A004 or 5D002, may require
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
CIV: N/A
TSR: N/A
ENC: Yes for certain EI controlled software,
see § 740.17 of the EAR for eligibility.
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a.3. Equipment specified by 5A004 or
‘‘software’’ specified by 5D002.c.3;
b. ‘‘Software’’ designed or modified for
converting, by means of ‘‘cryptographic
activation’’, an item not specified by Category
5—Part 2 into an item specified by 5A002.a
or 5D002.c.1, and not released by the
Cryptography Note (Note 3 in Category 5—
Part 2), or for enabling, by means of
‘‘cryptographic activation’’, additional
functionality specified by 5A002.a of an item
already specified by Category 5—Part 2;
c. ‘‘Software’’ having the characteristics of,
or performing or simulating the functions of,
any of the following:
c.1.Equipment specified by 5A002.a, .c, .d
or .e;
Note: 5D002.c.1 does not apply to
‘‘software’’ limited to the tasks of ‘‘OAM’’
implementing only published or commercial
cryptographic standards.
c.2. Equipment specified by 5A003; or
c.3. Equipment specified by 5A004.
d. [Reserved]
N.B.: See 5D002.b for items formerly
specified in 5D002.d.
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NS Column 1
AT Column 1
Refer to § 742.15 of
the EAR
authorization under the EAR even if the
underlying encryption algorithm to be
implemented is from the public domain or is
not of U.S.-origin.
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
CIV: N/A
TSR: N/A
ENC: Yes for certain EI controlled
technology, see § 740.17 of the EAR for
eligibility.
List of Items Controlled
Related Controls: See also 5E992. This entry
does not control ‘‘technology’’ ‘‘required’’
for the ‘‘use’’ of equipment excluded from
control under the Related Controls
paragraph or the Technical Notes in ECCN
5A002 or ‘‘technology’’ related to
equipment excluded from control under
ECCN 5A002.
Related Definitions: N/A
Items:
a. ‘‘Technology’’ according to the General
Technology Note for the ‘‘development’’,
‘‘production’’ or ‘‘use’’ of equipment
controlled by 5A002, 5A003, 5A004 or
5B002, or of ‘‘software’’ controlled by
5D002.a or 5D002.c.
b. ‘‘Technology’’ for converting, by means
of ‘‘cryptographic activation’’, an item not
specified by Category 5—Part 2 into an item
specified by 5A002.a or 5D002.c.1, and not
released by the Cryptography Note (Note 3 in
Category 5—Part 2), or for enabling, by means
of ‘‘cryptographic activation’’, additional
functionality specified by 5A002.a of an item
already specified by Category 5—Part 2.
Note: 5E002 includes ‘‘information
security’’ technical data resulting from
procedures carried out to evaluate or
determine the implementation of functions,
features or techniques specified in Category
5 Part 2.
48. In supplement no. 1 to part 774,
Category 6, ECCN 6A002 is revised to
read as follows:
■
Sfmt 4700
6A002 Optical sensors and equipment, and
‘‘components’’ therefor, as follows (see
List of Items Controlled).
License Requirements
Reason for Control: NS, MT, CC, RS, AT, UN
Control(s)
NS applies to entire
entry.
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Country chart
(see Supp. No. 1
to part 738).
NS Column 2
Federal Register / Vol. 83, No. 206 / Wednesday, October 24, 2018 / Rules and Regulations
Control(s)
MT applies to optical
detectors in
6A002.a.1, or a.3
that are ‘‘specially
designed’’ or modified to protect
‘‘missiles’’ against
nuclear effects
(e.g., Electromagnetic Pulse
(EMP), X-rays,
combined blast and
thermal effects),
and usable for
‘‘missiles’’.
RS applies to
6A002.a.1, a.2, a.3
(except a.3.d.2.a
and a.3.e for lead
selenide based
focal plane arrays
(FPAs)), .c, and .f.
CC applies to policemodel infrared
viewers in 6A002.c.
AT applies to entire
entry.
UN applies to
6A002.a.1, a.2, a.3
and .c.
Country chart
(see Supp. No. 1
to part 738).
MT Column 1
RS Column 1
CC Column 1
AT Column 1
See § 746.1(b) of the
EAR for UN controls.
Reporting Requirements
See § 743.1 of the EAR for reporting
requirements for exports under License
Exceptions, and Validated End-User
authorizations.
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List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
LVS: $500 for 6A002.f.
$3,000; except N/A for MT and for 6A002.a.1,
a.2, a.3, .c, and .f.
GBS: N/A
CIV: N/A
List of Items Controlled
Related Controls: (1) See USML Category
XII(e) for infrared focal plane arrays, image
intensifier tubes, and related parts and
components, subject to the ITAR. (2) See
USML Category XV(e) for space-qualified
focal plane arrays subject to the ITAR. (3)
See also ECCNs 6A102, 6A202, and 6A992.
(4) See ECCN 0A919 for foreign-made
military commodities that incorporate
commodities described in 6A002. (5)
Section 744.9 of the EAR imposes a license
requirement on commodities described in
ECCN 6A002 if being exported, reexported,
or transferred (in-country) for use by a
military end-user or for incorporation into
an item controlled by ECCN 0A919. (6) See
USML Categories XII(e) and XV(e)(3) for
read-out integrated circuits ‘‘subject to the
ITAR.’’
Related Definitions: N/A
Items:
a. Optical detectors as follows:
a.1. ‘‘Space-qualified’’ solid-state detectors
as follows:
Note: For the purpose of 6A002.a.1, solidstate detectors include ‘‘focal plane arrays’’.
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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.1.d. ‘‘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;
a.2. Image intensifier tubes and ‘‘specially
designed’’ ‘‘components’’ therefor, as follows:
Note: 6A002.a.2 does not control nonimaging photomultiplier tubes having an
electron sensing device in the vacuum space
limited solely to any of the following:
a. A single metal anode; or
b. Metal anodes with a center to center
spacing greater than 500 mm.
Technical Note: ‘Charge multiplication’ is
a form of electronic image amplification and
is defined as the generation of charge carriers
as a result of an impact ionization gain
process. ‘Charge multiplication’ sensors may
take the form of an image intensifier tube,
solid state detector or ‘‘focal plane array’’.
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. Electron image amplification using
any of the following:
a.2.a.2.a. A microchannel plate with a hole
pitch (center-to-center spacing) of 12 mm or
less; or
a.2.a.2.b. An electron sensing device with
a non-binned pixel pitch of 500 mm or less,
‘‘specially designed’’ or modified to achieve
‘charge multiplication’ other than by a
microchannel plate; and
a.2.a.3. Any of the following
photocathodes:
a.2.a.3.a. Multialkali photocathodes (e.g.,
S–20 and S–25) having a luminous
sensitivity exceeding 350 mA/lm;
a.2.a.3.b. GaAs or GaInAs photocathodes;
or
a.2.a.3.c. Other ‘‘III–V compound’’
semiconductor photocathodes having a
maximum ‘‘radiant sensitivity’’ exceeding 10
mA/W;
a.2.b. Image intensifier tubes having all of
the following:
a.2.b.1. A peak response in the wavelength
range exceeding 1,050 nm but not exceeding
1,800 nm;
a.2.b.2. Electron image amplification using
any of the following:
a.2.b.2.a. A microchannel plate with a hole
pitch (center-to-center spacing) of 12 mm or
less; or
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53777
a.2.b.2.b. An electron sensing device with
a non-binned pixel pitch of 500 mm or less,
‘‘specially designed’’ or modified to achieve
‘charge multiplication’ other than by a
microchannel plate; and
a.2.b.3. ‘‘III/V compound’’ semiconductor
(e.g., GaAs or GaInAs) photocathodes and
transferred electron photocathodes, having a
maximum ‘‘radiant sensitivity’’ exceeding 15
mA/W;
a.2.c. ‘‘Specially designed’’ ‘‘components’’
as follows:
a.2.c.1. Microchannel plates having a hole
pitch (center-to-center spacing) of 12 mm or
less;
a.2.c.2. An electron sensing device with a
non-binned pixel pitch of 500 mm or less,
‘‘specially designed’’ or modified to achieve
‘charge multiplication’ other than by a
microchannel plate;
a.2.c.3. ‘‘III–V compound’’ semiconductor
(e.g., GaAs or GaInAs) photocathodes and
transferred electron photocathodes;
Note: 6A002.a.2.c.3 does not control
compound semiconductor photocathodes
designed to achieve a maximum ‘‘radiant
sensitivity’’ of any of the following:
a. 10 mA/W or less at the peak response
in the wavelength range exceeding 400 nm
but not exceeding 1,050 nm; or
b. 15 mA/W or less at the peak response
in the wavelength range exceeding 1,050 nm
but not exceeding 1,800 nm.
a.3. Non-‘‘space-qualified’’ ‘‘focal plane
arrays’’ as follows:
N.B.: ‘Microbolometer’ non-‘‘spacequalified’’ ‘‘focal plane arrays’’ are only
specified by 6A002.a.3.f.
Technical Note: Linear or two-dimensional
multi-element detector arrays are referred to
as ‘‘focal plane arrays’’;
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.
c. ‘‘Focal plane arrays’’ ‘‘specially
designed’’ or modified to achieve ‘charge
multiplication’ and limited by design to have
a maximum ‘‘radiant sensitivity’’ of 10
mA/W or less for wavelengths exceeding 760
nm, having all of the following:
c.1. Incorporating a response limiting
mechanism designed not to be removed or
modified; and
c.2. Any of the following:
c.2.a. The response limiting mechanism is
integral to or combined with the detector
element; or
c.2.b. The ‘‘focal plane array’’ is only
operable with the response limiting
mechanism in place.
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Federal Register / Vol. 83, No. 206 / Wednesday, October 24, 2018 / Rules and Regulations
d. Thermopile arrays having less than
5,130 elements;
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Technical Note: A response limiting
mechanism integral to the detector element is
designed not to be removed or modified
without rendering the detector inoperable.
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. Any of the following:
a.3.a.2.a. A response ‘‘time constant’’ of
less than 0.5 ns; or
a.3.a.2.b. ‘‘Specially designed’’ or modified
to achieve ‘charge multiplication’ and having
a maximum ‘‘radiant sensitivity’’ exceeding
10 mA/W;
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. Any of the following:
a.3.b.2.a. A response ‘‘time constant’’ of 95
ns or less; or
a.3.b.2.b. ‘‘Specially designed’’ or modified
to achieve ‘charge multiplication’ and having
a maximum ‘‘radiant sensitivity’’ exceeding
10 mA/W;
a.3.c. Non-‘‘space-qualified’’ non-linear
(2-dimensional) ‘‘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 by
6A002.a.3.f.
a.3.d. Non-‘‘space-qualified’’ linear
(1-dimensional) ‘‘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 3,000 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 detector
elements;
Note: 6A002.a.3.d does not control ‘‘focal
plane arrays’’ (not to exceed 32 elements)
having detector elements limited solely to
germanium material.
Technical Note: For the purposes of
6A002.a.3.d, ‘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.
a.3.e. Non-‘‘space-qualified’’ linear
(1-dimensional) ‘‘focal plane arrays’’ having
individual elements with a peak response in
the wavelength range exceeding 3,000 nm but
not exceeding 30,000 nm;
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;
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Technical Note: 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.
a.3.g. Non-‘‘space-qualified’’ ‘‘focal plane
arrays’’ having all of the following:
a.3.g.1. Individual detector elements with a
peak response in the wavelength range
exceeding 400 nm but not exceeding 900 nm;
a.3.g.2. ‘‘Specially designed’’ or modified
to achieve ‘charge multiplication’ and having
a maximum ‘‘radiant sensitivity’’ exceeding
10 mA/W for wavelengths exceeding 760 nm;
and
a.3.g.3. Greater than 32 elements;
b. ‘‘Monospectral imaging sensors’’ and
‘‘multispectral imaging sensors’’, designed
for remote sensing applications and having
any of the following:
b.1. An Instantaneous-Field-Of-View
(IFOV) of less than 200 mrad (microradians);
or
b.2. 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. Having any of the following
characteristics:
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);
Note: 6A002.b.1 does not control
‘‘monospectral imaging sensors’’ with a peak
response in the wavelength range exceeding
300 nm but not exceeding 900 nm and only
incorporating any of the following non‘‘space-qualified’’ detectors or non-‘‘spacequalified’’ ‘‘focal plane arrays’’:
a. Charge Coupled Devices (CCD) not
designed or modified to achieve ‘charge
multiplication’; or
b. Complementary Metal Oxide
Semiconductor (CMOS) devices not designed
or modified to achieve ‘charge
multiplication’.
c. ‘Direct view’ imaging equipment
incorporating any of the following:
c.1. Image intensifier tubes having the
characteristics listed in 6A002.a.2.a or
6A002.a.2.b;
c.2. ‘‘Focal plane arrays’’ having the
characteristics listed in 6A002.a.3; or
c.3. Solid state detectors specified by
6A002.a.1;
Technical Note: ‘Direct view’ refers to
imaging equipment 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.
d. Flame detectors for industrial furnaces;
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
218K (¥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.
Note: 6A002.d.3 does not apply to
encapsulated optical sensing fibers ‘‘specially
designed’’ for bore hole sensing applications.
e. [Reserved]
f. ‘Read-Out Integrated Circuits’ (‘ROIC’)
‘‘specially designed’’ for ‘‘focal plane arrays’’
specified by 6A002.a.3.
Note: 6A002.f does not apply to read-out
integrated circuits ‘‘specially designed’’ for
civil automotive applications.
Note: 6A002.c does not control equipment
as follows, when 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;
NS applies to entire
entry.
NP applies to cameras controlled by
6A003.a.3 or a.4
and to plug-ins in
6A003.a.6 for cameras controlled by
6A003.a.3 or a.4.
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Technical Note: A ‘Read-Out Integrated
Circuit’ (‘ROIC’) is an integrated circuit
designed to underlie or be bonded to a ‘‘focal
plane array’’ (‘‘FPA’’) and used to read-out
(i.e., extract and register) signals produced by
the detector elements. At a minimum the
‘ROIC’ reads the charge from the detector
elements by extracting the charge and
applying a multiplexing function in a manner
that retains the relative spatial position and
orientation information of the detector
elements for processing inside or outside the
‘ROIC’.
49. In supplement no. 1 to part 774,
Category 6, ECCN 6A003 is revised to
read as follows:
■
6A003 Cameras, systems or equipment,
and ‘‘components’’ therefor, as follows
(see List of Items Controlled).
License Requirements
Reason for Control: NS, NP, RS, AT, UN
Control(s)
E:\FR\FM\24OCR2.SGM
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(see Supp. No. 1
to part 738)
NS Column 2
NP Column 1
Federal Register / Vol. 83, No. 206 / Wednesday, October 24, 2018 / Rules and Regulations
Country chart
(see Supp. No. 1
to part 738)
Control(s)
RS applies to
6A003.b.3,
6A003.b.4.a,
6A003.b.4.c and to
items controlled in
6A003.b.4.b that
have a frame rate
greater than 60 Hz
or that incorporate
a focal plane array
with more than
111,000 elements,
or to items in
6A003.b.4.b when
being exported or
reexported to be
embedded in a civil
product. (But see
§ 742.6(a)(2)(iii)
and (v) of the EAR
for certain exemptions).
RS applies to items
controlled in
6A003.b.4.b that
have a frame rate
of 60 Hz or less
and that incorporate a focal
plane array with
not more than
111,000 elements if
not being exported
or reexported to be
embedded in a civil
product.
AT applies to entire
entry.
UN applies to
6A003.b.3 and b.4.
RS Column 1
RS Column 2
AT Column 1
See § 746.1(b) of the
EAR for UN controls
License Requirement Note: Commodities
that are not subject to the ITAR but are of the
type described in USML Category XII(c) are
controlled as cameras in ECCN 6A003 when
they incorporate a camera controlled in this
ECCN.
Reporting Requirements
See § 743.3 of the EAR for thermal camera
reporting for exports that are not
authorized by an individually validated
license of thermal imaging cameras
controlled by ECCN 6A003.b.4.b to
destinations in Country Group A:1 (see
Supplement No. 1 to part 740 of the EAR),
must be reported to BIS.
amozie on DSK3GDR082PROD with RULES2
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
LVS: $1,500, except N/A for 6A003.a.3
through a.6, b.1, b.3 and b.4
GBS: N/A
CIV: N/A
Special Conditions for STA
STA: License Exception STA may not be
used to ship any commodity in 6A003.b.3
or b.4 to any of the destinations listed in
Country Group A:6 (See Supplement No.1
to part 740 of the EAR).
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List of Items Controlled
Related Controls: (1) See ECCNs 6E001
(‘‘development’’), 6E002 (‘‘production’’),
and 6E201 (‘‘use’’) for technology for items
controlled under this entry. (2) Also see
ECCN 6A203. (3) See ECCN 0A919 for
foreign made military commodities that
incorporate cameras described in 6A003.
(4) Section 744.9 of the EAR imposes a
license requirement on cameras described
in 6A003 if being exported, reexported, or
transferred (in-country) for use by a
military end-user or for incorporation into
a commodity controlled by ECCN 0A919.
(5) See USML Category XII(c) and (e) for
cameras subject to the ITAR.
Related Definitions: N/A
Items:
a. Instrumentation cameras and ‘‘specially
designed’’ ‘‘components’’ therefor, as follows:
Note: Instrumentation cameras, controlled
by 6A003.a.3 to 6A003.a.5, with modular
structures should be evaluated by their
maximum capability, using plug-ins available
according to the camera manufacturer’s
specifications.
a.1. [Reserved]
a.2. [Reserved]
a.3. Electronic streak cameras having
temporal resolution better than 50 ns;
a.4. Electronic framing cameras having a
speed exceeding 1,000,000 frames/s;
a.5. Electronic cameras having all of the
following:
a.5.a. An electronic shutter speed (gating
capability) of less than 1ms per full frame;
and
a.5.b. A read out time allowing a framing
rate of more than 125 full frames per second;
a.6. Plug-ins having all of the following
characteristics:
a.6.a. ‘‘Specially designed’’ for
instrumentation cameras which have
modular structures and that are controlled by
6A003.a; and
a.6.b. Enabling these cameras to meet the
characteristics specified by 6A003.a.3,
6A003.a.4 or 6A003.a.5, according to the
manufacturer’s specifications;
b. Imaging cameras as follows:
Note: 6A003.b does not control television
or video cameras ‘‘specially designed’’ for
television broadcasting.
b.1. Video cameras incorporating solid
state sensors, having a peak response in the
wavelength range exceeding 10 nm, but not
exceeding 30,000 nm and having all of the
following:
b.1.a. Having any of the following:
b.1.a.1. More than 4 × 106 ‘‘active pixels’’
per solid state array for monochrome (black
and white) cameras;
b.1.a.2. More than 4 × 106 ‘‘active pixels’’
per solid state array for color cameras
incorporating three solid state arrays; or
b.1.a.3. More than 12 × 106 ‘‘active pixels’’
for solid state array color cameras
incorporating one solid state array; and
b.1.b. Having any of the following:
b.1.b.1. Optical mirrors controlled by
6A004.a.;
b.1.b.2. Optical control equipment
controlled by 6A004.d.; or
b.1.b.3. The capability for annotating
internally generated ‘camera tracking data;’
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Technical Notes:
1. For the purposes of this entry, digital
video cameras should be evaluated by the
maximum number of ‘‘active pixels’’ used for
capturing moving images.
2. For the purpose of this entry, ‘camera
tracking data’ is the information necessary to
define camera line of sight orientation with
respect to the earth. This includes: (1) The
horizontal angle the camera line of sight
makes with respect to the earth’s magnetic
field direction and; (2) the vertical angle
between the camera line of sight and the
earth’s horizon.
b.2. Scanning cameras and scanning
camera systems, having all of the following:
b.2.a. A peak response in the wavelength
range exceeding 10 nm, but not exceeding
30,000 nm;
b.2.b. Linear detector arrays with more
than 8,192 elements per array; and
b.2.c. Mechanical scanning in one
direction;
Note: 6A003.b.2 does not apply to scanning
cameras and scanning camera systems,
‘‘specially designed’’ for any of the following:
a. Industrial or civilian photocopiers;
b. Image scanners ‘‘specially designed’’ for
civil, stationary, close proximity scanning
applications (e.g., reproduction of images or
print contained in documents, artwork or
photographs); or
c. Medical equipment.
b.3. Imaging cameras incorporating image
intensifier tubes having the characteristics
listed in 6A002.a.2.a or 6A002.a.2.b;
b.4. Imaging cameras incorporating ‘‘focal
plane arrays’’ having any of the following:
b.4.a. Incorporating ‘‘focal plane arrays’’
controlled by 6A002.a.3.a to 6A002.a.3.e;
b.4.b. Incorporating ‘‘focal plane arrays’’
controlled by 6A002.a.3.f; or
b.4.c. Incorporating ‘‘focal plane arrays’’
controlled by 6A002.a.3.g;
Note 1: Imaging cameras described in
6A003.b.4 include ‘‘focal plane arrays’’
combined with sufficient ‘‘signal processing’’
electronics, beyond the read out integrated
circuit, to enable as a minimum the output
of an analog or digital signal once power is
supplied.
Note 2: 6A003.b.4.a does not control
imaging cameras incorporating linear ‘‘focal
plane arrays’’ with 12 elements or fewer, not
employing time-delay-and-integration within
the element and designed for any of the
following:
a. Industrial or civilian intrusion alarm,
traffic or industrial movement control or
counting systems;
b. Industrial equipment used for inspection
or monitoring of heat flows in buildings,
equipment or industrial processes;
c. Industrial equipment used for
inspection, sorting or analysis of the
properties of materials;
d. Equipment ‘‘specially designed’’ for
laboratory use; or
e. Medical equipment.
Note 3: 6A003.b.4.b does not control
imaging cameras having any of the following:
a. A maximum frame rate equal to or less
than 9 Hz;
b. Having all of the following:
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1. Having a minimum horizontal or vertical
‘Instantaneous-Field -of-View (IFOV)’ of at
least 10 mrad (milliradians);
2. Incorporating a fixed focal-length lens
that is not designed to be removed;
3. Not incorporating a ‘direct view’ display;
and
Technical Note: ‘Direct view’ refers to an
imaging camera operating in the infrared
spectrum that presents a visual image to a
human observer using a near-to-eye micro
display incorporating any light-security
mechanism.
4. Having any of the following:
a. No facility to obtain a viewable image of
the detected field-of-view; or
b. The camera is designed for a single kind
of application and designed not to be user
modified; or
Technical Note:
‘Instantaneous Field of View (IFOV)’
specified in Note 3.b is the lesser figure of
the ‘Horizontal FOV’ or the ‘Vertical FOV.’
‘Horizontal IFOV’ = horizontal Field of
View (FOV)/number of horizontal detector
elements
‘Vertical IFOV’ = vertical Field of View
(FOV)/number of vertical detector elements.
c. The camera is ‘‘specially designed’’ for
installation into a civilian passenger land
vehicle and having all of the following:
1. The placement and configuration of the
camera within the vehicle are solely to assist
the driver in the safe operation of the vehicle;
2. Is operable only when installed in any
of the following:
a. The civilian passenger land vehicle for
which it was intended and the vehicle
weighs less than 4,500 kg (gross vehicle
weight); or
b. A ‘‘specially designed’’, authorized
maintenance test facility; and
3. Incorporates an active mechanism that
forces the camera not to function when it is
removed from the vehicle for which it was
intended.
amozie on DSK3GDR082PROD with RULES2
Note: When necessary, details of the items
will be provided, upon request, to the Bureau
of Industry and Security in order to ascertain
compliance with the conditions described in
Note 3.b.4 and Note 3.c in this Note to
6A003.b.4.b.
Note 4: 6A003.b.4.c does not apply to
‘imaging cameras’ having any of the
following characteristics:
a. Having all of the following:
1. Where the camera is ‘‘specially
designed’’ for installation as an integrated
component into indoor and wall-plugoperated systems or equipment, limited by
design for a single kind of application, as
follows:
a. Industrial process monitoring, quality
control, or analysis of the properties of
materials;
b. Laboratory equipment ‘‘specially
designed’’ for scientific research;
c. Medical equipment;
d. Financial fraud detection equipment;
and
2. Is only operable when installed in any
of the following:
a. The system(s) or equipment for which it
was intended; or
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b. A ‘‘specially designed’’, authorized
maintenance facility; and
3. Incorporates an active mechanism that
forces the camera not to function when it is
removed from the system(s) or equipment for
which it was intended;
b. Where the camera is ‘‘specially
designed’’ for installation into a civilian
passenger land vehicle or passenger and
vehicle ferries and having all of the
following:
1. The placement and configuration of the
camera within the vehicle or ferry are solely
to assist the driver or operator in the safe
operation of the vehicle or ferry;
2. Is only operable when installed in any
of the following:
a. The civilian passenger land vehicle for
which it was intended and the vehicle
weighs less than 4,500 kg (gross vehicle
weight);
b. The passenger and vehicle ferry for
which it was intended and having a length
overall (LOA) 65 m or greater; or
c. A ‘‘specially designed’’, authorized
maintenance test facility; and
3. Incorporates an active mechanism that
forces the camera not to function when it is
removed from the vehicle for which it was
intended;
c. Limited by design to have a maximum
‘‘radiant sensitivity’’ of 10 mA/W or less for
wavelengths exceeding 760 nm, having all of
the following:
1. Incorporating a response limiting
mechanism designed not to be removed or
modified; and
2. Incorporates an active mechanism that
forces the camera not to function when the
response limiting mechanism is removed;
and
3. Not ‘‘specially designed’’ or modified for
underwater use; or
d. Having all of the following:
1. Not incorporating a ‘direct view’ or
electronic image display;
2. Has no facility to output a viewable
image of the detected field of view;
3. The ‘‘focal plane array’’ is only operable
when installed in the camera for which it
was intended; and
4. The ‘‘focal plane array’’ incorporates an
active mechanism that forces it to be
permanently inoperable when removed from
the camera for which it was intended.
Note: When necessary, details of the item
will be provided, upon request, to the Bureau
of Industry and Security in order to ascertain
compliance with the conditions described in
Note 4 above.
b.5. Imaging cameras incorporating solidstate detectors specified by 6A002.a.1.
50. In supplement no. 1 to part 774,
Category 6, ECCN 6A004 is revised to
read as follows:
■
6A004 Optical equipment and
‘‘components’’, as follows (see List of
Items Controlled).
License Requirements
Reason for Control: NS, AT
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Control(s)
NS applies to entire
entry.
AT applies to entire
entry.
Country chart
(see Supp. No. 1
to part 738)
NS Column 2
AT Column 1
Reporting Requirements
See § 743.1 of the EAR for reporting
requirements for exports under License
Exceptions, and Validated End-User
authorizations.
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
LVS: $3,000
GBS: Yes for 6A004.a.1, a.2, a.4, .b, d.2,
and .f.
CIV: Yes for 6A004.a.1, a.2, a.4, .b, d.2,
and .f.
Special Conditions for STA
STA: Paragraph (c)(2) of License Exception
STA may not be used to ship any
commodity in 6A004.c or .d to any of the
destinations listed in Country Group A:6
(See Supplement No.1 to part 740 of the
EAR).
List of Items Controlled
Related Controls: (1) For optical mirrors or
‘aspheric optical elements’ ‘‘specially
designed’’ for lithography ‘‘equipment’’,
see ECCN 3B001. (2) See USML Category
XII(e) for gimbals ‘‘subject to the ITAR’’. (3)
See also 6A994.
Related Definitions: An ‘aspheric optical
element’ is any element used in an optical
system whose imaging surface or surfaces
are designed to depart from the shape of an
ideal sphere.
Items:
a. Optical mirrors (reflectors) as follows:
Technical Note: For the purpose of
6A004.a, Laser Induced Damage Threshold
(LIDT) is measured according to ISO 21254–
1:2011.
a.1. ‘Deformable mirrors’ having an active
optical aperture greater than 10 mm and
having any of the following, and specially
designed components therefor:
a.1.a. Having all the following:
a.1.a.1. A mechanical resonant frequency
of 750 Hz or more; and
a.1.a.2. More than 200 actuators; or
a.1.b. A Laser Induced Damage Threshold
(LIDT) being any of the following:
a.1.b.1. Greater than 1 kW/cm2 using a
‘‘CW laser’’; or
a.1.b.2. Greater than 2 J/cm2 using 20 ns
‘‘laser’’ pulses at 20 Hz repetition rate;
Technical Note: ‘Deformable mirrors’ are
mirrors having any of the following:
a. A single continuous optical reflecting
surface which is dynamically deformed by
the application of individual torques or
forces to compensate for distortions in the
optical waveform incident upon the mirror;
or
b. Multiple optical reflecting elements that
can be individually and dynamically
repositioned by the application of torques or
forces to compensate for distortions in the
optical waveform incident upon the mirror.
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‘Deformable mirrors’ are also known as
adaptive optic mirrors.
a.2. Lightweight monolithic mirrors having
an average ‘‘equivalent density’’ of less than
30 kg/m2 and a total mass exceeding 10 kg;
a.3. Lightweight ‘‘composite’’ or foam
mirror structures having an average
‘‘equivalent density’’ of less than 30 kg/m2
and a total mass exceeding 2 kg;
Note: 6A004.a.2 and 6A004.a.3 do not
apply to mirrors ‘‘specially designed’’ to
direct solar radiation for terrestrial heliostat
installations.
a.4. Mirrors specially designed for beam
steering mirror stages specified in
6A004.d.2.a with a flatness of l/10 or better
(l is equal to 633 nm) and having any of the
following:
a.4.a. Diameter or major axis length greater
than or equal to 100 mm; or
a.4.b. Having all of the following:
a.4.b.1. Diameter or major axis length
greater than 50 mm but less than 100 mm;
and
a.4.b.2. A Laser Induced Damage Threshold
(LIDT) being any of the following:
a.4.b.2.a. Greater than 10 kW/cm2 using a
‘‘CW laser’’; or
a.4.b.2.b. Greater than 20 J/cm2 using 20 ns
‘‘laser’’ pulses at 20 Hz repetition rate;
N.B. For optical mirrors specially designed
for lithography equipment, see 3B001.
b. Optical ‘‘components’’ made from zinc
selenide (ZnSe) or zinc sulphide (ZnS) with
transmission in the wavelength range
exceeding 3,000 nm but not exceeding 25,000
nm and having any of the following:
b.1. Exceeding 100 cm3 in volume; or
b.2. Exceeding 80 mm in diameter or
length of major axis and 20 mm in thickness
(depth);
c. ‘‘Space-qualified’’ ‘‘components’’ for
optical systems, as follows:
c.1. ‘‘Components’’ lightweighted to less
than 20% ‘‘equivalent density’’ compared
with a solid blank of the same aperture and
thickness;
c.2. Raw substrates, processed substrates
having surface coatings (single-layer or multilayer, metallic or dielectric, conducting,
semiconducting or insulating) or having
protective films;
c.3. Segments or assemblies of mirrors
designed to be assembled in space into an
optical system with a collecting aperture
equivalent to or larger than a single optic 1
m in diameter;
c.4. ‘‘Components’’ manufactured from
‘‘composite’’ materials having a coefficient of
linear thermal expansion equal to or less than
5 × 10¥6 in any coordinate direction;
d. Optical control equipment as follows:
d.1. Equipment ‘‘specially designed’’ to
maintain the surface figure or orientation of
the ‘‘space-qualified’’ ‘‘components’’
controlled by 6A004.c.1 or 6A004.c.3;
d.2. Steering, tracking, stabilisation and
resonator alignment equipment as follows:
d.2.a. Beam steering mirror stages designed
to carry mirrors having diameter or major
axis length greater than 50 mm and having
all of the following, and specially designed
electronic control equipment therefor:
d.2.a.1. A maximum angular travel of ±26
mrad or more;
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d.2.a.2. A mechanical resonant frequency
of 500 Hz or more; and
d.2.a.3. An angular ‘‘accuracy’’ of 10 mrad
(microradians) or less (better);
d.2.b. Resonator alignment equipment
having bandwidths equal to or more than 100
Hz and an ‘‘accuracy’’ of 10 mrad or less
(better);
d.3. Gimbals having all of the following:
d.3.a. A maximum slew exceeding 5°;
d.3.b. A bandwidth of 100 Hz or more;
d.3.c. Angular pointing errors of 200 mrad
(microradians) or less; and
d.3.d. Having any of the following:
d.3.d.1. Exceeding 0.15 m but not
exceeding 1 m in diameter or major axis
length and capable of angular accelerations
exceeding 2 rad (radians)/s2; or
d.3.d.2. Exceeding 1 m in diameter or
major axis length and capable of angular
accelerations exceeding 0.5 rad (radians)/s2;
d.4. [Reserved]
e. ‘Aspheric optical elements’ having all of
the following:
e.1. Largest dimension of the opticalaperture greater than 400 mm;
e.2. Surface roughness less than 1 nm (rms)
for sampling lengths equal to or greater than
1 mm; and
e.3. Coefficient of linear thermal
expansion’s absolute magnitude less than 3 x
10¥6/K at 25 °C;
Technical Note:
1. [See Related Definitions section of this
ECCN]
2. Manufacturers are not required to
measure the surface roughness listed in
6A004.e.2 unless the optical element was
designed or manufactured with the intent to
meet, or exceed, the control parameter.
Note: 6A004.e does not control ‘aspheric
optical elements’ having any of the following:
a. Largest optical-aperture dimension less
than 1 m and focal length to aperture ratio
equal to or greater than 4.5:1;
b. Largest optical-aperture dimension equal
to or greater than 1 m and focal length to
aperture ratio equal to or greater than 7:1;
c. Designed as Fresnel, flyeye, stripe, prism
or diffractive optical elements;
d. Fabricated from borosilicate glass having
a coefficient of linear thermal expansion
greater than 2.5 x 10¥6/K at 25 °C; or
e. An x-ray optical element having inner
mirror capabilities (e.g., tube-type mirrors).
f. Dynamic wavefront measuring
equipment having all of the following:
f.1. ‘Frame rates’ equal to or more than 1
kHz; and
f.2. A wavefront accuracy equal to or less
(better) than l/20 at the designed wavelength.
Technical Note: For the purposes of
6A004.f, ‘frame rate’ is a frequency at which
all ‘‘active pixels’’ in the ‘‘focal plane array’’
are integrated for recording images projected
by the wavefront sensor optics.
51. In supplement no. 1 to part 774,
Category 6, ECCN 6A005 is revised to
read as follows:
■
6A005 ‘‘Lasers’’, ‘‘components’’ and optical
equipment, as follows (see List of Items
Controlled), excluding items that are
subject to the export licensing authority
of the Nuclear Regulatory Commission
(see 10 CFR part 110).
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53781
License Requirements
Reason for Control: NS, NP, AT
Control(s)
NS applies to entire
entry.
NP applies to lasers
controlled by
6A005.a.2, a.3, a.4,
b.2.b, b.3, b.4,
b.6.c, c.1.b, c.2.b,
d.2, d.3.c, or d.4.c
that meet or exceed the technical
parameters described in 6A205.
AT applies to entire
entry.
Country chart
(see Supp. No.
1 to part 738)
NS Column 2
NP Column 1
AT Column 1
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
LVS: N/A for NP items; $3,000 for all other
items
GBS: Neodymium-doped (other than glass)
‘‘lasers’’ controlled by 6A005.b.6.d.2
(except 6A005.b.6.d.2.b) that have an
output wavelength exceeding 1,000 nm,
but not exceeding 1,100 nm, and an
average or CW output power not exceeding
2kW, and operate in a pulse-excited, non‘‘Q-switched’’ multiple-transverse mode, or
in a continuously excited, multipletransverse mode; Dye and Liquid Lasers
controlled by 6A005.c.1, c.2 and c.3,
except for a pulsed single longitudinal
mode oscillator having an average output
power exceeding 1 W and a repetition rate
exceeding 1 kHz if the ‘‘pulse duration’’ is
less than 100 ns; CO ‘‘lasers’’ controlled by
6A005.d.2 having a CW maximum rated
single or multimode output power not
exceeding 10 kW; CO2 or CO/CO2 ‘‘lasers’’
controlled by 6A005.d.3 having an output
wavelength in the range from 9,000 to
11,000 nm and having a pulsed output not
exceeding 2 J per pulse and a maximum
rated average single or multimode output
power not exceeding 5 kW; CO2 ‘‘lasers’’
controlled by 6A005.d.3 that operate in CW
multiple-transverse mode, and having a
CW output power not exceeding 15kW.
CIV: Neodymium-doped (other than glass)
‘‘lasers’’ controlled by 6A005.b.6.d.2
(except 6A005.b.6.d.2.b) that have an
output wavelength exceeding 1,000 nm,
but not exceeding 1,100 nm, and an
average or CW output power not exceeding
2kW, and operate in a pulse-excited, non‘‘Q-switched’’ multiple-transverse mode, or
in a continuously excited, multipletransverse mode; Dye and Liquid Lasers
controlled by 6A005.c.1, c.2 and c.3,
except for a pulsed single longitudinal
mode oscillator having an average output
power exceeding 1 W and a repetition rate
exceeding 1 kHz if the ‘‘pulse duration’’ is
less than 100 ns; CO ‘‘lasers’’ controlled by
6A005.d.2 having a CW maximum rated
single or multimode output power not
exceeding 10 kW; CO2 or CO/CO2 ‘‘lasers’’
controlled by 6A005.d.3 having an output
wavelength in the range from 9,000 to
11,000 nm and having a pulsed output not
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exceeding 2 J per pulse and a maximum
rated average single or multimode output
power not exceeding 5 kW; CO2 ‘‘lasers’’
controlled by 6A005.d.3 that operate in CW
multiple-transverse mode, and having a
CW output power not exceeding 15kW.
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List of Items Controlled
Related Controls: (1) See ECCN 6D001 for
‘‘software’’ for items controlled under this
entry. (2) See ECCNs 6E001
(‘‘development’’), 6E002 (‘‘production’’),
and 6E201 (‘‘use’’) for technology for items
controlled under this entry. (3) Also see
ECCNs 6A205 and 6A995. (4) See ECCN
3B001 for excimer ‘‘lasers’’ ‘‘specially
designed’’ for lithography equipment. (5)
‘‘Lasers’’ ‘‘specially designed’’ or prepared
for use in isotope separation are subject to
the export licensing authority of the
Nuclear Regulatory Commission (see 10
CFR part 110). (6) See USML Category
XII(b) and (e) for laser systems or lasers
subject to the ITAR. (7) See USML Category
XVIII for certain laser-based directed
energy weapon systems, equipment, and
components subject to the ITAR.
Related Definitions: (1) ‘Wall-plug efficiency’
is defined as the ratio of ‘‘laser’’ output
power (or ‘‘average output power’’) to total
electrical input power required to operate
the ‘‘laser’’, including the power supply/
conditioning and thermal conditioning/
heat exchanger, see 6A005.a.6.b.1 and
6A005.b.6; (2) ‘Non-repetitive pulsed’
refers to ‘‘lasers’’ that produce either a
single output pulse or that have a time
interval between pulses exceeding one
minute, see Note 2 of 6A005 and
6A005.d.6.
Items:
Note:
1. Pulsed ‘‘lasers’’ include those that run in
a continuous wave (CW) mode with pulses
superimposed.
2. Excimer, semiconductor, chemical, CO,
CO2, and ‘non-repetitive pulsed’ Nd:glass
‘‘lasers’’ are only specified by 6A005.d.
Technical Note: ‘Non-repetitive pulsed’
refers to ‘‘lasers’’ that produce either a single
output pulse or that have a time interval
between pulses exceeding one minute.
3. 6A005 includes fiber ‘‘lasers’’.
4. The control status of ‘‘lasers’’
incorporating frequency conversion (i.e.,
wavelength change) by means other than one
‘‘laser’’ pumping another ‘‘laser’’ is
determined by applying the control
parameters for both the output of the source
‘‘laser’’ and the frequency-converted optical
output.
5. 6A005 does not control ‘‘lasers’’ as
follows:
a. Ruby with output energy below 20 J;
b. Nitrogen;
c. Krypton.
a. Non-‘‘tunable’’ continuous wave ‘‘(CW)
lasers’’ having any of the following:
a.1. Output wavelength less than 150 nm
and output power exceeding 1W;
a.2. Output wavelength of 150 nm or more
but not exceeding 510 nm and output power
exceeding 30 W;
Note: 6A005.a.2 does not control Argon
‘‘lasers’’ having an output power equal to or
less than 50 W.
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a.3. Output wavelength exceeding 510 nm
but not exceeding 540 nm and any of the
following:
a.3.a. Single transverse mode output and
output power exceeding 50 W; or
a.3.b. Multiple transverse mode output and
output power exceeding 150 W;
a.4. Output wavelength exceeding 540 nm
but not exceeding 800 nm and output power
exceeding 30 W;
a.5. Output wavelength exceeding 800 nm
but not exceeding 975 nm and any of the
following:
a.5.a. Single transverse mode output and
output power exceeding 50 W; or
a.5.b. Multiple transverse mode output and
output power exceeding 80 W;
a.6. Output wavelength exceeding 975 nm
but not exceeding 1,150 nm and any of the
following;
a.6.a. Single transverse mode output and
output power exceeding 500 W; or
a.6.b. Multiple transverse mode output and
any of the following:
a.6.b.1. ‘Wall-plug efficiency’ exceeding
18% and output power exceeding 500 W; or
a.6.b.2. Output power exceeding 2 kW;
Note 1: 6A005.a.6.b does not control
multiple transverse mode, industrial ‘‘lasers’’
with output power exceeding 2kW and not
exceeding 6 kW with a total mass greater
than 1,200 kg. For the purpose of this note,
total mass includes all ‘‘components’’
required to operate the ‘‘laser’’, e.g., ‘‘laser’’,
power supply, heat exchanger, but excludes
external optics for beam conditioning or
delivery.
Note 2: 6A005.a.6.b does not apply to
multiple transverse mode, industrial ‘‘lasers’’
having any of the following:
a. Output power exceeding 500 W but not
exceeding 1 kW and having all of the
following:
1. Beam Parameter Product (BPP)
exceeding 0.7 mm•mrad; and
2. ‘Brightness’ not exceeding 1024 W/
(mm•mrad)2;
b. Output power exceeding 1 kW but not
exceeding 1.6 kW and having a BPP
exceeding 1.25 mm•mrad;
c. Output power exceeding 1.6 kW but not
exceeding 2.5 kW and having a BPP
exceeding 1.7 mm•mrad;
d. Output power exceeding 2.5 kW but not
exceeding 3.3 kW and having a BPP
exceeding 2.5 mm•mrad;
e. Output power exceeding 3.3 kW but not
exceeding 4 kW and having a BPP exceeding
3.5 mm•mrad;
f. Output power exceeding 4 kW but not
exceeding 5 kW and having a BPP exceeding
5 mm•mrad;
g. Output power exceeding 5 kW but not
exceeding 6 kW and having a BPP exceeding
7.2 mm•mrad;
h. Output power exceeding 6 kW but not
exceeding 8 kW and having a BPP exceeding
12 mm•mrad; or
i. Output power exceeding 8 kW but not
exceeding 10 kW and having a BPP
exceeding 24 mm•mrad;
Technical Note: For the purpose of
6A005.a.6.b, Note 2 (a)(2), ‘brightness’ is
defined as the output power of the ‘‘laser’’
divided by the squared Beam Parameter
Product (BPP), i.e., (output power)/BPP2.
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a.7. Output wavelength exceeding 1,150
nm but not exceeding 1,555 nm and any of
the following:
a.7.a. Single transverse mode and output
power exceeding 50 W; or
a.7.b. Multiple transverse mode and output
power exceeding 80 W;
a.8. Output wavelength exceeding 1,555
nm but not exceeding 1,850 nm and output
power exceeding 1 W;
a.9. Output wavelength exceeding 1,850
nm but not exceeding 2,100 nm, and any of
the following:
a.9.a. Single transverse mode and output
power exceeding 1 W; or
a.9. b. Multiple transverse mode output
and output power exceeding 120 W; or
a.10. Output wavelength exceeding 2,100
nm and output power exceeding 1 W;
b. Non-‘‘tunable’’ ‘‘pulsed lasers’’ having
any of the following:
b.1. Output wavelength less than 150 nm
and any of the following:
b.1.a. Output energy exceeding 50 mJ per
pulse and ‘‘peak power’’ exceeding 1 W; or
b.1.b. ‘‘Average output power’’ exceeding 1
W;
b.2. Output wavelength of 150 nm or more
but not exceeding 510 nm and any of the
following:
b.2.a. Output energy exceeding 1.5 J per
pulse and ‘‘peak power’’ exceeding 30 W; or
b.2.b. ‘‘Average output power’’ exceeding
30 W;
Note: 6A005.b.2.b does not control Argon
‘‘lasers’’ having an ‘‘average output power’’
equal to or less than 50 W.
b.3. Output wavelength exceeding 510 nm,
but not exceeding 540 nm and any of the
following:
b.3.a. Single transverse mode output and
any of the following:
b.3.a.1. Output energy exceeding 1.5 J per
pulse and ‘‘peak power’’ exceeding 50 W; or
b.3.a.2. ‘‘Average output power’’ exceeding
50 W; or
b.3.b. Multiple transverse mode output and
any of the following:
b.3.b.1. Output energy exceeding 1.5 J per
pulse and ‘‘peak power’’ exceeding 150 W; or
b.3.b.2. ‘‘Average output power’’ exceeding
150 W;
b.4. Output wavelength exceeding 540 nm
but not exceeding 800 nm and any of the
following:
b.4.a. ‘‘Pulse duration’’ less than 1 ps and
any of the following:
b.4.a.1. Output energy exceeding 0.005 J
per pulse and ‘‘peak power’’ exceeding 5 GW;
or
b.4.a.2. ‘‘Average output power’’ exceeding
20 W; or
b.4.b. ‘‘Pulse duration’’ equal to or
exceeding 1 ps and any of the following:
b.4.b.1. Output energy exceeding 1.5 J per
pulse and ‘‘peak power’’ exceeding 30 W; or
b.4.b.2. ‘‘Average output power’’ exceeding
30 W;
b.5. Output wavelength exceeding 800 nm
but not exceeding 975 nm and any of the
following:
b.5.a. ‘‘Pulse duration’’ less than 1ps and
any of the following:
b.5.a.1. Output energy exceeding 0.005 J
per pulse and ‘‘peak power’’ exceeding 5 GW;
or
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b.5.a.2. Single transverse mode output and
‘‘average output power’’ exceeding 20 W;
b.5.b. ‘‘Pulse duration’’ equal to or
exceeding 1 ps and not exceeding 1 ms and
any of the following:
b.5.b.1. Output energy exceeding 0.5 J per
pulse and ‘‘peak power’’ exceeding 50 W;
b.5.b.2. Single transverse mode output and
‘‘average output power’’ exceeding 20 W; or
b.5.b.3. Multiple transverse mode output
and ‘‘average output power’’ exceeding 50 W;
or
b.5.c. ‘‘Pulse duration’’ exceeding 1 ms and
any of the following:
b.5.c.1. Output energy exceeding 2 J per
pulse and ‘‘peak power’’ exceeding 50 W;
b.5.c.2. Single transverse mode output and
‘‘average output power’’ exceeding 50 W; or
b.5.c.3. Multiple transverse mode output
and ‘‘average output power’’ exceeding 80 W.
b.6. Output wavelength exceeding 975 nm
but not exceeding 1,150 nm and any of the
following:
b.6.a. ‘‘Pulse duration’’ of less than 1 ps,
and any of the following:
b.6.a.1. Output ‘‘peak power’’ exceeding 2
GW per pulse;
b.6.a.2. ‘‘Average output power’’ exceeding
30 W; or
b.6.a.3. Output energy exceeding 0.002 J
per pulse;
b.6.b. ‘‘Pulse duration’’ equal to or
exceeding 1 ps and less than 1 ns, and any
of the following:
b.6.b.1. Output ‘‘peak power’’ exceeding 5
GW per pulse;
b.6.b.2. ‘‘Average output power’’ exceeding
50 W; or
b.6.b.3. Output energy exceeding 0.1 J per
pulse;
b.6.c. ‘‘Pulse duration’’ equal to or
exceeding 1 ns but not exceeding 1 ms and
any of the following:
b.6.c.1. Single transverse mode output and
any of the following:
b.6.c.1.a. ‘‘Peak power’’ exceeding 100
MW;
b.6.c.1.b. ‘‘Average output power’’
exceeding 20 W limited by design to a
maximum pulse repetition frequency less
than or equal to 1 kHz;
b.6.c.1.c. ‘Wall-plug efficiency’ exceeding
12%, ‘‘average output power’’ exceeding 100
W and capable of operating at a pulse
repetition frequency greater than 1 kHz;
b.6.c.1.d. ‘‘Average output power’’
exceeding 150 W and capable of operating at
a pulse repetition frequency greater than 1
kHz; or
b.6.c.1.e. Output energy exceeding 2 J per
pulse; or
b.6.c.2. Multiple transverse mode output
and any of the following:
b.6.c.2.a. ‘‘Peak power’’ exceeding 400
MW;
b.6.c.2.b. ‘Wall-plug efficiency’ exceeding
18% and ‘‘average output power’’ exceeding
500 W;
b.6.c.2.c. ‘‘Average output power’’
exceeding 2 kW; or
b.6.c.2.d. Output energy exceeding 4 J per
pulse; or
b.6.d. ‘‘Pulse duration’’ exceeding 1 ms and
any of the following:
b.6.d.1. Single transverse mode output and
any of the following:
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Jkt 247001
b.6.d.1.a. ‘‘Peak power’’ exceeding 500 kW;
b.6.d.1.b. ‘Wall-plug efficiency’ exceeding
12% and ‘‘average output power’’ exceeding
100 W; or
b.6.d.1.c. ‘‘Average output power’’
exceeding 150 W; or
b.6.d.2. Multiple transverse mode output
and any of the following:
b.6.d.2.a. ‘‘Peak power’’ exceeding 1 MW;
b.6.d.2.b. ‘Wall-plug efficiency’ exceeding
18% and ‘‘average output power’’ exceeding
500 W; or
b.6.d.2.c. ‘‘Average output power’’
exceeding 2 kW;
b.7. Output wavelength exceeding 1,150
nm but not exceeding 1,555 nm and any of
the following:
b.7.a. ‘‘Pulse duration’’ not exceeding 1 ms
and any of the following:
b.7.a.1. Output energy exceeding 0.5 J per
pulse and ‘‘peak power’’ exceeding 50 W;
b.7.a.2. Single transverse mode output and
‘‘average output power’’ exceeding 20 W; or
b.7.a.3. Multiple transverse mode output
and ‘‘average output power’’ exceeding 50 W;
or
b.7.b. ‘‘Pulse duration’’ exceeding 1 ms and
any of the following:
b.7.b.1. Output energy exceeding 2 J per
pulse and ‘‘peak power’’ exceeding 50 W;
b.7.b.2. Single transverse mode output and
‘‘average output power’’ exceeding 50 W; or
b.7.b.3. Multiple transverse mode output
and ‘‘average output power’’ exceeding 80 W;
b.8. Output wavelength exceeding 1,555
nm but not exceeding 1,850 nm, and any of
the following:
b.8.a. Output energy exceeding 100 mJ per
pulse and ‘‘peak power’’ exceeding 1 W; or
b.8.b. ‘‘Average output power’’ exceeding 1
W;
b.9. Output wavelength exceeding 1,850
nm but not exceeding 2,100 nm, and any of
the following:
b.9.a. Single transverse mode and any of
the following:
b.9.a.1. Output energy exceeding 100 mJ
per pulse and ‘‘peak power’’ exceeding 1 W;
or
b.9.a.2. ‘‘Average output power’’ exceeding
1 W;
b.9.b. Multiple transverse mode and any of
the following:
b.9.b.1. Output energy exceeding 100 mJ
per pulse and ‘‘peak power’’ exceeding 10
kW; or
b.9.b.2. ‘‘Average output power’’ exceeding
120 W; or
b.10. Output wavelength exceeding 2,100
nm and any of the following:
b.10.a. Output energy exceeding 100 mJ per
pulse and ‘‘peak power’’ exceeding 1 W; or
b.10.b. ‘‘Average output power’’ exceeding
1 W;
c. ‘‘Tunable’’ lasers having any of the
following:
c.1. Output wavelength less than 600 nm
and any of the following:
c.1.a. Output energy exceeding 50 mJ per
pulse and ‘‘peak power’’ exceeding 1 W; or
c.1.b. Average or CW output power
exceeding 1W;
Note: 6A005.c.1 does not apply to dye
‘‘lasers’’ or other liquid ‘‘lasers’’, having a
multimode output and a wavelength of 150
nm or more but not exceeding 600 nm and
all of the following:
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53783
1. Output energy less than 1.5 J per pulse
or a ‘‘peak power’’ less than 20 W; and
2. Average or CW output power less than
20 W.
c.2. Output wavelength of 600 nm or more
but not exceeding 1,400 nm, and any of the
following:
c.2.a. Output energy exceeding 1 J per
pulse and ‘‘peak power’’ exceeding 20 W; or
c.2.b. Average or CW output power
exceeding 20 W; or
c.3. Output wavelength exceeding 1,400
nm and any of the following:
c.3.a. Output energy exceeding 50 mJ per
pulse and ‘‘peak power’’ exceeding 1 W; or
c.3.b. Average or CW output power
exceeding 1 W;
d. Other ‘‘lasers’’, not controlled by
6A005.a, 6A005.b, or 6A005.c as follows:
d.1. Semiconductor ‘‘lasers’’ as follows:
Note:
1. 6A005.d.1 includes semiconductor
‘‘lasers’’ having optical output connectors
(e.g., fiber optic pigtails).
2. The control status of semiconductor
‘‘lasers’’ ‘‘specially designed’’ for other
equipment is determined by the control
status of the other equipment.
d.1.a. Individual single transverse mode
semiconductor ‘‘lasers’’ having any of the
following:
d.1.a.1. Wavelength equal to or less than
1,510 nm and average or CW output power,
exceeding 1.5 W; or
d.1.a.2. Wavelength greater than 1,510 nm
and average or CW output power, exceeding
500 mW;
d.1.b. Individual, multiple-transverse mode
semiconductor ‘‘lasers’’ having any of the
following:
d.1.b.1. Wavelength of less than 1,400 nm
and average or CW output power, exceeding
15 W;
d.1.b.2. Wavelength equal to or greater than
1,400 nm and less than 1,900 nm and average
or CW output power, exceeding 2.5 W; or
d.1.b.3. Wavelength equal to or greater than
1,900 nm and average or CW output power,
exceeding 1 W;
d.1.c. Individual semiconductor ‘‘laser’’
‘bars’ having any of the following:
d.1.c.1. Wavelength of less than 1,400 nm
and average or CW output power, exceeding
100 W;
d.1.c.2. Wavelength equal to or greater than
1,400 nm and less than 1,900 nm and average
or CW output power, exceeding 25 W; or
d.1.c.3. Wavelength equal to or greater than
1,900 nm and average or CW output power,
exceeding 10 W;
d.1.d. Semiconductor ‘‘laser’’ ‘stacked
arrays’ (two dimensional arrays) having any
of the following:
d.1.d.1. Wavelength less than 1,400 nm
and having any of the following:
d.1.d.1.a. Average or CW total output
power less than 3 kW and having average or
CW output ‘power density’ greater than 500
W/cm2;
d.1.d.1.b. Average or CW total output
power equal to or exceeding 3 kW but less
than or equal to 5 kW, and having average
or CW output ‘power density’ greater than
350W/cm2;
d.1.d.1.c. Average or CW total output
power exceeding 5 kW;
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d.1.d.1.d. Peak pulsed ‘power density’
exceeding 2,500 W/cm2; or
Note: 6A005.d.1.d.1.d does not apply to
epitaxially-fabricated monolithic devices.
d.1.d.1.e. Spatially coherent average or CW
total output power, greater than 150 W;
d.1.d.2. Wavelength greater than or equal
to 1,400 nm but less than 1,900 nm, and
having any of the following:
d.1.d.2.a. Average or CW total output
power less than 250 W and average or CW
output ‘power density’ greater than 150 W/
cm2;
d.1.d.2.b. Average or CW total output
power equal to or exceeding 250 W but less
than or equal to 500 W, and having average
or CW output ‘power density’ greater than
50W/cm2;
d.1.d.2.c. Average or CW total output
power exceeding 500 W;
d.1.d.2.d. Peak pulsed ‘power density’
exceeding 500 W/cm2; or
Note: 6A005.d.1.d.2.d does not apply to
epitaxially-fabricated monolithic devices.
d.1.d.2.e. Spatially coherent average or CW
total output power, exceeding 15 W;
d.1.d.3. Wavelength greater than or equal
to 1,900 nm and having any of the following:
d.1.d.3.a. Average or CW output ‘power
density’ greater than 50 W/cm2;
d.1.d.3.b. Average or CW output power
greater than 10 W; or
d.1.d.3.c. Spatially coherent average or CW
total output power, exceeding 1.5 W; or
d.1.d.4. At least one ‘‘laser’’ ‘bar’ specified
by 6A005.d.1.c;
Technical Note: For the purposes of
6A005.d.1.d, ‘power density’ means the total
‘‘laser’’ output power divided by the emitter
surface area of the ‘stacked array.’
d.1.e. Semiconductor ‘‘laser’’ ‘stacked
arrays,’ other than those specified by
6.A005.d.1.d., having all of the following:
d.1.e.1. ‘‘Specially designed’’ or modified
to be combined with other ‘stacked arrays’ to
form a larger ‘stacked array;’ and
d.1.e.2. Integrated connections, common
for both electronics and cooling;
Note 1: ‘Stacked arrays,’ formed by
combining semiconductor ‘‘laser’’ ‘stacked
arrays’ specified by 6A005.d.1.e, that are not
designed to be further combined or modified
are specified by 6A005.d.1.d.
Note 2: ‘Stacked arrays,’ formed by
combining semiconductor ‘‘laser’’ ‘stacked
arrays’ specified by 6A005.d.1.e, that are
designed to be further combined or modified
are specified by 6A005.d.1.e.
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Note 3: 6A005.d.1.e does not apply to
modular assemblies of single ‘bars’ designed
to be fabricated into end to end stacked linear
arrays.
Technical Notes:
1. Semiconductor ‘‘lasers’’ are commonly
called ‘‘laser’’ diodes.
2. A ‘bar’ (also called a semiconductor
‘‘laser’’ ‘bar,’ a ‘‘laser’’ diode ‘bar’ or diode
‘bar’) consists of multiple semiconductor
‘‘lasers’’ in a one dimensional array.
3. A ‘stacked array’ consists of multiple
‘bars’ forming a two dimensional array of
semiconductor ‘‘lasers’’.
d.2. Carbon monoxide (CO) ‘‘lasers’’ having
any of the following:
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18:49 Oct 23, 2018
Jkt 247001
d.2.a. Output energy exceeding 2 J per
pulse and ‘‘peak power’’ exceeding 5 kW; or
d.2.b. Average or CW output power,
exceeding 5 kW;
d.3. Carbon dioxide (CO2) ‘‘lasers’’ having
any of the following:
d.3.a. CW output power exceeding 15 kW;
d.3.b. Pulsed output with ‘‘pulse duration’’
exceeding 10 ms and any of the following:
d.3.b.1. ‘‘Average output power’’ exceeding
10 kW; or
d.3.b.2. ‘‘Peak power’’ exceeding 100 kW;
or
d.3.c. Pulsed output with a ‘‘pulse
duration’’ equal to or less than 10 ms and any
of the following:
d.3.c.1. Pulse energy exceeding 5 J per
pulse; or
d.3.c.2. ‘‘Average output power’’ exceeding
2.5 kW;
d.4. Excimer ‘‘lasers’’ having any of the
following:
d.4.a. Output wavelength not exceeding
150 nm and any of the following:
d.4.a.1. Output energy exceeding 50 mJ per
pulse; or
d.4.a.2. ‘‘Average output power’’ exceeding
1 W;
d.4.b. Output wavelength exceeding 150
nm but not exceeding 190 nm and any of the
following:
d.4.b.1. Output energy exceeding 1.5 J per
pulse; or
d.4.b.2. ‘‘Average output power’’ exceeding
120 W;
d.4.c. Output wavelength exceeding 190
nm but not exceeding 360 nm and any of the
following:
d.4.c.1. Output energy exceeding 10 J per
pulse; or
d.4.c.2. ‘‘Average output power’’ exceeding
500 W; or
d.4.d. Output wavelength exceeding 360
nm and any of the following:
d.4.d.1. Output energy exceeding 1.5 J per
pulse; or
d.4.d.2. ‘‘Average output power’’ exceeding
30 W;
Note: For excimer ‘‘lasers’’ ‘‘specially
designed’’ for lithography equipment, see
3B001.
d.5. ‘‘Chemical lasers’’ as follows:
d.5.a. Hydrogen Fluoride (HF) ‘‘lasers’’;
d.5.b. Deuterium Fluoride (DF) ‘‘lasers’’;
d.5.c. ‘Transfer lasers’ as follows:
d.5.c.1. Oxygen Iodine (O2-I) ‘‘lasers’’;
d.5.c.2. Deuterium Fluoride-Carbon
dioxide (DF-CO2) ‘‘lasers’’;
Technical Note: ‘Transfer lasers’ are
‘‘lasers’’ in which the lasing species are
excited through the transfer of energy by
collision of a non-lasing atom or molecule
with a lasing atom or molecule species.
d.6. ‘Non-repetitive pulsed’ Neodymium
(Nd) glass ‘‘lasers’’ having any of the
following:
d.6.a. A ‘‘pulse duration’’ not exceeding 1
ms and output energy exceeding 50 J per
pulse; or
d.6.b. A ‘‘pulse duration’’ exceeding 1 ms
and output energy exceeding 100 J per pulse;
e. ‘‘Components’’ as follows:
e.1. Mirrors cooled either by ‘active
cooling’ or by heat pipe cooling;
Technical Note: ‘Active cooling’ is a
cooling technique for optical ‘‘components’’
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using flowing fluids within the subsurface
(nominally less than 1 mm below the optical
surface) of the optical component to remove
heat from the optic.
e.2. Optical mirrors or transmissive or
partially transmissive optical or electrooptical ‘‘components’’, other than fused
tapered fiber combiners and Multi-Layer
Dielectric gratings (MLDs), ‘‘specially
designed’’ for use with controlled ‘‘lasers’’;
Note to 6A005.e.2: Fiber combiners and
MLDs are specified by 6A005.e.3.
e.3. Fiber ‘‘laser’’ ‘‘components’’ as follows:
e.3.a. Multimode to multimode fused
tapered fiber combiners having all of the
following:
e.3.a.1. An insertion loss better (less) than
or equal to 0.3 dB maintained at a rated total
average or CW output power (excluding
output power transmitted through the single
mode core if present) exceeding 1,000 W; and
e.3.a.2. Number of input fibers equal to or
greater than 3;
e.3.b. Single mode to multimode fused
tapered fiber combiners having all of the
following:
e.3.b.1. An insertion loss better (less) than
0.5 dB maintained at a rated total average or
CW output power exceeding 4,600 W;
e.3.b.2. Number of input fibers equal to or
greater than 3; and
e.3.b.3. Having any of the following:
e.3.b.3.a. A Beam Parameter Product (BPP)
measured at the output not exceeding 1.5 mm
mrad for a number of input fibers less than
or equal to 5; or
e.3.b.3.b. A BPP measured at the output not
exceeding 2.5 mm mrad for a number of
input fibers greater than 5;
e.3.c. MLDs having all of the following:
e.3.c.1. Designed for spectral or coherent
beam combination of 5 or more fiber ‘‘lasers’’;
and
e.3.c.2. CW ‘‘Laser’’ Induced Damage
Threshold (LIDT) greater than or equal to 10
kW/cm2;
f. Optical equipment as follows:
N.B.: For shared aperture optical elements,
capable of operating in ‘‘Super-High Power
Laser’’ (‘‘SHPL’’) applications, see the U.S.
Munitions List (22 CFR part 121).
f.1. [Reserved]
N.B.: For items previously specified by
6A005.f.1, see 6A004.f.
f.2. ‘‘Laser’’ diagnostic equipment
‘‘specially designed’’ for dynamic
measurement of ‘‘SHPL’’ system angular
beam steering errors and having an angular
‘‘accuracy’’ of 10 mrad (microradians) or less
(better);
f.3. Optical equipment and ‘‘components’’,
‘‘specially designed’’ for coherent beam
combination in a phased-array ‘‘SHPL’’
system and having any of the following:
f.3.a. An ‘‘accuracy’’ of 0.1 mm or less, for
wavelengths greater than 1 mm; or
f.3.b. An ‘‘accuracy’’ of l/10 or less (better)
at the designed wavelength, for wavelengths
equal to or less than 1 mm;
f.4. Projection telescopes ‘‘specially
designed’’ for use with ‘‘SHPL’’ systems;
g. ‘Laser acoustic detection equipment’
having all of the following:
g.1. CW ‘‘laser’’ output power greater than
or equal to 20 mW;
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g.2. ‘‘Laser’’ frequency stability equal to or
better (less) than 10 MHz;
g.3. ‘‘Laser’’ wavelengths equal to or
exceeding 1,000 nm but not exceeding 2,000
nm;
g.4. Optical system resolution better (less)
than 1 nm; and
g.5. Optical Signal to Noise ratio equal or
exceeding to 103.
Technical Note: ‘Laser acoustic detection
equipment’ is sometimes referred to as a
‘‘Laser’’ Microphone or Particle Flow
Detection Microphone.
52. In supplement no. 1 to part 774,
Category 6, ECCN 6A008 is revised to
read as follows:
■
6A008 Radar systems, equipment and
assemblies, having any of the following
(see List of Items Controlled), and
‘‘specially designed’’ ‘‘components’’
therefor.
License Requirements
Reason for Control: NS, MT, RS, AT
Control(s)
NS applies to entire
entry.
MT applies to items
that are designed
for airborne applications and that
are usable in systems controlled for
MT reasons.
RS applies to
6A008.j.1.
AT applies to entire
entry.
Country chart
(see Supp. No. 1
to part 738)
NS Column 2
MT Column 1
RS Column 1
AT Column 1
Reporting Requirements
See § 743.1 of the EAR for reporting
requirements for exports under License
Exceptions, and Validated End-User
authorizations.
List Based License Exceptions (See Part 740
for a Description of all License Exceptions)
LVS: $5,000; N/A for MT and for 6A008.j.1.
GBS: Yes, for 6A008.b, .c, and l.1 only
CIV: Yes, for 6A008.b, .c, and l.1 only
amozie on DSK3GDR082PROD with RULES2
Special Conditions for STA
STA: License Exception STA may not be
used to ship any commodity in 6A008.d,
6A008.h or 6A008.k to any of the
destinations listed in Country Group A:6
(See Supplement No. 1 to part 740 of the
EAR).
List of Items Controlled
Related Controls: (1) See also ECCNs 6A108
and 6A998. ECCN 6A998 controls, inter
alia, the Light Detection and Ranging
(LIDAR) equipment excluded by the note
to paragraph j. of this ECCN (6A008). (2)
See USML Category XII(b) for certain
LIDAR, Laser Detection and Ranging
(LADAR), or range-gated systems subject to
the ITAR.
Related Definitions: N/A
Items:
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18:49 Oct 23, 2018
Jkt 247001
Note: 6A008 does not control:
—Secondary surveillance radar (SSR);
—Civil Automotive Radar;
—Displays or monitors used for air traffic
control (ATC);
—Meteorological (weather) radar;
—Precision Approach Radar (PAR)
equipment conforming to ICAO standards
and employing electronically steerable
linear (1-dimensional) arrays or
mechanically positioned passive antennas.
a. Operating at frequencies from 40 GHz to
230 GHz and having any of the following:
a.1. An average output power exceeding
100 mW; or
a.2. Locating ‘‘accuracy’’ of 1 m or less
(better) in range and 0.2 degree or less (better)
in azimuth;
b. A tunable bandwidth exceeding ±6.25%
of the ‘center operating frequency;’
Technical Note: The ‘center operating
frequency’ equals one half of the sum of the
highest plus the lowest specified operating
frequencies.
c. Capable of operating simultaneously on
more than two carrier frequencies;
d. Capable of operating in synthetic
aperture (SAR), inverse synthetic aperture
(ISAR) radar mode, or sidelooking airborne
(SLAR) radar mode;
e. Incorporating electronically scanned
array antennae;
Technical Note: Electronically scanned
array antennae are also known as
electronically steerable array antennae.
f. Capable of heightfinding non-cooperative
targets;
g. ‘‘Specially designed’’ for airborne
(balloon or airframe mounted) operation and
having Doppler ‘‘signal processing’’ for the
detection of moving targets;
h. Employing processing of radar signals
and using any of the following:
h.1. ‘‘Radar spread spectrum’’ techniques;
or
h.2. ‘‘Radar frequency agility’’ techniques;
i. Providing ground-based operation with a
maximum ‘‘instrumented range’’ exceeding
185 km;
Note: 6A008.i does not control:
a. Fishing ground surveillance radar;
b. Ground radar equipment ‘‘specially
designed’’ for en route air traffic control, and
having all of the following:
1. A maximum ‘‘instrumented range’’ of
500 km or less;
2. Configured so that radar target data can
be transmitted only one way from the radar
site to one or more civil ATC centers;
3. Contains no provisions for remote
control of the radar scan rate from the en
route ATC center; and
4. Permanently installed;
c. Weather balloon tracking radars.
j. Being ‘‘laser’’ radar or Light Detection
and Ranging (LIDAR) equipment and having
any of the following:
j.1. ‘‘Space-qualified’’;
j.2. Employing coherent heterodyne or
homodyne detection techniques and having
an angular resolution of less (better) than 20
mrad (microradians); or
j.3. Designed for carrying out airborne
bathymetric littoral surveys to International
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Hydrographic Organization (IHO) Order 1a
Standard (5th Edition February 2008) for
Hydrographic Surveys or better, and using
one or more ‘‘lasers’’ with a wavelength
exceeding 400 nm but not exceeding 600 nm;
Note 1: LIDAR equipment ‘‘specially
designed’’ for surveying is only specified by
6A008.j.3.
Note 2: 6A008.j does not apply to LIDAR
equipment ‘‘specially designed’’ for
meteorological observation.
Note 3: Parameters in the IHO Order 1a
Standard 5th Edition February 2008 are
summarized as follows:
Horizontal Accuracy (95% Confidence
Level) = 5 m + 5% of depth.
Depth Accuracy for Reduced Depths (95%
confidence level) = ±√(a2 + (b * d)2) where:
a = 0.5 m = constant depth error, i.e. the
sum of all constant depth errors
b = 0.013 = factor of depth dependant error
b * d = depth dependant error, i.e. the sum
of all depth dependant errors
d = depth
Feature Detection = Cubic features >2 m in
depths up to 40 m; 10% of depth beyond 40
m.
k. Having ‘‘signal processing’’ sub-systems
using ‘‘pulse compression’’ and having any of
the following:
k.1. A ‘‘pulse compression’’ ratio exceeding
150; or
k.2. A compressed pulse width of less than
200 ns; or
Note: 6A008.k.2 does not apply to two
dimensional ‘marine radar’ or ‘vessel traffic
service’ radar, having all of the following:
a. ‘‘Pulse compression’’ ratio not exceeding
150;
b. Compressed pulse width of greater than
30 ns;
c. Single and rotating mechanically
scanned antenna;
d. Peak output power not exceeding 250 W;
and
e. Not capable of ‘‘frequency hopping’’.
l. Having data processing sub-systems and
having any of the following:
l.1. ‘Automatic target tracking’ providing,
at any antenna rotation, the predicted target
position beyond the time of the next antenna
beam passage; or
Note: 6A008.l.1 does not control conflict
alert capability in ATC systems, or ‘marine
radar.’
Technical Note: ‘Automatic target tracking’
is a processing technique that automatically
determines and provides as output an
extrapolated value of the most probable
position of the target in real time.
l.2. [Reserved]
l.3. [Reserved]
l.4. Configured to provide superposition
and correlation, or fusion, of target data
within six seconds from two or more
‘geographically dispersed’ radar sensors to
improve the aggregate performance beyond
that of any single sensor specified by
6A008.f, or 6A008.i.
Technical Note: Sensors are considered
‘geographically dispersed’ when each
location is distant from any other more than
1,500 m in any direction. Mobile sensors are
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always considered ‘geographically
dispersed’.
N.B.: See also the U.S. Munitions List (22
CFR part 121).
Note: 6A008.l does not apply to systems,
equipment and assemblies designed for
‘vessel traffic services.’
Technical Notes:
1. For the purposes of 6A008, ‘marine
radar’ is a radar that is used to navigate safely
at sea, inland waterways or near-shore
environments.
2. For the purposes of 6A008, ‘vessel traffic
service’ is a vessel traffic monitoring and
control service similar to air traffic control
for ‘‘aircraft’’.
53. In supplement no. 1 to part 774,
Category 6, ECCN 6A203 is revised to
read as follows:
■
6A203 High-speed cameras, imaging
devices and ‘‘components’’ therefor,
other than those controlled by 6A003
(see List of Items Controlled).
License Requirements
Reason for Control: NP, AT
Control(s)
NP applies to entire
entry.
AT applies to entire
entry.
Country chart
(see Supp. No. 1
to part 738)
NP Column 1
AT Column 1
amozie on DSK3GDR082PROD with RULES2
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Related Controls: (1) See ECCNs 6E001
(‘‘development’’), 6E002 (‘‘production’’),
and 6E201 (‘‘use’’) for technology for items
controlled under this entry. (2) Also see
ECCN 6A003.a.3, and a.4.
Related Definitions: N/A
Items:
a. Streak cameras and ‘‘specially designed’’
components therefor, as follows:
a.1. Streak cameras with writing speeds
greater than 0.5 mm/ms;
a.2. Electronic streak cameras capable of 50
ns or less time resolution;
a.3. Streak tubes for cameras described in
6A203.a.2;
a.4. Plug-ins, ‘‘specially designed’’ for use
with streak cameras having modular
structures, that enable the performance
characteristics described in 6A203.a.1 or .a.2;
a.5. Synchronizing electronics units, and
rotor assemblies consisting of turbines,
mirrors and bearings, that are ‘‘specially
designed’’ for cameras described in
6A203.a.1.
b. Framing cameras and ‘‘specially
designed’’ components therefor, as follows:
b.1. Framing cameras with recording rates
greater than 225,000 frames per second;
b.2. Framing cameras capable of 50 ns or
less frame exposure time;
b.3. Framing tubes, and solid-state imaging
devices, that have a fast image gating
VerDate Sep<11>2014
18:49 Oct 23, 2018
Jkt 247001
(shutter) time of 50 ns or less and are
‘‘specially designed’’ for cameras described
in 6A203.b.1 or .b.2;
b.4. Plug-ins, ‘‘specially designed’’ for use
with framing cameras having modular
structures, that enable the performance
characteristics described in 6A203.b.1 or .b.2;
b.5. Synchronizing electronic units, and
rotor assemblies consisting of turbines,
mirrors and bearings, that are ‘‘specially
designed’’ for cameras described in
6A203.b.1 or .b.2.
c. Solid-state or electron tube cameras and
‘‘specially designed’’ components therefor, as
follows:
c.1. Solid-state cameras, or electron tube
cameras, with a fast image gating (shutter)
time of 50 ns or less;
c.2. Solid-state imaging devices, and image
intensifiers tubes, that have a fast image
gating (shutter) time of 50 ns or less and are
‘‘specially designed’’ for cameras described
in 6A203.c.1;
c.3. Electro-optical shuttering devices (Kerr
or Pockels cells) with a fast image gating
(shutter) time of 50 ns or less;
c.4. Plug-ins, ‘‘specially designed’’ for use
with cameras having modular structures, that
enable the performance characteristics
described in 6A203.c.1.
Technical Note: High speed single frame
cameras can be used alone to produce a
single image of a dynamic event, or several
such cameras can be combined in a
sequentially-triggered system to produce
multiple images of an event.
d. Radiation-hardened TV cameras, or
lenses therefor, ‘‘specially designed’’ or rated
as radiation hardened to withstand a total
radiation dose greater than 5 × 104 Gy
(silicon) without operational degradation.
Technical Note: The term Gy (silicon)
refers to the energy in Joules per kilogram
absorbed by an unshielded silicon sample
when exposed to ionizing radiation.
54. In supplement no. 1 to part 774,
Category 6, ECCN 6A990 is removed.
■
55. In supplement no. 1 to part 774,
Category 6, ECCN 6D003 is revised to
read as follows:
■
6D003 Other ‘‘software’’ as follows (see List
of Items Controlled).
License Requirements
Reason for Control: NS, RS, AT
Country chart
(see Supp. No. 1
to part 738)
Control(s)
NS applies to entire
entry.
RS applies to paragraph c.
AT applies to entire
entry.
NS Column 1
RS Column 1
AT Column 1
Reporting Requirements
See § 743.1 of the EAR for reporting
requirements for exports under License
Exceptions, and Validated End-User
authorizations.
PO 00000
Frm 00046
Fmt 4701
Sfmt 4700
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
CIV: Yes for 6D003.h.1
TSR: Yes, except for 6D003.c and exports or
reexports to destinations outside of those
countries listed in Country Group A:5 (See
Supplement No. 1 to part 740 of the EAR)
of ‘‘software’’ for items controlled by
6D003.a.
Special Conditions for STA
STA: License Exception STA may not be
used to ship or transmit software in
6D003.a to any of the destinations listed in
Country Group A:6 (See Supplement No.1
to part 740 of the EAR).
List of Items Controlled
Related Controls: See also ECCNs 6D103,
6D991, and 6D993.
Related Definitions: N/A
Items:
Acoustics
a. ‘‘Software’’ as follows:
a.1. ‘‘Software’’ ‘‘specially designed’’ for
acoustic beam forming for the ‘‘real-time
processing’’ of acoustic data for passive
reception using towed hydrophone arrays;
a.2. ‘‘Source code’’ for the ‘‘real-time
processing’’ of acoustic data for passive
reception using towed hydrophone arrays;
a.3. ‘‘Software’’ ‘‘specially designed’’ for
acoustic beam forming for the ‘‘real-time
processing’’ of acoustic data for passive
reception using bottom or bay cable systems;
a.4. ‘‘Source code’’ for the ‘‘real-time
processing’’ of acoustic data for passive
reception using bottom or bay cable systems;
a.5. ‘‘Software’’ or ‘‘source code’’,
‘‘specially designed’’ for all of the following:
a.5.a. ‘‘Real-time processing’’ of acoustic
data from sonar systems controlled by
6A001.a.1.e; and
a.5.b. Automatically detecting, classifying
and determining the location of divers or
swimmers;
N.B.: For diver detection ‘‘software’’ or
‘‘source code’’, ‘‘specially designed’’ or
modified for military use, see the U.S.
Munitions List of the International Traffic in
Arms Regulations (ITAR) (22 CFR part 121).
b. Optical sensors. None.
Cameras
c. ‘‘Software’’ designed or modified for
cameras incorporating ‘‘focal plane arrays’’
specified by 6A002.a.3.f and designed or
modified to remove a frame rate restriction
and allow the camera to exceed the frame
rate specified in 6A003.b.4 Note 3.a;
Optics
d. ‘‘Software’’ specially designed to
maintain the alignment and phasing of
segmented mirror systems consisting of
mirror segments having a diameter or major
axis length equal to or larger than 1 m;
e. Lasers. None.
Magnetic and Electric Field Sensors
f. ‘‘Software’’ as follows:
f.1. ‘‘Software’’ ‘‘specially designed’’ for
magnetic and electric field ‘‘compensation
systems’’ for magnetic sensors designed to
operate on mobile platforms;
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f.2. ‘‘Software’’ ‘‘specially designed’’ for
magnetic and electric field anomaly detection
on mobile platforms;
f.3. ‘‘Software’’ ‘‘specially designed’’ for
‘‘real-time processing’’ of electromagnetic
data using underwater electromagnetic
receivers specified by 6A006.e;
f.4. ‘‘Source code’’ for ‘‘real-time
processing’’ of electromagnetic data using
underwater electromagnetic receivers
specified by 6A006.e;
Gravimeters
g. ‘‘Software’’ ‘‘specially designed’’ to
correct motional influences of gravity meters
or gravity gradiometers;
Radar
h. ‘‘Software’’ as follows:
h.1. Air Traffic Control (ATC) ‘‘software’’
application ‘‘programs’’ designed to be
hosted on general purpose computers located
at Air Traffic Control centers and capable of
accepting radar target data from more than
four primary radars;
h.2. ‘‘Software’’ for the design or
‘‘production’’ of radomes having all of the
following:
h.2.a. ‘‘Specially designed’’ to protect the
‘‘electronically scanned array antennae’’
specified by 6A008.e; and
h.2.b. Resulting in an antenna pattern
having an ‘average side lobe level’ more than
40 dB below the peak of the main beam level.
Technical Note: ‘Average side lobe level’ in
6D003.h.2.b is measured over the entire array
excluding the angular extent of the main
beam and the first two side lobes on either
side of the main beam.
56. In supplement no. 1 to part 774,
Category 6, ECCN 6D991 is revised to
read as follows:
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
CIV: N/A
TSR: N/A
List of Items Controlled
Related Controls: (1) See ECCN 6D002 for
‘‘software’’ ‘‘specially designed’’ for the
‘‘use’’ of commodities controlled under
ECCN 6A002.b. (2) See ECCN 6D003.c for
‘‘software’’ ‘‘specially designed’’ for
cameras incorporating ‘‘focal plane arrays’’
specified by 6A002.a.3.f and ‘‘specially
designed’’ to remove a frame rate
restriction and allow the camera to exceed
the frame rate specified in 6A003.b.4 Note
3.a.
Related Definitions: N/A
Items:
The list of items controlled is contained in
the ECCN heading.
57. In supplement no. 1 to part 774,
Category 6, ECCN 6E001 is revised to
read as follows:
■
6E001 ‘‘Technology’’ according to the
General Technology Note for the
‘‘development’’ of equipment, materials
or ‘‘software’’ controlled by 6A (except
6A991, 6A992, 6A994, 6A995, 6A996,
6A997, 6A998, or 6A999.c), 6B (except
6B995), 6C (except 6C992 or 6C994), or
6D (except 6D991, 6D992, or 6D993).
License Requirements
Reason for Control: NS, MT, NP, RS, CC, AT,
UN
Control(s)
■
6D991 ‘‘Software,’’ n.e.s., ‘‘specially
designed’’ for the ‘‘development’’,
‘‘production’’, or ‘‘use’’ of commodities
controlled by 6A002, 6A003, 6A991,
6A996, 6A997, or 6A998.
License Requirements
Reason for Control: RS, AT
amozie on DSK3GDR082PROD with RULES2
Control(s)
RS applies to ‘‘software’’ for commodities controlled by
6A002, 6A003, or
6A998.b.
RS applies to ‘‘software’’ for commodities controlled by
6A998.c.
AT applies to entire
entry, except ‘‘software’’ for commodities controlled by
6A991.
AT applies to ‘‘software’’ for commodities controlled by
6A991.
VerDate Sep<11>2014
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(see Supp. No. 1
to part 738)
RS Column 1
RS Column 2
AT Column 1
AT Column 2
20:04 Oct 23, 2018
Jkt 247001
NS applies to ‘‘technology’’ for items
controlled by
6A001 to 6A008,
6B004 to 6B008,
6C002 to 6C005,
or 6D001 to 6D003.
MT applies to ‘‘technology’’ for items
controlled by
6A002, 6A007,
6A008, 6A102,
6A107, 6A108,
6B008, 6B108,
6D001, 6D002,
6D102 or 6D103
for MT reasons.
NP applies to ‘‘technology’’ for items
controlled by
6A003, 6A005,
6A202, 6A203,
6A205, 6A225,
6A226, 6D001, or
6D201 for NP reasons.
RS applies to ‘‘technology’’ for items
controlled by
6A002.a.1, .a.2,
.a.3, .c, or .f,
6A003.b.3 or .b.4,
or 6A008.j.1.
PO 00000
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Fmt 4701
Country chart
(see Supp. No. 1
to part 738)
NS Column 1
MT Column 1
NP Column 1
RS Column 1
Sfmt 4700
Control(s)
CC applies to ‘‘technology’’ for equipment controlled by
6A002 for CC reasons.
AT applies to entire
entry.
UN applies to ‘‘technology’’ for equipment controlled by
6A002 or 6A003 for
UN reasons.
53787
Country chart
(see Supp. No. 1
to part 738)
CC Column 1
AT Column 1
See § 746.1(b) of the
EAR for UN controls
Reporting Requirements
See § 743.1 of the EAR for reporting
requirements for exports under License
Exceptions, and Validated End-User
authorizations.
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
CIV: N/A
TSR: Yes, except for the following: (1) Items
controlled for MT reasons; (2)
‘‘Technology’’ for commodities controlled
by 6A002, 6A004.e or 6A008.j.1; (3)
‘‘Technology’’ for 6A003 cameras, unless
for ‘‘technology’’ for the integration of
6A003 cameras into camera systems
‘‘specially designed’’ for civil automotive
applications; (4) ‘‘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; or (5) Exports or reexports to
destinations outside of those countries
listed in Country Group A:5 (See
Supplement No. 1 to part 740 of the EAR)
of ‘‘technology’’ for the ‘‘development’’ of
the following: (a) Items controlled by
6A001.a.1.b, 6A001.a.1.e, 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.d, 6A001.a.2.e, 6A004.c,
6A004.d, 6A006.a.2, 6A006.c.1, 6A006.d,
6A006.e, 6A008.d, 6A008.h, 6A008.k,
6B008, or 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 6B008, or
6D003.a.
Special Conditions for STA
STA: License Exception STA may not be
used to ship or transmit any technology in
this entry to any of the destinations listed
in Country Group A:6 (See Supplement
No.1 to part 740 of the EAR).
List of Items Controlled
Related Controls: (1) Technical data directly
related to satellites and all other items
described in USML Category XV are
subject to the ITAR under USML Category
XV(f). (2) Technical data directly related to
laser systems, infrared imaging systems,
and all other items described in USML
Category XII are subject to the ITAR under
USML Category XII(f). (3) Technical data
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directly related to read-out integrated
circuits described in USML Categories
XII(e) or XV(e)(3) is subject to the ITAR
under USML Categories XII(f) or XV(f),
respectively. (4) See also 6E101, 6E201,
and 6E991.
Related Definitions: N/A
Items:
The list of items controlled is contained in
the ECCN heading.
58. In supplement no. 1 to part 774,
Category 6, ECCN 6E002 is revised 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, 6A998 or
6A999.c), 6B (except 6B995) or 6C
(except 6C992 or 6C994).
License Requirements
Reason for Control: NS, MT, NP, RS, CC, AT,
UN
Country chart
(see Supp. No.
1 to part 738)
amozie on DSK3GDR082PROD with RULES2
Control(s)
NS applies to ‘‘technology’’ for equipment controlled by
6A001 to 6A008,
6B004 to 6B008, or
6C002 to 6C005.
MT applies to ‘‘technology’’ for equipment controlled by
6A002, 6A007,
6A008, 6A102,
6A107, 6A108,
6B008, or 6B108
for MT reasons.
NP applies to ‘‘technology’’ for items
controlled by
6A003, 6A005,
6A202, 6A203,
6A205, 6A225 or
6A226 for NP reasons.
RS applies to ‘‘technology’’ for items
controlled by
6A002.a.1, .a.2,
.a.3, .c, or .f,
6A003.b.3 or .b.4,
or 6A008.j.1.
CC applies to ‘‘technology’’ for equipment controlled by
6A002 for CC reasons.
AT applies to entire
entry.
UN applies to ‘‘technology’’ for equipment controlled by
6A002 or 6A003 for
UN reasons.
CIV: N/A
TSR: Yes, except for the following:
(1) Items controlled for MT reasons;
(2) ‘‘Technology’’ for commodities controlled
by 6A002, 6A004.e, or 6A008.j.1;
(3) ‘‘Technology’’ for 6A003 cameras, unless
for ‘‘technology’’ for the integration of
6A003 cameras into camera systems
‘‘specially designed’’ for civil automotive
applications; or
(4) Exports or reexports to destinations
outside of those countries listed in Country
Group A:5 (See Supplement No. 1 to part
740 of the EAR) of ‘‘technology’’ for the
‘‘production’’ of the following: (a) Items
controlled by 6A001.a.1.b, 6A001.a.1.e,
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, 6A004.c,
6A004.d, 6A006.a.2, 6A006.c.1, 6A006.d,
6A006.e, 6A008.d, 6A008.h, 6A008.k, or
6B008; and (b) Items controlled by
6A001.a.2.c or 6A001.a.2.f when ‘‘specially
designed’’ for real time applications.
STA: License Exception STA may not be
used to ship or transmit ‘‘technology’’
according to the General Technology Note
for the ‘‘production’’ of equipment
specified in the STA exclusion paragraphs
found in the License Exception sections of
by ECCNs 6A001, 6A002, 6A003, 6A004,
6A006, 6A008, or 6B008 to any of the
destinations listed in Country Group A:6
(See Supplement No. 1 to part 740 of the
EAR).
MT Column 1
List of Items Controlled
Related Controls: (1) Technical data directly
related to satellites and all other items
described in USML Category XV are
subject to the ITAR under USML Category
XV(f). (2) Technical data directly related to
laser systems, infrared imaging systems,
and all other items described in USML
Category XII are subject to the ITAR under
USML Category XII(f). (3) Technical data
directly related to read-out integrated
circuits described in USML Categories
XII(e) or XV(e)(3) is subject to the ITAR
under USML Categories XII(f) or XV(f),
respectively. (4) See also 6E992.
Related Definitions: N/A
Items:
The list of items controlled is contained in
the ECCN heading.
NP Column 1
RS Column 1
CC Column 1
59. In supplement no. 1 to part 774,
Category 6, ECCN 6E201 is revised to
read as follows:
■
AT Column 1
See § 746.1(b) of the
EAR for UN controls
See § 743.1 of the EAR for reporting
requirements for exports under License
18:49 Oct 23, 2018
Jkt 247001
License Requirements
Reason for Control: NP, AT
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
Special Conditions for STA
NS Column 1
Reporting Requirements
VerDate Sep<11>2014
Exceptions, and Validated End-User
authorizations.
6E201 ‘‘Technology’’ according to the
General Technology Note for the ‘‘use’’
of equipment controlled by 6A003.a.3,
6A003.a.4; 6A005.a.2, 6A005.b.2.b,
6A005.b.3, 6A005.b.4.b.2, 6A005.b.6.c,
6A005.c.1.b, 6A005.c.2.b, 6A005.d.2,
6A005.d.3.c, or 6A005.d.4.c (that meet
or exceed the parameters of 6A205);
6A202, 6A203, 6A205, 6A225 or 6A226.
PO 00000
Frm 00048
Fmt 4701
Sfmt 4700
Control(s)
NP applies to entire
entry.
AT applies to entire
entry.
Country chart
(see Supp. No. 1
to part 738)
NP Column 1
AT Column 1
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
CIV: N/A
TSR: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
ECCN Controls: This entry only controls
‘‘technology’’ for ‘‘lasers’’ in 6A005 that are
controlled for NP reasons.
Items:
The list of items controlled is contained in
the ECCN heading.
60. In supplement no. 1 to part 774,
Category 6, ECCN 6E990 is removed.
■ 61. In supplement no. 1 to part 774,
Category 7, ECCN 7A006 is revised to
read as follows:
■
7A006 Airborne altimeters operating at
frequencies other than 4.2 to 4.4 GHz
inclusive and having any of the
following (see List of Items Controlled).
License Requirements
Reason for Control: NS, MT, AT
Control(s)
NS applies to entire
entry.
MT applies to commodities in this
entry that meet or
exceed the parameters of 7A106.
AT applies to entire
entry.
Country chart
(see Supp. No. 1
to part 738)
NS Column 1
MT Column 1
AT Column 1
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Related Controls: See also 7A106, 7A994 and
Category 6 for controls on radar.
Related Definitions: N/A
Items:
a. ‘Power management’; or
Technical Note: ‘Power management’ is
changing the transmitted power of the
altimeter signal so that received power at the
‘‘aircraft’’ altitude is always at the minimum
necessary to determine the altitude.
b. Using phase shift key modulation.
62. In supplement no. 1 to part 774,
Category 7, ECCN 7E004 is revised to
read as follows:
■
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7E004 Other ‘‘technology’’ as follows (see
List of Items Controlled).
License Requirements
Reason for Control: NS, MT, AT
Control(s)
NS applies to entire
entry.
MT applies to ‘‘technology ’’for equipment or systems
controlled for MT
reasons.
AT applies to entire
entry.
Country chart
(see Supp. No. 1
to part 738)
NS Column 1
MT Column 1
AT Column 1
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
CIV: N/A
TSR: N/A
amozie on DSK3GDR082PROD with RULES2
Special Conditions for STA
STA: (1) Paragraph (c)(1) of License
Exception STA (§ 740.20(c)(1) of the EAR)
may not be used for 7E004, except for
7E004.a.7. (2) Paragraph (c)(2) of License
Exception STA (§ 740.20(c)(2) of the EAR)
may not be used for 7E004, except for
7E004.a.7.
List of Items Controlled
Related Controls: (1) See also 7E001, 7E002,
7E101, and 7E994. (2) In addition to the
Related Controls in 7E001, 7E002, and
7E101 that include MT controls, also see
the MT controls in 7E104 for design
‘‘technology’’ for the integration of the
flight control, guidance, and propulsion
data into a flight management system,
designed or modified for rockets or
missiles capable of achieving a ‘‘range’’
equal to or greater than 300 km, for
optimization of rocket system trajectory;
and also see 9E101 for design ‘‘technology’’
for integration of air vehicle fuselage,
propulsion system and lifting control
surfaces, designed or modified for
unmanned aerial vehicles capable of
achieving a ‘‘range’’ equal to or greater than
300 km, to optimize aerodynamic
performance throughout the flight regime
of an unmanned aerial vehicle.
Related Definitions: ‘‘Primary flight control’’
means an ‘‘aircraft’’ stability or
maneuvering control using force/moment
generators, i.e., aerodynamic control
surfaces or propulsive thrust vectoring.
Items:
a. ‘‘Technology’’ for the ‘‘development’’ or
‘‘production’’ of any of the following:
a.1. [Reserved]
a.2. Air data systems based on surface
static data only, i.e., which dispense with
conventional air data probes;
a.3. Three dimensional displays for
‘‘aircraft’’;
a.4. [Reserved]
a.5. Electric actuators (i.e.,
electromechanical, electrohydrostatic and
integrated actuator package) ‘‘specially
designed’’ for ‘primary flight control’;
Technical Note: ‘Primary flight control’ is
‘‘aircraft’’ stability or manoeuvring control
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18:49 Oct 23, 2018
Jkt 247001
using force/moment generators, i.e.
aerodynamic control surfaces or propulsive
thrust vectoring.
a.6. ‘Flight control optical sensor array’
‘‘specially designed’’ for implementing
‘‘active flight control systems’’; or
Technical Note: A ‘flight control optical
sensor array’ is a network of distributed
optical sensors, using ‘‘laser’’ beams, to
provide real-time flight control data for onboard processing.
a.7. ‘‘DBRN’’ systems designed to navigate
underwater, using sonar or gravity databases,
that provide a positioning ‘‘accuracy’’ equal
to or less (better) than 0.4 nautical miles;
b. ‘‘Development’’ ‘‘technology’’, as
follows, for ‘‘active flight control systems’’
(including ‘‘fly-by-wire systems’’ or ‘‘fly-bylight systems’’):
b.1. Photonic-based ‘‘technology’’ for
sensing ‘‘aircraft’’ or flight control
component state, transferring flight control
data, or commanding actuator movement,
‘‘required’’ for ‘‘fly-by-light systems’’ ‘‘active
flight control systems’’;
b.2. [Reserved]
b.3. Real-time algorithms to analyze
component sensor information to predict and
preemptively mitigate impending
degradation and failures of components
within an ‘‘active flight control system’’;
Note: 7E004.b.3 does not include
algorithms for purpose of off-line
maintenance.
b.4. Real-time algorithms to identify
component failures and reconfigure force and
moment controls to mitigate ‘‘active flight
control system’’ degradations and failures;
Note: 7E004.b.4 does not include
algorithms for the elimination of fault effects
through comparison of redundant data
sources, or off-line pre-planned responses to
anticipated failures.
b.5. Integration of digital flight control,
navigation and propulsion control data, into
a digital flight management system for ‘‘total
control of flight’’;
Note: 7E004.b.5 does not apply to:
1. ‘‘Technology’’ for integration of digital
flight control, navigation and propulsion
control data, into a digital flight management
system for ‘flight path optimization’;
2. ‘‘Technology’’ for ‘‘aircraft’’ flight
instrument systems integrated solely for
VOR, DME, ILS or MLS navigation or
approaches.
Technical Note: ‘Flight path optimization’
is a procedure that minimizes deviations
from a four-dimensional (space and time)
desired trajectory based on maximizing
performance or effectiveness for mission
tasks.
b.6. [Reserved]
b.7. ‘‘Technology’’ ‘‘required’’ for deriving
the functional requirements for ‘‘fly-by-wire
systems’’ having all of the following:
b.7.a. ‘Inner-loop’ airframe stability
controls requiring loop closure rates of 40 Hz
or greater; and
Technical Note: ‘Inner-loop’ refers to
functions of ‘‘active flight control systems’’
that automate airframe stability controls.
b.7.b. Having any of the following:
PO 00000
Frm 00049
Fmt 4701
Sfmt 4700
53789
b.7.b.1. Corrects an aerodynamically
unstable airframe, measured at any point in
the design flight envelope, that would lose
recoverable control if not corrected within
0.5 seconds;
b.7.b.2. Couples controls in two or more
axes while compensating for ‘abnormal
changes in aircraft state;’;
Technical Note: ‘Abnormal changes in
aircraft state’ include in-flight structural
damage, loss of engine thrust, disabled
control surface, or destabilizing shifts in
cargo load.
b.7.b.3. Performs the functions specified in
7E004.b.5; or
Note: 7E004.b.7.b.3 does not apply to
autopilots.
b.7.b.4. Enables ‘‘aircraft’’ to have stable
controlled flight, other than during take-off or
landing, at greater than 18 degrees angle of
attack, 15 degrees side slip, 15 degrees/
second pitch or yaw rate, or 90 degrees/
second roll rate;
b.8. ‘‘Technology’’ ‘‘required’’ for deriving
the functional requirements of ‘‘fly-by-wire
systems’’ to achieve all of the following:
b.8.a. No loss of control of the ‘‘aircraft’’ in
the event of a consecutive sequence of any
two individual faults within the ‘‘fly-by-wire
system’’; and
b.8.b. Probability of loss of control of the
‘‘aircraft’’ being less (better) than 1×10 9
failures per flight hour;
Note: 7E004.b does not apply to
‘‘technology’’ associated with common
computer elements and utilities (e.g., input
signal acquisition, output signal
transmission, computer program and data
loading, built-in test, task scheduling
mechanisms) not providing a specific flight
control system function.
c. ‘‘Technology’’ for the ‘‘development’’ of
helicopter systems, as follows:
c.1. Multi-axis fly-by-wire or fly-by-light
controllers, which combine the functions of
at least two of the following into one
controlling element:
c.1.a. Collective controls;
c.1.b. Cyclic controls;
c.1.c. Yaw controls;
c.2. ‘‘Circulation-controlled anti-torque or
circulation-controlled direction control
systems’’;
c.3. Rotor blades incorporating ‘variable
geometry airfoils’, for use in systems using
individual blade control.
Technical Note: ‘Variable geometry airfoils’
use trailing edge flaps or tabs, or leading edge
slats or pivoted nose droop, the position of
which can be controlled in flight.
63. In supplement no. 1 to part 774,
Category 9, ECCN 9A002 is revised to
read as follows:
■
9A002 ‘Marine gas turbine engines’
designed to use liquid fuel and having
all of the following (see List of Items
Controlled), and ‘‘specially designed’’
assemblies and ‘‘components’’ therefor.
License Requirements
Reason for Control: NS, AT
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Federal Register / Vol. 83, No. 206 / Wednesday, October 24, 2018 / Rules and Regulations
Control(s)
NS applies to entire
entry.
AT applies to entire
entry.
Country chart
(see Supp. No. 1
to part 738)
NS Column 2
AT Column 1
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
LVS: $5,000
GBS: N/A
CIV: N/A
List of Items Controlled:
Related Controls: N/A
Related Definition: N/A
Items:
a. Maximum continuous power when
operating in ‘‘steady state mode’’ at standard
reference conditions specified by ISO 3977–
2:1997 (or national equivalent) of 24,245 kW
or more; and
b. ‘Corrected specific fuel consumption’
not exceeding 0.219 kg/kWh at 35% of the
maximum continuous power when using
liquid fuel.
Note: The term ‘marine gas turbine
engines’ includes those industrial, or aeroderivative, gas turbine engines adapted for a
ship’s electric power generation or
propulsion.
Technical Note: For the purposes of
9A002, ‘corrected specific fuel consumption’
is the specific fuel consumption of the engine
corrected to a marine distillate liquid fuel
having a net specific energy (i.e., net heating
value) of 42 MJ/kg (ISO 3977–2:1997).
64. In supplement no. 1 to part 774,
Category 9, ECCN 9A004 is revised to
read as follows:
■
9A004 Space launch vehicles and
‘‘spacecraft’’, ‘‘spacecraft buses’’,
‘‘spacecraft payloads’’, ‘‘spacecraft’’ onboard systems or equipment, and
terrestrial equipment, as follows (see
List of Items Controlled).
License Requirements
Reason for Control: NS and AT
Control(s)
NS applies to
9A004.u, .v, .w and
.x.
AT applies to
9A004.u, .v, .w, .x
and .y.
Country chart
(see Supp. No. 1
to part 738)
NS Column 1
AT Column 1
amozie on DSK3GDR082PROD with RULES2
License Requirements Note: 9A004.b
through .f are controlled under ECCN 9A515.
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Related Controls: (1) See also 9A104, 9A515,
and 9B515. (2) See ECCNs 9E001
VerDate Sep<11>2014
18:49 Oct 23, 2018
Jkt 247001
(‘‘development’’) and 9E002
(‘‘production’’) for technology for items
controlled by this entry. (3) See USML
Categories IV for the space launch vehicles
and XV for other spacecraft that are
‘‘subject to the ITAR’’ (see 22 CFR parts
120 through 130).
Related Definition: N/A
Items:
a. Space launch vehicles;
b. ‘‘Spacecraft’’;
c. ‘‘Spacecraft buses’’;
d. ‘‘Spacecraft payloads’’ incorporating
items specified by 3A001.b.1.a.4, 3A002.g,
5A001.a.1, 5A001.b.3, 5A002.c, 5A002.e,
6A002.a.1, 6A002.a.2, 6A002.b, 6A002.d,
6A003.b, 6A004.c, 6A004.e, 6A008.d,
6A008.e, 6A008.k, 6A008.l or 9A010.c;
e. On-board systems or equipment,
specially designed for ‘‘spacecraft’’ and
having any of the following functions:
e.1. ‘Command and telemetry data
handling;’;
Note: For the purpose of 9A004.e.1,
‘command and telemetry data handling’
includes bus data management, storage, and
processing.
e.2. ‘Payload data handling;’ or
Note: For the purpose of 9A004.e.2,
‘payload data handling’ includes payload
data management, storage, and processing.
e.3. ‘Attitude and orbit control;’;
Note: For the purpose of 9A004.e.3,
‘attitude and orbit control’ includes sensing
and actuation to determine and control the
position and orientation of a ‘‘spacecraft’’.
N.B.: Equipment specially designed for
military use is ‘‘subject to the ITAR’’. See 22
CFR parts 120 through 130.
f. Terrestrial equipment specially designed
for ‘‘spacecraft’’, as follows:
f.1. Telemetry and telecommand
equipment ‘‘specially designed’’ for any of
the following data processing functions:
f.1.a. Telemetry data processing of frame
synchronization and error corrections, for
monitoring of operational status (also known
as health and safe status) of the ‘‘spacecraft
bus’’; or
f.1.b. Command data processing for
formatting command data being sent to the
‘‘spacecraft’’ to control the ‘‘spacecraft bus’’;
f.2. Simulators ‘‘specially designed’’ for
‘verification of operational procedures’ of
‘‘spacecraft’’.
Technical Note: For the purposes of
9A004.f.2, ‘verification of operational
procedures’ is any of the following:
1. Command sequence confirmation;
2. Operational training;
3. Operational rehearsals; or
4. Operational analysis.
g. through t. [Reserved]
u. The James Webb Space Telescope
(JWST) being developed, launched, and
operated under the supervision of the U.S.
National Aeronautics and Space
Administration (NASA).
v. ‘‘Parts’’, ‘‘components’’, ‘‘accessories’’
and ‘‘attachments’’ that are ‘‘specially
designed’’ for the James Webb Space
Telescope and that are not:
v.1. Enumerated or controlled in the
USML;
PO 00000
Frm 00050
Fmt 4701
Sfmt 4700
v.2. Microelectronic circuits;
v.3. Described in ECCNs 7A004 or 7A104;
or
v.4. Described in an ECCN containing
‘‘space-qualified’’ as a control criterion (See
ECCN 9A515.x.4).
w. The International Space Station being
developed, launched, and operated under the
supervision of the U.S. National Aeronautics
and Space Administration.
x. ‘‘Parts’’, ‘‘components’’, ‘‘accessories’’
and ‘‘attachments’’ that are ‘‘specially
designed’’ for the International Space Station.
y. Items that would otherwise be within
the scope of ECCN 9A004.v or .x but that
have been identified in an interagencycleared commodity classification (CCATS)
pursuant to § 748.3(e) of the EAR as
warranting control in 9A004.y.
65. In supplement no. 1 to part 774,
Category 9, ECCN 9D001 is revised to
read as follows:
■
9D001 ‘‘Software’’, not specified in 9D003
or 9D004, ‘‘specially designed’’ or
modified for the ‘‘development’’ of
equipment or ‘‘technology’’ controlled
by ECCN 9A001 to 9A004, 9A012, 9A101
(except for items in 9A101.b that are
‘‘subject to the ITAR’’, see 22 CFR part
121), 9A106.d. or .e, 9A110, or 9A120,
9B (except for ECCNs 9B604, 9B610,
9B619, 9B990, and 9B991), or ECCN
9E003.
License Requirements
Reason for Control: NS, MT, AT
Control(s)
NS applies to ‘‘software’’ for equipment controlled by
9A001 to 9A004,
9A012, 9B001 to
9B010, and technology controlled
by 9E003.
MT applies to ‘‘software’’ for equipment controlled by
9B116 for MT reasons.
AT applies to entire
entry.
Country chart
(see Supp. No. 1
to part 738)
NS Column 1
MT Column 1
AT Column 1
Reporting Requirements
See § 743.1 of the EAR for reporting
requirements for exports under License
Exceptions, and Validated End-User
authorizations.
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
CIV: N/A
TSR: N/A
Special Conditions for STA
STA: License Exception STA may not be
used to ship or transmit ‘‘software’’
‘‘specially designed’’ or modified for the
‘‘development’’ of equipment or
‘‘technology’’, specified by ECCNs 9B001.b.
or 9E003.a.1, 9E003.a.2 to a.5, 9E003.a.8, or
9E003.h to any of the destinations listed in
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Federal Register / Vol. 83, No. 206 / Wednesday, October 24, 2018 / Rules and Regulations
Country Group A:6 (See Supplement No.1
to part 740 of the EAR).
List of Items Controlled
Related Controls: ‘‘Software’’ that is
‘‘required’’ for the ‘‘development’’ of items
specified in ECCNs 9A005 to 9A011,
9A101.b (except for items that are subject
to the EAR), 9A103 to 9A105, 9A106.a, .b,
and .c, 9A107 to 9A109, 9A110 (for items
that are ‘‘specially designed’’ for use in
missile systems and subsystems), and
9A111 to 9A119 is ‘‘subject to the ITAR’’.
Related Definitions: N/A
Items:
The list of items controlled is contained in
the ECCN heading.
9D002 ‘‘Software’’, not specified in 9D003
or 9D004, ‘‘specially designed’’ or
modified for the ‘‘production’’ of
equipment controlled by ECCN 9A001 to
9A004, 9A012, 9A101 (except for items
in 9A101.b that are ‘‘subject to the
ITAR’’, see 22 CFR part 121), 9A106.d
or .e, 9A110, or 9A120, 9B (except for
ECCNs 9B604, 9B610, 9B619, 9B990, and
9B991).
License Requirements
Reason for Control: NS, MT, AT
NS applies to ‘‘software’’ for equipment controlled by
9A001 to 9A004,
9A012, 9B001 to
9B010.
MT applies to ‘‘software’’ for equipment controlled by
9B116 for MT reasons.
AT applies to entire
entry.
Country chart
(see Supp. No. 1
to part 738)
NS Column 1
MT Column 1
AT Column 1
Reporting Requirements
See § 743.1 of the EAR for reporting
requirements for exports under License
Exceptions, and Validated End-User
authorizations.
amozie on DSK3GDR082PROD with RULES2
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
CIV: N/A
TSR: N/A.
Special Conditions for STA
STA: License Exception STA may not be
used to ship or transmit ‘‘software’’
‘‘specially designed’’ or modified for the
‘‘production’’ of equipment specified by
9B001.b to any of the destinations listed in
Country Group A:6 (See Supplement No.1
to part 740 of the EAR).
List of Items Controlled
Related Controls: ‘‘Software’’ that is
‘‘required’’ for the ‘‘production’’ of items
specified in ECCNs 9A005 to 9A011,
VerDate Sep<11>2014
18:49 Oct 23, 2018
Jkt 247001
67. In supplement no. 1 to part 774,
Category 9, ECCN 9D004 is revised to
read as follows:
■
9D004 Other ‘‘software’’ as follows (see List
of Items Controlled).
License Requirements
Reason for Control: NS, AT
66. In supplement no. 1 to part 774,
Category 9, ECCN 9D002 is revised to
read as follows:
■
Control(s)
9A101.b (except for items that are subject
to the EAR), 9A103 to 9A105, 9A106.a, .b,
and .c, 9A107 to 9A109, 9A110 (for items
that are ‘‘specially designed’’ for use in
missile systems and subsystems), and
9A111 to 9A119 is ‘‘subject to the ITAR’’.
Related Definitions: N/A
Items:
The list of items controlled is contained in
the ECCN heading.
Control(s)
NS applies to entire
entry.
AT applies to entire
entry.
Country chart
(see Supp. No. 1
to part 738)
NS Column 1
AT Column 1
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
CIV: N/A
TSR: N/A.
Special Conditions for STA
STA: License Exception STA may not be
used to ship or transmit software in
9D004.a and 9D004.c to any of the
destinations listed in Country Group A:6
(See Supplement No.1 to part 740 of the
EAR)
List of Items Controlled
Related Controls: See also 9D104.
Related Definitions: N/A
Items:
a. 2D or 3D viscous ‘‘software’’, validated
with wind tunnel or flight test data required
for detailed engine flow modelling;
b. ‘‘Software’’ for testing aero gas turbine
engines, assemblies, ‘‘parts’’ or
‘‘components’’, having all of the following:
b.1. ‘‘Specially designed’’ for testing any of
the following:
b.1.a. Aero gas turbine engines, assemblies
or components, incorporating ‘‘technology’’
specified by 9E003.a, 9E003.h or 9E003.i; or
b.1.b. Multi-stage compressors providing
either bypass or core flow, specially designed
for aero gas turbine engines incorporating
‘‘technology’’ specified by 9E003.a or
9E003.h; and
b.2. ‘‘Specially designed’’ for all of the
following:
a. Acquisition and processing of data, in
real time; and
b. Feedback control of the test article or
test conditions (e.g., temperature, pressure,
flow rate) while the test is in progress;
Note: 9D004.b does not specify software for
operation of the test facility or operator safety
(e.g., overspeed shutdown, fire detection and
suppression), or production, repair or
maintenance acceptance-testing limited to
determining if the item has been properly
assembled or repaired.
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c. ‘‘Software’’ ‘‘specially designed’’ to
control directional solidification or single
crystal material growth in equipment
specified by 9B001.a or 9B001.c;
d. [Reserved]
e. ‘‘Software’’ ‘‘specially designed’’ or
modified for the operation of items specified
by 9A012;
f. ‘‘Software’’ ‘‘specially designed’’ to
design the internal cooling passages of aero
gas turbine engine blades, vanes and ‘‘tip
shrouds’’;
g. ‘‘Software’’ having all of the following:
g.1. ‘‘Specially designed’’ to predict aero
thermal, aeromechanical and combustion
conditions in aero gas turbine engines; and
g.2. Theoretical modeling predictions of
the aero thermal, aeromechanical and
combustion conditions, which have been
validated with actual turbine engine
(experimental or production) performance
data.
68. In supplement no. 1 to part 774,
Category 9, ECCN 9E003 is revised to
read as follows:
■
9E003 Other ‘‘technology’’ as follows (see
List of Items Controlled).
License Requirements
Reason for Control: NS, SI, AT
Control(s)
NS applies to entire
entry.
SI applies to
9E003.a.1 through
a.8, .h, .i, and .k.
AT applies to entire
entry.
Country chart
(see Supp. No. 1
to part 738)
NS Column 1
See § 742.14 of the
EAR for additional
information.
AT Column 1
Reporting Requirements
See § 743.1 of the EAR for reporting
requirements for exports under License
Exceptions, and Validated End-User
authorizations.
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
CIV: N/A
TSR: N/A
Special Conditions for STA
STA: License Exception STA may not be
used to ship or transmit any technology in
9E003.a.1, 9E003.a.2 to a.5, 9E003.a.8, or
9E003.h to any of the destinations listed in
Country Group A:6 (See Supplement No.1
to part 740 of the EAR).
List of Items Controlled
Related Controls: (1) Hot section
‘‘technology’’ specifically designed,
modified, or equipped for military uses or
purposes, or developed principally with
U.S. Department of Defense funding, is
‘‘subject to the ITAR’’ (see 22 CFR parts
120 through 130). (2) ‘‘Technology’’ is
subject to the EAR when actually applied
to a commercial ‘‘aircraft’’ engine program.
Exporters may seek to establish
commercial application either on a caseby-case basis through submission of
documentation demonstrating application
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to a commercial program in requesting an
export license from the Department
Commerce in respect to a specific export,
or in the case of use for broad categories
of ‘‘aircraft’’, engines, ‘‘parts’’ or
‘‘components’’, a commodity jurisdiction
determination from the Department of
State.
Related Definitions: N/A
Items:
a. ‘‘Technology’’ ‘‘required’’ for the
‘‘development’’ or ‘‘production’’ of any of the
following gas turbine engine ‘‘parts’’,
‘‘components’’ or systems:
a.1. Gas turbine blades, vanes or ‘‘tip
shrouds’’, made from directionally solidified
(DS) or single crystal (SC) alloys and having
(in the 001 Miller Index Direction) a stressrupture life exceeding 400 hours at 1,273 K
(1,000 °C) at a stress of 200 MPa, based on
the average property values;
Technical Note: For the purposes of
9E003.a.1, stress-rupture life testing is
typically conducted on a test specimen.
a.2. Combustors having any of the
following:
a.2.a. ‘Thermally decoupled liners’
designed to operate at ‘combustor exit
temperature’ exceeding 1,883K (1,610 °C);
a.2.b. Non-metallic liners;
a.2.c. Non-metallic shells; or
a.2.d. Liners designed to operate at
‘combustor exit temperature’ exceeding
1,883K (1,610 °C) and having holes that meet
the parameters specified by 9E003.c;
Note: The ‘‘required’’ ‘‘technology’’ for
holes in 9E003.a.2 is limited to the derivation
of the geometry and location of the holes.
amozie on DSK3GDR082PROD with RULES2
Technical Notes:
1. ‘Thermally decoupled liners’ are liners
that feature at least a support structure
designed to carry mechanical loads and a
combustion facing structure designed to
protect the support structure from the heat of
combustion. The combustion facing structure
and support structure have independent
thermal displacement (mechanical
displacement due to thermal load) with
respect to one another, i.e. they are thermally
decoupled.
2. ‘Combustor exit temperature’ is the bulk
average gas path total (stagnation)
temperature between the combustor exit
plane and the leading edge of the turbine
inlet guide vane (i.e., measured at engine
station T40 as defined in SAE ARP 755A)
when the engine is running in a ‘‘steady state
mode’’ of operation at the certificated
maximum continuous operating temperature.
N.B.: See 9E003.c for ‘‘technology’’
‘‘required’’ for manufacturing cooling holes.
a.3. ‘‘Parts’’ or ‘‘components’’, that are any
of the following:
a.3.a. Manufactured from organic
‘‘composite’’ materials designed to operate
above 588 K (315 °C);
a.3.b. Manufactured from any of the
following:
a.3.b.1. Metal ‘‘matrix’’ ‘‘composites’’
reinforced by any of the following:
a.3.b.1.a. Materials controlled by 1C007;
a.3.b.1.b. ‘‘Fibrous or filamentary
materials’’ specified by 1C010; or
a.3.b.1.c. Aluminides specified by 1C002.a;
or
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a.3.b.2. Ceramic ‘‘matrix’’ ‘‘composites’’
specified by 1C007; or
a.3.c. Stators, vanes, blades, tip seals
(shrouds), rotating blings, rotating blisks or
‘splitter ducts,’ that are all of the following:
a.3.c.1. Not specified in 9E003.a.3.a;
a.3.c.2. Designed for compressors or fans;
and
a.3.c.3. Manufactured from material
controlled by 1C010.e with resins controlled
by 1C008;
Technical Note: A ‘splitter duct’ performs
the initial separation of the air-mass flow
between the bypass and core sections of the
engine.
a.4. Uncooled turbine blades, vanes or ‘‘tip
shrouds’’ designed to operate at a ‘gas path
temperature’ of 1,373 K (1,100 °C) or more;
a.5. Cooled turbine blades, vanes or ‘‘tipshrouds’’, other than those described in
9E003.a.1, designed to operate at a ‘gas path
temperature’ of 1,693 K (1,420 °C) or more;
Technical Note: ‘Gas path temperature’ is
the bulk average gas path total (stagnation)
temperature at the leading edge plane of the
turbine component when the engine is
running in a ‘‘steady state mode’’ of
operation at the certificated or specified
maximum continuous operating temperature.
a.6. Airfoil-to-disk blade combinations
using solid state joining;
a.7. Gas turbine engine ‘‘parts’’ or
‘‘components’’ using ‘‘diffusion bonding’’
‘‘technology’’ controlled by 2E003.b;
a.8. ‘Damage tolerant’ gas turbine engine
rotor ‘‘parts’’ or ‘‘components’’ using powder
metallurgy materials controlled by 1C002.b;
or
Technical Note: ‘Damage tolerant’ ‘‘parts’’
and ‘‘components’’ are designed using
methodology and substantiation to predict
and limit crack growth.
a.9. [Reserved]
N.B.: For ‘‘FADEC systems’’, see 9E003.h.
a.10. [Reserved]
N.B.: For adjustable flow path geometry,
see 9E003.i.
a.11. Hollow fan blades;
b. ‘‘Technology’’ ‘‘required’’ for the
‘‘development’’ or ‘‘production’’ of any of the
following:
b.1. Wind tunnel aero-models equipped
with non-intrusive sensors capable of
transmitting data from the sensors to the data
acquisition system; or
b.2. ‘‘Composite’’ propeller blades or
propfans, capable of absorbing more than
2,000 kW at flight speeds exceeding Mach
0.55;
c. ‘‘Technology’’ ‘‘required’’ for
manufacturing cooling holes, in gas turbine
engine ‘‘parts’’ or ‘‘components’’
incorporating any of the ‘‘technologies’’
specified by 9E003.a.1, 9E003.a.2 or
9E003.a.5, and having any of the following:
c.1. Having all of the following:
c.1.a. Minimum ‘cross-sectional area’ less
than 0.45 mm2;
c.1.b. ‘Hole shape ratio’ greater than 4.52;
and
c.1.c. ‘Incidence angle’ equal to or less than
25°; or
c.2. Having all of the following:
c.2.a. Minimum ‘cross-sectional area’ less
than 0.12 mm2;
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c.2.b. ‘Hole shape ratio’ greater than 5.65;
and
c.2.c. ‘Incidence angle’ more than 25°;
Note: 9E003.c does not apply to
‘‘technology’’ for manufacturing constant
radius cylindrical holes that are straight
through and enter and exit on the external
surfaces of the component.
Technical Notes:
1. For the purposes of 9E003.c, the ‘crosssectional area’ is the area of the hole in the
plane perpendicular to the hole axis.
2. For the purposes of 9E003.c, ‘hole shape
ratio’ is the nominal length of the axis of the
hole divided by the square root of its
minimum ‘cross-sectional area.’
3. For the purposes of 9E003.c, ‘incidence
angle’ is the acute angle measured between
the plane tangential to the airfoil surface and
the hole axis at the point where the hole axis
enters the airfoil surface.
4. Methods for manufacturing holes in
9E003.c include ‘‘laser’’ beam machining,
water jet machining, Electro-Chemical
Machining (ECM) or Electrical Discharge
Machining (EDM).
d. ‘‘Technology’’ ‘‘required’’ for the
‘‘development’’ or ‘‘production’’ of helicopter
power transfer systems or tilt rotor or tilt
wing ‘‘aircraft’’ power transfer systems;
e. ‘‘Technology’’ for the ‘‘development’’ or
‘‘production’’ of reciprocating diesel engine
ground vehicle propulsion systems having all
of the following:
e.1. ‘Box volume’ of 1.2 m3 or less;
e.2. An overall power output of more than
750 kW based on 80/1269/EEC, ISO 2534 or
national equivalents; and
e.3. Power density of more than 700 kW/
m3 of ‘box volume’;
Technical Note: ‘Box volume’ is the
product of three perpendicular dimensions
measured in the following way:
Length: The length of the crankshaft from
front flange to flywheel face;
Width: The widest of any of the following:
a. The outside dimension from valve cover
to valve cover;
b. The dimensions of the outside edges of
the cylinder heads; or
c. The diameter of the flywheel housing;
Height: The largest of any of the following:
a. The dimension of the crankshaft centerline to the top plane of the valve cover (or
cylinder head) plus twice the stroke; or
b. The diameter of the flywheel housing.
f. ‘‘Technology’’ ‘‘required’’ for the
‘‘production’’ of ‘‘specially designed’’ ‘‘parts’’
or ‘‘components’’ for high output diesel
engines, as follows:
f.1. ‘‘Technology’’ ‘‘required’’ for the
‘‘production’’ of engine systems having all of
the following ‘‘parts’’ and ‘‘components’’
employing ceramics materials controlled by
1C007:
f.1.a Cylinder liners;
f.1.b. Pistons;
f.1.c. Cylinder heads; and
f.1.d. One or more other ‘‘part’’ or
‘‘component’’ (including exhaust ports,
turbochargers, valve guides, valve assemblies
or insulated fuel injectors);
f.2. ‘‘Technology’’ ‘‘required’’ for the
‘‘production’’ of turbocharger systems with
single-stage compressors and having all of
the following:
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f.2.a. Operating at pressure ratios of 4:1 or
higher;
f.2.b. Mass flow in the range from 30 to 130
kg per minute; and
f.2.c. Variable flow area capability within
the compressor or turbine sections;
f.3. ‘‘Technology’’ ‘‘required’’ for the
‘‘production’’ of fuel injection systems with
a ‘‘specially designed’’ multifuel (e.g., diesel
or jet fuel) capability covering a viscosity
range from diesel fuel (2.5 cSt at 310.8 K
(37.8°C)) down to gasoline fuel (0.5 cSt at
310.8 K (37.8°C)) and having all of the
following:
f.3.a. Injection amount in excess of 230
mm3 per injection per cylinder; and
f.3.b. Electronic control features ‘‘specially
designed’’ for switching governor
characteristics automatically depending on
fuel property to provide the same torque
characteristics by using the appropriate
sensors;
g. ‘‘Technology’’ ‘‘required’’ for the
development’’ or ‘‘production’’ of ‘high
output diesel engines’ for solid, gas phase or
liquid film (or combinations thereof) cylinder
wall lubrication and permitting operation to
temperatures exceeding 723 K (450 °C),
measured on the cylinder wall at the top
limit of travel of the top ring of the piston;
Technical Note: ‘High output diesel
engines’ are diesel engines with a specified
brake mean effective pressure of 1.8 MPa or
more at a speed of 2,300 rpm, provided the
rated speed is 2,300 rpm or more.
h. ‘‘Technology’’ for gas turbine engine
‘‘FADEC systems’’ as follows:
h.1. ‘‘Development’’ ‘‘technology’’ for
deriving the functional requirements for the
‘‘parts’’ or ‘‘components’’ necessary for the
‘‘FADEC system’’ to regulate engine thrust or
shaft power (e.g., feedback sensor time
constants and accuracies, fuel valve slew
rate);
h.2. ‘‘Development’’ or ‘‘production’’
‘‘technology’’ for control and diagnostic
‘‘parts’’ or ‘‘components’’ unique to the
‘‘FADEC system’’ and used to regulate engine
thrust or shaft power;
h.3. ‘‘Development’’ ‘‘technology’’ for the
control law algorithms, including ‘‘source
code’’, unique to the ‘‘FADEC system’’ and
used to regulate engine thrust or shaft power;
Note: 9E003.h does not apply to technical
data related to engine-‘‘aircraft’’ integration
required by civil aviation authorities of one
or more Wassenaar Arrangement
Participating States (See Supplement No. 1 to
part 743 of the EAR) to be published for
general airline use (e.g., installation manuals,
operating instructions, instructions for
continued airworthiness) or interface
functions (e.g., input/output processing,
airframe thrust or shaft power demand).
i. ‘‘Technology’’ for adjustable flow path
systems designed to maintain engine stability
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for gas generator turbines, fan or power
turbines, or propelling nozzles, as follows:
i.1. ‘‘Development’’ ‘‘technology’’ for
deriving the functional requirements for the
‘‘parts’’ or ‘‘components’’ that maintain
engine stability;
i.2. ‘‘Development’’ or ‘‘production’’
‘‘technology’’ for ‘‘parts’’ or ‘‘components’’
unique to the adjustable flow path system
and that maintain engine stability;
i.3. ‘‘Development’’ ‘‘technology’’ for the
control law algorithms, including ‘‘source
code’’, unique to the adjustable flow path
system and that maintain engine stability;
Note: 9E003.i does not apply to
‘‘technology’’ for any of the following:
a. Inlet guide vanes;
b. Variable pitch fans or prop-fans;
c. Variable compressor vanes;
d. Compressor bleed valves; or
e. Adjustable flow path geometry for
reverse thrust.
j. ‘‘Technology’’ ‘‘required’’ for the
‘‘development’’ of wing-folding systems
designed for fixed-wing ‘‘aircraft’’ powered
by gas turbine engines.
N.B.: For ‘‘technology’’ ‘‘required’’ for the
‘‘development’’ of wing-folding systems
designed for fixed-wing ‘‘aircraft’’ specified
in USML Category VIII (a), see USML
Category VIII (i).
k. ‘‘Technology’’ not otherwise controlled
in 9E003.a.1 through a.8, a.10, and .h and
used in the ‘‘development’’, ‘‘production’’, or
overhaul of hot section ‘‘parts’’ or
‘‘components’’ of civil derivatives of military
engines controlled on the U.S. Munitions
List.
(2) Category 2
69. In supplement no. 6 to part 774,
paragraphs (1) and (2) are revised to
read as follows:
■
■
Supplement No. 6 to Part 774—
Sensitive List
*
*
*
*
*
(1) Category 1
(i) 1A002.a.1.
(ii) 1C001.
(iii) 1C007.c.
(iv) 1C010.c and .d.
(v) 1C012.
(vi) 1D002—‘‘Software’’ for the
‘‘development’’ of organic ‘‘matrix’’, metal
‘‘matrix’’, or carbon ‘‘matrix’’ laminates or
composites controlled under 1A002, 1C007.c,
1C010.c or 1C010.d.
(vii) 1E001—‘‘Technology’’ according to
the General Technology Note for the
‘‘development’’ or ‘‘production’’ of
equipment and materials controlled under
1A002, 1C001, 1C007.c, 1C010.c, 1C010.d, or
1C012.
(viii) 1E002.e and .f.
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53793
(i) 2D001—‘‘Software’’, other than that
controlled by 2D002, ‘‘specially designed’’
for the ‘‘development’’ or ‘‘production’’ of
equipment as follows:
(A) Specified by 2B001.a, 2B001.b.1, or
2B001.b.2, and having a ‘‘unidirectional
positioning repeatability’’ equal to or less
(better) than 0.9 mm along one or more linear
axis;
(B) Specified by 2B001.b.3, 2B001.d,
2B001.f or 2B003.
(ii) 2E001—‘‘Technology’’ according to the
General Technology Note for the
‘‘development’’ of equipment or ‘‘software’’,
as follows:
(A) Equipment specified by 2B001.a,
2B001.b.1 or 2B001.b.2, and having a
‘‘unidirectional positioning repeatability’’
equal to or less (better) than 0.9 mm along one
or more linear axis;
(B) Equipment specified by 2B001.b.3,
2B001.d, 2B001.f or 2B003.
(C) ‘‘Software’’ specified by 2D001 of this
Supplement;
(iii) 2E002—‘‘Technology’’ according to the
General Technology Note for the
‘‘production’’ of equipment as follows:
(A) Specified by 2B001.a, 2B001.b.1, or
2B001.b.2, and having a ‘‘unidirectional
positioning repeatability’’ equal to or less
(better) than 0.9 mm along one or more linear
axis;
(B) Specified by 2B001.b.3, 2B001.d,
2B001.f or 2B003.
*
*
*
*
*
70. Supplement no. 7 to part 774 is
amended by:
■ a. Revising paragraph (1)(i); and
■ b. Removing the phrase ‘‘user
accessible programmability’’ and adding
in its place ‘‘user-accessible
programmability’’ in paragraphs (3)(iv)
and (vi).
The revision reads as follows:
Supplement No. 7 to Part 774—Very
Sensitive List
*
*
*
*
*
*
*
(1) * * *
(i) 1A002.a.1.
*
*
*
Dated: October 4, 2018.
Richard E. Ashooh,
Assistant Secretary for Export
Administration.
[FR Doc. 2018–22163 Filed 10–23–18; 8:45 am]
BILLING CODE 3510–33–P
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[Federal Register Volume 83, Number 206 (Wednesday, October 24, 2018)]
[Rules and Regulations]
[Pages 53742-53793]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2018-22163]
[[Page 53741]]
Vol. 83
Wednesday,
No. 206
October 24, 2018
Part II
Department of Commerce
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Bureau of Industry and Security
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15 CFR Parts 740, 742, 744, et al.
Wassenaar Arrangement 2017 Plenary Agreements Implementation; Final
Rule
Federal Register / Vol. 83 , No. 206 / Wednesday, October 24, 2018 /
Rules and Regulations
[[Page 53742]]
-----------------------------------------------------------------------
DEPARTMENT OF COMMERCE
Bureau of Industry and Security
15 CFR Parts 740, 742, 744, 772, and 774
[Docket No. 170831854-7854-01]
RIN 0694-AH44
Wassenaar Arrangement 2017 Plenary Agreements Implementation
AGENCY: Bureau of Industry and Security, Commerce.
ACTION: Final rule.
-----------------------------------------------------------------------
SUMMARY: The Bureau of Industry and Security (BIS) maintains, as part
of its Export Administration Regulations (EAR), the Commerce Control
List (CCL), which identifies certain items subject to Department of
Commerce jurisdiction. This final rule revises the CCL, as well as
corresponding parts of the EAR, to implement changes made to the
Wassenaar Arrangement List of Dual-Use Goods and Technologies (WA List)
maintained and agreed to by governments participating in the Wassenaar
Arrangement on Export Controls for Conventional Arms and Dual-Use Goods
and Technologies (Wassenaar Arrangement, or WA) at the December 2017 WA
Plenary meeting. The Wassenaar Arrangement advocates implementation of
effective export controls on strategic items with the objective of
improving regional and international security and stability. This rule
harmonizes the CCL with the agreements reached at the 2017 Plenary
meeting by revising Export Control Classification Numbers (ECCNs)
controlled for national security reasons in each category of the CCL.
This rule also makes other associated changes to the EAR and makes a
correction.
DATES: This rule is effective October 24, 2018.
FOR FURTHER INFORMATION CONTACT: For general questions, contact Sharron
Cook, Office of Exporter Services, Bureau of Industry and Security,
U.S. Department of Commerce at 202-482-2440 or by email:
[email protected].
For technical questions contact:
Categories 0, 1 & 2: Joseph Giunta at 202-482-3127.
Category 3: Brian Baker at 202-482-5534.
Categories 4 & 5: Aaron Amundson or Anita Zinzuvadia 202-482-0707.
Category 6 (optics): Chris Costanzo at 202-482-5299.
Category 6 (lasers and radar): Michael Rithmire 202-482-6105.
Category 6 (sensors and cameras): John Varesi 202-482-1114.
Categories 7 & 9: Michael Rithmire 202-482-6105 or Michael Tu 202-
482-6462.
Category 9x515 (Satellites): Michael Tu 202-482-6462.
Category ``600 Series'' (Munitions Items): Christopher Williams at
202-482-6023 or Heather Moore at 202-482-4786.
SUPPLEMENTARY INFORMATION:
Background
The Wassenaar Arrangement (Wassenaar or WA) (https://www.wassenaar.org/) on Export Controls for Conventional Arms and Dual-
Use Goods and Technologies is a group of 42 like-minded states
committed to promoting responsibility and transparency in the global
arms trade, and preventing destabilizing accumulations of arms. As a
Participating State, the United States has committed to controlling for
export all items on the WA control lists. The lists were first
established in 1996 and have been revised annually thereafter.
Proposals for changes to the WA control lists that achieve consensus
are approved by Participating States at annual plenary meetings.
Participating States are charged with implementing the agreed list
changes as soon as possible after approval. The United States'
implementation of WA list changes ensures U.S. companies have a level
playing field with their competitors in other WA Participating States.
The changes in this rule, which reflect the changes to the WA
control lists that were approved at the December 2017 WA Plenary
meeting, update the corresponding items listed in the EAR, and reflect
the most recent changes in technologies and conditions. Unless
explicitly discussed below, the revisions made by this rule will not
impact the number of license applications submitted to BIS.
Revisions to the Commerce Control List Related to WA 2017 Plenary
Agreements
Revises (50) ECCNs: 0A617, 0A919, 1A002, 1C001, 1C002, 1C007,
1C010, 1C608, 2A001, 2B001, 2B006, 2B007, 2B008, 2E003, 3A001, 3A002,
3B001, 3B002, 3C002, 3C005, 3C006, 3C992, 3E001, 4A003, 4A004, 4D001,
4E001, 5A001, 5A002, 5D002, 5E002, 6A002, 6A003, 6A004, 6A005, 6A008,
6A203, 6D003, 6D991, 6E001, 6E002, 6E201, 7A006, 7E004, 9A002, 9A004,
9D001, 9D002, 9D004, and 9E003.
License Exception eligibility additions: 3A001.i (GBS).
ECCN Removals: 6A990 and 6E990.
ECCN Correction: 3A991.
ECCN change to maintain NP controls: 2B206.
Category 0--Nuclear Materials, Facilities, and Equipment [and
Miscellaneous Items]
0A617 Miscellaneous ``Equipment'', Materials, and Related Commodities
ECCN 0A617, paragraph y.3, containers for shipping or packing
defense articles or items controlled by ``600 series'' ECCNs, is
amended by narrowing the scope to International Organization for
Standardization (ISO) intermodal containers or demountable vehicle
bodies (i.e., swap bodies), but also expands the scope beyond
``specially designed'' by adding ``or modified''. As the term
`modified' is in single quotes, BIS is also adding the technical note
that defines `modified,' which was already existing text in Wassenaar
Arrangement Military List of 2017 (WAML 17).
0A919 ``Military Commodities'' Located and Produced Outside the United
States
ECCN 0A919 is revised to remove reference to 6A990, because this
rule removes 6A990 from the CCL and Read Out Integrated Circuits
(ROICs) are now controlled under 6A002.f.
Category 1--Special Materials and Related Equipment, Chemicals,
``Microorganisms'', and ``Toxins''
1A002 ``Composite'' Structures or Laminates
The heading of ECCN 1A002 is amended by replacing ``having any of
the following'' with ``as follows''. An ``as follows'' phrase is
usually followed by items, but in this case it is followed by
parameters. The phrase ``consisting of'' is replaced by ``made from''
in both sub-paragraph .a and .b. Also, more descriptive text is added
for clarity and the scope of the control is not changed. The
superfluous word ``purely'' is removed from Note 2, which does not
change the effect of the Note.
1C001 Materials ``Specially Designed'' for Use as Absorbing of
Electromagnetic Radiation, or Intrinsically Conductive Polymers
The heading of ECCN 1C001 is amended by replacing ``absorbers''
with ``absorbing'' and replacing ``waves'' with ``radiation''.
Subparagraph .b is amended by moving the phrase ``not transparent to
visible light'' to the beginning and adding more descriptive text
``near-infrared radiation having a wavelength'' to clarify the scope of
the control. Also the parameters are changed from ``1.5 x 10\14\ Hz''
to ``810
[[Page 53743]]
nm'' and ``3.7 x 10\14\ Hz'' to ``2,000 nm (frequencies exceeding 150
THz but less than 370 THz)''. The frequency band is changed to the
equivalent wavelength band to make the parameter easier to understand
and not to change the scope of control. Therefore, these revisions will
not affect the number of license applications submitted to BIS.
1C002 Metal Alloys, Metal Alloy Powder and Alloyed Materials
Item paragraphs c.2 and d.3 are amended by replacing the double
quotes with single quotes around the terms in c.2.a through c.2.h and
d.3.a through d.3.c. Double quotes indicate the term is used multiple
times in the Commerce Control List (CCL) or separated by a large amount
of space within a single ECCN and the definition for the term is found
in part 772. Single quotes indicate the term is used only in a single
ECCN and the definition for the term is found within the ECCN where the
term is used. These and many other terms in this rule were found to
only be used in a single ECCN and should not be defined in part 772,
but in the ECCN. The definitions for the terms, in c.2.a through c.2.h
and d.3.a through d.3.c, are moved from part 772 to a new Technical
Note after Items paragraph d.3.c. These amendments do not change the
number of license applications submitted to BIS.
1C007 Ceramic Powders, Ceramic ``Matrix'' ``Composite'' Materials and
``Precursor Materials''
In the Nota Bene (N.B.) to Item paragraphs c.2, .d and .f, the
phrase ``listed under'' is replaced by ``specified by'' to be
consistent with the terms used to reference new locations for
controlled items. This does not change the number of license
applications submitted to BIS.
1C010 ``Fibrous or Filamentary Materials''
Item paragraphs d.2 and .e, and Note 1 below Item paragraph e.2.c
are amended by replacing the double quotes with single quotes around
defined terms, because the terms are only used in this ECCN. The
definition for `commingled' is moved from part 772 to the Technical
Note below Items paragraph d.2. The definition for `carbon fiber
preforms' is moved from part 772 to the Technical Note at the end of
the List of Items Controlled. These amendments do not change the number
of license applications submitted to BIS.
1C608 ``Energetic Materials'' and Related Commodities
WA agreed to add a Note specifying that WAML 8.c.1 does not apply
to aircraft fuels--JP-4, JP-5 and JP-8. This rule adds this Note below
1C608.n ``Any explosives, `propellants,' oxidizers, ``pyrotechnics'',
fuels, binders, or additives . . .'' as well as bringing forth another
Note from WAML 8.c.1 that specifies that aircraft fuels specified by
WAML 8.c.1 are finished products, not their constituents.
Category 2--Materials Processing
2A001 Anti-Friction Bearings and Bearing Systems
Note 2 at the beginning of the Items paragraph is amended by adding
``(or national equivalents)'', in order to help efficiently classify
bearings using national standards that are equivalent to ISO 3290 as
grade 5.
2B001 Machine Tools
An editorial change is made to Note 2 to 2B001.a by replacing
``and/or'' with ``or''. Items paragraph c.1.b is revised from
specifying ``three or more axes'' to ``three or four axes'' to remove
the overlap between c.2 ``five or more axes'' and c.1.b for machine
tools for grinding. This will not affect license submissions to BIS.
2B006 Dimensional Inspection or Measuring Systems, Equipment, Position
Feedback Units and ``Electronic Assemblies''
The Heading is revised to add ``position feedback units'' and
``electronic assemblies'' to more accurately describe the scope of
controls in Items paragraph .b. Angular displacement measuring systems
formerly in 2B006.b.2 are moved to 2B006.c. Linear Variable
Differential Transformer (LVDT) systems formerly in 2B006.b.1.b are
moved to 2B206.d and no longer have a national security control. The
License Requirements section is amended by revising the Nuclear
Proliferation (NP) controls from ``2B006.a and .b'' to ``2B006.a, .b.1,
b.3, and .c (angular displacement measuring instruments)'' to account
for moving the LVDT systems to 2B206 and moving the angular
displacement measuring instruments from 2B006.b.2 to .c. Item
paragraphs 2B008.a (linear position feedback units) and .b.2 (rotary
position feedback units) are moved to 2B006.b.2 and .c, respectively,
so that all the measuring systems for machine tools are in one place.
Equipment for measuring surface roughness is moved from Items paragraph
2B006.c to .d.
2B007 ``Robots''
Item paragraph .a ``[Robots] capable in real-time of full three-
dimensional image processing or full three-dimensional ``scene
analysis'' to generate or modify ``programs'' or to generate or modify
numerical program data'' is removed and reserved because of
insufficient connection to military capabilities. Robots of national
security concern are controlled under 2B007.b, .c and .d. This change
will have a minimal effect on license application submissions to BIS.
2B008 ``Compound Rotary Tables'' and ``Tilting Spindles'', ``Specially
Designed'' for Machine Tools
The Heading is amended by replacing ``assemblies or units'' with
`compound rotary tables' and ``tilting spindles'', as well as removing
``or dimensional inspection or measuring systems and equipment'' to
align with revisions made to the List of Items Controlled in this ECCN.
Item paragraphs .a (linear position feedback units) and .b (rotary
position feedback units) are removed and reserved, because this rule
moves these items to 2B006.b.2 and .c, respectively. Item paragraph .c
is amended by replacing and cascading the parameter paragraphs, as well
as moving the definition for `compound rotary table' from part 772 to a
Technical Note under this Item paragraph. ``Tilting spindles'' are
moved from Item paragraph .c to new Item paragraph .d to separate it
from the compound rotary table control. The parameters have been
revised in both paragraphs .c and .d to remove ambiguity, which will
not affect license application submissions.
2B206 Dimensional Inspection Machines, Instruments or Systems, Other
Than Those Described in 2B006
2B206 is amended by adding Linear Variable Differential Transformer
(LVDT) systems to Item paragraph .d, because this item is removed from
2B006.b.1.b. While LVDT systems are no longer controlled for national
security reasons, they are still on the Nuclear Supplier's Group (NSG)
list under 1.B.3.b.2 and remain controlled for nuclear nonproliferation
reasons on the CCL.
2E003 Other ``Technology''
Item paragraph .a (``technology'' for the ``development'' of
interactive graphics as an integrated part in ``numerical control''
units for preparation or modification of part programs) is removed and
reserved because of the advancement of technology. Therefore, Item
paragraph .a is removed from License Exception TSR.
[[Page 53744]]
The double quotes are replaced with single quotes around the term
`direct-acting hydraulic pressing' in Item paragraphs b.1.c and b.1.d
and `hot isostatic densification' in Item paragraph b.2.d.
Additionally, the definition for these terms is moved from part 772 to
the Technical Notes below Item paragraph b.2.d.3, because these terms
are only used in this ECCN. Item paragraph .d (``technology'' for the
``development'' of generators of machine tool instructions . . . from
design data residing inside ``numerical control'' units) is removed and
reserved because of the advancement of technology. When items are
removed because of technological advancement, it does not affect the
annual number of license application submissions to BIS.
Category 3--Electronics
Product Group A. ``End Items'', ``Equipment'', ``Accessories'',
``Attachments'', ``Parts'', ``Components'', and ``Systems''
Note 1 at the beginning of Category 3 is amended by making an
editorial correction by moving an ``or'' and adding ``to'' in order to
correctly specify which ECCN 3A001 subparagraphs are excluded from the
scope statement for Category 3.
Note 2 at the beginning of Category 3 is amended by making an
editorial correction by moving an ``or'', adding ``to'', adding a comma
and replacing ``that'' with ``which''. These revisions are made to
correctly specify which ECCN 3A001 subparagraphs are included in the
scope statement for Category 3.
The Nota Bene after Note 2 is amended to make an editorial
correction by moving an ``and'' and adding ``to'' in order to correctly
specify the scope of this N.B.
3A001 Electronic Items
Item paragraph a.2 is amended by replacing ``Electrical Erasable
Programmable Read-Only Memories (EEPROMS), flash memories, and MRAMs''
with `non-volatile memories' and adding a Technical Note to define
`non-volatile memories,' to provide a more generic term for these types
of memory integrated circuits.
Item paragraph a.5.a ``ADCs'' and the Technical Note below a.5.a
are amended by replacing the term ``output rate'' with the ``sample
rate'' as measured points at the input, except for oversampling
(defined as output sample rate), and the Technical Note identifies
common ways manufacturers specify `sample rate.' The definition for
``sample rate'' is added to part 772 ``Definition of Terms. . . .''
Also the superfluous term ``Mega Samples Per Second'', is removed from
several subparagraphs in a.5.a, but leaves its acronym ``MSPS''. The
Technical Notes below Items paragraph a.5.a are amended by adding an
explanation for the resolution of the ADC, removing the explanation for
output rate, replacing single quotes with double quotes around the term
``interleaved ADCs'' and ``multiple channel ADCs'', and removing
Technical Notes 6 through 9. The definitions for the terms
``interleaved ADCs'' and ``multiple channel ADCs'' are added to part
772 ``Definition of terms. . . .''. These revisions will not change the
number of submissions of license applications.
Item paragraph a.5.b.2.a, ``settling time'' parameter, is amended
by adding ``arrive at or within'' to clarify the potentially ambiguous
parameter with common usage and understanding of DAC specifications, so
that it will not be misinterpreted to mean the time to deviate by the
specific amount from the original level.
The inclusion Note to 3A001.a.7 is amended by removing ``Simple
Programmable Logic Devices (SPLDs)'' because of technological
advancements, which will not affect the number of license application
submissions.
Item paragraph a.14 is amended by replacing ``Integrated circuits
that perform all of the following:'' with ``Integrated circuits that
perform or are programmed to perform all of the following:''. The term
``input sample rate'' is replaced with ``sample rate'' that is defined
in part 772. The superfluous ``Giga Samples Per Second'' is removed,
but the acronym GSPS remains, as ``Mega Samples Per Second'' is removed
and MSPS remains. Technical Notes are added below Items paragraph
a.14.b.2 to provide more explanation of the parameters in Item
paragraph .a, especially, resolution of ADC and the ``sample rate'' for
integrated circuits with interleaving or non-interleaving ``multiple
channel ADCs''. These changes will have little effect on the number of
licenses submitted to BIS.
Nota Bene 3 is added after Item paragraph b.4.f to reference
3A001.b.7 for converters and harmonic mixers, designed to extend the
operating or frequency range of signal analyzers, signal generators,
network analyzers or microwave test receivers.
In Item paragraph b.11 double quotes are replaced with single
quotes around the term `frequency synthesizer' and the definition is
moved from part 772 to a Technical Note below Item paragraph b.11.g,
because the term is only used in this ECCN.
The Technical Notes after Item paragraph b.12.d are amended by
correcting the reference ``3A001.b.4.12.c'' to read ``3A001.b.12.c'' in
Technical Note 5.
The parameters for `primary cells' in Item paragraph e.1.a are
amended by cascading the parameters and adding a `continuous power
density' parameter and the definition for it in Technical Note 5 below
Item paragraph e.1.b, because military uses for these items have
requirements in both energy and power density. This revision should
lower the annual number of license applications submitted to BIS by 5.
Intensity, amplitude, or phase electro-optic modulators, designed
for analog signals, including electro-optic modulators having optical
input and output connectors are added to new paragraph 3A001.i to
address photonic components for analog Radio Frequency (RF) over fiber
antenna remoting, and analog RF distribution of signals. One of the
parameters for these items is `half-wave voltage' (`V[pi]'), which is
defined in a Technical Note below the new paragraph. These items will
be eligible for License Exception GBS; therefore, the GBS paragraph is
revised to add Item paragraph .i. This new entry is estimated to add 10
new license application submissions to BIS annually.
3A991 Electronic Devices, and ``Components'' Not Controlled by 3A001
On September 20, 2016, BIS published a WA rule (81 FR 64682) that
increased the energy density in 3A001.e.1.b from 300 to 350 Wh/kg, but
did not make the corresponding change to ECCN 3A991.j.2, which left a
gap in control. This rule corrects 3A991.j.2 by increasing the energy
density from 300 to 350 Wh/kg or less in order to close a gap of
control between 3A001.e.1.b and 3A991.j.2 for secondary cells.
3A002 General Purpose ``Electronic Assemblies'', Modules and Equipment
The frequency parameter is raised from ``exceeding 10 MHz'' to
``exceeding 40 MHz'' for signal analyzers having a 3 dB resolution
bandwidth (RBW) in Item paragraph c.1, which is estimated to reduce
annual license application submissions to BIS by 5.
Double quotes are replaced with single quotes for the term `real-
time bandwidth' in Item paragraph c.4.a and for `frequency mask
trigger' in Item paragraph c.4.b.2, because these terms are only used
in this ECCN. The definitions for these terms are moved from part 772
to the Technical Notes after Item paragraph c.4.b.2.
[[Page 53745]]
The scientific unit ``billion samples per second'' is replaced with
``Giga Samples Per Second (GSPS)'' in Item paragraph h.1.a. The
scientific unit ``billion samples per second'' is replaced with the
acronym GSPS in Item paragraphs h.1.b and h.1.c. The scientific unit
``million samples per second'' is replaced with ``Mega Samples Per
Second (MSPS)'' in Item paragraph h.1.d. The scientific unit ``million
samples per second'' is replaced with the acronym ``MSPS'' in Item
paragraph h.1.e. These revisions are made for simplification purposes.
The Technical Note below Item paragraph h.2.c is replaced by the
same Technical Notes that are added below 3A001.a.5.a, explaining
resolution and ``sample rate'' for interleaved and non-interleaved
multiple-channel ``electronic assemblies'', modules, or equipment.
3B001 Equipment for the Manufacturing of Semiconductor Devices or
Materials
Mask ``substrate blanks'' with multilayer reflector structure
consisting of molybdenum and silicon being ``specially designed'' for
`Extreme Ultraviolet (EUV)' lithography and being compliant with SEMI
Standard P37 are added to new paragraph 3B001.j, because mask
``substrate blanks'' and the subsequent substrate blank with multilayer
reflector structure are critical materials for EUV lithography. This
addition is estimated to increase annual license application
submissions to BIS by 7. EUV lithography opens up integrated circuit
fabrication at the most advanced state-of-the-art technology node. The
definition for `Extreme Ultraviolet (EUV)' is added to a Technical Note
below Item paragraph j.2.
3B002 Test Equipment ``Specially Designed'' for Testing Finished or
Unfinished Semiconductor Devices
Item paragraph .a is revised from ``For testing S-parameters of
transistor device at frequencies exceeding 31.8 GHz'' to read ``For
testing S-parameters of items specified by 3A001.b.3'' to remove
potential overlapping controls for network analyzers (which measure S-
parameters) described in 3A002.e, to harmonize the control text of
equipment for testing S-parameters of transistors specified in
paragraphs 3A001.b.3.a and 3A001.b.3.b (i.e., transistors that are
below 31.8 GHz), and to remove ambiguity regarding the meaning of the
phrase ``transistor devices'' by substituting the unambiguous reference
to transistors specified by 3A001.b.3.
3C002 Resist Materials
The wavelength for positive resists in Item paragraph a.1 is
revised from ``wavelengths less than 245 nm . . . .'' to ``wavelengths
less than 193 nm . . . .'' in order to match the material control with
the lithography equipment parameters in 3B001.f.1.a, which is estimated
to reduce by 3 the annual number of license application submissions to
BIS.
3C005 High Resistivity Materials
The Heading of ECCN 3C005 is revised to move the items that were in
the Heading to Items paragraph .a. Polycrystalline ``substrates'' or
polycrystalline ceramic ``substrates'' are added to Item paragraph .b,
because there are both military and commercial applications for
microwave transistors fabricated on the engineered substrates. These
newly added substrates will be controlled for NS:2 and AT:1 and have
License Exception LVS ($3,000), GBS and CIV eligibility. It is
anticipated that this new control will result in an increase of 15 new
license application submissions to BIS annually.
3C006 Materials, Not Specified by 3C001, Consisting of a ``Substrate''
Specified in 3C005 With at Least One Epitaxial Layer of Silicon
Carbide, Gallium Nitride, Aluminum Nitride or Aluminum Gallium Nitride
The Heading is amended by adding ``Materials, not specified by
3C001, consisting of a'' at the beginning of the Heading in order to
clarify the scope of the control. The former language of 3C001, 3C005
and 3C006 has common elements that have led to some confusion around
the control of silicon carbide wafers.
3C992 Positive Resists Designed for Semiconductor Lithography
The Heading of 3C992 is amended by replacing the wavelength range
from ``370 and 245 nm'' to ``370 and 193 nm.'' This is to harmonize
this ECCN with the amendment to ECCN 3C002.a.1.
3E001 ``Technology''
License Exception CIV eligibility paragraph is corrected by
removing the eligibility for 3B001.c, because that paragraph was
removed and reserved on September 20, 2016 (81 FR 64658).
Note 2 is amended by harmonizing the scope of the paragraph to be
``technology'' for integrated circuits controlled by 3A001.a.3 to a.14.
Note 3 is added to exclude from 3E001 `Process Design Kits'
(`PDKs') unless they include libraries implementing functions or
technologies for items specified by 3A001. A Technical Note is added
below Note 3 to define `Process Design Kit' (`PDK'). PDKs do not
provide knowledge about production tools. This will not result in a
change to license application submissions, because no license
submissions have been submitted to BIS for PDK under 3E001.
Category 4--Computers
In Note 2 at the top of Category 4, the double quotes are replaced
with single quotes around the term `main storage' because the term is
only used in these Category 4 Notes. The definition is moved from part
772 to a Technical Note at the end of the Category 4 Notes section.
4A003 ``Digital Computers'', ``Electronic Assemblies'', and Related
Equipment Therefor
The Adjusted Peak Performance (APP) is raised from ``exceeding 16
WT'' to ``exceeding 29 WT'' in Item paragraph .b and in accordance with
this revision the APP is raised to 29 in the AT control text in the
License Requirements table and in two places in the Note to the table.
This change will not immediately affect the annual number of license
application submissions to BIS because this is keeping up with
technological advancement. However, absent additional increases next
year, BIS estimates that this level would result in an increase of 600
license applications per year.
4A004 Computers
The double quotes are replaced with single quotes around the terms
`systolic array computers,' `neural computers' and `optical computers,'
because these terms are only used in this ECCN. The definitions for
these terms are moved from part 772 to Technical Notes at the end of
the Items paragraph of 4A004.
4D001 ``Software'' & 4E001 ``Technology''
The Adjusted Peak Performance (APP) is raised from 16 Weighted
TeraFLOPs (WT) to 29 WT in License Exceptions TSR and STA in accordance
with the new APP level in 4A003.b. The APP control level is raised from
``exceeding 8 WT'' to ``exceeding 15 WT'' in Item paragraph b.1. These
revisions continue to address the need to track incremental (e.g.,
``Moore's Law'') improvements in microprocessor technology. This change
will not affect the annual number of license application submissions to
BIS because this is keeping up with technological advancement.
[[Page 53746]]
Technical Note on ``Adjusted Peak Performance'' (``APP'')
In the Outline of ``APP'' calculation method, the Note to paragraph
1, an ``and/or'' is replaced with ``or,'' which does not change the
meaning at all.
Category 5--Part 1--``Telecommunications''
5A001 Telecommunications Systems, Equipment, ``Components'' and
``Accessories''
In the NS Column 1 paragraph of the License Requirements table, the
order of the referenced Item paragraphs is corrected.
For telecommunications equipment specially designed to withstand
transitory electronic effects or electromagnetic pulse effects, the
temperature range parameters is changed from ``to operate outside the
temperature range from 218K (-55 [deg]C) to 397 K (124 [deg]C)'' to
``below 218K (-55[deg]C)'' in Item paragraph a.3 or ``above 397 K (124
[deg]C)'' in new Item paragraph a.4, which does not change the scope of
control, but seeks to make the text easier to understand. The Note to
5A001.a.3 is modified to add 5A001.a.4, so that it reads ``5A001.a.3
and 5A001.a.4 apply only to electronic equipment''.
Double quotes are replaced by single quotes around the term
`electronically steerable phased array antennae' in Item paragraph .d.
The word `antennas' is replaced with `antennae' in this paragraph and
in Note 1 to this paragraph. The quotes are revised because the term is
only used in this ECCN. The definition for the term is moved from part
772 to a Technical Note above Item paragraph .e. Because of technology
advances, phased array antennae are increasingly being developed for
civil telecommunications applications, including cellular, WLAN,
802.15, and wireless HDMI. Exclusion Note 2 is added in order to remove
from control phased array antennae specially designed for those
purposes.
Category 5--Part 2--``Information Security''
5A002 ``Information Security'' Systems, Equipment and ``Components''
5A002 is amended to clarify controls on products with dormant
encryption. These changes do not affect the scope of items controlled.
Items paragraph .a is amended by replacing the phrase ``where that
cryptographic capability is usable without ``cryptographic activation''
or has been activated'' with the phrase ``where that cryptographic
capability is usable, has been activated, or can be activated by means
of ``cryptographic activation'' not employing a secure mechanism''. The
revision clarified that an item is controlled if (1) the `cryptography
for data confidentially' is usable from the beginning regardless of
``cryptographic activation'' (i.e., not dormant), (2) the cryptographic
capability was previously dormant but is now usable (whether by
``cryptographic activation'' or by other means; or (3) the
``cryptographic activation'' mechanism is not secure (i.e., the
cryptographic capability is not securely kept dormant).
Items paragraph .b is amended by replacing ``to enable'' an item
with ``for converting'' an item and replacing ``to achieve or exceed
the controlled performance levels for functionality specified by
5A002.a that would not otherwise be enabled'' with ``not specified by
Category 5 --Part 2 into an item specified by 5A002.a or 5D002.c.1, and
not released by the Cryptography Note (Note 3 in Category 5--Part 2),
or for enabling, by means of ``cryptographic activation'', additional
functionality specified by 5A002.a of an item already specified by
Category 5--Part 2''. This clarifies that a ``cryptographic
activation'' mechanism is controlled by 5A002.b in two situations: (1)
It converts an item classified outside of Category 5--Part 2 into a
5A002.a item (e.g., by activating `cryptography for data
confidentiality' capability in an item that was previously limited to
performing ``authentication,'' or by activating encryption capability
which disqualifies a product from the Cryptography Note exclusion (Note
3 in Category 5--Part 2)); or (2) it enables additional functionality
specified in 5A002.a in an item that was already classified in Category
5--Part 2 (e.g., making additional encryption algorithms usable by the
item, or that would change the item from being eligible or described
under Sec. 740.17(b)(1) into an item described under Sec.
740.17(b)(2) or (3)).
5D002 ``Software'' and 5E002 ``Technology''
Item paragraph .b of ECCNs 5D002 and 5E002 is amended by replacing
``enable'' with ``for converting'' and replacing ``to meet the criteria
for functionality specified by 5A002.a, that would not otherwise be
met'' with ``not specified by Category 5--Part 2 into an item specified
by 5A002.a or 5D002.c.1, and not released by the Cryptography Note
(Note 3 in Category 5--Part 2), or for enabling, by means of
``cryptographic activation'', additional functionality specified by
5A002.a of an item already specified by Category 5--Part 2''. These
revisions are made to create mirroring entries consistent with the
changes being made to 5A002.b.
Category 6--Sensors and Lasers
6A002 Optical Sensors and Equipment, and ``Components''
Item paragraph .f is added to establish a control for Read-Out
Integrated Circuits (ROICs) to ensure that certain ROICs not controlled
on the Munitions List, but that provide night vision capability, are
controlled. In order to maintain consistent paragraph placement with
the WA List this rule adds and reserves Items paragraph .e, so that
ROICs can be added to Item paragraph .f. For consistency, Items
paragraph .f is added to the Regional Stability controls (RS Column 1)
in the License Requirements section, because 6A990, where ROICs were
formerly controlled, was controlled for RS Column 1.
6A003 Cameras, Systems or Equipment, and ``Components'' Therefor
Item paragraphs a.1 (high-speed cinema recording cameras) and a.2
(mechanical high speed cameras) are removed and reserved because of the
advancement of technology. Item paragraph a.3.a (mechanical streak
cameras) is also removed because of the advancement of technology. As a
result of this change, electronic streak cameras are moved from Item
paragraph a.3.b to a.3. BIS anticipates that there will be a negligible
impact on the annual number of license applications submitted to BIS as
a result of these removals and revisions.
6A004 Optical Equipment and ``Components''
The double quotes are replaced with single quotes around the term
`deformable mirrors' in Item paragraph a.1 because the term is only
used in this ECCN. The definition for `deformable mirrors' is moved
from part 772 to the Technical Note below Item paragraph a.1.b.2. At
the end of Item paragraph e.3 the period is changed to a semicolon,
because a new Item paragraph is added. Dynamic wavefront measuring
equipment is added to Item paragraph .f, with parameters in
subparagraphs and a Technical Note at the end to define ``frame rate''.
The purpose of wavefront sensing is to measure the level of the
wavefront aberration as it is transferred through an optical system,
regardless if the source of that aberration is the optical system
itself or something external to that system. Wavefront sensors are
principally used as one of the main components of adaptive optics
[[Page 53747]]
systems where they serve to close the control loop and feed the
information about the required correction to deformable mirrors and
beam steering mirrors in real-time, which are also controlled in this
ECCN.
6A005 ``Lasers'', ``Components'' and Optical Equipment
An editorial amendment is made to Note 1, below Item paragraph
a.6.b.2, by replacing ``and/or'' with ``or'', which does not change the
scope of the Note. The double quotes are replaced with single quotes
around the term `transfer lasers' in Item paragraph d.5.c. The
definition for `transfer lasers' is moved from part 772 to the
Technical Note below Item paragraph d.5.c.2, because this term is only
found in this ECCN.
Item paragraph f.1 (dynamic wavefront (phase) measuring equipment)
is removed and reserved, because this item is moved to ECCN 6A004.f,
because of its close association to the mirrors controlled in 6A004. A
Nota Bene is added to point to the new Item paragraph where this item
is controlled.
Item paragraph f.2 (``Laser'' diagnostic equipment) is amended by
replacing ``capable of measuring'' with ``specially designed for
dynamic measurement of'' and replacing ``equal to or less than'' with
``and having an angular ``accuracy'' of'' to refine the scope of the
entry. The phrase ``(microradians) or less (better)'' is added after
``10 [mu]rad'' to clarify the unit. BIS does not anticipate and change
to the annual number of license application submissions as a result of
these changes.
Item paragraph f.3 (Optical equipment and components) is amended by
moving the phrase ``coherent beam combination'' for better readability.
The ``accuracy'' parameter is cascaded down to Item paragraph f.3.b and
a new ``accuracy'' parameter is added to f.3.a, so that the equipment
is controlled if it meets either of the ``accuracy'' parameters.
6A008 Radar Systems, Equipment and Assemblies
Item paragraph a.1 is amended by removing the double quotes around
the term ``average output power'' in order to be consistent with the WA
List.
Item paragraph .e is amended by replacing ``steerable array
antennas'' with ``scanned array antennae'' as well as adding a
Technical Note to make people aware that electronically scanned array
antennae are also known as electronically steerable array antennae.
This revision uses more current, and standard, language to describe E-
scan radar.
Double quotes are replaced by single quotes around the term
`automatic target tracking' in Item paragraph l.1 and the definition is
moved from part 772 to a Technical Note under the Note to 6A008.l.1,
because this term only appears in this ECCN.
Double quotes are replaced by single quotes around `geographically
dispersed' in Item paragraph l.4 and the definition is moved from part
772 to the Technical Note below Item paragraph l.4, because this term
only appears in this ECCN.
6A203 High-Speed Cameras, Imaging Devices and ``Components'' Therefor
The Related Controls paragraph is revised to remove a reference to
ECCN 6A003.a.2, which is removed and reserved by this rule.
6A990 Read-Out Integrated Circuits and 6E990 Technology for ROICs
ECCNs 6A990 and 6E990 are removed because this rule adds ROICs to
ECCN 6A002.f.
6D003 Other ``Software''
ECCN 6D003 is amended by removing the unnecessary word ``and'' in
Item paragraph h.2 and replacing ``steerable phased array antennae''
with ``scanned array antennae'' in Item paragraph h.2.a in order to use
a more standard term. Item paragraph h.2.a is also amended by replacing
``controlled'' with ``specified'' in order to be more precise, because
an item may or may not be controlled depending on the reasons for
control and destination of the export.
6D991, 6E001 and 6E002
Each of these ECCNs are amended to remove references to 6A990 or
6E990, because this rule adds ROICs to ECCN 6A002.f. For consistency,
the License Requirements sections of 6E001 and 6E002 are amended to add
a reference to 6A002.f to the Regional Stability Column 1 controls,
because this technology was controlled for Regional Stability Column 1
under ECCN 6E990, where it was formerly controlled.
6E201 ``Technology'' According to the General Technology Note for the
``USE'' of Equipment
The Heading of ECCN 6E201 is revised to remove reference to
6A003.a.2, which is removed and reserved by this rule.
Category 7--Navigation and Avionics
7A006 Airborne Altimeters
Double quotes are replaced by single quotes around the term `power
management' and the definition for the term is moved from part 772 to a
Technical Note below Item paragraph .a because the term is only used in
this ECCN.
7E004 Other ``Technology''
Double quotes are replaced by single quotes around the term
`primary flight control' in Item paragraph a.5 and the definition for
the term is moved from part 772 to a Technical Note below Item
paragraph .a.5 because the term is only used in this ECCN.
Double quotes are replaced by single quotes around the term `flight
control optical sensor array' in Item paragraph a.6 and the definition
for the term is moved from part 772 to a Technical Note below Item
paragraph a.6 because the term is only used in the ECCN.
Double quotes are replaced by single quotes around the term `flight
path optimization' in paragraph 1. of the Note to 7E004.b.5 and the
definition is moved from part 772 to a Technical Note below the Note to
7E004.b.5 because the term is only used in this ECCN.
Double quotes are replaced by single quotes around the term
`variable geometry airfoils' in Item paragraph c.3 and the definition
for the term is moved from part 772 to a Technical Note below Item
paragraph c.3 because the term only appears in this ECCN.
Category 9--Aerospace and Propulsion
9A002 ``Marine Gas Turbine Engines''
The Heading is amended by revising and moving the parameter ``with
an ISO standard continuous power rating of 24,245 kW or more and a
specific fuel consumption not exceeding 0.219 kg/kWh in the power range
from 35 to 100%'' to the Items paragraph and adding ``designed to use
liquid fuel and having all of the following (see List of Items
Controlled),'' to the Heading. The definition for `marine gas turbine
engines' is moved from the Related Definition paragraph of the ECCN to
a Note below Item paragraph .b in order to be more consistent with the
WA list. Two parameters are added for this ECCN: Maximum continuous
power and `corrected specific fuel consumption'. The definition for
`corrected specific fuel consumption' is added to a Technical Note
below the Note that is below Item paragraph .b. This change removes the
ambiguity in this ECCN by removing the reference to power range. These
revisions therefore do not change the scope of the existing control
text, but rather clarify it by making it clear that the specific fuel
consumption of concern applies at the ``turndown performance'' of 35%.
[[Page 53748]]
9A004 Space Launch Vehicles and ``Spacecraft'', ``Spacecraft Buses'',
``Spacecraft Payloads'', ``Spacecraft'' On-board Systems or Equipment,
and Terrestrial Equipment
The scope of Item paragraph f.1 (Telemetry and telecommand
equipment) is clarified by adding ``specially designed'' and two
specific end uses in order to eliminate data processing equipment for
mission data, such as GPS, science data, communication and
broadcasting, since this data is not meant to be controlled under
9A004.f.1. The scope of Item paragraph f.2 (Simulators) is narrowed by
adding ``specially designed for `verification of operational
procedures' of ``spacecraft''. A Technical Note is added below Item
paragraph f.2 to define `verification of operational procedures.' These
clarifications will not result in a change to the number of annual
license application submissions to BIS.
9D001 and 9D002 ``Software''
The Heading of 9D001 and 9D002 are amended by adding ``not
specified in 9D003 or 9D004'' to clarify the scope of these entries and
eliminate any possible overlap of control.
9D004 Other ``Software''
Item paragraph .b (``Software'' for testing aero gas turbine
engines, assemblies, ``parts'' or ``components'') is amended by
removing the parameter and cascading subparagraphs with specific
features or functions, such as ``specially designed'' for testing aero
gas turbine engines . . . , to clarify and focus (narrow) the scope of
control. A Note is added above Item paragraph .c to exclude software
for operation of the test facility or operator safety, or production,
repair or maintenance acceptance-testing . . .'' It is estimated that
these changes will not affect the annual number of license application
submissions to BIS.
9E003 Other ``Technology''
In Technical Note 2 below Item paragraph a.2.d and in the Technical
Note below Item paragraph a.5, the single quotes are replaced with
double quotes around the term ``steady state mode'' because this term
is also used in another ECCN 9A002.a. The definition for ``steady state
mode'' is moved from the Technical Note 2 below a.5 to part 772
``Definitions and Terms''.
Technical Note 4 below the Note to 9E003.c is amended by removing
``techniques'' and moving ``methods'' from the end of the Technical
Note 4 to the top of Technical Note 4. Also revising the phrase
``include ``laser'', water jet . . .'' to read `` ``include ``laser''
beam machining, water jet machining . . .'' to be consistent with the
other types of machining specified in Technical Note 4.
Part 772--Definitions of Terms as Used in the Export Administration
Regulations (EAR)
This rule removes 37 definitions from Sec. 772.1 and adds them to
the ECCNs where they are used. According to the WA drafting guidelines,
if a term is only used in a single ECCN, then the definition must be
located in a Technical Note close to where that term is used. However,
if the term is separated by many subparagraphs, then the definition may
be located in the Definitions section of the WA List. The following 37
definitions are removed from part 772, because they are only used
within a single ECCN: Automatic target tracking, carbon fiber preforms,
commingled, comminution, compound rotary table, deformable mirrors,
direct acting hydraulic pressing, effective gram, electronically
steerable phased array antenna, flight control optical sensor array,
flight path optimization, frequency mask trigger, frequency
synthesizer, gas atomization, geographically dispersed, hot isostatic
densification, linearity, main storage, mechanical alloying, melt
extraction, melt spinning, neural computers, optical computer, plasma
atomization, power management, previously separated, primary flight
control, real-time bandwidth, resolution, rotary atomization, settling
time, splat quenching, systolic array computer, transfer laser, vacuum
atomization and variable geometry airfoils. The following definitions
are revised for reasons stated either in the Federal Register
instruction or under an ECCN where the term is used: Compensation
systems, cryptographic activation, and user-accessible programmability.
Two terms used in ECCNs 3A001 and 3A002 related to Analog-to-Digital
Converters (ADC) are added to Sec. 772.1. The term ``sample rate'',
which is used in both ECCN 3A001 and 3A002, is added to Sec. 772.1.
The definition ``steady state mode'' is moved from Technical Note 2 to
9E003.a.5 to Sec. 772.1 because it is now also used in a new parameter
for `marine gas turbine engines' in ECCN 9A002, as well as in Technical
Notes in 9E003.a.2.d and 9E003.a.5. The Category 5--Part 2 definition
``cryptographic activation'' is amended by adding the word
``specifically'' before ``activates or enables'', and taking the word
``secure'' out of the definition, to fit with the changes being made in
the control list entries that refer to this definition (ECCNs 5A002.b,
5D002.b and 5E002.b).
Supplement No. 6 to Part 774--Sensitive List
Paragraph (1)(i), ECCN 1A002, is amended by narrowing the scope
from all of ECCN 1A002 to only subparagraph a.1 `` ``Composite''
structures or laminates made from an organic ``matrix'' and ``fibrous
or filamentary materials'' specified by 1C010.c or 1C010.d'', because
the rest of the items in ECCN 1A002 do not warrant control on the
Sensitive List as they are not key technologies. This revision will
minimally affect the annual number of Wassenaar reports to BIS.
Paragraph (2)(i)--ECCN 2D001, (ii)--ECCN 2E001, and (iii)--ECCN
2E002 are simplified and restructured for easier understanding and
compliance. The revisions also focus the Sensitive List entries for
software and technology for machine tools having a unidirectional
repeatability at 0.9 microns. For machine tools having no variations
specified at 0.9 microns, there is no change to the thresholds.
Supplement No. 7 to Part 774--Very Sensitive List
Paragraph (1)(i), ECCN 1A002, is amended by narrowing the scope
from subparagraph .a to subparagraph a.1 (``Composite'' structures or
laminates made from an organic ``matrix'' and ``fibrous or filamentary
materials'' specified by 1C010.c or 1C0010.d), because the rest of the
items in ECCN 1A002.a do not warrant control on the Sensitive List as
they are not key technologies. It is estimated that this will minimally
affect the annual number of Wassenaar reports to BIS.
Paragraphs (3)(iv), ECCN 6A001.a.2.c, and (3)(vi), ECCN
6A002.a.2.f, are amended by replacing the phase ``user accessible
programmability'' with ``user-accessible programmability'' to add a
hyphen for correctness.
Section 740.16 Additional Permissive Reexports (APR)
License Exception APR is amended to remove a reference to ECCN
6A990 in paragraphs (a)(2) and (b)(2)(v), because ECCN 6A990 is removed
from the CCL by this rule. ROICs are now specified in 6A002.f.
Section 740.17 Encryption Commodities, Software and Technology (ENC)
License Exception ENC is corrected to replace a reference to
5D002.d with a reference to 5D002.b in the Note to paragraph (b)(2) and
in paragraph (b)(3)(iv).
[[Page 53749]]
Section 740.20 License Exception Strategic Trade Authorization (STA)
License Exception STA is amended to remove reference to ECCNs 6A990
and 6E990 from paragraph (b)(2)(x), because these ECCNs are removed
from the CCL. ROICs are now specified in 6A002.f and ROIC technology is
specified in ECCNs 6E001 and 6E002.
Section 742.6 Regional Stability
Paragraph (b)(1)(ii) is amended by removing reference to ECCN
6E990, because this ECCN is removed by this rule. ROIC technology is
now controlled under ECCNs 6E001 and 6E002.
Section 744.9 Restrictions on Exports, Reexports, and Transfers (In-
Country) of Certain Cameras, Systems, or Related Components
Section 744.9 is amended by removing reference to ECCN 6A990 from
paragraphs (a) and (b), because this ECCN is removed from the CCL.
ROICs are now controlled under ECCN 6A002.f.
Export Control Reform Act of 2018
On August 13, 2018, the President signed into law the John S.
McCain National Defense Authorization Act for Fiscal Year 2019, which
included the Export Control Reform Act of 2018 (ECRA) (Title XVII,
Subtitle B of Pub. L. 115-232) that provides the legal basis for BIS's
principal authorities and serves as the authority under which BIS
issues this rule. As set forth in Section 1768 of ECRA, all
delegations, rules, regulations, orders, determinations, licenses, or
other forms of administrative action that have been made, issued,
conducted, or allowed to become effective under the Export
Administration Act of 1979 (50 U.S.C. 4601 et seq.) (as in effect prior
to August 13, 2018 and as continued in effect pursuant to the
International Emergency Economic Powers Act (50 U.S.C. 1701 et seq.)
and Executive Order 13222 of August 17, 2001, 3 CFR, 2001 Comp., p. 783
(2002), as amended by Executive Order 13637 of March 8, 2013, 78 FR
16129 (March 13, 2013), and as extended by the Notice of August 8,
2018, 83 FR 39871 (August 13, 2018)), or the Export Administration
Regulations, and are in effect as of August 13, 2018, shall continue in
effect according to their terms until modified, superseded, set aside,
or revoked under the authority of ECRA.
Saving Clause
Shipments of items removed from license exception eligibility or
eligibility for export, reexport or transfer (in-country) without a
license as a result of this regulatory action that were on dock for
loading, on lighter, laden aboard an exporting carrier, or en route
aboard a carrier to a port of export, on October 24, 2018, pursuant to
actual orders for exports, reexports and transfers (in-country) to a
foreign destination, may proceed to that destination under the previous
license exception eligibility or without a license so long as they have
been exported, reexported or transferred (in-country) before December
24, 2018. Any such items not actually exported, reexported or
transferred (in-country) before midnight, on December 24, 2018, require
a license in accordance with this final rule.
Executive Order Requirements
Executive Orders 13563 and 12866 direct agencies to assess all
costs and benefits of available regulatory alternatives and, if
regulation is necessary, to select regulatory approaches that maximize
net benefits (including potential economic, environmental, public
health and safety effects, distributive impacts, and equity). Executive
Order 13563 emphasizes the importance of quantifying both costs and
benefits, of reducing costs, of harmonizing rules, and of promoting
flexibility.
This rule has been designated a ``significant regulatory action''
under Executive Order 12866. The Wassenaar Arrangement (WA) has been
established in order to contribute to regional and international
security and stability, by promoting transparency and greater
responsibility in transfers of conventional arms and dual-use goods and
technologies, thus preventing destabilizing accumulations. The aim is
also to prevent the acquisition of these items by terrorists. There are
presently 42 Participating States, including the United States, that
seek through their national policies to ensure that transfers of these
items do not contribute to the development or enhancement of military
capabilities that undermine these goals, and to ensure that these items
are not diverted to support such military capabilities that undermine
these goals. Implementation of the WA agreements in a timely manner
enhances the national security of the United States and global
international trade.
This rule does not contain policies with Federalism implications as
that term is defined under Executive Order 13132.
This rule is not subject to the requirements of E.O. 13771 (82 FR
9339, February 3, 2017) because it is issued with respect to a national
security function of the United States.
Paperwork Reduction Act Requirements
Notwithstanding any other provision of law, no person is required
to respond to, nor shall any person be subject to a penalty for failure
to comply with a collection of information subject to the requirements
of the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.) (PRA),
unless that collection of information displays a currently valid Office
of Management and Budget (OMB) Control Number.
This rule involves the following OMB approved collections of
information subject to the PRA: 0694-0088, ``Multi-Purpose
Application'', and carries a burden hour estimate of 29.6 minutes for a
manual or electronic submission; 0694-0106, ``Reporting and
Recordkeeping Requirements under the Wassenaar Arrangement'', which
carries a burden hour estimate of 21 minutes for a manual or electronic
submission; 0694-0137 ``License Exceptions and Exclusions'', which
carries a burden hour estimate average of 1.5 hours per submission
(Note: submissions for License Exceptions are rarely required); 0694-
0096 ``Five Year Records Retention Period'', which carries a burden
hour estimate of less than 1 minute; and 0607-0152 ``Automated Export
System (AES) Program, which carries a burden hour estimate of 3 minutes
per electronic submission. Specific license application submission
estimates are discussed further in the preamble of this rule where the
revision is explained. BIS estimates that revisions that are editorial,
moving the location of control text on the Commerce Control List, or
clarifications will result in no change in license application
submissions.
Any comments regarding these collections of information, including
suggestions for reducing the burden, may be sent to OMB Desk Officer,
New Executive Office Building, Washington, DC 20503; and to Jasmeet K.
Seehra, Office of Management and Budget (OMB), by email to
[email protected], or by fax to (202) 395-7285.
Administrative Procedure Act and Regulatory Flexibility Act
Requirements
The provisions of the Administrative Procedure Act (5 U.S.C. 553)
requiring notice of proposed rulemaking, the opportunity for public
participation, and a delay in effective date, are inapplicable because
this action involves a military and foreign affairs function of the
United States (5 U.S.C. 553(a)(1)). Immediate implementation of
[[Page 53750]]
these amendments fulfills the United States' international commitments
to the WA. The WA is committed to contributing to regional and
international security and stability by promoting responsibility and
transparency in the global arms trade, and preventing destabilizing
accumulations of arms. As a Participating State, the United States is
charged with implementing the agreed list changes as soon as possible
after approval. Because the United States is a significant exporter of
the list items discussed in this rule, implementation of this provision
is necessary for the WA to achieve its purpose, and will enhance the
national security of the United States and global international trade.
Although the APA requirements in section 553 are not applicable to
this action under the provisions of paragraph (a)(1), this action also
falls within two other exceptions in the section. The subsection (b)
requirement that agencies publish a notice of proposed rulemaking that
includes information on the public proceedings does not apply when an
agency for good cause finds that the notice and public procedures are
impracticable, unnecessary, or contrary to the public interest, and the
agency incorporates the finding (and reasons therefor) in the rule that
is issued (5 U.S.C. 553(b)(B)). In addition, the section 553(d)
requirement that publication of a rule shall be made not less than 30
days before its effective date can be waived if an agency finds there
is good cause to do so.
The section 553 requirements for notice and public procedures and
for a delay in the date of effectiveness do not apply to this rule, as
there is good cause to waive such practices. Delay in implementation
would disrupt the movement of these potential national-security
controlled items globally, creating disharmony between export control
measures implemented by the 42 WA Participating States. Export controls
work best when all countries implement the same export controls in a
timely manner. Delaying this rulemaking would prevent the United States
from fulfilling its commitment to the WA in a timely manner, would
injure the credibility of the United States in this and other
multilateral regimes, and may impair the international community's
ability to effectively control the export of national security
controlled items. Therefore, this regulation is issued in final form,
and is effective October 24, 2018.
Further, no other law requires that a notice of proposed rulemaking
and an opportunity for public comment be given for this final rule.
Because a notice of proposed rulemaking and an opportunity for public
comment are not required to be given for this rule under the
Administrative Procedure Act or by any other law, the analytical
requirements of the Regulatory Flexibility Act (5 U.S.C. 601 et seq.)
are not applicable. Accordingly, no regulatory flexibility analysis is
required and none has been prepared.
List of Subjects
15 CFR Part 740
Administrative practice and procedure, Exports, Reporting and
recordkeeping requirements.
15 CFR Part 742
Exports, Terrorism.
15 CFR Part 744
Exports, Reporting and recordkeeping requirements, Terrorism.
15 CFR Part 772
Exports.
15 CFR Part 774
Exports, Reporting and recordkeeping requirements.
Accordingly, parts 740, 742, 744, 772, and 774 of the Export
Administration Regulations (15 CFR parts 730 through 774) are amended
as follows:
PART 740--[AMENDED]
0
1. The authority citation for part 740 is revised to read as follows:
Authority: Pub. L. 115-232, Title XVII, Subtitle B. 50 U.S.C.
4601 et seq.; 50 U.S.C. 1701 et seq.; 22 U.S.C. 7201 et seq.; E.O.
13026, 61 FR 58767, 3 CFR, 1996 Comp., p. 228; E.O. 13222, 66 FR
44025, 3 CFR, 2001 Comp., p. 783; Notice of August 8, 2018, 83 FR
39871 (August 13, 2018).
0
2. Section 740.16 is amended by revising paragraphs (a)(2) and
(b)(2)(v) to read as follows:
Sec. 740.16 Additional permissive reexports (APR).
* * * * *
(a) * * *
(2) The commodities being reexported are not controlled for NP, CB,
MT, SI or CC reasons or described in ECCN 0A919, 3A001.b.2 or b.3
(except those that are being reexported for use in civil
telecommunications applications), 6A002, or 6A003; and
* * * * *
(b) * * *
(2) * * *
(v) Commodities described in ECCN 6A002.
* * * * *
Sec. 740.17 [Amended]
0
3. Section 740.17 is amended by removing the reference to ``5D002.d''
and adding in its place ``5D002.b'' in the Note to paragraph (b)(2) and
in paragraph (b)(3)(iv).
0
4. Section 740.20 is amended by revising paragraph (b)(2)(x) to read as
follows:
Sec. 740.20 License Exception Strategic Trade Authorization (STA).
* * * * *
(b) * * *
(2) * * *
(x) License Exception STA may not be used for items controlled by
ECCN 6A002; 6D002 (software ``specially designed'' for the ``use'' of
commodities controlled under 6A002.b); 6D003.c; 6D991 (software
``specially designed'' for the ``development,'' ``production,'' or
``use'' of commodities controlled under 6A002 or 6A003); 6E001
(``technology'' for the ``development'' of commodities controlled under
ECCN 6A002 or 6A003); or 6E002 ``technology'' (for the ``production''
of commodities controlled under ECCN 6A002 or 6A003).
* * * * *
PART 742--[AMENDED]
0
5. The authority citation for part 742 is revised to read as follows:
Authority: Pub. L. 115-232, Title XVII, Subtitle B. 50 U.S.C.
4601 et seq.; 50 U.S.C. 1701 et seq.; 22 U.S.C. 3201 et seq.; 42
U.S.C. 2139a; 22 U.S.C. 7201 et seq.; 22 U.S.C. 7210; 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, 68 FR 26459,
3 CFR, 2004 Comp., p. 320; Notice of November 6, 2017, 82 FR 51971
(November 8, 2017); Notice of August 8, 2018, 83 FR 39871 (August
13, 2018).
0
6. Section 742.6 is amended by revising paragraph (b)(1)(ii) to read as
follows:
Sec. 742.6 Regional stability.
* * * * *
(b) * * *
(1) * * *
(ii) Applications for exports and reexports to a country listed in
Country Group D:5 (in supplement no. 1 to part 740 of the EAR) of
technology controlled under 6E001 for the development of focal plane
arrays, read-out integrated circuits (ROICs) or image intensifier tubes
described in 6A002 or technology controlled under 6E002 for the
production of focal plane arrays, read-out integrated circuits (ROICs)
or
[[Page 53751]]
image intensifier tubes described in 6A002 will be reviewed with a
presumption of denial.
* * * * *
PART 744--[AMENDED]
0
7. The authority citation for part 744 is revised to read as follows:
Authority: Pub. L. 115-232, Title XVII, Subtitle B. 50 U.S.C.
4601 et seq.; 50 U.S.C. 1701 et seq.; 22 U.S.C. 3201 et seq.; 42
U.S.C. 2139a; 22 U.S.C. 7201 et seq.; 22 U.S.C. 7210; 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. 12947, 60 FR 5079, 3 CFR, 1995 Comp., p. 356; E.O. 13026,
61 FR 58767, 3 CFR, 1996 Comp., p. 228; E.O. 13099, 63 FR 45167, 3
CFR, 1998 Comp., p. 208; E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp.,
p. 783; E.O. 13224, 66 FR 49079, 3 CFR, 2001 Comp., p. 786; Notice
of September 18, 2017, 82 FR 43825 (September 19, 2017); Notice of
November 6, 2017, 82 FR 51971 (November 8, 2017); Notice of January
17, 2018, 83 FR 2731 (January 18, 2018); Notice of August 8, 2018,
83 FR 39871 (August 13, 2018).
Sec. 744.9 [Amended]
0
8. Section 744.9 is amended by removing the reference ``6A990,'' from
paragraphs (a)(1) introductory text and (b).
PART 772--[AMENDED]
0
9. The authority citation for part 772 is revised to read as follows:
Authority: Pub. L. 115-232, Title XVII, Subtitle B. 50 U.S.C.
4601 et seq.; 50 U.S.C. 1701 et seq.; E.O. 13222, 66 FR 44025, 3
CFR, 2001 Comp., p. 783; Notice of August 8, 2018, 83 FR 39871
(August 13, 2018).
0
10. Section 772.1 is amended by:
0
a. Removing definitions for ``Automatic target tracking'', ``Carbon
fiber preforms'', ``Commingled'', and ``Comminution'';
0
b. Revising the definition for ``Compensation systems'';
0
c. Removing the definition for ``Compound rotary table'';
0
d. Revising the definition for ``Cryptographic activation'';
0
e. Removing the definitions for ``Deformable mirrors'', ``Direct-
acting hydraulic pressing'', ``Effective Gram'', ``Electronically
steerable phased array antenna'', ``Flight control optical sensor
array'', ``Flight path optimization'', ``Frequency mask trigger'',
``Frequency synthesizer'', ``Gas Atomization'', ``Geographically
dispersed'', and ``Hot isostatic densification'';
0
f. Adding the definition for ``Interleaved Analog-to-Digital Converter
(ADC)'' in alphabetical order;
0
g. Removing the definitions for ``Linearity'', ``Main storage'',
``Mechanical alloying'', ``Melt Extraction'', and ``Melt Spinning'';
0
h. Adding the definition for ``Multiple channel Analog-to-Digital
Converter (ADC)'' in alphabetical order;
0
i. Removing the definitions for ``Neural computer'', ``Optical
computer'', ``Plasma atomization'', ``Power management'', ``Previously
separated'', ``Primary flight control'', ``Real-time bandwidth'',
``Resolution'', and ``Rotary Atomization'';
0
j. Adding the definition for ``Sample rate'' in alphabetical order;
0
k. Removing the definitions for ``Settling time'' and ``Splat
Quenching'';
0
l. Adding the definition for ``Steady state mode'' in alphabetical
order;
0
m. Removing the definitions for ``Systolic array computer'' and
``Transfer laser'';
0
n. In the definition for ``User-accessible programmability'', removing
``Cat 4, 5, and 6'' and adding in its place ``Cat 6''; and
0
o. Removing the definitions for ``Vacuum Atomization'' and ``Variable
geometry airfoils''.
The revisions and additions read as follows:
Sec. 772.1 Definitions of terms as used in the Export Administration
Regulations (EAR).
* * * * *
Compensation systems. (Cat 6) Consist of the primary scalar sensor,
one or more reference sensors (e.g., vector ``magnetometers'') together
with software that permit reduction of rigid body rotation noise of the
platform.
* * * * *
Cryptographic activation. (Cat 5P2) Any technique that specifically
activates or enables cryptographic capability of an item, by means of a
mechanism implemented by the manufacturer of the item, where this
mechanism is uniquely bound to any of the following:
(1) A single instance of the item; or
(2) One customer, for multiple instances of the item.
Technical note 1 to definition of ``Cryptographic activation'':
``Cryptographic activation'' techniques and mechanisms may be
implemented as hardware, ``software'' or ``technology''.
Technical note 2 to definition of ``Cryptographic activation'':
Mechanisms for ``cryptographic activation'' can, for example, be
serial number-based license keys or authentication instruments such
as digitally signed certificates.
* * * * *
Interleaved Analog-to-Digital Converter (ADC). (Cat 3) Devices that
have multiple ADC units that sample the same analog input at different
times such that when the outputs are aggregated, the analog input has
been effectively sampled and converted at a higher sampling rate.
* * * * *
Multiple channel Analog-to-Digital Converter (ADC). (Cat 3) Devices
that integrate more than one ADC, designed so that each ADC has a
separate analog input.
* * * * *
Sample rate. (Cat 3) For an Analog-to-Digital Converter (ADC) the
maximum number of samples that are measured at the analog input over a
period of one second, except for oversampling ADCs. For oversampling
ADCs the ``sample rate'' is taken to be its output word rate. ``Sample
rate'' may also be referred to as sampling rate, usually specified in
Mega Samples Per Second (MSPS) or Giga Samples Per Second (GSPS), or
conversion rate, usually specified in Hertz (Hz).
* * * * *
Steady state mode. (Cat 9) The term ``steady state mode'' defines
engine operation conditions, where the engine parameters, such as
thrust/power, rpm and others, have no appreciable fluctuations, when
the ambient air temperature and pressure at the engine inlet are
constant.
* * * * *
PART 774--[AMENDED]
0
11. The authority citation for part 774 is revised to read as follows:
Authority: Pub. L. 115-232, Title XVII, Subtitle B. 50 U.S.C.
4601 et seq.; 50 U.S.C. 1701 et seq.; 10 U.S.C. 7420; 10 U.S.C.
7430(e); 22 U.S.C. 287c, 22 U.S.C. 3201 et seq.; 22 U.S.C. 6004; 42
U.S.C. 2139a; 15 U.S.C. 1824a; 50 U.S.C. 4305; 22 U.S.C. 7201 et
seq.; 22 U.S.C. 7210; E.O. 13026, 61 FR 58767, 3 CFR, 1996 Comp., p.
228; E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 783; Notice of
August 8, 2018, 83 FR 39871 (August 13, 2018).
0
12. In supplement no. 1 to part 774, Category 0, ECCN 0A617 is revised
to read as follows:
Supplement No. 1 to Part 774--The Commerce Control List
* * * * *
0A617 Miscellaneous ``Equipment'', Materials, and Related
Commodities (see List of Items Controlled).
License Requirements
Reason for Control: NS, RS, AT, UN
Country chart (see Supp. No.
Control(s) 1 to part 738)
NS applies to entire entry, except 0A617.y NS Column 1.
[[Page 53752]]
RS applies to entire entry, except 0A617.y RS Column 1.
AT applies to entire entry................ AT Column 1.
UN applies to entire entry, except 0A617.y See Sec. 764.1(b) of the
EAR for UN controls.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $1,500
GBS: N/A
CIV: N/A
Special Conditions for STA
STA: Paragraph (c)(2) of License Exception STA (Sec. 740.20(c)(2)
of the EAR) may not be used for any item in 0A617.
List of Items Controlled
Related Controls: (1) Defense articles, such as materials made from
classified information, that are controlled by USML Category XIII,
and technical data (including software) directly related thereto,
are subject to the ITAR. (2) See ECCN 0A919 for foreign-made
``military commodities'' that incorporate more than a de minimis
amount of U.S.-origin ``600 series'' controlled content. (3) For
controls on self-contained diving and underwater swimming apparatus
and related commodities, see ECCN 8A620.f. (4) For controls on
robots, robot controllers, and robot end-effectors, see USML
Category VII and ECCNs 0A606 and 2B007. (5) ``Libraries'', i.e.,
parametric technical databases, ``specially designed'' for military
use with equipment controlled by the USML or a ``600 series'' ECCN
are controlled by the technical data and technology controls
pertaining to such items. (6) For controls on nuclear power
generating equipment or propulsion equipment, including ``nuclear
reactors'', ``specially designed'' for military use, and ``parts''
and ``components'' ``specially designed'' therefor, see USML
Categories VI, XIII, XV, and XX. (7) Simulators ``specially
designed'' for military ``nuclear reactors'' are controlled by USML
Category IX(b). (8) See USML Categories X, XI and XII for ``laser''
protection equipment (e.g., eye and sensor protection) ``specially
designed'' for military use. (9) ``Fuel cells'' ``specially
designed'' for a defense article on the USML or a commodity
controlled by a ``600 series'' ECCN are controlled according to the
corresponding ``600 series'' ECCN for such end items. (10) See USML
Category XV for controls on fuel cells ``specially designed'' for
satellite or spacecraft.
Related Definitions: N/A
Items:
a. [Reserved]
b. Concealment and deception equipment ``specially designed''
for military application, including special paints, decoys, smoke or
obscuration equipment and simulators, and ``parts'', ``components'',
``accessories'', and ``attachments'' ``specially designed''
therefor, not controlled by USML Category XIII.
c. Ferries, bridges (other than those described in ECCN 0A606 or
USML Category VII), and pontoons, ``specially designed'' for
military use.
d. Test models ``specially designed'' for the ``development'' of
defense articles controlled by USML Categories IV, VI, VII and VIII.
e. [Reserved]
f. ``Metal embrittlement agents''.
g. through x. [Reserved]
y. Other commodities as follows, and ``parts'', ``components'',
``accessories'', and ``attachments'' ``specially designed''
therefore:
y.1. Construction equipment ``specially designed'' for military
use, including such equipment ``specially designed'' for transport
in aircraft controlled by USML VIII(a) or ECCN 9A610.a.
y.2. ``Parts'', ``components'', ``accessories'', and
``attachments'' ``specially designed'' for commodities in paragraph
.y.1 of this entry, including crew protection kits used as
protective cabs.
y.3. ISO intermodal containers or demountable vehicle bodies
(i.e., swap bodies), n.e.s., ``specially designed'' or `modified'
for shipping or packing defense articles or items controlled by a
``600 series'' ECCN.
Technical Note: For the purpose of 0A617.y.3, `modified' means
any structural, electrical, mechanical, or other change that
provides a non-military item with military capabilities equivalent
to an item which is ``specially designed'' for military use.
y.4. Field generators ``specially designed'' for military use.
y.5. Power controlled searchlights and control units therefor,
``specially designed'' for military use, and ``equipment'' mounting
such units.
0
13. In supplement no. 1 to part 774, Category 0, ECCN 0A919 is revised
to read as follows:
0A919 ``Military commodities'' located and produced outside the
United States as follows (see list of items controlled).
License Requirements
Reasons for Control: RS, AT
Country chart (see Supp. No.
Control(s) 1 to part 738)
RS applies to entire entry................ RS Column 1, See Sec.
742.6(a)(3) of the EAR for
license requirements.
AT applies to entire entry................ AT Column 1.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Related Controls: (1) ``Military commodities'' are subject to the
export licensing jurisdiction of the Department of State if they
incorporate items that are subject to the International Traffic in
Arms Regulations (ITAR) (22 CFR parts 120 through 130). (2)
``Military commodities'' described in this paragraph are subject to
the export licensing jurisdiction of the Department of State if such
commodities are described on the U.S. Munitions List (22 CFR part
121) and are in the United States. (3) The furnishing of assistance
(including training) to foreign persons, whether in the United
States or abroad, in the design, development, engineering,
manufacture, production, assembly, testing, repair, maintenance,
modification, operation, demilitarization, destruction, processing,
or use of defense articles that are subject to the ITAR; or the
furnishing to foreign persons of any technical data controlled under
22 CFR 121.1 whether in the United States or abroad are under the
licensing jurisdiction of the Department of State. (4) Brokering
activities (as defined in 22 CFR part 129) of ``military
commodities'' that are subject to the ITAR are under the licensing
jurisdiction of the Department of State.
Related Definitions: ``Military commodity'' or ``military
commodities'' means an article, material or supply that is described
on the U.S. Munitions List (22 CFR part 121) or on the Munitions
List that is published by the Wassenaar Arrangement on Export
Controls for Conventional Arms and Dual-Use Goods and Technologies
(i.e., the Wassenaar Arrangement Munitions List (WAML)), but does
not include software, technology, any item listed in any ECCN for
which the last three numerals are 018, or any item in the ``600
series.''
Items:
a. ``Military commodities'' produced and located outside the
United States that are not subject to the International Traffic in
Arms Regulations (22 CFR parts 120 through 130) and having any of
the following characteristics:
a.1. Incorporate more than a de minimis amount of U.S.-origin
controlled content classified under ECCNs 6A002, 6A003, or 6A993.a
(having a maximum frame rate equal to or less than 9 Hz and thus
meeting the criterion of Note 3.a to 6A003.b.4);
a.2. Incorporate more than a de minimis amount of U.S.-origin
``600 series'' controlled content (see Sec. 734.4 of the EAR); or
a.3. Are direct products of U.S.-origin ``600 series''
technology or software (see Sec. 736.2(b)(3) of the EAR).
b. [Reserved]
0
14. In supplement no. 1 to part 774, Category 1, ECCN 1A002 is revised
to read as follows:
1A002 ``Composite'' structures or laminates, as follows (see List of
Items Controlled).
License Requirements
Reason for Control: NS, NP, AT
Country chart (see Supp. No.
Control(s) 1 to part 738)
NS applies to entire entry................ NS Column 2.
[[Page 53753]]
NP applies to 1A002.b.1 in the form of NP Column 1.
tubes with an inside diameter between 75
mm and 400 mm.
AT applies to entire entry................ AT Column 1.
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for exports
under License Exceptions, and Validated End-User authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $1,500; N/A for NP; N/A for ``composite'' structures or
laminates controlled by 1A002.a, having an organic ``matrix'' and
made from materials controlled by 1C010.c or 1C010.d.
GBS: N/A
CIV: N/A
Special Conditions for STA
STA: License Exception STA may not be used to ship any item in this
entry to any of the destinations listed in Country Group A:6 (See
Supplement No.1 to part 740 of the EAR).
List of Items Controlled
Related Controls: (1) See ECCNs 1E001 (``development'' and
``production'') and 1E201 (``use'') for technology for items
controlled by this entry. (2) Also see ECCNs 1A202, 1C010, 1C210,
9A010, and 9A110. (3) ``Composite'' structures ``specially
designed'' for missile applications (including ``specially
designed'' subsystems, ``parts'', and ``components'') are controlled
by ECCN 9A110. (4) ``Composite'' structures or laminates ``specially
designed'' or prepared for use in separating uranium isotopes are
subject to the export licensing authority of the Nuclear Regulatory
Commission (see 10 CFR part 110).
Related Definitions: N/A
Items:
a. Made from any of the following:
a.1. An organic ``matrix'' and ``fibrous or filamentary
materials'' specified by 1C010.c or 1C010.d; or
a.2. Prepregs or preforms specified by 1C010.e;
b. Made from a metal or carbon ``matrix'', and any of the
following:
b.1. Carbon ``fibrous or filamentary materials'' having all of
the following:
b.1.a. A ``specific modulus'' exceeding 10.15 x 10\6\ m; and
b.1.b. A ``specific tensile strength'' exceeding 17.7 x 10\4\ m;
or
b.2. Materials controlled by 1C010.c.
Note 1: 1A002 does not control ``composite'' structures or
laminates made from epoxy resin impregnated carbon ``fibrous or
filamentary materials'', for the repair of ``civil aircraft''
structures or laminates, having all of the following:
a. An area not exceeding 1 m \2\;
b. A length not exceeding 2.5 m; and
c. A width exceeding 15 mm.
Note 2: 1A002 does not control semi-finished items, ``specially
designed'' for civilian applications as follows:
a. Sporting goods;
b. Automotive industry;
c. Machine tool industry;
d. Medical applications.
Note 3: 1A002.b.1 does not apply to semi-finished items
containing a maximum of two dimensions of interwoven filaments and
``specially designed'' for applications as follows:
a. Metal heat-treatment furnaces for tempering metals;
b. Silicon boule production equipment.
Note 4: 1A002 does not apply to finished items ``specially
designed'' for a specific application.
0
15. In supplement no. 1 to part 774, Category 1, ECCN 1C001 is revised
to read as follows:
1C001 Materials ``specially designed'' for absorbing electromagnetic
radiation, or intrinsically conductive polymers, as follows (see
List of Items Controlled).
License Requirements
Reason for Control: NS, MT, AT
Country chart (see Supp. No.
Control(s) 1 to part 738)
NS applies to entire entry................ NS Column 1.
MT applies to entire entry................ MT Column 1.
AT applies to entire entry................ AT Column 1.
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for exports
under License Exceptions, and Validated End-User authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
CIV: N/A
Special Conditions for STA
STA: License Exception STA may not be used to ship any item in this
entry to any of the destinations listed in Country Group A:6 (See
Supplement No.1 to part 740 of the EAR).
List of Items Controlled
Related Controls: See also 1C101
Related Definitions: N/A
Items:
a. Materials for absorbing frequencies exceeding 2 x 10\8\ Hz
but less than 3 x 10\12\ Hz.
Note 1: 1C001.a does not control:
a. Hair type absorbers, constructed of natural or synthetic
fibers, with non-magnetic loading to provide absorption;
b. Absorbers having no magnetic loss and whose incident surface
is non-planar in shape, including pyramids, cones, wedges and
convoluted surfaces;
c. Planar absorbers, having all of the following:
1. Made from any of the following:
a. Plastic foam materials (flexible or non-flexible) with
carbon-loading, or organic materials, including binders, providing
more than 5% echo compared with metal over a bandwidth exceeding
15% of the center frequency of the incident energy, and
not capable of withstanding temperatures exceeding 450 K (177
[deg]C); or
b. Ceramic materials providing more than 20% echo compared with
metal over a bandwidth exceeding 15% of the center
frequency of the incident energy, and not capable of withstanding
temperatures exceeding 800 K (527 [deg]C);
Technical Note: Absorption test samples for 1C001.a. Note 1.c.1
should be a square at least 5 wavelengths of the center frequency on
a side and positioned in the far field of the radiating element.
2. Tensile strength less than 7 x 10\6\ N/m\2\; and
3. Compressive strength less than 14 x 10\6\ N/m\2\;
d. Planar absorbers made of sintered ferrite, having all of the
following:
1. A specific gravity exceeding 4.4; and
2. A maximum operating temperature of 548 K (275 [deg]C).
Note 2: Nothing in Note 1 releases magnetic materials to provide
absorption when contained in paint.
b. Materials not transparent to visible light and specially
designed for absorbing near-infrared radiation having a wavelength
exceeding 810 nm but less than 2,000 nm (frequencies exceeding 150
THz but less than 370 THz);
Note: 1C001.b does not apply to materials, ``specially
designed'' or formulated for any of the following applications:
a. ``Laser'' marking of polymers; or
b. ``Laser'' welding of polymers.
c. Intrinsically conductive polymeric materials with a `bulk
electrical conductivity' exceeding 10,000 S/m (Siemens per meter) or
a `sheet (surface) resistivity' of less than 100 ohms/square, based
on any of the following polymers:
c.1. Polyaniline;
c.2. Polypyrrole;
c.3. Polythiophene;
c.4. Poly phenylene-vinylene; or
c.5. Poly thienylene-vinylene.
Note: 1C001.c does not apply to materials in a liquid form.
Technical Note: `Bulk electrical conductivity' and `sheet
(surface) resistivity' should be determined using ASTM D-257 or
national equivalents.
0
16. In supplement no. 1 to part 774, Category 1, ECCN 1C002 is revised
to read as follows:
1C002 Metal alloys, metal alloy powder and alloyed materials, as
follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, NP, AT
[[Page 53754]]
Country chart (see Supp. No.
Control(s) 1 to part 738)
NS applies to entire entry................ NS Column 2.
NP applies to 1C002.b.3................... NP Column 1.
or b.4 if they exceed the parameters
stated in 1C202.
AT applies to entire entry................ AT Column 1.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $3000; N/A for NP
GBS: N/A
CIV: N/A
List of Items Controlled
Related Controls: (1) See ECCNs 1E001 (``development'' and
``production'') and 1E201 (``use'') for technology for items
controlled by this entry. (2) Also see ECCN 1C202. (3) Aluminum
alloys and titanium alloys in physical forms and finished products
``specially designed'' or prepared for use in separating uranium
isotopes are subject to the export licensing authority of the
Nuclear Regulatory Commission (see 10 CFR part 110).
Related Definition: N/A
Items:
Note: 1C002 does not control metal alloys, metal alloy powder
and alloyed materials, specially formulated for coating purposes.
Technical Note 1: The metal alloys in 1C002 are those
containing a higher percentage by weight of the stated metal than of
any other element.
Technical Note 2: `Stress-rupture life' should be measured in
accordance with ASTM standard E-139 or national equivalents.
Technical Note 3: `Low cycle fatigue life' should be measured
in accordance with ASTM Standard E-606 `Recommended Practice for
Constant-Amplitude Low-Cycle Fatigue Testing' or national
equivalents. Testing should be axial with an average stress ratio
equal to 1 and a stress-concentration factor (Kt) equal
to 1. The average stress is defined as maximum stress minus minimum
stress divided by maximum stress.
a. Aluminides, as follows:
a.1. Nickel aluminides containing a minimum of 15% by weight
aluminum, a maximum of 38% by weight aluminum and at least one
additional alloying element;
a.2. Titanium aluminides containing 10% by weight or more
aluminum and at least one additional alloying element;
b. Metal alloys, as follows, made from the powder or particulate
material controlled by 1C002.c:
b.1. Nickel alloys having any of the following:
b.1.a. A `stress-rupture life' of 10,000 hours or longer at 923
K (650 [deg]C) at a stress of 676 MPa; or
b.1.b. A `low cycle fatigue life' of 10,000 cycles or more at
823 K (550 [deg]C) at a maximum stress of 1,095 MPa;
b.2. Niobium alloys having any of the following:
b.2.a. A `stress-rupture life' of 10,000 hours or longer at
1,073 K (800 [deg]C) at a stress of 400 MPa; or
b.2.b. A `low cycle fatigue life' of 10,000 cycles or more at
973 K (700 [deg]C) at a maximum stress of 700 MPa;
b.3. Titanium alloys having any of the following:
b.3.a. A `stress-rupture life' of 10,000 hours or longer at 723
K (450 [deg]C) at a stress of 200 MPa; or
b.3.b. A `low cycle fatigue life' of 10,000 cycles or more at
723 K (450 [deg]C) at a maximum stress of 400 MPa;
b.4 Aluminum alloys having any of the following:
b.4.a. A tensile strength of 240 MPa or more at 473 K (200
[deg]C); or
b.4.b. A tensile strength of 415 MPa or more at 298 K (25
[deg]C);
b.5. Magnesium alloys having all the following:
b.5.a. A tensile strength of 345 MPa or more; and
b.5.b. A corrosion rate of less than 1 mm/year in 3% sodium
chloride aqueous solution measured in accordance with ASTM standard
G-31 or national equivalents;
c. Metal alloy powder or particulate material, having all of the
following:
c.1. Made from any of the following composition systems:
Technical Note: X in the following equals one or more alloying
elements.
c.1.a. Nickel alloys (Ni-Al-X, Ni-X-Al) qualified for turbine
engine ``parts'' or ``components'', i.e., with less than 3 non-
metallic particles (introduced during the manufacturing process)
larger than 100 [mu]m in 10 \9\ alloy particles;
c.1.b. Niobium alloys (Nb-Al-X or Nb-X-Al, Nb-Si-X or Nb-X-Si,
Nb-Ti-X or Nb-X-Ti);
c.1.c. Titanium alloys (Ti-Al-X or Ti-X-Al);
c.1.d. Aluminum alloys (Al-Mg-X or Al-X-Mg, Al-Zn-X or Al-X-Zn,
Al-Fe-X or Al-X-Fe); or
c.1.e. Magnesium alloys (Mg-Al-X or Mg-X-Al);
c.2. Made in a controlled environment by any of the following
processes:
c.2.a. `Vacuum atomization';
c.2.b. `Gas atomization';
c.2.c. `Rotary atomization';
c.2.d. `Splat quenching';
c.2.e. `Melt spinning' and `comminution';
c.2.f. `Melt extraction' and `comminution';
c.2.g. `Mechanical alloying'; or
c.2.h. `Plasma atomization'; and
c.3. Capable of forming materials controlled by 1C002.a or
1C002.b;
d. Alloyed materials, having all the following:
d.1. Made from any of the composition systems specified by
1C002.c.1;
d.2. In the form of uncomminuted flakes, ribbons or thin rods;
and
d.3. Produced in a controlled environment by any of the
following:
d.3.a. `Splat quenching';
d.3.b. `Melt spinning'; or
d.3.c. `Melt extraction'.
Technical Notes: 1. `Vacuum atomisation' is a process to reduce
a molten stream of metal to droplets of a diameter of 500 [mu]m or
less by the rapid evolution of a dissolved gas upon exposure to a
vacuum.
2. `Gas atomisation' is a process to reduce a molten stream of
metal alloy to droplets of 500 [mu]m diameter or less by a high
pressure gas stream.
3. `Rotary atomisation' is a process to reduce a stream or pool
of molten metal to droplets to a diameter of 500 [mu]m or less by
centrifugal force.
4. `Splat quenching' is a process to `solidify rapidly' a molten
metal stream impinging upon a chilled block, forming a flake-like
product.
5. `Melt spinning' is a process to `solidify rapidly' a molten
metal stream impinging upon a rotating chilled block, forming a
flake, ribbon or rod-like product.
6. `Comminution' is a process to reduce a material to particles
by crushing or grinding.
7. `Melt extraction' is a process to `solidify rapidly' and
extract a ribbon-like alloy product by the insertion of a short
segment of a rotating chilled block into a bath of a molten metal
alloy.
8. `Mechanical alloying' is an alloying process resulting from
the bonding, fracturing and rebonding of elemental and master alloy
powders by mechanical impact. Non-metallic particles may be
incorporated in the alloy by addition of the appropriate powders.
9. `Plasma atomisation' is a process to reduce a molten stream
or solid metal to droplets of 500 [mu]m diameter or less, using
plasma torches in an inert gas environment.
10. `Solidify rapidly' is a process involving the solidification
of molten material at cooling rates exceeding 1000 K/sec.
0
17. In supplement no. 1 to part 774, Category 1, ECCN 1C007 is revised
to read as follows:
1C007 Ceramic powders, ceramic ``matrix'' ``composite'' materials
and `precursor materials,' as follows (see List of Items
Controlled).
License Requirements
Reason for Control: NS, MT, AT
Country chart (see Supp. No.
Control(s) 1 to part 738)
NS applies to entire entry................ NS Column 2
MT applies to items in 1C007.c when the MT Column 1
dielectric constant is less than 6 at any
frequency from 100 MHz to 100 GHz for use
in ``missile'' radomes.
AT applies to entire entry................ AT Column 1
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for exports
under License Exceptions, and Validated End-User authorizations.
[[Page 53755]]
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $5,000, except N/A for MT and for 1C007.e
GBS: N/A
CIV: N/A
Special Conditions for STA
STA: License Exception STA may not be used to ship any item in
1C007.c entry to any of the destinations listed in Country Group A:6
(See Supplement No.1 to part 740 of the EAR).
List of Items Controlled
Related Controls: See also 1C107
Related Definitions: N/A
Items:
a. Ceramic powders of titanium diboride (TiB2) (CAS
12045-63-5) having total metallic impurities, excluding intentional
additions, of less than 5,000 ppm, an average particle size equal to
or less than 5 [micro]m and no more than 10% of the particles larger
than 10 [micro]m;
b. [Reserved]
c. Ceramic ``matrix'' ``composite'' materials as follows:
c.1. Ceramic-ceramic ``composite'' materials with a glass or
oxide-``matrix'' and reinforced with any of the following:
c.1.a. Continuous fibers made from any of the following
materials:
c.1.a.1. Al2O3 (CAS 1344-28-1); or
c.1.a.2. Si-C-N; or
Note: 1C007.c.1.a does not apply to ``composites'' containing
fibers with a tensile strength of less than 700 MPa at 1,273 K
(1,000 [deg]C) or tensile creep resistance of more than 1% creep
strain at 100 MPa load and 1,273 K (1,000 [deg]C) for 100 hours.
c.1.b. Fibers being all of the following:
c.1.b.1. Made from any of the following materials:
c.1.b.1.a. Si-N;
c.1.b.1.b. Si-C;
c.1.b.1.c. Si-Al-O-N; or
c.1.b.1.d. Si-O-N; and
c.1.b.2. Having a ``specific tensile strength'' exceeding 12.7 x
10 \3\ m;
c.2. Ceramic ``matrix'' ``composite'' materials with a
``matrix'' formed of carbides or nitrides of silicon, zirconium or
boron;
N.B.: For items previously specified by 1C007.c see
1C007.c.1.b.
d. [Reserved]
N.B.: For items previously specified by 1C007.d see 1C007.c.2.
e. `Precursor materials' ``specially designed'' for the
``production'' of materials controlled by 1C007.c, as follows:
e.1. Polydiorganosilanes;
e.2. Polysilazanes;
e.3. Polycarbosilazanes;
Technical Note: For the purposes of 1C007, `precursor
materials' are special purpose polymeric or metallo-organic
materials used for the ``production'' of silicon carbide, silicon
nitride, or ceramics with silicon, carbon and nitrogen.
f. [Reserved]
N.B.: For items previously specified by 1C007.f see
1C007.c.1.a.
0
18. In supplement no. 1 to part 774, Category 1, ECCN 1C010 is revised
to read as follows:
1C010 ``Fibrous or filamentary materials'' as follows (see List of
Items Controlled).
License Requirements
Reason for Control: NS, NP, AT
Country chart (see Supp.
Control(s) No. 1 to part 738)
NS applies to entire entry................ NS Column 2
NP applies to 1C010.a (aramid ``fibrous or NP Column 1
filamentary materials'', b (carbon
``fibrous and filamentary materials''),
and e.1 for ``fibrous and filamentary
materials'' that meet or exceed the
control criteria of ECCN 1C210.
AT applies to entire entry................ AT Column 1
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for exports
under License Exceptions, and Validated End-User authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $1,500, N/A for NP
GBS: N/A
CIV: N/A
Special Conditions for STA
STA: License Exception STA may not be used to ship any item in
1C010.c to any of the destinations listed in Country Group A:6 (See
Supplement No. 1 to part 740 of the EAR).
List of Items Controlled
Related Controls: (1) See ECCNs 1E001 (``development'' and
``production'') and 1E201 (``use'') for technology for items
controlled by this entry. (2) Also see ECCNs 1C210 and 1C990. (3)
See also 9C110 for material not controlled by 1C010.e, as defined by
notes 1 or 2.
Related Definitions: (1) ``Specific modulus'': Young's modulus in
pascals, equivalent to N/m\2\ divided by specific weight in N/m\3\,
measured at a temperature of (296 + 2) K ((23 + 2) [deg]C) and a
relative humidity of (50 + 5)%. (2) ``Specific tensile strength'':
ultimate tensile strength in pascals, equivalent to N/m \2\ divided
by specific weight in N/m\3\, measured at a temperature of (296 + 2)
K ((23 + 2) [deg]C) and a relative humidity of (50 + 5)%.
Items:
Technical Notes: 1. For the purpose of calculating ``specific
tensile strength'', ``specific modulus'' or specific weight of
``fibrous or filamentary materials'' in 1C010.a, 1C010.b or 1C010.c,
the tensile strength and modulus should be determined by using
Method A described in ISO 10618 (2004) or national equivalents.
2. Assessing the ``specific tensile strength'', ``specific
modulus'' or specific weight of non-unidirectional ``fibrous or
filamentary materials'' (e.g., fabrics, random mats or braids) in
1C010 is to be based on the mechanical properties of the constituent
unidirectional monofilaments (e.g., monofilaments, yarns, rovings or
tows) prior to processing into the non-unidirectional ``fibrous or
filamentary materials''.
a. Organic ``fibrous or filamentary materials'', having all of
the following:
a.1. ``Specific modulus'' exceeding 12.7 x 10\6\ m; and
a.2. ``Specific tensile strength'' exceeding 23.5 x 10\4\ m;
Note: 1C010.a does not control polyethylene.
b. Carbon ``fibrous or filamentary materials'', having all of
the following:
b.1. ``Specific modulus'' exceeding 14.65 x 10 \6\ m; and
b.2. ``Specific tensile strength'' exceeding 26.82 x 10 \4\ m;
Note: 1C010.b does not control:
a. ``Fibrous or filamentary materials'', for the repair of
``civil aircraft'' structures or laminates, having all of the
following:
1. An area not exceeding 1 m\2\;
2. A length not exceeding 2.5 m; and
3. A width exceeding 15 mm.
b. Mechanically chopped, milled or cut carbon ``fibrous or
filamentary materials'' 25.0 mm or less in length.
c. Inorganic ``fibrous or filamentary materials'', having all of
the following:
c.1. ``Specific modulus'' exceeding 2.54 x 10\6\ m; and
c.2. Melting, softening, decomposition or sublimation point
exceeding 1,922 K (1,649 [deg]C) in an inert environment;
Note: 1C010.c does not control:
a. Discontinuous, multiphase, polycrystalline alumina fibers in
chopped fiber or random mat form, containing 3% by weight or more
silica, with a ``specific modulus'' of less than 10 x 10\6\ m;
b. Molybdenum and molybdenum alloy fibers;
c. Boron fibers;
d. Discontinuous ceramic fibers with a melting, softening,
decomposition or sublimation point lower than 2,043 K (1,770 [deg]C)
in an inert environment.
d. ``Fibrous or filamentary materials'', having any of the
following:
d.1. Composed of any of the following:
d.1.a. Polyetherimides controlled by 1C008.a; or
d.1.b. Materials controlled by 1C008.b to 1C008.f; or
d.2. Composed of materials controlled by 1C010.d.1.a or
1C010.d.1.b and `commingled' with other fibers controlled by
1C010.a, 1C010.b or 1C010.c.
Technical Note: `Commingled' is filament to filament blending of
thermoplastic fibers and reinforcement fibers in order to produce a
fiber reinforcement ``matrix'' mix in total fiber form.
e. Fully or partially resin impregnated or pitch impregnated
``fibrous or filamentary
[[Page 53756]]
materials'' (prepregs), metal or carbon coated ``fibrous or
filamentary materials'' (preforms) or `carbon fiber preforms',
having all of the following:
e.1. Having any of the following:
e.1.a. Inorganic ``fibrous or filamentary materials'' controlled
by 1C010.c; or
e.1.b. Organic or carbon ``fibrous or filamentary materials'',
having all of the following:
e.1.b.1. ``Specific modulus'' exceeding 10.15 x 10\6\ m; and
e.1.b.2 ``Specific tensile strength'' exceeding 17.7 x 10\4\ m;
and
e.2. Having any of the following:
e.2.a. Resin or pitch, controlled by 1C008 or 1C009.b;
e.2.b. `Dynamic Mechanical Analysis glass transition temperature
(DMA Tg)' equal to or exceeding 453 K (180 [deg]C) and
having a phenolic resin; or
e.2.c. `Dynamic Mechanical Analysis glass transition temperature
(DMA Tg)' equal to or exceeding 505 K (232 [deg]C) and
having a resin or pitch, not specified by 1C008 or 1C009.b, and not
being a phenolic resin;
Note 1: Metal or carbon coated ``fibrous or filamentary
materials'' (preforms) or `carbon fiber preforms', not impregnated
with resin or pitch, are specified by ``fibrous or filamentary
materials'' in 1C010.a, 1C010.b or 1C010.c.
Note 2: 1C010.e does not apply to:
a. Epoxy resin ``matrix'' impregnated carbon ``fibrous or
filamentary materials'' (prepregs) for the repair of ``civil
aircraft'' structures or laminates, having all of the following:
1. An area not exceeding 1 m\2\;
2. A length not exceeding 2.5 m; and
3. A width exceeding 15 mm;
b. Fully or partially resin-impregnated or pitch-impregnated
mechanically chopped, milled or cut carbon ``fibrous or filamentary
materials'' 25.0 mm or less in length when using a resin or pitch
other than those specified by 1C008 or 1C009.b.
Technical Notes:
1. `Carbon fiber preforms' are an ordered arrangement of
uncoated or coated fibers intended to constitute a framework of a
part before the ``matrix'' is introduced to form a ``composite''.
2. The `Dynamic Mechanical Analysis glass transition temperature
(DMA Tg)' for materials controlled by 1C010.e is
determined using the method described in ASTM D 7028-07, or
equivalent national standard, on a dry test specimen. In the case of
thermoset materials, degree of cure of a dry test specimen shall be
a minimum of 90% as defined by ASTM E 2160 04 or equivalent national
standard.
0
19. In supplement no. 1 to part 774, Category 1, ECCN 1C608 revised to
read as follows:
1C608 ``Energetic materials'' and related commodities (see List of
Items Controlled).
License Requirements
Reason for Control: NS, RS, MT, AT, UN
Country chart (see Supp.
Control(s) no. 1 to part 738)
NS applies to entire entry................ NS Column 1
RS applies to entire entry................ RS Column 1
MT applies to 1C608.m..................... MT Column 1
AT applies to entire entry................ AT Column 1
UN applies to entire entry................ See Sec. 746.1(b) of the
EAR for UN controls
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $1,500
GBS: N/A
CIV: N/A
Special Conditions for STA
STA: Paragraph (c)(2) of License Exception STA (Sec. 740.20(c)(2)
of the EAR) may not be used for any item in 1C608.
List of Items Controlled
Related Controls: (1) The EAR does not control devices or charges
containing materials controlled by USML subparagraphs V(c)(6), V(h),
or V(i). The USML controls devices containing such materials. (2)
The USML in Categories III, IV, or V controls devices and charges in
this entry if they contain materials controlled by Category V (other
than slurries) and such materials can be easily extracted without
destroying the device or charge. (3) See also explosives and other
items enumerated in ECCNs 1A006, 1A007, 1A008, 1C011, 1C111, 1C239,
and 1C992. (4) See ECCN 0A919 for foreign-made ``military
commodities'' that incorporate more than a de minimis amount of US-
origin ``600 series'' controlled content.
Related Definitions: (1) For purposes of this entry, the term
`controlled materials' means controlled energetic materials
enumerated in ECCNs 1C011, 1C111, 1C239, 1C608, or USML Category V.
(2) For the purposes of this entry, the term `propellants' means
substances or mixtures that react chemically to produce large
volumes of hot gases at controlled rates to perform mechanical work.
Items:
a. `Single base', `double base', and `triple base' `propellants'
having nitrocellulose with nitrogen content greater than 12.6% in
the form of either:
a.1. `Sheetstock' or `carpet rolls'; or
a.2. Grains with diameter greater than 0.10 inches.
Note: This entry does not control `propellant' grains used in
shotgun shells, small arms cartridges, or rifle cartridges.
Technical Notes:
1. `Sheetstock' is `propellant' that has been manufactured in
the form of a sheet suitable for further processing.
2. A `carpet roll' is `propellant' that has been manufactured as
a sheet, often cut to a desired width, and subsequently rolled up
(like a carpet).
3. `Single base' is `propellant' which consists mostly of
nitrocellulose.
4.`Double base' `propellant' consist mostly of nitrocellulose
and nitroglycerine.
5. `Triple base' consists mostly of nitrocellulose,
nitroglycerine, and nitroguanidine. Such `propellants' contain other
materials, such as resins or stabilizers, that could include carbon,
salts, burn rate modifiers, nitrodiphenylamine, wax, polyethylene
glycol (PEG), polyglycol adipate (PGA).
b. Shock tubes containing greater than 0.064 kg per meter (300
grains per foot), but not more than 0.1 kg per meter (470 grains per
foot) of `controlled materials.'
c. Cartridge power devices containing greater than 0.70 kg, but
not more than 1.0 kg of `controlled materials.'
d. Detonators (electric or nonelectric) and ``specially
designed'' assemblies therefor containing greater than 0.01 kg, but
not more than 0.1 kg of `controlled materials'.
e. Igniters not controlled by USML Categories III or IV that
contain greater than 0.01 kg, but not more than 0.1 kg of
`controlled materials'.
f. Oil well cartridges containing greater than 0.015 kg, but not
more than 0.1 kg of `controlled materials'.
g. Commercial cast or pressed boosters containing greater than
1.0 kg, but not more than 5.0 kg of `controlled materials'.
h. Commercial prefabricated slurries and emulsions containing
greater than 10 kg and less than or equal to thirty-five percent by
weight of USML `controlled materials'.
i. [Reserved]
j. ``Pyrotechnic'' devices ``specially designed'' for commercial
purposes (e.g., theatrical stages, motion picture special effects,
and fireworks displays), and containing greater than 3.0 kg, but not
more than 5.0 kg of `controlled materials'.
k. Other commercial explosive devices or charges ``specially
designed'' for commercial applications, not controlled by 1C608.c
through .g above, containing greater than 1.0 kg, but not more than
5.0 kg of `controlled materials'.
l. Propyleneimine (2 methylaziridine) (C.A.S. #75-55-8).
m. Any oxidizer or `mixture' thereof that is a compound composed
of fluorine and any of the following: other halogens, oxygen, or
nitrogen.
Note 1 to 1C608.m: Nitrogen trifluoride (NF3) (CAS 7783-54-2) in
a gaseous state is controlled under ECCN 1C992 and not under ECCN
1C608.m.
Note 2 to 1C608.m: Chlorine trifluoride (ClF3) (CAS 7790-91-2)
is controlled under ECCN 1C111.a.3.f and not under ECCN 1C608.m.
Note 3 to 1C608.m: Oxygen difluoride (OF2) is controlled under
USML Category V.d.10 (see 22 CFR 121.1) and not under ECCN 1C608.m.
Note to 1C608.l and m: If a chemical in ECCN 1C608.l or .m is
incorporated into a commercial charge or device described in ECCN
1C608.c through .k or in ECCN 1C992, the classification of the
commercial charge or device applies to the item.
[[Page 53757]]
Technical Note to 1C608.m: `Mixture' refers to a composition of
two or more substances with at least one substance being enumerated
in 1C011, 1C111, 1C239, 1C608, USML Category V, or elsewhere on the
USML.
n. Any explosives, `propellants', oxidizers, ``pyrotechnics'',
fuels, binders, or additives that are ``specially designed'' for
military application and not enumerated or otherwise described in
USML Category V or elsewhere on the USML.
Note 1: 1C608.n does not apply to the following ``aircraft''
fuels: JP-4, JP-5, and JP-8.
Note 2: ``Aircraft'' fuels specified by 1C608.n, Note 1 are
finished products, not their constituents.
0
20. In supplement no. 1 to part 774, Category 2, ECCN 2A001 is revised
to read as follows:
2A001 Anti-friction bearings and bearing systems, as follows, (see
List of Items Controlled) and ``components'' therefor.
License Requirements
Reason for Control: NS, MT, AT
Country chart (see Supp.
Control(s) no. 1 to part 738)
NS applies to entire entry................ NS Column 2
MT applies to radial ball bearings having MT Column 1
all tolerances specified in accordance
with ISO 492 Tolerance Class 2 (or ANSI/
ABMA Std 20 Tolerance Class ABEC-9, or
other national equivalents) or better and
having all the following characteristics:
an inner ring bore diameter between 12
and 50 mm; an outer ring outside diameter
between 25 and 100 mm; and a width
between 10 and 20 mm..
AT applies to entire entry................ AT Column 1
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $3,000, N/A for MT
GBS: Yes, for 2A001.a, N/A for MT
CIV: Yes, for 2A001.a, N/A for MT
List of Items Controlled
Related Controls: (1) See also 2A991. (2) Quiet running bearings are
``subject to the ITAR'' (see 22 CFR parts 120 through 130).
Related Definitions: Annular Bearing Engineers Committee (ABEC).
Items:
Note 1: 2A001.a includes ball bearing and roller elements
``specially designed'' for the items specified therein.
Note 2: 2A001 does not control balls with tolerances specified
by the manufacturer in accordance with ISO 3290 as grade 5 (or
national equivalents) or worse.
a. Ball bearings and solid roller bearings, having all
tolerances specified by the manufacturer in accordance with ISO 492
Tolerance Class 4 (or national equivalents), or better, and having
both `rings' and `rolling elements', made from monel or beryllium;
Note: 2A001.a does not control tapered roller bearings.
Technical Notes:
1. `Ring'--annular part of a radial rolling bearing
incorporating one or more raceways (ISO 5593:1997).
2. `Rolling element'--ball or roller which rolls between
raceways (ISO 5593:1997).
b. [Reserved]
c. Active magnetic bearing systems using any of the following:
c.1. Materials with flux densities of 2.0 T or greater and yield
strengths greater than 414 MPa;
c.2. All-electromagnetic 3D homopolar bias designs for
actuators; or
c.3. High temperature (450 K (177 [deg]C) and above) position
sensors.
0
21. In supplement no. 1 to part 774, Category 2, ECCN 2B001 is revised
to read as follows:
2B001 Machine tools and any combination thereof, for removing (or
cutting) metals, ceramics or ``composites'', which, according to the
manufacturer's technical specifications, can be equipped with
electronic devices for ``numerical control''; as follows (see List
of Items Controlled).
License Requirements
Reason for Control: NS, NP, AT
Country chart (see Supp.
Control(s) No. 1 to part 738)
NS applies to entire entry................ NS Column 2
NP applies to 2B001.a, .b, .c, and .d, NP Column 1
EXCEPT: (1) Turning machines under
2B001.a with a capacity no greater than
35 mm diameter; (2) bar machines
(Swissturn), limited to machining only
bar feed through, if maximum bar diameter
is equal to or less than 42 mm and there
is no capability of mounting chucks.
(Machines may have drilling and/or
milling capabilities for machining
``parts'' or ``components'' with
diameters less than 42 mm); or (3)
milling machines under 2B001.b with x-
axis travel greater than two meters and
overall positioning accuracy according to
ISO 230/2 (2006) on the x-axis more
(worse) than 22.5 [mu]m.
AT applies to entire entry................ AT Column 1
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Related Controls: (1) See ECCN 2B002 for optical finishing machines.
(2) See ECCNs 2D001 and 2D002 for software for items controlled
under this entry. (3) See ECCNs 2E001 (``development''), 2E002
(``production''), and 2E201 (``use'') for technology for items
controlled under this entry. (4) Also see ECCNs 2B201 and 2B991.
Related Definitions: N/A
Items:
Note 1: 2B001 does not control special purpose machine tools
limited to the manufacture of gears. For such machines, see 2B003.
Note 2: 2B001 does not control special purpose machine tools
limited to the manufacture of any of the following:
a. Crank shafts or cam shafts;
b. Tools or cutters;
c. Extruder worms;
d. Engraved or faceted jewelry parts; or
e. Dental prostheses.
Note 3: A machine tool having at least two of the three turning,
milling or grinding capabilities (e.g., a turning machine with
[[Page 53758]]
milling capability), must be evaluated against each applicable entry
2B001.a, .b or .c.
a. Machine tools for turning having two or more axes which can
be coordinated simultaneously for ``contouring control'' having any
of the following:
a.1. ``Unidirectional positioning repeatability'' equal to or
less (better) than 0.9 [mu]m along one or more linear axis with a
travel length less than 1.0 m; or
a.2. ``Unidirectional positioning repeatability'' equal to or
less (better) than 1.1 [mu]m along one or more linear axis with a
travel length equal to or greater than 1.0 m;
Note 1: 2B001.a does not control turning machines ``specially
designed'' for producing contact lenses, having all of the
following:
a. Machine controller limited to using ophthalmic based
``software'' for part programming data input; and
b. No vacuum chucking.
Note 2: 2B001.a does not apply to bar machines (Swissturn),
limited to machining only bar feed thru, if maximum bar diameter is
equal to or less than 42 mm and there is no capability of mounting
chucks. Machines may have drilling or milling capabilities for
machining parts with diameters less than 42 mm.
b. Machine tools for milling having any of the following:
b.1. Three linear axes plus one rotary axis which can be
coordinated simultaneously for ``contouring control'' having any of
the following:
b.1.a. ``Unidirectional positioning repeatability'' equal to or
less (better) than 0.9 [mu]m along one or more linear axis with a
travel length less than 1.0 m; or
b.1.b. ``Unidirectional positioning repeatability'' equal to or
less (better) than 1.1 [mu]m along one or more linear axis with a
travel length equal to or greater than 1.0 m;
b.2. Five or more axes which can be coordinated simultaneously
for ``contouring control'' having any of the following:
b.2.a. ``Unidirectional positioning repeatability'' equal to or
less (better) than 0.9 [mu]m along one or more linear axis with a
travel length less than 1.0 m;
b.2.b. ``Unidirectional positioning repeatability'' equal to or
less (better) than 1.4 [mu]m along one or more linear axis with a
travel length equal to or greater than 1 m and less than 4 m; or
b.2.c. ``Unidirectional positioning repeatability'' equal to or
less (better) than 6.0 [mu]m along one or more linear axis with a
travel length equal to or greater than 4 m;
b.3. A ``unidirectional positioning repeatability'' for jig
boring machines, equal to or less (better) than 1.1 [mu]m along one
or more linear axis; or
b.4. Fly cutting machines having all of the following:
b.4.a. Spindle ``run-out'' and ``camming'' less (better) than
0.0004 mm TIR; and
b.4.b. Angular deviation of slide movement (yaw, pitch and roll)
less (better) than 2 seconds of arc, TIR, over 300 mm of travel;
c. Machine tools for grinding having any of the following:
c.1. Having all of the following:
c.1.a. ``Unidirectional positioning repeatability'' equal to or
less (better) than 1.1 [mu]m along one or more linear axis; and
c.1.b. Three or four axes which can be coordinated
simultaneously for ``contouring control''; or
c.2. Five or more axes which can be coordinated simultaneously
for ``contouring control'' having any of the following:
c.2.a. ``Unidirectional positioning repeatability'' equal to or
less (better) than 1.1 [mu]m along one or more linear axis with a
travel length less than 1 m;
c.2.b. ``Unidirectional positioning repeatability'' equal to or
less (better) than 1.4 [mu]m along one or more linear axis with a
travel length equal to or greater than 1 m and less than 4 m; or
c.2.c. ``Unidirectional positioning repeatability'' equal to or
less (better) than 6.0 [mu]m along one or more linear axis with a
travel length equal to or greater than 4 m.
Notes: 2B001.c does not control grinding machines as follows:
a. Cylindrical external, internal, and external-internal
grinding machines, having all of the following:
a.1. Limited to cylindrical grinding; and
a.2. Limited to a maximum workpiece capacity of 150 mm outside
diameter or length.
b. Machines designed specifically as jig grinders that do not
have a z-axis or a w-axis, with a ``unidirectional positioning
repeatability'' less (better) than 1.1 [micro]m.
c. Surface grinders.
d. Electrical discharge machines (EDM) of the non-wire type
which have two or more rotary axes which can be coordinated
simultaneously for ``contouring control'';
e. Machine tools for removing metals, ceramics or
``composites'', having all of the following:
e.1. Removing material by means of any of the following:
e.1.a. Water or other liquid jets, including those employing
abrasive additives;
e.1.b. Electron beam; or
e.1.c. ``Laser'' beam; and
e.2. At least two rotary axes having all of the following:
e.2.a. Can be coordinated simultaneously for ``contouring
control''; and
e.2.b. A positioning ``accuracy'' of less (better) than
0.003[deg];
f. Deep-hole-drilling machines and turning machines modified for
deep-hole-drilling, having a maximum depth-of-bore capability
exceeding 5 m.
0
22. In supplement no. 1 to part 774, Category 2, ECCN 2B006 is revised
to read as follows:
2B006 Dimensional inspection or measuring systems, equipment,
position feedback units and ``electronic assemblies'', as follows
(see List of Items Controlled).
License Requirements
Reason for Control: NS, NP, AT
Country chart (see Supp.
Control(s) No. 1 to part 738)
NS applies to entire entry................ NS Column 2
NP applies to those items in 2B006.a, NP Column 1
.b.1, b.3, and .c (angular displacement
measuring instruments) that meet or
exceed the technical parameters in 2B206.
AT applies to entire entry................ AT Column 1
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Related Controls: (1) See ECCNs 2D001 and 2D002 for ``software'' for
items controlled under this entry. (2) See ECCNs 2E001
(``development''), 2E002 (``production''), and 2E201 (``use'') for
technology for items controlled under this entry. (3) Also see ECCNs
2B206 and 2B996.
Related Definitions: N/A
Items:
a. Computer controlled or ``numerically controlled'' Coordinate
Measuring Machines (CMM), having a three dimensional length
(volumetric) maximum permissible error of length measurement
(E0,MPE) 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) [mu]m (L is the measured length in mm)
according to ISO 10360-2 (2009);
Technical Note: The E0,MPE of the most accurate
configuration of the CMM specified by the manufacturer (e.g., best
of the following: Probe, stylus length, motion parameters,
environment) and with ``all compensations available'' shall be
compared to the 1.7 + L/1,000 [mu]m threshold.
b. Linear displacement measuring instruments or systems, linear
position feedback units, and ``electronic assemblies'', as follows:
Note: Interferometer and optical-encoder measuring systems
containing a ``laser'' are only specified by 2B006.b.3.
b.1. `Non-contact type measuring systems' with a `resolution'
equal to or less (better) than 0.2 [micro]m within a measuring range
up to 0.2 mm;
Technical Note: For the purposes of 2B006.b.1, `non-contact type
measuring systems' are designed to measure the distance between the
probe and measured object along a single vector, where the probe or
measured object is in motion.
b.2. Linear position feedback units ``specially designed'' for
machine tools and having an overall ``accuracy'' less (better) than
(800 + (600 x L/1,000)) nm (L equals effective length in mm);
[[Page 53759]]
b.3. Measuring systems having all of the following:
b.3.a. Containing a ``laser'';
b.3.b. A `resolution' over their full scale of 0.200 nm or less
(better); and
b.3.c. Capable of achieving a ``measurement uncertainty'' equal
to or less (better) than (1.6 + L/2,000) nm (L is the measured
length in mm) at any point within a measuring range, when
compensated for the refractive index of air and measured over a
period of 30 seconds at a temperature of 20 0.01[deg]C;
or
Technical Note: For the purposes of 2B006.b, `resolution' is the
least increment of a measuring device; on digital instruments, the
least significant bit.
b.4. ``Electronic assemblies'' ``specially designed'' to provide
feedback capability in systems controlled by 2B006.b.3;
c. Rotary position feedback units ``specially designed'' for
machine tools or angular displacement measuring instruments, having
an angular position ``accuracy'' equal to or less (better) than 0.9
second of arc;
Note: 2B006.c does not control optical instruments, such as
autocollimators, using collimated light (e.g., ``laser'' light) to
detect angular displacement of a mirror.
d. Equipment for measuring surface roughness (including surface
defects), by measuring optical scatter with a sensitivity of 0.5 nm
or less (better).
Note: 2B006 includes machine tools, other than those specified
by 2B001, that can be used as measuring machines, if they meet or
exceed the criteria specified for the measuring machine function.
0
23. In supplement no. 1 to part 774, Category 2, ECCN 2B007 is revised
to read as follows:
2B007 ``Robots'' having any of the following characteristics
described in the List of Items Controlled and ``specially designed''
controllers and ``end-effectors'' therefor.
License Requirements
Reason for Control: NS, NP, AT
Country chart (see Supp.
Control(s) No. 1 to part 738)
NS applies to entire entry................ NS Column 2
NP applies to equipment that meets or NP Column 1
exceeds the criteria in ECCNs 2B207.
AT applies to entire entry................ AT Column 1
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $5,000, except 2B007.b and .c
GBS: N/A
CIV: N/A
List of Items Controlled
Related Controls:
(1) See ECCN 2D001 for ``software'' for items controlled under this
entry. (2) See ECCNs 2E001 (``development''), 2E002
(``production''), and 2E201 (``use'') for technology for items
controlled under this entry. (3) Also see ECCNs 2B207, 2B225 and
2B997.
Related Definitions: N/A
Items:
a. [Reserved]
b. ``Specially designed'' to comply with national safety
standards applicable to potentially explosive munitions
environments;
Note: 2B007.b does not apply to ``robots'' ``specially
designed'' for paint-spraying booths.
c. ``Specially designed'' or rated as radiation-hardened to
withstand a total radiation dose greater than 5 x 10\3\ Gy (silicon)
without operational degradation; or
Technical Note: The term Gy (silicon) refers to the energy in
Joules per kilogram absorbed by an unshielded silicon sample when
exposed to ionizing radiation.
d. ``Specially designed'' to operate at altitudes exceeding
30,000 m.
0
24. In supplement no. 1 to part 774, Category 2, ECCN 2B008 is revised
to read as follows:
2B008 `Compound rotary tables' and ``tilting spindles'', ``specially
designed'' for machine tools, as follows (see List of Items
Controlled).
License Requirements
Reason for Control: NS, AT
Country chart (see Supp.
Control(s) No. 1 to part 738)
NS applies to entire entry................ NS Column 2
AT applies to entire entry................ AT Column 1
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Related Controls: See also 2B998
Related Definition: N/A
Items:
a. [Reserved]
b. [Reserved]
c. `Compound rotary tables' having all of the following:
c.1. Designed for machine tools for turning, milling or
grinding; and
c.2. Two rotary axes designed to be coordinated simultaneously
for ``contouring control''.
Technical Note: A `compound rotary table' is a table allowing
the workpiece to rotate and tilt about two non-parallel axes.
d. ``Tilting spindles'' having all of the following:
d.1. Designed for machine tools for turning, milling or
grinding; and
d.2. Designed to be coordinated simultaneously for ``contouring
control''.
0
25. In supplement no. 1 to part 774, Category 2, ECCN 2B206 is revised
to read as follows:
2B206 Dimensional inspection machines, instruments or systems, other
than those described in 2B006, as follows (see List of Items
Controlled).
License Requirements
Reason for Control: NP, AT
Country chart (see Supp.
Control(s) No. 1 to part 738)
NP applies to entire entry................ NP Column 1
AT applies to entire entry................ AT Column 1
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Related Controls: (1) See ECCNs 2D002 and 2D201 for ``software'' for
items controlled under this entry. (2) See ECCNs 2E001
(``development''), 2E002 (``production''), and 2E201 (``use'') for
technology for items controlled under this entry. (3) Also see ECCNs
2B006 and 2B996.
Related Definitions: N/A
Items:
Control Notes to ECCN 2B206: (1) Machine tools that can be used
as measuring machines are controlled by ECCN 2B206 if they meet or
exceed the control parameters specified in this entry for the
measuring machine function. (2) The machines described in ECCN 2B206
are controlled by this entry if they exceed the specified control
threshold anywhere in their operating range.
Technical Note to ECCN 2B206: All parameters of measurement
values in this entry represent plus/minus, i.e., not total band.
a. Computer controlled or numerically controlled coordinate
measuring machines (CMM) with either of the following
characteristics:
a.1. Having only two axes with a maximum permissible error of
length measurement along any axis (one dimension), identified as any
combination of E0x MPE, E0y MPE or
E0z MPE, equal to or less (better) than (1.25 + L/1,000)
[micro]m (where L is the measured length in mm) at any point within
the operating range of the machine (i.e., within the length of the
axis), according to ISO 10360-2 (2009); or
a.2. Having three or more axes with a three dimensional
(volumetric) maximum permissible error of length measurement,
identified as E0, MPE, equal to or less
(better) than (1.7 + L/800) [micro]m (where L is the measured length
in mm) at any point within the operating range of the machine (i.e.,
within the length of the axis), according to ISO 10360-2 (2009).
Technical Note to 2B206.a.2: The E0, MPE
of the most accurate configuration of the
[[Page 53760]]
CMM specified according to ISO 10360-2 (2009) by the manufacturer
(e.g., best of the following: Probe, stylus length, motion
parameters, environment) and with all compensations available shall
be compared to the 1.7 + L/800 [micro]m threshold.
b. Systems for simultaneous linear-angular inspection of
hemishells, having both of the following characteristics:
b.1. ``Measurement uncertainty'' along any linear axis equal to
or less (better) than 3.5 [micro]m per 5 mm; and
b.2. ``Angular position deviation'' equal to or less than
0.02[deg].
c. Linear displacement measuring systems having both of the
following characteristics:
c.1. Containing a ``laser;'' and
c.2. Capable of maintaining, for at least 12 hours over a
temperature range of 1 K around a standard temperature
and a standard pressure, both:
c.2.a. A ``resolution'' over their full scale of 0.1 [micro]m or
better; and
c.2.b. A ``measurement uncertainty'' equal to or better (less)
than (0.2 + L/2,000) [micro]m (L is the measured length in
millimeters).
Control Note to 2B206.c: 2B206.c 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.
Technical Note to 2B206.c: In 2B206.c, ``linear displacement''
means the change of distance between the measuring probe and the
measured object.
d. Linear Variable Differential Transformer (LVDT) systems
having all of the following:
d.1. Having any of the following:
d.1.a. ``Linearity'' equal to or less (better) than 0.1%
measured from 0 to the full operating range, for LVDTs with a full
operating range up to and including 5 mm; or
d.1.b. ``Linearity'' equal to or less (better) than 0.1%
measured from 0 to 5 mm for LVDTs with a `full operating range'
greater than 5 mm; and
d.2. Drift equal to or less (better) than 0.1% per day at a
standard ambient test room temperature 1 K.
0
26. In supplement no. 1 to part 774, Category 2, ECCN 2E003 is revised
to read as follows:
2E003 Other ``technology'', as follows (see List of Items
Controlled).
License Requirements
Reason for Control: NS, AT
Country chart (see Supp. No.
Control(s) 1 to part 738)
NS applies to entire entry................ NS Column 1.
AT applies to entire entry................ AT Column 1.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
CIV: N/A
TSR: Yes, except 2E003.b, .e and .f
List of Items Controlled
Related Controls: See 2E001, 2E002, and 2E101 for ``development''
and ``use'' technology for equipment that are designed or modified
for densification of carbon-carbon composites, structural composite
rocket nozzles and reentry vehicle nose tips.
Related Definitions: N/A
Items:
a. [Reserved]
b. ``Technology'' for metal-working manufacturing processes, as
follows:
b.1. ``Technology'' for the design of tools, dies or fixtures
``specially designed'' for any of the following processes:
b.1.a. ``Superplastic forming'';
b.1.b. ``Diffusion bonding''; or
b.1.c. `Direct-acting hydraulic pressing';
b.2. Technical data consisting of process methods or parameters
as listed below used to control:
b.2.a. ``Superplastic forming'' of aluminum alloys, titanium
alloys or ``superalloys:''
b.2.a.1. Surface preparation;
b.2.a.2. Strain rate;
b.2.a.3. Temperature;
b.2.a.4. Pressure;
b.2.b. ``Diffusion bonding'' of ``superalloys'' or titanium
alloys:
b.2.b.1. Surface preparation;
b.2.b.2. Temperature;
b.2.b.3. Pressure;
b.2.c. `Direct-acting hydraulic pressing' of aluminum alloys or
titanium alloys:
b.2.c.1. Pressure;
b.2.c.2. Cycle time;
b.2.d. `Hot isostatic densification' of titanium alloys,
aluminum alloys or ``superalloys'':
b.2.d.1. Temperature;
b.2.d.2. Pressure;
b.2.d.3. Cycle time;
Technical Notes:
1. `Direct-acting hydraulic pressing' is a deformation process
which uses a fluid-filled flexible bladder in direct contact with
the workpiece.
2. `Hot isostatic densification' is a process of pressurizing a
casting at temperatures exceeding 375 K (102 [deg]C) in a closed
cavity through various media (gas, liquid, solid particles, etc.) to
create equal force in all directions to reduce or eliminate internal
voids in the casting.
c. ``Technology'' for the ``development'' or ``production'' of
hydraulic stretch-forming machines and dies therefor, for the
manufacture of airframe structures;
d. [Reserved]
e. ``Technology'' for the ``development'' of integration
``software'' for incorporation of expert systems for advanced
decision support of shop floor operations into ``numerical control''
units;
f. ``Technology'' for the application of inorganic overlay
coatings or inorganic surface modification coatings (specified in
column 3 of the following table) to non-electronic substrates
(specified in column 2 of the following table), by processes
specified in column 1 of the following table and defined in the
Technical Note.
N.B.: This table should be read to control the technology of a
particular `Coating Process' only when the resultant coating in
column 3 is in a paragraph directly across from the relevant
`Substrate' under column 2. For example, Chemical Vapor Deposition
(CVD) `coating process' control the ``technology'' for a particular
application of `silicides' to `Carbon-carbon, Ceramic and Metal
``matrix'' ``composites'' substrates, but are not controlled for the
application of `silicides' to `Cemented tungsten carbide (16),
Silicon carbide (18)' substrates. In the second case, the resultant
coating is not listed in the paragraph under column 3 directly
across from the paragraph under column 2 listing `Cemented tungsten
carbide (16), Silicon carbide (18).'
0
27. In supplement no. 1 to part 774, Category 3, Product Group A is
amended by revising Notes 1 and 2 and N.B. before ECCN 3A001 to read as
follows:
Category 3--Electronics
A. ``End Items'', ``Equipment'', ``Accessories'', ``Attachments'',
``Parts'', ``Components'', and ``Systems''
Note 1: The control status of equipment and ``components''
described in 3A001 or 3A002, other than those described in 3A001.a.3
to 3A001.a.10, or 3A001.a.12 to 3A001.a.14, which are ``specially
designed'' for or which have the same functional characteristics as
other equipment is determined by the control status of the other
equipment.
Note 2: The control status of integrated circuits described in
3A001.a.3 to 3A001.a.9, or 3A001.a.12 to 3A001.a.14, which are
unalterably programmed or designed for a specific function for other
equipment is determined by the control status of the other
equipment.
N.B.: When the manufacturer or applicant cannot determine the
control status of the other equipment, the control status of the
integrated circuits is determined in 3A001.a.3 to 3A001.a.9, and
3A001.a.12 to 3A001.a.14.
0
28. In supplement no. 1 to part 774, Category 3, ECCN 3A001 is revised
to read as follows:
3A001 Electronic items as follows (see List of Items Controlled).
Reason for Control: NS, RS, MT, NP, AT
[[Page 53761]]
Country chart (see Supp. No.
Control(s) 1 to part 738)
NS applies to ``Monolithic Microwave NS Column 1
Integrated Circuit'' (``MMIC'')
amplifiers in 3A001.b.2 and discrete
microwave transistors in 3A001.b.3,
except those 3A001.b.2 and b.3 items
being exported or reexported for use in
civil telecommunications applications.
NS applies to entire entry................ NS Column 2
RS applies ``Monolithic Microwave RS Column 1
Integrated Circuit'' (``MMIC'')
amplifiers in 3A001.b.2 and discrete
microwave transistors in 3A001.b.3,
except those 3A001.b.2 and b.3 items
being exported or reexported for use in
civil telecommunications applications.
MT applies to 3A001.a.1.a when usable in MT Column 1
``missiles''; and to 3A001.a.5.a when
``designed or modified'' for military
use, hermetically sealed and rated for
operation in the temperature range from
below -54[deg]C to above +125[deg]C.
NP applies to pulse discharge capacitors NP Column 1
in 3A001.e.2 and superconducting
solenoidal electromagnets in 3A001.e.3
that meet or exceed the technical
parameters in 3A201.a and 3A201.b,
respectively.
AT applies to entire entry................ AT Column 1
License Requirements Note: See Sec. 744.17 of the EAR for
additional license requirements for microprocessors having a
processing speed of 5 GFLOPS or more and an arithmetic logic unit
with an access width of 32 bit or more, including those
incorporating ``information security'' functionality, and associated
``software'' and ``technology'' for the ``production'' or
``development'' of such microprocessors.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A for MT or NP; N/A for ``Monolithic Microwave Integrated
Circuit'' (``MMIC'') amplifiers in 3A001.b.2 and discrete microwave
transistors in 3A001.b.3, except those that are being exported or
reexported for use in civil telecommunications applications
Yes for:
$1,500: 3A001.c
$3,000: 3A001.b.1, b.2 (exported or reexported for use in civil
telecommunications applications), b.3 (exported or reexported for
use in civil telecommunications applications), b.9, .d, .e, .f, and
.g.
$5,000: 3A001.a (except a.1.a and a.5.a when controlled for MT), b.4
to b.7, and b.12.
GBS: Yes for 3A001.a.1.b, a.2 to a.14 (except .a.5.a when controlled
for MT), b.2 (exported or reexported for use in civil
telecommunications applications), b.8 (except for vacuum electronic
device amplifiers exceeding 18 GHz), b.9, b.10, .g, .h, and .i.
Special Conditions for STA
STA: License Exception STA may not be used to ship any item in
3A001.b.2 or b.3, except those that are being exported or reexported
for use in civil telecommunications applications, to any of the
destinations listed in Country Group A:5 or A:6 (See Supplement No.1
to part 740 of the EAR).
List of Items Controlled
Related Controls: (1) See Category XV of the USML for certain
``space-qualified'' electronics and Category XI of the USML for
certain ASICs, `transmit/receive modules,' or `transmit modules'
``subject to the ITAR'' (see 22 CFR parts 120 through 130). (2) See
also 3A101, 3A201, 3A611, 3A991, and 9A515.
Related Definitions: `Microcircuit' means a device in which a number
of passive or active elements are considered as indivisibly
associated on or within a continuous structure to perform the
function of a circuit. For the purposes of integrated circuits in
3A001.a.1, 5 x 10\3\ Gy (Si) = 5 x 10\5\ Rads (Si); 5 x 10\6\ Gy
(Si)/s = 5 x 10\8\ Rads (Si)/s.
Items:
a. General purpose integrated circuits, as follows:
Note 1: The control status of wafers (finished or unfinished),
in which the function has been determined, is to be evaluated
against the parameters of 3A001.a.
Note 2: Integrated circuits include the following types:
--``Monolithic integrated circuits''
-- ``Hybrid integrated circuits'';
-- ``Multichip integrated circuits'';
-- ``Film type integrated circuits'', including silicon-on-sapphire
integrated circuits;
-- ``Optical integrated circuits'';
-- ``Three dimensional integrated circuits'';
-- ``Monolithic Microwave Integrated Circuits'' (``MMICs'').
a.1. Integrated circuits designed or rated as radiation hardened
to withstand any of the following:
a.1.a. A total dose of 5 x 10\3\ Gy (Si), or higher;
a.1.b. A dose rate upset of 5 x 10\6\ Gy (Si)/s, or higher; or
a.1.c. A fluence (integrated flux) of neutrons (1 MeV
equivalent) of 5 x 10\13\ n/cm\2\ or higher on silicon, or its
equivalent for other materials;
Note: 3A001.a.1.c does not apply to Metal Insulator
Semiconductors (MIS).
a.2. ``Microprocessor microcircuits'', ``microcomputer
microcircuits'', microcontroller microcircuits, storage integrated
circuits manufactured from a compound semiconductor, analog-to-
digital converters, integrated circuits that contain analog-to-
digital converters and store or process the digitized data, digital-
to-analog converters, electro-optical or ``optical integrated
circuits'' designed for ``signal processing'', field programmable
logic devices, custom integrated circuits for which either the
function is unknown or the control status of the equipment in which
the integrated circuit will be used in unknown, Fast Fourier
Transform (FFT) processors, Static Random-Access Memories (SRAMs),
or `non-volatile memories,' having any of the following:
Technical Note: `Non-volatile memories' are memories with data
retention over a period of time after a power shutdown.
a.2.a. Rated for operation at an ambient temperature above 398 K
(+125 [deg]C);
a.2.b. Rated for operation at an ambient temperature below 218 K
(-55 [deg]C); or
a.2.c. Rated for operation over the entire ambient temperature
range from 218 K (-55 [deg]C) to 398 K (125 [deg]C);
Note: 3A001.a.2 does not apply to integrated circuits for civil
automobile or railway train applications.
a.3. ``Microprocessor microcircuits'', ``microcomputer
microcircuits'' and microcontroller microcircuits, manufactured from
a compound semiconductor and operating at a clock frequency
exceeding 40 MHz;
Note: 3A001.a.3 includes digital signal processors, digital
array processors and digital coprocessors.
a.4. [Reserved]
a.5. Analog-to-Digital Converter (ADC) and Digital-to-Analog
Converter (DAC) integrated circuits, as follows:
a.5.a. ADCs having any of the following:
a.5.a.1. A resolution of 8 bit or more, but less than 10 bit,
with a ``sample rate'' greater than 1.3 Giga Samples Per Second
(GSPS);
a.5.a.2. A resolution of 10 bit or more, but less than 12 bit,
with a ``sample rate'' rate greater than 600 Mega Samples Per Second
(MSPS);
a.5.a.3. A resolution of 12 bit or more, but less than 14 bit,
with a ``sample rate'' rate greater than 400 MSPS;
a.5.a.4. A resolution of 14 bit or more, but less than 16 bit,
with a ``sample rate'' rate greater than 250 MSPS; or
a.5.a.5. A resolution of 16 bit or more with a ``sample rate''
rate greater than 65 MSPS;
N.B.: For integrated circuits that contain analog-to-digital
converters and store or process the digitized data see 3A001.a.14.
[[Page 53762]]
Technical Notes:
1. A resolution of n bit corresponds to a quantization of 2\n\
levels.
2. The resolution of the ADC is the number of bits of the
digital output that represents the measured analog input. Effective
Number of Bits (ENOB) is not used to determine the resolution of the
ADC.
3. For ``multiple channel ADCs'', the ``sample rate'' is not
aggregated and the ``sample rate'' is the maximum rate of any single
channel.
4. For ``interleaved ADCs'' or for ``multiple channel ADCs''
that are specified to have an interleaved mode of operation, the
``sample rates'' are aggregated and the ``sample rate'' is the
maximum combined total rate of all of the interleaved channels.
a.5.b. Digital-to-Analog Converters (DAC) having any of the
following:
a.5.b.1. A resolution of 10 bit or more with an `adjusted update
rate' of greater than 3,500 MSPS; or
a.5.b.2. A resolution of 12-bit or more with an `adjusted update
rate' of greater than 1,250 MSPS and having any of the following:
a.5.b.2.a. A settling time less than 9 ns to arrive at or within
0.024% of full scale from a full scale step; or
a.5.b.2.b. A `Spurious Free Dynamic Range' (SFDR) greater than
68 dBc (carrier) when synthesizing a full scale analog signal of 100
MHz or the highest full scale analog signal frequency specified
below 100 MHz.
Technical Notes:
1. `Spurious Free Dynamic Range' (SFDR) is defined as the ratio
of the RMS value of the carrier frequency (maximum signal component)
at the input of the DAC to the RMS value of the next largest noise
or harmonic distortion component at its output.
2. SFDR is determined directly from the specification table or
from the characterization plots of SFDR versus frequency.
3. A signal is defined to be full scale when its amplitude is
greater than -3 dBfs (full scale).
4. `Adjusted update rate' for DACs is:
a. For conventional (non-interpolating) DACs, the `adjusted
update rate' is the rate at which the digital signal is converted to
an analog signal and the output analog values are changed by the
DAC. For DACs where the interpolation mode may be bypassed
(interpolation factor of one), the DAC should be considered as a
conventional (non-interpolating) DAC.
b. For interpolating DACs (oversampling DACs), the `adjusted
update rate' is defined as the DAC update rate divided by the
smallest interpolating factor. For interpolating DACs, the `adjusted
update rate' may be referred to by different terms including:
Input data rate.
input word rate.
input sample rate.
maximum total input bus rate.
maximum DAC clock rate for DAC clock input.
a.6. Electro-optical and ``optical integrated circuits'',
designed for ``signal processing'' and having all of the following:
a.6.a. One or more than one internal ``laser'' diode;
a.6.b. One or more than one internal light detecting element;
and
a.6.c. Optical waveguides;
a.7. `Field programmable logic devices' having any of the
following:
a.7.a. A maximum number of single-ended digital input/outputs of
greater than 700; or
a.7.b. An `aggregate one-way peak serial transceiver data rate'
of 500 Gb/s or greater;
Note: 3A001.a.7 includes:
--Complex Programmable Logic Devices (CPLDs)
--Field Programmable Gate Arrays (FPGAs)
--Field Programmable Logic Arrays (FPLAs)
--Field Programmable Interconnects (FPICs)
N.B.: For integrated circuits having field programmable logic
devices that are combined with an analog-to-digital converter, see
3A001.a.14.
Technical Notes:
1. Maximum number of digital input/outputs in 3A001.a.7.a is
also referred to as maximum user input/outputs or maximum available
input/outputs, whether the integrated circuit is packaged or bare
die.
2. `Aggregate one-way peak serial transceiver data rate' is the
product of the peak serial one-way transceiver data rate times the
number of transceivers on the FPGA.
a.8. [Reserved]
a.9. Neural network integrated circuits;
a.10. Custom integrated circuits for which the function is
unknown, or the control status of the equipment in which the
integrated circuits will be used is unknown to the manufacturer,
having any of the following:
a.10.a. More than 1,500 terminals;
a.10.b. A typical ``basic gate propagation delay time'' of less
than 0.02 ns; or
a.10.c. An operating frequency exceeding 3 GHz;
a.11. Digital integrated circuits, other than those described in
3A001.a.3 to 3A001.a.10 and 3A001.a.12, based upon any compound
semiconductor and having any of the following:
a.11.a. An equivalent gate count of more than 3,000 (2 input
gates); or
a.11.b. A toggle frequency exceeding 1.2 GHz;
a.12. Fast Fourier Transform (FFT) processors having a rated
execution time for an N-point complex FFT of less than (N
log2 N)/20,480 ms, where N is the number of points;
Technical Note: When N is equal to 1,024 points, the formula in
3A001.a.12 gives an execution time of 500 [micro]s.
a.13. Direct Digital Synthesizer (DDS) integrated circuits
having any of the following:
a.13.a. A Digital-to-Analog Converter (DAC) clock frequency of
3.5 GHz or more and a DAC resolution of 10 bit or more, but less
than 12 bit; or
a.13.b. A DAC clock frequency of 1.25 GHz or more and a DAC
resolution of 12 bit or more;
Technical Note: The DAC clock frequency may be specified as the
master clock frequency or the input clock frequency.
a.14. Integrated circuits that perform or are programmable to
perform all of the following:
a.14.a. Analog-to-digital conversions meeting any of the
following:
a.14.a.1. A resolution of 8 bit or more, but less than 10 bit,
with a ``sample rate'' greater than 1.3 Giga Samples Per Second
(GSPS);
a.14.a.2. A resolution of 10 bit or more, but less than 12 bit,
with a ``sample rate'' greater than 1.0 GSPS;
a.14.a.3. A resolution of 12 bit or more, but less than 14 bit,
with a ``sample rate'' greater than 1.0 GSPS;
a.14.a.4. A resolution of 14 bit or more, but less than 16 bit,
with a ``sample rate'' greater than 400 Mega Samples Per Second
(MSPS); or
a.14.a.5. A resolution of 16 bit or more with a ``sample rate''
greater than 180 MSPS; and
a.14.b. Any of the following:
a.14.b.1. Storage of digitized data; or
a.14.b.2. Processing of digitized data;
N.B. 1: For analog-to-digital converter integrated circuits see
3A001.a.5.a.
N.B. 2: For field programmable logic devices see 3A001.a.7.
Technical Notes:
1. A resolution of n bit corresponds to a quantization of 2\n\
levels.
2. The resolution of the ADC is the number of bits of the
digital output of the ADC that represents the measured analog input.
Effective Number of Bits (ENOB) is not used to determine the
resolution of the ADC.
3. For integrated circuits with non-interleaving ``multiple
channel ADCs'', the ``sample rate'' is not aggregated and the
``sample rate'' is the maximum rate of any single channel.
4. For integrated circuits with ``interleaved ADCs'' or with
``multiple channel ADCs'' that are specified to have an interleaved
mode of operation, the ``sample rates'' are aggregated and the
``sample rate'' is the maximum combined total rate of all of the
interleaved channels.
b. Microwave or millimeter wave items, as follows:
Technical Note:
1. For purposes of 3A001.b, the parameter peak saturated power
output may also be referred to on product data sheets as output
power, saturated power output, maximum power output, peak power
output, or peak envelope power output.
2. For purposes of 3A001.b.1, `vacuum electronic devices' are
electronic devices based on the interaction of an electron beam with
an electromagnetic wave propagating in a vacuum circuit or
interacting with radio-frequency vacuum cavity resonators. `Vacuum
electronic devices' include klystrons, traveling-wave tubes, and
their derivatives.
b.1. `Vacuum electronic devices' and cathodes, as follows:
Note 1: 3A001.b.1 does not control `vacuum electronic devices'
designed or rated for operation in any frequency band and having all
of the following:
[[Page 53763]]
a. Does not exceed 31.8 GHz; and
b. Is ``allocated by the ITU'' for radio-communications
services, but not for radio-determination.
Note 2: 3A001.b.1 does not control non-``space-qualified''
`vacuum electronic devices' having all the following:
a. An average output power equal to or less than 50 W; and
b. Designed or rated for operation in any frequency band and
having all of the following:
1. Exceeds 31.8 GHz but does not exceed 43.5 GHz; and
2. Is ``allocated by the ITU'' for radio-communications
services, but not for radio-determination.
b.1.a. Traveling-wave `vacuum electronic devices,' pulsed or
continuous wave, as follows:
b.1.a.1. Devices operating at frequencies exceeding 31.8 GHz;
b.1.a.2. Devices having a cathode heater with a turn on time to
rated RF power of less than 3 seconds;
b.1.a.3. Coupled cavity devices, or derivatives thereof, with a
``fractional bandwidth'' of more than 7% or a peak power exceeding
2.5 kW;
b.1.a.4. Devices based on helix, folded waveguide, or serpentine
waveguide circuits, or derivatives thereof, having any of the
following:
b.1.a.4.a. An ``instantaneous bandwidth'' of more than one
octave, and average power (expressed in kW) times frequency
(expressed in GHz) of more than 0.5;
b.1.a.4.b. An ``instantaneous bandwidth'' of one octave or less,
and average power (expressed in kW) times frequency (expressed in
GHz) of more than 1;
b.1.a.4.c. Being ``space-qualified''; or
b.1.a.4.d. Having a gridded electron gun;
b.1.a.5. Devices with a ``fractional bandwidth'' greater than or
equal to 10%, with any of the following:
b.1.a.5.a. An annular electron beam;
b.1.a.5.b. A non-axisymmetric electron beam; or
b.1.a.5.c. Multiple electron beams;
b.1.b. Crossed-field amplifier `vacuum electronic devices' with
a gain of more than 17 dB;
b.1.c. Thermionic cathodes, designed for `vacuum electronic
devices,' producing an emission current density at rated operating
conditions exceeding 5 A/cm\2\ or a pulsed (non-continuous) current
density at rated operating conditions exceeding 10 A/cm\2\;
b.1.d. `Vacuum electronic devices' with the capability to
operate in a `dual mode.'
Technical Note: `Dual mode' means the `vacuum electronic
device' beam current can be intentionally changed between
continuous-wave and pulsed mode operation by use of a grid and
produces a peak pulse output power greater than the continuous-wave
output power.
b.2. ``Monolithic Microwave Integrated Circuit'' (``MMIC'')
amplifiers that are any of the following:
N.B.: For ``MMIC'' amplifiers that have an integrated phase
shifter see 3A001.b.12.
b.2.a. Rated for operation at frequencies exceeding 2.7 GHz up
to and including 6.8 GHz with a ``fractional bandwidth'' greater
than 15%, and having any of the following:
b.2.a.1. A peak saturated power output greater than 75 W (48.75
dBm) at any frequency exceeding 2.7 GHz up to and including 2.9 GHz;
b.2.a.2. A peak saturated power output greater than 55 W (47.4
dBm) at any frequency exceeding 2.9 GHz up to and including 3.2 GHz;
b.2.a.3. A peak saturated power output greater than 40 W (46
dBm) at any frequency exceeding 3.2 GHz up to and including 3.7 GHz;
or
b.2.a.4. A peak saturated power output greater than 20 W (43
dBm) at any frequency exceeding 3.7 GHz up to and including 6.8 GHz;
b.2.b. Rated for operation at frequencies exceeding 6.8 GHz up
to and including 16 GHz with a ``fractional bandwidth'' greater than
10%, and having any of the following:
b.2.b.1. A peak saturated power output greater than 10 W (40
dBm) at any frequency exceeding 6.8 GHz up to and including 8.5 GHz;
or
b.2.b.2. A peak saturated power output greater than 5 W (37 dBm)
at any frequency exceeding 8.5 GHz up to and including 16 GHz;
b.2.c. Rated for operation with a peak saturated power output
greater than 3 W (34.77 dBm) at any frequency exceeding 16 GHz up to
and including 31.8 GHz, and with a ``fractional bandwidth'' of
greater than 10%;
b.2.d. Rated for operation with a peak saturated power output
greater than 0.1n W (-70 dBm) at any frequency exceeding 31.8 GHz up
to and including 37 GHz;
b.2.e. Rated for operation with a peak saturated power output
greater than 1 W (30 dBm) at any frequency exceeding 37 GHz up to
and including 43.5 GHz, and with a ``fractional bandwidth'' of
greater than 10%;
b.2.f. Rated for operation with a peak saturated power output
greater than 31.62 mW (15 dBm) at any frequency exceeding 43.5 GHz
up to and including 75 GHz, and with a ``fractional bandwidth'' of
greater than 10%;
b.2.g. Rated for operation with a peak saturated power output
greater than 10 mW (10 dBm) at any frequency exceeding 75 GHz up to
and including 90 GHz, and with a ``fractional bandwidth'' of greater
than 5%; or
b.2.h. Rated for operation with a peak saturated power output
greater than 0.1 nW (-70 dBm) at any frequency exceeding 90 GHz;
Note 1: [Reserved]
Note 2: The control status of the ``MMIC'' whose rated
operating frequency includes frequencies listed in more than one
frequency range, as defined by 3A001.b.2.a through 3A001.b.2.h, is
determined by the lowest peak saturated power output control
threshold.
Note 3: Notes 1 and 2 following the Category 3 heading for
product group A. Systems, Equipment, and Components mean that
3A001.b.2 does not control ``MMICs'' if they are ``specially
designed'' for other applications, e.g., telecommunications, radar,
automobiles.
b.3. Discrete microwave transistors that are any of the
following:
b.3.a. Rated for operation at frequencies exceeding 2.7 GHz up
to and including 6.8 GHz and having any of the following:
b.3.a.1. A peak saturated power output greater than 400 W (56
dBm) at any frequency exceeding 2.7 GHz up to and including 2.9 GHz;
b.3.a.2. A peak saturated power output greater than 205 W (53.12
dBm) at any frequency exceeding 2.9 GHz up to and including 3.2 GHz;
b.3.a.3. A peak saturated power output greater than 115 W (50.61
dBm) at any frequency exceeding 3.2 GHz up to and including 3.7 GHz;
or
b.3.a.4. A peak saturated power output greater than 60 W (47.78
dBm) at any frequency exceeding 3.7 GHz up to and including 6.8 GHz;
b.3.b. Rated for operation at frequencies exceeding 6.8 GHz up
to and including 31.8 GHz and having any of the following:
b.3.b.1. A peak saturated power output greater than 50 W (47
dBm) at any frequency exceeding 6.8 GHz up to and including 8.5 GHz;
b.3.b.2. A peak saturated power output greater than 15 W (41.76
dBm) at any frequency exceeding 8.5 GHz up to and including 12 GHz;
b.3.b.3. A peak saturated power output greater than 40 W (46
dBm) at any frequency exceeding 12 GHz up to and including 16 GHz;
or
b.3.b.4. A peak saturated power output greater than 7 W (38.45
dBm) at any frequency exceeding 16 GHz up to and including 31.8 GHz;
b.3.c. Rated for operation with a peak saturated power output
greater than 0.5 W (27 dBm) at any frequency exceeding 31.8 GHz up
to and including 37 GHz;
b.3.d. Rated for operation with a peak saturated power output
greater than 1 W (30 dBm) at any frequency exceeding 37 GHz up to
and including 43.5 GHz; or
b.3.e. Rated for operation with a peak saturated power output
greater than 0.1 nW (-70 dBm) at any frequency exceeding 43.5 GHz;
Note 1: The control status of a transistor, whose rated
operating frequency includes frequencies listed in more than one
frequency range, as defined by 3A001.b.3.a through 3A001.b.3.e, is
determined by the lowest peak saturated power output control
threshold.
Note 2: 3A001.b.3 includes bare dice, dice mounted on carriers,
or dice mounted in packages. Some discrete transistors may also be
referred to as power amplifiers, but the status of these discrete
transistors is determined by 3A001.b.3.
b.4. Microwave solid state amplifiers and microwave assemblies/
modules containing microwave solid state amplifiers, that are any of
the following:
b.4.a. Rated for operation at frequencies exceeding 2.7 GHz up
to and including 6.8 GHz with a ``fractional bandwidth'' greater
than 15%, and having any of the following:
b.4.a.1. A peak saturated power output greater than 500 W (57
dBm) at any
[[Page 53764]]
frequency exceeding 2.7 GHz up to and including 2.9 GHz;
b.4.a.2. A peak saturated power output greater than 270 W (54.3
dBm) at any frequency exceeding 2.9 GHz up to and including 3.2 GHz;
b.4.a.3. A peak saturated power output greater than 200 W (53
dBm) at any frequency exceeding 3.2 GHz up to and including 3.7 GHz;
or
b.4.a.4. A peak saturated power output greater than 90 W (49.54
dBm) at any frequency exceeding 3.7 GHz up to and including 6.8 GHz;
b.4.b. Rated for operation at frequencies exceeding 6.8 GHz up
to and including 31.8 GHz with a ``fractional bandwidth'' greater
than 10%, and having any of the following:
b.4.b.1. A peak saturated power output greater than 70 W (48.54
dBm) at any frequency exceeding 6.8 GHz up to and including 8.5 GHz;
b.4.b.2. A peak saturated power output greater than 50 W (47
dBm) at any frequency exceeding 8.5 GHz up to and including 12 GHz;
b.4.b.3. A peak saturated power output greater than 30 W (44.77
dBm) at any frequency exceeding 12 GHz up to and including 16 GHz;
or
b.4.b.4. A peak saturated power output greater than 20 W (43
dBm) at any frequency exceeding 16 GHz up to and including 31.8 GHz;
b.4.c. Rated for operation with a peak saturated power output
greater than 0.5 W (27 dBm) at any frequency exceeding 31.8 GHz up
to and including 37 GHz;
b.4.d. Rated for operation with a peak saturated power output
greater than 2 W (33 dBm) at any frequency exceeding 37 GHz up to
and including 43.5 GHz, and with a ``fractional bandwidth'' of
greater than 10%;
b.4.e. Rated for operation at frequencies exceeding 43.5 GHz and
having any of the following:
b.4.e.1. A peak saturated power output greater than 0.2 W (23
dBm) at any frequency exceeding 43.5 GHz up to and including 75 GHz,
and with a ``fractional bandwidth'' of greater than 10%;
b.4.e.2. A peak saturated power output greater than 20 mW (13
dBm) at any frequency exceeding 75 GHz up to and including 90 GHz,
and with a ``fractional bandwidth'' of greater than 5%; or
b.4.e.3. A peak saturated power output greater than 0.1 nW (-70
dBm) at any frequency exceeding 90 GHz; or
b.4.f. [Reserved]
N.B.:
1. For ``MMIC'' amplifiers see 3A001.b.2.
2. For `transmit/receive modules' and `transmit modules' see
3A001.b.12.
3. For converters and harmonic mixers, designed to extend the
operating or frequency range of signal analyzers, signal generators,
network analyzers or microwave test receivers, see 3A001.b.7.
Note 1: [Reserved]
Note 2: The control status of an item whose rated operating
frequency includes frequencies listed in more than one frequency
range, as defined by 3A001.b.4.a through 3A001.b.4.e, is determined
by the lowest peak saturated power output control threshold.
b.5. Electronically or magnetically tunable band-pass or band-
stop filters, having more than 5 tunable resonators capable of
tuning across a 1.5:1 frequency band (fmax/
fmin) in less than 10 [mu]s and having any of the
following:
b.5.a. A band-pass bandwidth of more than 0.5% of center
frequency; or
b.5.b. A band-stop bandwidth of less than 0.5% of center
frequency;
b.6. [Reserved]
b.7. Converters and harmonic mixers, that are any of the
following:
b.7.a. Designed to extend the frequency range of ``signal
analyzers'' beyond 90 GHz;
b.7.b. Designed to extend the operating range of signal
generators as follows:
b.7.b.1. Beyond 90 GHz;
b.7.b.2. To an output power greater than 100 mW (20 dBm)
anywhere within the frequency range exceeding 43.5 GHz but not
exceeding 90 GHz;
b.7.c. Designed to extend the operating range of network
analyzers as follows:
b.7.c.1. Beyond 110 GHz;
b.7.c.2. To an output power greater than 31.62 mW (15 dBm)
anywhere within the frequency range exceeding 43.5 GHz but not
exceeding 90 GHz;
b.7.c.3. To an output power greater than 1 mW (0 dBm) anywhere
within the frequency range exceeding 90 GHz but not exceeding 110
GHz; or
b.7.d. Designed to extend the frequency range of microwave test
receivers beyond 110 GHz;
b.8. Microwave power amplifiers containing `vacuum electronic
devices' controlled by 3A001.b.1 and having all of the following:
b.8.a. Operating frequencies above 3 GHz;
b.8.b. An average output power to mass ratio exceeding 80 W/kg;
and
b.8.c. A volume of less than 400 cm\3\;
Note: 3A001.b.8 does not control equipment designed or rated for
operation in any frequency band which is ``allocated by the ITU''
for radio-communications services, but not for radio-determination.
b.9. Microwave Power Modules (MPM) consisting of, at least, a
traveling-wave `vacuum electronic device,' a ``Monolithic Microwave
Integrated Circuit'' (``MMIC'') and an integrated electronic power
conditioner and having all of the following:
b.9.a. A `turn-on time' from off to fully operational in less
than 10 seconds;
b.9.b. A volume less than the maximum rated power in Watts
multiplied by 10 cm\3\/W; and
b.9.c. An ``instantaneous bandwidth'' greater than 1 octave
(fmax. > 2fmin,) and having any of the
following:
b.9.c.1. For frequencies equal to or less than 18 GHz, an RF
output power greater than 100 W; or
b.9.c.2. A frequency greater than 18 GHz;
Technical Notes: 1. To calculate the volume in 3A001.b.9.b., the
following example is provided: For a maximum rated power of 20 W,
the volume would be: 20 W x 10 cm\3\/W = 200 cm\3\.
2. The `turn-on time' in 3A001.b.9.a. refers to the time from
fully-off to fully operational, i.e., it includes the warm-up time
of the MPM.
b.10. Oscillators or oscillator assemblies, specified to operate
with a single sideband (SSB) phase noise, in dBc/Hz, less (better)
than -(126 + 20log10F-20log10f) anywhere within the range of 10 Hz
<= F <= 10 kHz;
Technical Note: In 3A001.b.10, F is the offset from the
operating frequency in Hz and f is the operating frequency in MHz.
b.11. `Frequency synthesizer' ``electronic assemblies'' having a
``frequency switching time'' as specified by any of the following:
b.11.a. Less than 143 ps;
b.11.b. Less than 100 [mu]s for any frequency change exceeding
2.2 GHz within the synthesized frequency range exceeding 4.8 GHz but
not exceeding 31.8 GHz;
b.11.c. [Reserved]
b.11.d. Less than 500 [mu]s for any frequency change exceeding
550 MHz within the synthesized frequency range exceeding 31.8 GHz
but not exceeding 37 GHz; or
b.11.e. Less than 100 [mu]s for any frequency change exceeding
2.2 GHz within the synthesized frequency range exceeding 37 GHz but
not exceeding 90 GHz; or
b.11.f. [Reserved]
b.11.g. Less than 1 ms within the synthesized frequency range
exceeding 90 GHz;
Technical Note: A `frequency synthesizer' is any kind of
frequency source, regardless of the actual technique used, providing
a multiplicity of simultaneous or alternative output frequencies,
from one or more outputs, controlled by, derived from or disciplined
by a lesser number of standard (or master) frequencies.
N.B.: For general purpose ``signal analyzers'', signal
generators, network analyzers and microwave test receivers, see
3A002.c, 3A002.d, 3A002.e and 3A002.f, respectively.
b.12. `Transmit/receive modules,' `transmit/receive MMICs,'
`transmit modules,' and `transmit MMICs,' rated for operation at
frequencies above 2.7 GHz and having all of the following:
b.12.a. A peak saturated power output (in watts),
Psat, greater than 505.62 divided by the maximum
operating frequency (in GHz) squared [Psat > 505.62 W *
GHz\2\/fGHz\2\] for any channel;
b.12.b. A ``fractional bandwidth'' of 5% or greater for any
channel;
b.12.c. Any planar side with length d (in cm) equal to or less
than 15 divided by the lowest operating frequency in GHz [d <= 15cm
* GHz * N/fGHz] where N is the number of transmit or
transmit/receive channels; and
b.12.d. An electronically variable phase shifter per channel.
Technical Notes: 1. A `transmit/receive module' is a
multifunction ``electronic assembly'' that provides bi-directional
amplitude and phase control for transmission and reception of
signals.
2. A `transmit module' is an ``electronic assembly'' that
provides amplitude and phase control for transmission of signals.
3. A `transmit/receive MMIC' is a multifunction ``MMIC'' that
provides bi-directional amplitude and phase control for transmission
and reception of signals.
[[Page 53765]]
4. A `transmit MMIC' is a ``MMIC'' that provides amplitude and
phase control for transmission of signals.
5. 2.7 GHz should be used as the lowest operating frequency
(fGHz) in the formula in 3A001.b.12.c for transmit/
receive or transmit modules that have a rated operation range
extending downward to 2.7 GHz and below [d <= 15cm * GHz * N/2.7
GHz].
6. 3A001.b.12 applies to `transmit/receive modules' or `transmit
modules' with or without a heat sink. The value of d in 3A001.b.12.c
does not include any portion of the `transmit/receive module' or
`transmit module' that functions as a heat sink.
7. `Transmit/receive modules' or `transmit modules,' `transmit/
receive MMICs' or `transmit MMICs' may or may not have N integrated
radiating antenna elements where N is the number of transmit or
transmit/receive channels.
c. Acoustic wave devices as follows and ``specially designed''
``components'' therefor:
c.1. Surface acoustic wave and surface skimming (shallow bulk)
acoustic wave devices, having any of the following:
c.1.a. A carrier frequency exceeding 6 GHz;
c.1.b. A carrier frequency exceeding 1 GHz, but not exceeding 6
GHz and having any of the following:
c.1.b.1. A `frequency side-lobe rejection' exceeding 65 dB;
c.1.b.2. A product of the maximum delay time and the bandwidth
(time in [mu]s and bandwidth in MHz) of more than 100;
c.1.b.3. A bandwidth greater than 250 MHz; or
c.1.b.4. A dispersive delay of more than 10 [mu]s; or
c.1.c. A carrier frequency of 1 GHz or less and having any of
the following:
c.1.c.1. A product of the maximum delay time and the bandwidth
(time in [mu]s and bandwidth in MHz) of more than 100;
c.1.c.2. A dispersive delay of more than 10 [mu]s; or
c.1.c.3. A `frequency side-lobe rejection' exceeding 65 dB and a
bandwidth greater than 100 MHz;
Technical Note: `Frequency side-lobe rejection' is the maximum
rejection value specified in data sheet.
c.2. Bulk (volume) acoustic wave devices that permit the direct
processing of signals at frequencies exceeding 6 GHz;
c.3. Acoustic-optic ``signal processing'' devices employing
interaction between acoustic waves (bulk wave or surface wave) and
light waves that permit the direct processing of signals or images,
including spectral analysis, correlation or convolution;
Note: 3A001.c does not control acoustic wave devices that are
limited to a single band pass, low pass, high pass or notch
filtering, or resonating function.
d. Electronic devices and circuits containing ``components'',
manufactured from ``superconductive'' materials, ``specially
designed'' for operation at temperatures below the ``critical
temperature'' of at least one of the ``superconductive''
constituents and having any of the following:
d.1. Current switching for digital circuits using
``superconductive'' gates with a product of delay time per gate (in
seconds) and power dissipation per gate (in watts) of less than
10-14 J; or
d.2. Frequency selection at all frequencies using resonant
circuits with Q-values exceeding 10,000;
e. High energy devices as follows:
e.1. `Cells' as follows:
e.1.a. `Primary cells' having any of the following at 20 [deg]C:
e.1.a.1. `Energy density' exceeding 550 Wh/kg and a `continuous
power density' exceeding 50 W/kg; or
e.1.a.2. `Energy density' exceeding 50 Wh/kg and a `continuous
power density' exceeding 350 W/kg;
e.1.b. `Secondary cells' having an `energy density' exceeding
350 Wh/kg at 293 K (20 [deg]C);
Technical Notes: 1. For the purpose of 3A001.e.1, `energy
density' (Wh/kg) is calculated from the nominal voltage multiplied
by the nominal capacity in ampere-hours (Ah) divided by the mass in
kilograms. If the nominal capacity is not stated, energy density is
calculated from the nominal voltage squared then multiplied by the
discharge duration in hours divided by the discharge load in Ohms
and the mass in kilograms.
2. For the purpose of 3A001.e.1, a `cell' is defined as an
electrochemical device, which has positive and negative electrodes,
an electrolyte, and is a source of electrical energy. It is the
basic building block of a battery.
3. For the purpose of 3A001.e.1.a, a `primary cell' is a `cell'
that is not designed to be charged by any other source.
4. For the purpose of 3A001.e.1.b, a `secondary cell' is a
`cell' that is designed to be charged by an external electrical
source.
5. For the purpose of 3A001.e.1.a, `continuous power density'
(W/kg) is calculated from the nominal voltage multiplied by the
specified maximum continuous discharge current in ampere (A) divided
by the mass in kilograms. `Continuous power density' is also
referred to as specific power.
Note: 3A001.e does not control batteries, including single-cell
batteries.
e.2. High energy storage capacitors as follows:
e.2.a. Capacitors with a repetition rate of less than 10 Hz
(single shot capacitors) and having all of the following:
e.2.a.1. A voltage rating equal to or more than 5 kV;
e.2.a.2. An energy density equal to or more than 250 J/kg; and
e.2.a.3. A total energy equal to or more than 25 kJ;
e.2.b. Capacitors with a repetition rate of 10 Hz or more
(repetition rated capacitors) and having all of the following:
e.2.b.1. A voltage rating equal to or more than 5 kV;
e.2.b.2. An energy density equal to or more than 50 J/kg;
e.2.b.3. A total energy equal to or more than 100 J; and
e.2.b.4. A charge/discharge cycle life equal to or more than
10,000;
e.3. ``Superconductive'' electromagnets and solenoids,
``specially designed'' to be fully charged or discharged in less
than one second and having all of the following:
Note: 3A001.e.3 does not control ``superconductive''
electromagnets or solenoids ``specially designed'' for Magnetic
Resonance Imaging (MRI) medical equipment.
e.3.a. Energy delivered during the discharge exceeding 10 kJ in
the first second;
e.3.b. Inner diameter of the current carrying windings of more
than 250 mm; and
e.3.c. Rated for a magnetic induction of more than 8 T or
``overall current density'' in the winding of more than 300 A/mm\2\;
e.4. Solar cells, cell-interconnect-coverglass (CIC) assemblies,
solar panels, and solar arrays, which are ``space-qualified'',
having a minimum average efficiency exceeding 20% at an operating
temperature of 301 K (28 [deg]C) under simulated `AM0' illumination
with an irradiance of 1,367 Watts per square meter (W/m\2\);
Technical Note: `AM0,' or `Air Mass Zero,' refers to the
spectral irradiance of sun light in the earth's outer atmosphere
when the distance between the earth and sun is one astronomical unit
(AU).
f. Rotary input type absolute position encoders having an
``accuracy'' equal to or less (better) than 1.0 second
of arc and ``specially designed'' encoder rings, discs or scales
therefor;
g. Solid-state pulsed power switching thyristor devices and
`thyristor modules,' using either electrically, optically, or
electron radiation controlled switch methods and having any of the
following:
g.1. A maximum turn-on current rate of rise (di/dt) greater than
30,000 A/[micro]s and off-state voltage greater than 1,100 V; or
g.2. A maximum turn-on current rate of rise (di/dt) greater than
2,000 A/[micro]s and having all of the following:
g.2.a. An off-state peak voltage equal to or greater than 3,000
V; and
g.2.b. A peak (surge) current equal to or greater than 3,000 A;
Note: 3A001.g. includes:
--Silicon Controlled Rectifiers (SCRs)
--Electrical Triggering Thyristors (ETTs)
--Light Triggering Thyristors (LTTs)
--Integrated Gate Commutated Thyristors (IGCTs)
--Gate Turn-off Thyristors (GTOs)
--MOS Controlled Thyristors (MCTs)
--Solidtrons
Note 2: 3A001.g. does not control thyristor devices and
`thyristor modules' incorporated into equipment designed for civil
railway or ``civil aircraft'' applications.
Technical Note: For the purposes of 3A001.g, a `thyristor
module' contains one or more thyristor devices.
h. Solid-state power semiconductor switches, diodes, or
`modules,' having all of the following:
h.1. Rated for a maximum operating junction temperature greater
than 488 K (215 [deg]C);
h.2. Repetitive peak off-state voltage (blocking voltage)
exceeding 300 V; and
h.3. Continuous current greater than 1 A.
Technical Note: For the purposes of 3A001.h, `modules' contain
one or more
[[Page 53766]]
solid-state power semiconductor switches or diodes.
Note 1: Repetitive peak off-state voltage in 3A001.h includes
drain to source voltage, collector to emitter voltage, repetitive
peak reverse voltage and peak repetitive off-state blocking voltage.
Note: 3A001.h includes:
--Junction Field Effect Transistors (JFETs)
--Vertical Junction Field Effect Transistors (VJFETs)
--Metal Oxide Semiconductor Field Effect Transistors (MOSFETs)
--Double Diffused Metal Oxide Semiconductor Field Effect Transistor
(DMOSFET)
--Insulated Gate Bipolar Transistor (IGBT)
--High Electron Mobility Transistors (HEMTs)
--Bipolar Junction Transistors (BJTs)
--Thyristors and Silicon Controlled Rectifiers (SCRs)
--Gate Turn-Off Thyristors (GTOs)
--Emitter Turn-Off Thyristors (ETOs)
--PiN Diodes
--Schottky Diodes
Note 3: 3A001.h does not apply to switches, diodes, or
`modules,' incorporated into equipment designed for civil
automobile, civil railway, or ``civil aircraft'' applications.
i. Intensity, amplitude, or phase electro-optic modulators,
designed for analog signals and having any of the following:
i.1. A maximum operating frequency of more than 10 GHz but less
than 20 GHz, an optical insertion loss equal to or less than 3 dB
and having any of the following:
i.1.a. A `half-wave voltage' (`V[pi]') less than 2.7 V when
measured at a frequency of 1 GHz or below; or
i.1.b. A `V[pi]' of less than 4 V when measured at a frequency
of more than 1 GHz; or
i.2. A maximum operating frequency equal to or greater than 20
GHz, an optical insertion loss equal to or less than 3 dB and having
any of the following:
i.2.a. A `V[pi]' less than 3.3 V when measured at a frequency of
1 GHz or below; or
i.2.b. A `V[pi]' less than 5 V when measured at a frequency of
more than 1 GHz.
Note: 3A001.i includes electro-optic modulators having optical
input and output connectors (e.g., fiber-optic pigtails).
Technical Note: For the purposes of 3A001.i, a `half-wave
voltage' (`V[pi]') is the applied voltage necessary to make a phase
change of 180 degrees in the wavelength of light propagating through
the optical modulator.
0
29. In supplement no. 1 to part 774, Category 3, ECCN 3A002 is revised
to read as follows:
3A002 General purpose ``electronic assemblies'', modules and
equipment, as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, MT, AT
Country chart (see Supp. No.
Control(s) 1 to part 738)
NS applies to entire entry................ NS Column 2
MT applies to 3A002.h when the parameters MT Column 1
in 3A101.a.2.b are met or exceeded.
AT applies to entire entry................ AT Column 1
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for exports
under License Exceptions, and Validated End-User authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $3,000: 3A002.a, .e, .f, and .g
$5,000: 3A002.c to .d, and .h (unless controlled for MT);
GBS: Yes, for 3A002.h (unless controlled for MT)
CIV: Yes, for 3A002.h (unless controlled for MT)
Special Conditions for STA
STA: License Exception STA may not be used to ship any item in
3A002.g.1 to any of the destinations listed in Country Group A:6
(See Supplement No.1 to part 740 of the EAR).
List of Items Controlled
Related Controls: See Category XV(e)(9) of the USML for certain
``space-qualified'' atomic frequency standards ``subject to the
ITAR'' (see 22 CFR parts 120 through 130). See also 3A101, 3A992 and
9A515.x.
Related Definitions: Constant percentage bandwidth filters are also
known as octave or fractional octave filters.
Items:
a. Recording equipment and oscilloscopes, as follows:
a.1. to a.5. [Reserved]
N.B.: For waveform digitizers and transient recorders, see
3A002.h.
a.6. Digital data recorders having all of the following:
a.6.a. A sustained `continuous throughput' of more than 6.4
Gbit/s to disk or solid-state drive memory; and
a.6.b. A processor that performs analysis of radio frequency
signal data while it is being recorded;
Technical Notes:
1. For recorders with a parallel bus architecture, the
`continuous throughput' rate is the highest word rate multiplied by
the number of bits in a word.
2. `Continuous throughput' is the fastest data rate the
instrument can record to disk or solid-state drive memory without
the loss of any information while sustaining the input digital data
rate or digitizer conversion rate.
a.7. Real-time oscilloscopes having a vertical root-mean-square
(rms) noise voltage of less than 2% of full-scale at the vertical
scale setting that provides the lowest noise value for any input 3
dB bandwidth of 60 GHz or greater per channel;
Note: 3A002.a.7 does not apply to equivalent-time sampling
oscilloscopes.
b. [Reserved]
c. ``Signal analyzers'' as follows:
c.1. ``Signal analyzers'' having a 3 dB resolution bandwidth
(RBW) exceeding 40 MHz anywhere within the frequency range exceeding
31.8 GHz but not exceeding 37 GHz;
c.2. ``Signal analyzers'' having Displayed Average Noise Level
(DANL) less (better) than -150 dBm/Hz anywhere within the frequency
range exceeding 43.5 GHz but not exceeding 90 GHz;
c.3. ``Signal analyzers'' having a frequency exceeding 90 GHz;
c.4. ``Signal analyzers'' having all of the following:
c.4.a. `Real-time bandwidth' exceeding 170 MHz; and
c.4.b. Having any of the following:
c.4.b.1. 100% probability of discovery, with less than a 3 dB
reduction from full amplitude due to gaps or windowing effects, of
signals having a duration of 15 [micro]s or less; or
c.4.b.2. A `frequency mask trigger' function, with 100%
probability of trigger (capture) for signals having a duration of 15
[micro]s or less;
Technical Notes:
1. `Real-time bandwidth' is the widest frequency range for which
the analyzer can continuously transform time-domain data entirely
into frequency-domain results, using a Fourier or other discrete
time transform that processes every incoming time point, without a
reduction of measured amplitude of more than 3 dB below the actual
signal amplitude caused by gaps or windowing effects, while
outputting or displaying the transformed data.
2. Probability of discovery in 3A002.c.4.b.1 is also referred to
as probability of intercept or probability of capture.
3. For the purposes of 3A002.c.4.b.1, the duration for 100%
probability of discovery is equivalent to the minimum signal
duration necessary for the specified level measurement uncertainty.
4. A `frequency mask trigger' is a mechanism where the trigger
function is able to select a frequency range to be triggered on as a
subset of the acquisition bandwidth while ignoring other signals
that may also be present within the same acquisition bandwidth. A
`frequency mask trigger' may contain more than one independent set
of limits.
Note: 3A002.c.4 does not apply to those ``signal analyzers''
using only constant percentage bandwidth filters (also known as
octave or fractional octave filters).
c.5. [Reserved]
d. Signal generators having any of the following:
d.1. Specified to generate pulse-modulated signals having all of
the following, anywhere within the frequency range exceeding 31.8
GHz but not exceeding 37 GHz:
d.1.a. `Pulse duration' of less than 25 ns; and
d.1.b. On/off ratio equal to or exceeding 65 dB;
d.2. An output power exceeding 100 mW (20 dBm) anywhere within
the frequency
[[Page 53767]]
range exceeding 43.5 GHz but not exceeding 90 GHz;
d.3. A ``frequency switching time'' as specified by any of the
following:
d.3.a. [Reserved]
d.3.b. Less than 100 [micro]s for any frequency change exceeding
2.2 GHz within the frequency range exceeding 4.8 GHz but not
exceeding 31.8 GHz;
d.3.c. [Reserved]
d.3.d. Less than 500 [micro]s for any frequency change exceeding
550 MHz within the frequency range exceeding 31.8 GHz but not
exceeding 37 GHz; or
d.3.e. Less than 100 [micro]s for any frequency change exceeding
2.2 GHz within the frequency range exceeding 37 GHz but not
exceeding 90 GHz;
d.3.f. [Reserved]
d.4. Single sideband (SSB) phase noise, in dBc/Hz, specified as
being any of the following:
d.4.a. Less (better) than -(126 + 20log10 F -
20log10f) for anywhere within the range of 10 Hz <= F <=
10 kHz anywhere within the frequency range exceeding 3.2 GHz but not
exceeding 90 GHz; or
d.4.b. Less (better) than -(206 - 20log10f) for
anywhere within the range of 10 kHz < F <= 100 kHz anywhere within
the frequency range exceeding 3.2 GHz but not exceeding 90 GHz; or
Technical Note: In 3A002.d.4, F is the offset from the operating
frequency in Hz and f is the operating frequency in MHz.
d.5. A maximum frequency exceeding 90 GHz;
Note 1: For the purpose of 3A002.d, signal generators include
arbitrary waveform and function generators.
Note 2: 3A002.d does not control equipment in which the output
frequency is either produced by the addition or subtraction of two
or more crystal oscillator frequencies, or by an addition or
subtraction followed by a multiplication of the result.
Technical Notes:
1. The maximum frequency of an arbitrary waveform or function
generator is calculated by dividing the sample rate, in samples/
second, by a factor of 2.5.
2. For the purposes of 3A002.d.1.a, `pulse duration' is defined
as the time interval from the point on the leading edge that is 50%
of the pulse amplitude to the point on the trailing edge that is 50%
of the pulse amplitude.
e. Network analyzers having any of the following:
e.1. An output power exceeding 31.62 mW (15 dBm) anywhere within
the operating frequency range exceeding 43.5 GHz but not exceeding
90 GHz;
e.2. An output power exceeding 1 mW (0 dBm) anywhere within the
operating frequency range exceeding 90 GHz but not exceeding 110
GHz;
e.3. `Nonlinear vector measurement functionality' at frequencies
exceeding 50 GHz but not exceeding 110 GHz; or
Technical Note: `Nonlinear vector measurement functionality' is
an instrument's ability to analyze the test results of devices
driven into the large-signal domain or the non-linear distortion
range.
e.4. A maximum operating frequency exceeding 110 GHz;
f. Microwave test receivers having all of the following:
f.1. Maximum operating frequency exceeding 110 GHz; and
f.2. Being capable of measuring amplitude and phase
simultaneously;
g. Atomic frequency standards being any of the following:
g.1. ``Space-qualified'';
g.2. Non-rubidium and having a long-term stability less (better)
than 1 x 10-11/month; or
g.3. Non-``space-qualified'' and having all of the following:
g.3.a. Being a rubidium standard;
g.3.b. Long-term stability less (better) than 1 x
10-11/month; and
g.3.c. Total power consumption of less than 1 Watt.
h. ``Electronic assemblies'', modules or equipment, specified to
perform all of the following:
h.1. Analog-to-digital conversions meeting any of the following:
h.1.a. A resolution of 8 bit or more, but less than 10 bit, with
an input sample rate greater than 1.3 Giga Samples Per Second
(GSPS);
h.1.b. A resolution of 10 bit or more, but less than 12 bit,
with an input sample rate greater than 1.0 GSPS;
h.1.c. A resolution of 12 bit or more, but less than 14 bit,
with an input sample rate greater than 1.0 GSPS;
h.1.d. A resolution of 14 bit or more but less than 16 bit, with
an input sample rate greater than 400 Mega Samples Per Second
(MSPS); or
h.1.e. A resolution of 16 bit or more with an input sample rate
greater than 180 MSPS; and
h.2. Any of the following:
h.2.a. Output of digitized data;
h.2.b. Storage of digitized data; or
h.2.c. Processing of digitized data;
N.B.: Digital data recorders, oscilloscopes, ``signal
analyzers'', signal generators, network analyzers and microwave test
receivers, are specified by 3A002.a.6, 3A002.a.7, 3A002.c, 3A002.d,
3A002.e and 3A002.f, respectively.
Technical Notes:
1. A resolution of n bit corresponds to a quantization of 2\n\
levels.
2. The resolution of the ADC is the number of bits in of the
digital output of the ADC that represents the measured analog input
word. Effective Number of Bits (ENOB) is not used to determine the
resolution of the ADC.
3. For non-interleaved multiple-channel ``electronic
assemblies'', modules, or equipment, the ``sample rate'' is not
aggregated and the ``sample rate'' is the maximum rate of any single
channel.
4. For interleaved channels on multiple-channel ``electronic
assemblies'', modules, or equipment, the ``sample rates'' are
aggregated and the ``sample rate'' is the maximum combined total
rate of all the interleaved channels.
Note: 3A002.h includes ADC cards, waveform digitizers, data
acquisition cards, signal acquisition boards and transient
recorders.
0
30. In supplement no. 1 to part 774, Category 3, ECCN 3A991 is revised
to read as follows:
3A991 Electronic devices, and ``components'' not controlled by
3A001.
License Requirements
Reason for Control: AT
Country chart (see Supp. No.
Control(s) 1 to part 738)
AT applies to entire entry................ AT Column 1
License Requirements Note: See Sec. 744.17 of the EAR for
additional license requirements for microprocessors having a
processing speed of 5 GFLOPS or more and an arithmetic logic unit
with an access width of 32 bit or more, including those
incorporating ``information security'' functionality, and associated
``software'' and ``technology'' for the ``production'' or
``development'' of such microprocessors.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items:
a. ``Microprocessor microcircuits'', ``microcomputer
microcircuits'', and microcontroller microcircuits having any of the
following:
a.1. A performance speed of 5 GFLOPS or more and an arithmetic
logic unit with an access width of 32 bit or more;
a.2. A clock frequency rate exceeding 25 MHz; or
a.3. More than one data or instruction bus or serial
communication port that provides a direct external interconnection
between parallel ``microprocessor microcircuits'' with a transfer
rate of 2.5 Mbyte/s.
b. Storage integrated circuits, as follows:
b.1. Electrical erasable programmable read-only memories
(EEPROMs) with a storage capacity;
b.1.a. Exceeding 16 Mbits per package for flash memory types; or
b.1.b. Exceeding either of the following limits for all other
EEPROM types:
b.1.b.1. Exceeding 1 Mbit per package; or
b.1.b.2. Exceeding 256 kbit per package and a maximum access
time of less than 80 ns;
b.2. Static random access memories (SRAMs) with a storage
capacity:
b.2.a. Exceeding 1 Mbit per package; or
b.2.b. Exceeding 256 kbit per package and a maximum access time
of less than 25 ns;
c. Analog-to-digital converters having any of the following:
c.1. A resolution of 8 bit or more, but less than 12 bit, with
an output rate greater than 200 million words per second;
c.2. A resolution of 12 bit with an output rate greater than 105
million words per second;
[[Page 53768]]
c.3. A resolution of more than 12 bit but equal to or less than
14 bit with an output rate greater than 10 million words per second;
or
c.4. A resolution of more than 14 bit with an output rate
greater than 2.5 million words per second.
d. Field programmable logic devices having a maximum number of
single-ended digital input/outputs between 200 and 700;
e. Fast Fourier Transform (FFT) processors having a rated
execution time for a 1,024 point complex FFT of less than 1 ms.
f. Custom integrated circuits for which either the function is
unknown, or the control status of the equipment in which the
integrated circuits will be used is unknown to the manufacturer,
having any of the following:
f.1. More than 144 terminals; or
f.2. A typical ``basic propagation delay time'' of less than 0.4
ns.
g. Traveling-wave `vacuum electronic devices', pulsed or
continuous wave, as follows:
g.1. Coupled cavity devices, or derivatives thereof;
g.2. Helix devices based on helix, folded waveguide, or
serpentine waveguide circuits, or derivatives thereof, with any of
the following:
g.2.a. An ``instantaneous bandwidth'' of half an octave or more;
and
g.2.b. The product of the rated average output power (expressed
in kW) and the maximum operating frequency (expressed in GHz) of
more than 0.2;
g.2.c. An ``instantaneous bandwidth'' of less than half an
octave; and
g.2.d. The product of the rated average output power (expressed
in kW) and the maximum operating frequency (expressed in GHz) of
more than 0.4;
h. Flexible waveguides designed for use at frequencies exceeding
40 GHz;
i. Surface acoustic wave and surface skimming (shallow bulk)
acoustic wave devices (i.e., ``signal processing'' devices employing
elastic waves in materials), having either of the following:
i.1. A carrier frequency exceeding 1 GHz; or
i.2. A carrier frequency of 1 GHz or less; and
i.2.a. A frequency side-lobe rejection exceeding 55 Db;
i.2.b. A product of the maximum delay time and bandwidth (time
in microseconds and bandwidth in MHz) of more than 100; or
i.2.c. A dispersive delay of more than 10 microseconds.
j. Cells as follows:
j.1. Primary cells having an energy density of 550 Wh/kg or less
at 293 K (20 [deg]C);
j.2. Secondary cells having an energy density of 350 Wh/kg or
less at 293 K (20 [deg]C).
Note: 3A991.j. does not control batteries, including single cell
batteries.
Technical Notes:
1. For the purpose of 3A991.j energy density (Wh/kg) is
calculated from the nominal voltage multiplied by the nominal
capacity in ampere-hours divided by the mass in kilograms. If the
nominal capacity is not stated, energy density is calculated from
the nominal voltage squared then multiplied by the discharge
duration in hours divided by the discharge load in Ohms and the mass
in kilograms.
2. For the purpose of 3A991.j, a `cell' is defined as an
electrochemical device, which has positive and negative electrodes,
and electrolyte, and is a source of electrical energy. It is the
basic building block of a battery.
3. For the purpose of 3A991.j.1, a `primary cell' is a `cell'
that is not designed to be charged by any other source.
4. For the purpose of 3A991.j.2., a `secondary cell' is a `cell'
that is designed to be charged by an external electrical source.
k. ``Superconductive'' electromagnets or solenoids ``specially
designed'' to be fully charged or discharged in less than one
minute, having all of the following:
Note: 3A991.k does not control ``superconductive''
electromagnets or solenoids designed for Magnetic Resonance Imaging
(MRI) medical equipment.
k.1. Maximum energy delivered during the discharge divided by
the duration of the discharge of more than 500 kJ per minute;
k.2. Inner diameter of the current carrying windings of more
than 250 mm; and
k.3. Rated for a magnetic induction of more than 8T or ``overall
current density'' in the winding of more than 300 A/mm\2\.
l. Circuits or systems for electromagnetic energy storage,
containing ``components'' manufactured from ``superconductive''
materials ``specially designed'' for operation at temperatures below
the ``critical temperature'' of at least one of their
``superconductive'' constituents, having all of the following:
l.1. Resonant operating frequencies exceeding 1 MHz;
l.2. A stored energy density of 1 MJ/M\3\ or more; and
l.3. A discharge time of less than 1 ms;
m. Hydrogen/hydrogen-isotope thyratrons of ceramic-metal
construction and rate for a peak current of 500 A or more;
n. Digital integrated circuits based on any compound
semiconductor having an equivalent gate count of more than 300 (2
input gates).
o. Solar cells, cell-interconnect-coverglass (CIC) assemblies,
solar panels, and solar arrays, which are ``space qualified'' and
not controlled by 3A001.e.4.
0
31. In supplement no. 1 to part 774, Category 3, ECCN 3B001 is revised
to read as follows:
3B001 Equipment for the manufacturing of semiconductor devices or
materials, as follows (see List of Items Controlled) and ``specially
designed'' ``components'' and ``accessories'' therefor.
License Requirements
Reason for Control: NS, AT
Country chart (see Supp.
Control(s) No. 1 to part 738)
NS applies to entire entry................ NS Column 2
AT applies to entire entry................ AT Column 1
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $500
GBS: Yes, except a.3 (molecular beam epitaxial growth equipment
using gas sources), .e (automatic loading multi-chamber central
wafer handling systems only if connected to equipment controlled by
3B001. a.3, or .f), and .f (lithography equipment).
CIV: Yes for equipment controlled by 3B001.a.1 and a.2.
List of Items Controlled
Related Controls: See also 3B991
Related Definitions: N/A
Items:
a. Equipment designed for epitaxial growth as follows:
a.1. Equipment designed or modified to produce a layer of any
material other than silicon with a thickness uniform to less than
2.5% across a distance of 75 mm or more;
Note: 3B001.a.1 includes atomic layer epitaxy (ALE) equipment.
a.2. Metal Organic Chemical Vapor Deposition (MOCVD) reactors
designed for compound semiconductor epitaxial growth of material
having two or more of the following elements: aluminum, gallium,
indium, arsenic, phosphorus, antimony, or nitrogen;
a.3. Molecular beam epitaxial growth equipment using gas or
solid sources;
b. Equipment designed for ion implantation and having any of the
following:
b.1. [Reserved]
b.2. Being designed and optimized to operate at a beam energy of
20 keV or more and a beam current of 10 mA or more for hydrogen,
deuterium, or helium implant;
b.3. Direct write capability;
b.4. A beam energy of 65 keV or more and a beam current of 45 mA
or more for high energy oxygen implant into a heated semiconductor
material ``substrate''; or
b.5. Being designed and optimized to operate at beam energy of
20keV or more and a beam current of 10mA or more for silicon implant
into a semiconductor material ``substrate'' heated to 600 [deg]C or
greater;
c. [Reserved]
d. [Reserved]
e. Automatic loading multi-chamber central wafer handling
systems having all of the following:
e.1. Interfaces for wafer input and output, to which more than
two functionally different `semiconductor process tools' controlled
by 3B001.a.1, 3B001.a.2, 3B001.a.3 or 3B001.b are designed to be
connected; and
e.2. Designed to form an integrated system in a vacuum
environment for `sequential multiple wafer processing';
Note: 3B001.e does not control automatic robotic wafer handling
systems ``specially designed'' for parallel wafer processing.
Technical Notes: 1. For the purpose of 3B001.e, `semiconductor
process tools' refers to modular tools that provide physical
processes for semiconductor production that are functionally
different, such as deposition, implant or thermal processing.
2. For the purpose of 3B001.e, `sequential multiple wafer
processing' means the
[[Page 53769]]
capability to process each wafer in different `semiconductor process
tools,' such as by transferring each wafer from one tool to a second
tool and on to a third tool with the automatic loading multi-chamber
central wafer handling systems.
f. Lithography equipment as follows:
f.1. Align and expose step and repeat (direct step on wafer) or
step and scan (scanner) equipment for wafer processing using photo-
optical or X-ray methods and having any of the following:
f.1.a. A light source wavelength shorter than 193 nm; or
f.1.b. Capable of producing a pattern with a ``Minimum
Resolvable Feature size'' (MRF) of 45 nm or less;
Technical Note: The `Minimum Resolvable Feature size' (MRF) is
calculated by the following formula:
[GRAPHIC] [TIFF OMITTED] TR24OC18.000
where the K factor = 0.35
f.2 Imprint lithography equipment capable of production features
of 45 nm or less;
Note: 3B001.f.2 includes:
--Micro contact printing tools
--Hot embossing tools
--Nano-imprint lithography tools
--Step and flash imprint lithography (S-FIL) tools
f.3. Equipment ``specially designed'' for mask making having all
of the following:
f.3.a. A deflected focused electron beam, ion beam or ``laser''
beam; and
f.3.b. Having any of the following:
f.3.b.1. A Full-Width Half-Maximum (FWHM) spot size smaller than
65 nm and an image placement less than 17 nm (mean + 3 sigma); or
f.3.b.2. [Reserved]
f.3.b.3. A second-layer overlay error of less than 23 nm (mean +
3 sigma) on the mask;
f.4. Equipment designed for device processing using direct
writing methods, having all of the following:
f.4.a. A deflected focused electron beam; and
f.4.b. Having any of the following:
f.4.b.1. A minimum beam size equal to or smaller than 15 nm; or
f.4.b.2. An overlay error less than 27 nm (mean + 3 sigma);
g. Masks and reticles, designed for integrated circuits
controlled by 3A001;
h. Multi-layer masks with a phase shift layer not specified by
3B001.g and having any of the following:
h.1. Made on a mask ``substrate blank'' from glass specified as
having less than 7 nm/cm birefringence; or
h.2. Designed to be used by lithography equipment having a light
source wavelength less than 245 nm;
Note: 3B001.h. does not control multi-layer masks with a phase
shift layer designed for the fabrication of memory devices not
controlled by 3A001.
i. Imprint lithography templates designed for integrated
circuits by 3A001;
j. Mask ``substrate blanks'' with multilayer reflector structure
consisting of molybdenum and silicon, and having all of the
following:
j.1. ``Specially designed'' for `Extreme Ultraviolet (EUV)'
lithography; and
j.2. Compliant with SEMI Standard P37.
Technical Note: `Extreme Ultraviolet (EUV)' refers to
electromagnetic spectrum wavelengths greater than 5 nm and less than
124 nm.
0
32. In supplement no. 1 to part 774, Category 3, ECCN 3B002 is revised
to read as follows:
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.
License Requirements
Reason for Control: NS, AT
Country chart (see Supp.
Control(s) No. 1 to part 738)
NS applies to entire entry................ NS Column 2
AT applies to entire entry................ AT Column 1
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $500
GBS: Yes
CIV: N/A
List of Items Controlled
Related Controls: See also 3A999.a and 3B992
Related Definitions: N/A
Items:
a. For testing S-parameters of items specified by 3A001.b.3;
b. [Reserved]
c. For testing microwave integrated circuits controlled by
3A001.b.2.
0
33. In supplement no. 1 to part 774, Category 3, ECCN 3C002 is revised
to read as follows:
3C002 Resist materials as follows (see List of Items Controlled) and
``substrates'' coated with the following resists.
License Requirements
Reason for Control: NS, AT
Country chart (see Supp.
Control(s) No. 1 to part 738)
NS applies to entire entry................ NS Column 2
AT applies to entire entry................ AT Column 1
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $3,000
GBS: Yes for 3C002.a provided that they are not also controlled by
3C002.b through .e.
CIV: Yes for 3C002.a provided that they are not also controlled by
3C002.b through .e.
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items:
a. Resists designed for semiconductor lithography as follows:
a.1. Positive resists adjusted (optimized) for use at
wavelengths less than 193 nm but equal to or greater than 15 nm;
a.2. Resists adjusted (optimized) for use at wavelengths less
than 15 nm but greater than 1 nm;
b. All resists designed for use with electron beams or ion
beams, with a sensitivity of 0.01 [mu]coulomb/mm\2\ or better;
c. [Reserved]
d. All resists optimized for surface imaging technologies;
e. All resists designed or optimized for use with imprint
lithography equipment specified by 3B001.f.2 that use either a
thermal or photo-curable process.
0
34. In supplement no. 1 to part 774, Category 3, ECCN 3C005 is revised
to read as follows:
3C005 High resistivity materials as follows (See List of Items
Controlled).
License Requirements
Reason for Control: NS, AT
Country chart (see Supp.
Control(s) No. 1 to part 738)
NS applies to entire entry................ NS Column 2
AT applies to entire entry................ AT Column 1
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $3,000
GBS: Yes
CIV: Yes
List of Items Controlled
Related Controls: See ECCN 3E001 for related development and
production technology, and ECCN 3B991.b.1.b for related production
equipment.
Related Definition: N/A
Items:
a. Silicon carbide (SiC), gallium nitride (GaN), aluminum
nitride (AlN) or aluminum gallium nitride (AlGaN) semiconductor
``substrates'', or ingots, boules, or other preforms of those
materials, having resistivities greater than 10,000 ohm-cm at 20
[deg]C;
b. Polycrystalline ``substrates'' or polycrystalline ceramic
``substrates'', having resistivities greater than 10,000 ohm-cm at
20 [deg]C and having at least one non-epitaxial single-crystal layer
of silicon (Si), silicon carbide (SiC), gallium nitride (GaN),
aluminum nitride (AlN), or aluminum gallium nitride (AlGaN) on the
surface of the ``substrate''.
[[Page 53770]]
0
35. In supplement no. 1 to part 774, Category 3, ECCN 3C006 is revised
to read as follows:
3C006 Materials, not specified by 3C001, consisting of a
``substrate'' specified by 3C005 with at least one epitaxial layer
of silicon carbide, gallium nitride, aluminum nitride or aluminum
gallium nitride.
License Requirements
Reason for Control: NS, AT
Country chart (see Supp.
Control(s) No. 1 to part 738)
NS applies to entire entry................ NS Column 2
AT applies to entire entry................ AT Column 1
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $3,000
GBS: Yes
CIV: Yes
List of Items Controlled
Related Controls: See ECCN 3D001 for related ``development'' or
``production'' ``software'', ECCN 3E001 for related ``development''
and ``production'' ``technology'', and ECCN 3B991.b.1.b for related
``production'' equipment.
Related Definition: N/A
Items:
The list of items controlled is contained in the ECCN heading.
0
36. In supplement no. 1 to part 774, Category 3, ECCN 3C992 is revised
to read as follows:
3C992 Positive resists designed for semiconductor lithography
specially adjusted (optimized) for use at wavelengths between 370
and 193 nm.
License Requirements
Reason for Control: AT
Country chart (see Supp.
Control(s) No. 1 to part 738)
AT applies to entire entry................ AT Column 1
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items:
The list of items controlled is contained in the ECCN heading.
0
37. In supplement no. 1 to part 774, Category 3, ECCN 3E001 is revised
to read as follows:
3E001 ``Technology'' according to the General Technology Note for
the ``development'' or ``production'' of equipment or materials
controlled by 3A (except 3A980, 3A981, 3A991, 3A992, or 3A999), 3B
(except 3B991 or 3B992) or 3C (except 3C992).
License Requirements
Reason for Control: NS, MT, NP, AT
Country chart (see Supp.
Control(s) No. 1 to part 738)
NS applies to ``technology'' for items NS Column 1
controlled by 3A001, 3A002, 3A003, 3B001,
3B002, or 3C001 to 3C006.
MT applies to ``technology'' for equipment MT Column 1
controlled by 3A001 or 3A101 for MT
reasons.
NP applies to ``technology'' for equipment NP Column 1
controlled by 3A001, 3A201, or 3A225 to
3A234 for NP reasons.
AT applies to entire entry................ AT Column 1
License Requirements Note: See Sec. 744.17 of the EAR for
additional license requirements for microprocessors having a
processing speed of 5 GFLOPS or more and an arithmetic logic unit
with an access width of 32 bit or more, including those
incorporating ``information security'' functionality, and associated
``software'' and ``technology'' for the ``production'' or
``development'' of such microprocessors.
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for exports
under License Exceptions, Special Comprehensive Licenses, and
Validated End-User authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
CIV: N/A.
TSR: Yes, except N/A for MT, and ``technology'' for the
``development'' or ``production'' of: (a) Vacuum electronic device
amplifiers described in 3A001.b.8, having operating frequencies
exceeding 19 GHz; (b) solar cells, coverglass-interconnect-cells or
covered-interconnect-cells (CIC) ``assemblies'', solar arrays and/or
solar panels described in 3A001.e.4; (c) ``Monolithic Microwave
Integrated Circuit'' (``MMIC'') amplifiers in 3A001.b.2; and (d)
discrete microwave transistors in 3A001.b.3.
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit
``technology'' according to the General Technology Note for the
``development'' or ``production'' of equipment specified by ECCNs
3A002.g.1 or 3B001.a.2 to any of the destinations listed in Country
Group A:6 (See Supplement No.1 to part 740 of the EAR). License
Exception STA may not be used to ship or transmit ``technology''
according to the General Technology Note for the ``development'' or
``production'' of components specified by ECCN 3A001.b.2 or b.3 to
any of the destinations listed in Country Group A:5 or A:6 (See
Supplement No.1 to part 740 of the EAR).
List of Items Controlled
Related Controls: (1) ``Technology'' according to the General
Technology Note for the ``development'' or ``production'' of certain
``space-qualified'' atomic frequency standards described in Category
XV(e)(9), MMICs described in Category XV(e)(14), and oscillators
described in Category XV(e)(15) of the USML are ``subject to the
ITAR'' (see 22 CFR parts 120 through 130). See also 3E101, 3E201 and
9E515. (2) ``Technology'' for ``development'' or ``production'' of
``Microwave Monolithic Integrated Circuits'' (``MMIC'') amplifiers
in 3A001.b.2 is controlled in this ECCN 3E001; 5E001.d refers only
to that additional ``technology'' ``required'' for
telecommunications.
Related Definition: N/A
Items:
The list of items controlled is contained in the ECCN heading.
Note 1: 3E001 does not control ``technology'' for equipment or
``components'' controlled by 3A003.
Note 2: 3E001 does not control ``technology'' for integrated
circuits controlled by 3A001.a.3 to a.14, having all of the
following:
(a) Using ``technology'' at or above 0.130 [mu]m; and
(b) Incorporating multi-layer structures with three or fewer
metal layers.
Note 3: 3E001 does not apply to `Process Design Kits' (`PDKs')
unless they include libraries implementing functions or technologies
for items specified by 3A001.
Technical Note: A `Process Design Kit' (`PDK') is a software
tool provided by a semiconductor manufacturer to ensure that the
required design practices and rules are taken into account in order
to successfully produce a specific integrated circuit design in a
specific semiconductor process, in accordance with technological and
manufacturing constraints (each semiconductor manufacturing process
has its particular `PDK').
0
38. In supplement no. 1 to part 774, the notes at the beginning of
Category 4 are revised to read as follows:
Category 4--Computers
Note 1: Computers, related equipment and ``software'' performing
telecommunications or ``local area network'' functions must also be
evaluated against the performance characteristics of Category 5,
Part 1 (Telecommunications).
Note 2: Control units that directly interconnect the buses or
channels of central processing units, `main storage' or disk
controllers are not regarded as
[[Page 53771]]
telecommunications equipment described in Category 5, Part 1
(Telecommunications).
N.B.: For the control status of ``software'' ``specially
designed'' for packet switching, see ECCN 5D001.
(Telecommunications).
Technical Note: `Main storage' is the primary storage for data
or instructions for rapid access by a central processing unit. It
consists of the internal storage of a ``digital computer'' and any
hierarchical extension thereto, such as cache storage or non-
sequentially accessed extended storage.
0
39. In supplement no. 1 to part 774, Category 4, ECCN 4A003 is revised
to read as follows:
4A003 ``Digital computers'', ``electronic assemblies'', and related
equipment therefor, as follows (see List of Items Controlled) and
``specially designed'' ``components'' therefor.
License Requirements
Reason for Control: NS, CC, AT
Country chart (see Supp.
Control(s) No. 1 to part 738)
NS applies to 4A003.b and .c.............. NS Column 1
NS applies to 4A003.e and .g.............. NS Column 2
CC applies to ``digital computers'' for CC Column 1
computerized finger-print equipment.
AT applies to entire entry (refer to 4A994 AT Column 1
for controls on ``digital computers''
with a APP > 0.0128 but <= 29 WT).
Note: For all destinations, except those countries in Country
Group E:1 or E:2 of Supplement No. 1 to part 740 of the EAR, no
license is required (NLR) for computers with an ``Adjusted Peak
Performance'' (``APP'') not exceeding 29 Weighted TeraFLOPS (WT) and
for ``electronic assemblies'' described in 4A003.c that are not
capable of exceeding an ``Adjusted Peak Performance'' (``APP'')
exceeding 29 Weighted TeraFLOPS (WT) in aggregation, except certain
transfers as set forth in Sec. 746.3 of the EAR (Iraq).
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $5000; N/A for 4A003.b and .c.
GBS: Yes, for 4A003.g and ``specially designed'' ``parts'' and
``components'' therefor, exported separately or as part of a system.
APP: Yes, for computers controlled by 4A003.b, and ``electronic
assemblies'' controlled by 4A003.c, to the exclusion of other
technical parameters. See Sec. 740.7 of the EAR.
CIV: Yes, for 4A003.g.
List of Items Controlled
Related Controls: See also 4A994 and 4A980
Related Definitions: N/A
Items:
Note 1: 4A003 includes the following:
--`Vector processors' (as defined in Note 7 of the ``Technical Note
on ``Adjusted Peak Performance'' (``APP'')'');
--Array processors;
-- Digital signal processors;
-- Logic processors;
-- Equipment designed for ``image enhancement''.
Note 2: The control status of the ``digital computers'' and
related equipment described in 4A003 is determined by the control
status of other equipment or systems provided:
a. The ``digital computers'' or related equipment are essential
for the operation of the other equipment or systems;
b. The ``digital computers'' or related equipment are not a
``principal element'' of the other equipment or systems; and
N.B. 1: The control status of ``signal processing'' or ``image
enhancement'' equipment ``specially designed'' for other equipment
with functions limited to those required for the other equipment is
determined by the control status of the other equipment even if it
exceeds the ``principal element'' criterion.
N.B. 2: For the control status of ``digital computers'' or
related equipment for telecommunications equipment, see Category 5,
Part 1 (Telecommunications).
c. The ``technology'' for the ``digital computers'' and related
equipment is determined by 4E.
a. [Reserved]
b. ``Digital computers'' having an ``Adjusted Peak Performance''
(``APP'') exceeding 29 Weighted TeraFLOPS (WT);
c. ``Electronic assemblies'' ``specially designed'' or modified
to be capable of enhancing performance by aggregation of processors
so that the ``APP'' of the aggregation exceeds the limit in
4A003.b.;
Note 1: 4A003.c applies only to ``electronic assemblies'' and
programmable interconnections not exceeding the limit in 4A003.b
when shipped as unintegrated ``electronic assemblies''.
Note 2: 4A003.c does not control ``electronic assemblies''
``specially designed'' for a product or family of products whose
maximum configuration does not exceed the limit of 4A003.b.
d. to f. [Reserved]
N.B.: For ``electronic assemblies'', modules or equipment,
performing analog-to-digital conversions, see 3A002.h.
g. Equipment ``specially designed'' for aggregating the
performance of ``digital computers'' by providing external
interconnections which allow communications at unidirectonal data
rates exceeding 2.0 Gbyte/s per link.
Note: 4A003.g does not control internal interconnection
equipment (e.g., backplanes, buses) passive interconnection
equipment, ``network access controllers'' or ``communication channel
controllers''.
0
40. In supplement no. 1 to part 774, Category 4, ECCN 4A004 is revised
to read as follows:
4A004 Computers as follows (see List of Items Controlled) and
``specially designed'' related equipment, ``electronic assemblies''
and ``components'' therefor.
License Requirements
Reason for Control: NS, AT
Country chart (see Supp. No.
Control(s) 1 to part 738)
NS applies to entire entry................ NS Column 2
AT applies to entire entry................ AT Column 1
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $5,000
GBS: N/A
CIV:N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items:
a. `Systolic array computers';
b. `Neural computers';
c. `Optical computers'.
Technical Notes:
1. `Systolic array computers' are computers where the flow and
modification of the data is dynamically controllable at the logic
gate level by the user.
2. `Neural computers' are computational devices designed or
modified to mimic the behaviour of a neuron or a collection of
neurons, i.e., computational devices which are distinguished by
their hardware capability to modulate the weights and numbers of the
interconnections of a multiplicity of computational components based
on previous data.
3. `Optical computers' are computers designed or modified to use
light to represent data and whose computational logic elements are
based on directly coupled optical devices.
0
41. In supplement no. 1 to part 774, Category 4, ECCN 4D001 is revised
to read as follows:
4D001 ``Software'' as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, CC, AT
Country chart (see Supp. No.
Control(s) 1 to part 738)
NS applies to entire entry................ NS Column 1
CC applies to ``software'' for CC Column 1
computerized finger-print equipment
controlled by 4A003 for CC reasons.
AT applies to entire entry................ AT Column 1
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for exports
under License Exceptions, and Validated End-User authorizations.
[[Page 53772]]
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
CIV: N/A
TSR: Yes, except for ``software'' for the ``development'' or
``production'' of commodities with an ``Adjusted Peak Performance''
(``APP'') exceeding 29 WT.
APP: Yes to specific countries (see Sec. 740.7 of the EAR for
eligibility criteria)
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit
``software'' ``specially designed'' for the ``development'' or
``production'' of equipment specified by ECCN 4A001.a.2 or for the
``development'' or ``production'' of ``digital computers'' having an
`Adjusted Peak Performance' (`APP') exceeding 29 Weighted TeraFLOPS
(WT) to any of the destinations listed in Country Group A:6 (See
Supplement No.1 to part 740 of the EAR).
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items:
a. ``Software'' ``specially designed'' or modified for the
``development'' or ``production'' of equipment or ``software''
controlled by 4A001, 4A003, 4A004, or 4D (except 4D980, 4D993 or
4D994).
b. ``Software'', other than that controlled by 4D001.a,
``specially designed'' or modified for the ``development'' or
``production'' of equipment as follows:
b.1. ``Digital computers'' having an ``Adjusted Peak
Performance'' (``APP'') exceeding 15 Weighted TeraFLOPS (WT);
b.2. ``Electronic assemblies'' ``specially designed'' or
modified for enhancing performance by aggregation of processors so
that the ``APP'' of the aggregation exceeds the limit in 4D001.b.1.
0
42. In supplement no. 1 to part 774, Category 4, ECCN 4E001 is revised
to read as follows:
4E001 ``Technology'' as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, MT, CC, AT
Country chart (see Supp. No.
Control(s) 1 to part 738)
NS applies to entire entry................ NS Column 1
MT applies to ``technology'' for items MT Column 1
controlled by 4A001.a and 4A101 for MT
reasons.
CC applies to ``software'' for CC Column 1
computerized finger-print equipment
controlled by 4A003 for CC reasons.
AT applies to entire entry................ AT Column 1
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for exports
under License Exceptions, and Validated End-User authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
CIV: N/A
TSR: Yes, except for ``technology'' for the ``development'' or
``production'' of commodities with an ``Adjusted Peak Performance''
(``APP'') exceeding 29 WT.
APP: Yes to specific countries (see Sec. 740.7 of the EAR for
eligibility criteria).
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit
``technology'' according to the General Technology Note for the
``development'' or ``production'' of any of the following equipment
or ``software'': a. Equipment specified by ECCN 4A001.a.2; b.
``Digital computers'' having an `Adjusted Peak Performance' (`APP')
exceeding 29 Weighted TeraFLOPS (WT); or c. ``software'' specified
in the License Exception STA paragraph found in the License
Exception section of ECCN 4D001 to any of the destinations listed in
Country Group A:6 (See Supplement No. 1 to part 740 of the EAR).
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items:
a. ``Technology'' according to the General Technology Note, for
the ``development'', ``production'', or ``use'' of equipment or
``software'' controlled by 4A (except 4A980 or 4A994) or 4D (except
4D980, 4D993, 4D994).
b. ``Technology'' according to the General Technology Note,
other than that controlled by 4E001.a, for the ``development'' or
``production'' of equipment as follows:
b.1. ``Digital computers'' having an ``Adjusted Peak
Performance'' (``APP'') exceeding 15 Weighted TeraFLOPS (WT);
b.2. ``Electronic assemblies'' ``specially designed'' or
modified for enhancing performance by aggregation of processors so
that the ``APP'' of the aggregation exceeds the limit in 4E001.b.1.
0
43. In supplement no. 1 to part 774, Category 4, the Technical Note on
``Adjusted Peak Performance'' (``APP'') is revised to read as follows:
Technical Note on ``Adjusted Peak Performance'' (``APP'')
``APP'' is an adjusted peak rate at which ``digital computers''
perform 64-bit or larger floating point additions and
multiplications.
Abbreviations used in this Technical Note
n number of processors in the ``digital computer''
I processor number (i . . . . n)
ti processor cycle time (ti = 1/
Fi)
Fi processor frequency
Ri peak floating point calculating rate
Wi architecture adjustment factor
``APP'' is expressed in Weighted TeraFLOPS (WT), in units of
10\12\ adjusted floating point operations per second.
Outline of ``APP'' calculation method
1. For each processor i, determine the peak number of 64-bit or
larger floating-point operations, FPOi, performed per
cycle for each processor in the ``digital computer''.
Note: In determining FPO, include only 64-bit or larger floating
point additions or multiplications. All floating point operations
must be expressed in operations per processor cycle; operations
requiring multiple cycles may be expressed in fractional results per
cycle. For processors not capable of performing calculations on
floating-point operands of 64-bits or more the effective calculating
rate R is zero.
2. Calculate the floating point rate R for each processor
Ri = FPOi/ti.
3. Calculate ``APP'' as
``APP'' = W1 x R1 + W2 x
R2 + . . . + Wn x Rn.
4. For `vector processors'', Wi = 0.9. For non-
`vector processors', Wi = 0.3.
Note 1: For processors that perform compound operations in a
cycle, such as an addition and multiplication, each operation is
counted.
Note 2: For a pipelined processor the effective calculating rate
R is the faster of the pipelined rate, once the pipeline is full, or
the non-pipelined rate.
Note 3: The calculating rate R of each contributing processor
is to be calculated at its maximum value theoretically possible
before the ``APP'' of the combination is derived. Simultaneous
operations are assumed to exist when the computer manufacturer
claims concurrent, parallel, or simultaneous operation or execution
in a manual or brochure for the computer.
Note 4: Do not include processors that are limited to input/
output and peripheral functions (e.g., disk drive, communication and
video display) when calculating ``APP''.
Note 5: ``APP'' values are not to be calculated for processor
combinations(inter)connected by ``Local Area Networks'', Wide Area
Networks, I/O shared connections/devices, I/O controllers and any
communication interconnection implemented by ``software''.
Note 6: ``APP'' values must be calculated for processor
combinations containing processors ``specially designed'' to enhance
performance by aggregation, operating simultaneously and sharing
memory.
Technical Notes
1. Aggregate all processors and accelerators operating
simultaneously and located on the same die.
2. Processor combinations share memory when any processor is
capable of accessing any memory location in the system through the
hardware transmission of cache lines or memory words, without the
involvement of any software mechanism, which may be achieved using
``electronic assemblies'' specified in 4A003.c.
Note 7: A `vector processor' is defined as a processor with
built-in instructions that perform multiple calculations on
floating-point vectors (one-dimensional arrays of 64-
[[Page 53773]]
bit or larger numbers) simultaneously, having at least 2 vector
functional units and at least 8 vector registers of at least 64
elements each.
0
44. In supplement no. 1 to part 774, Category 5, part 1, ECCN 5A001 is
revised to read as follows:
5A001 Telecommunications systems, equipment, ``components'' and
``accessories'', as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, SL, AT
Country chart (see Supp. No.
Control(s) 1 to part 738).
NS applies to 5A001.a, .b.5, .e, f.3 and NS Column 1
.h.
NS applies to 5A001.b (except .b.5), .c, NS Column 2
.d, .f (except f.3), and .g.
SL applies to 5A001.f.1................... A license is required for
all destinations, as
specified in Sec. 742.13
of the EAR. Accordingly, a
column specific to this
control does not appear on
the Commerce Country Chart
(Supplement No. 1 to part
738 of the EAR).
Note to SL paragraph: This
licensing requirement does
not supersede, nor does it
implement, construe or
limit the scope of any
criminal statute,
including, but not limited
to the Omnibus Safe Streets
Act of 1968, as amended.
AT applies to entire entry................ AT Column 1
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for exports
under License Exceptions, and Validated End-User authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A for 5A001.a, b.5, .e, f.3 and .h; $5,000 for 5A001.b.1,
.b.2, .b.3, .b.6, .d, f.2, f.4, and .g; $3,000 for 5A001.c.
GBS: Yes, except 5A001.a, b.5, e, and h.
CIV: Yes, except 5A001.a, b.3, b.5, e, and h.
Special Conditions for STA
STA: License Exception STA may not be used to ship any commodity in
5A001.b.3, .b.5 or .h to any of the destinations listed in Country
Group A:6 (See Supplement No.1 to part 740 of the EAR).
List of Items Controlled
Related Controls: (1) See USML Category XI for controls on
direction-finding ``equipment'' including types of ``equipment'' in
ECCN 5A001.e and any other military or intelligence electronic
``equipment'' that is ``subject to the ITAR''. (2) See USML Category
XI(a)(4)(iii) for controls on electronic attack and jamming
``equipment'' defined in 5A001.f and .h that are subject to the
ITAR. (3) See also ECCNs 5A101, 5A980, and 5A991.
Related Definitions: N/A
Items:
a. Any type of telecommunications equipment having any of the
following characteristics, functions or features:
a.1. ``Specially designed'' to withstand transitory electronic
effects or electromagnetic pulse effects, both arising from a
nuclear explosion;
a.2. Specially hardened to withstand gamma, neutron or ion
radiation;
a.3. ``Specially designed'' to operate below 218 K (-55 [deg]C);
or
a.4. ``Specially designed'' to operate above 397 K (124 [deg]C);
Note: 5A001.a.3 and 5A001.a.4 apply only to electronic
equipment.
b. Telecommunication systems and equipment, and ``specially
designed'' ``components'' and ``accessories'' therefor, having any
of the following characteristics, functions or features:
b.1. Being underwater untethered communications systems having
any of the following:
b.1.a. An acoustic carrier frequency outside the range from 20
kHz to 60 kHz;
b.1.b. Using an electromagnetic carrier frequency below 30 kHz;
or
b.1.c. Using electronic beam steering techniques; or
b.1.d. Using ``lasers'' or light-emitting diodes (LEDs), with an
output wavelength greater than 400 nm and less than 700 nm, in a
``local area network'';
b.2. Being radio equipment operating in the 1.5 MHz to 87.5 MHz
band and having all of the following:
b.2.a. Automatically predicting and selecting frequencies and
``total digital transfer rates'' per channel to optimize the
transmission; and
b.2.b. Incorporating a linear power amplifier configuration
having a capability to support multiple signals simultaneously at an
output power of 1 kW or more in the frequency range of 1.5 MHz or
more but less than 30 MHz, or 250 W or more in the frequency range
of 30 MHz or more but not exceeding 87.5 MHz, over an
``instantaneous bandwidth'' of one octave or more and with an output
harmonic and distortion content of better than -80 dB;
b.3. Being radio equipment employing ``spread spectrum''
techniques, including ``frequency hopping'' techniques, not
controlled in 5A001.b.4 and having any of the following:
b.3.a. User programmable spreading codes; or
b.3.b. A total transmitted bandwidth which is 100 or more times
the bandwidth of any one information channel and in excess of 50
kHz;
Note: 5A001.b.3.b does not control radio equipment ``specially
designed'' for use with any of the following:
a. Civil cellular radio-communications systems; or
b. Fixed or mobile satellite Earth stations for commercial civil
telecommunications.
Note: 5A001.b.3 does not control equipment operating at an
output power of 1 W or less.
b.4. Being radio equipment employing ultra-wideband modulation
techniques, having user programmable channelizing codes, scrambling
codes, or network identification codes and having any of the
following:
b.4.a. A bandwidth exceeding 500 MHz; or
b.4.b. A ``fractional bandwidth'' of 20% or more;
b.5. Being digitally controlled radio receivers having all of
the following:
b.5.a. More than 1,000 channels;
b.5.b. A `channel switching time' of less than 1 ms;
b.5.c. Automatic searching or scanning of a part of the
electromagnetic spectrum; and
b.5.d. Identification of the received signals or the type of
transmitter; or
Note: 5A001.b.5 does not control radio equipment ``specially
designed'' for use with civil cellular radio-communications systems.
Technical Note: `Channel switching time': The time (i.e., delay)
to change from one receiving frequency to another, to arrive at or
within 0.05% of the final specified receiving frequency.
Items having a specified frequency range of less than 0.05% around their center frequency are defined to be
incapable of channel frequency switching.
b.6. Employing functions of digital ``signal processing'' to
provide `voice coding' output at rates of less than 700 bit/s.
Technical Notes:
1. For variable rate `voice coding', 5A001.b.6 applies to the
`voice coding' output of continuous speech.
2. For the purpose of 5A001.b.6, `voice coding' is defined as
the technique to take samples of human voice and then convert these
samples of human voice into a digital signal taking into account
specific characteristics of human speech.
c. Optical fibers of more than 500 m in length and specified by
the manufacturer as being capable of withstanding a `proof test'
tensile stress of 2 x 10\9\ N/m\2\ or more;
N.B.: For underwater umbilical cables, see 8A002.a.3.
Technical Note: `Proof Test:' On-line or off-line production
screen testing that dynamically applies a prescribed tensile stress
over a 0.5 to 3 m length of fiber at a running rate of 2 to 5 m/s
while passing between capstans approximately 150 mm in diameter. The
ambient temperature is a nominal 293 K (20 [deg]C) and relative
humidity 40%. Equivalent national standards may be used for
executing the proof test.
d. `Electronically steerable phased array antennae' as follows:
d.1. Rated for operation above 31.8 GHz, but not exceeding 57
GHz, and having an Effective Radiated Power (ERP) equal to or
[[Page 53774]]
greater than +20 dBm (22.15 dBm Effective Isotropic Radiated Power
(EIRP));
d.2. Rated for operation above 57 GHz, but not exceeding 66 GHz,
and having an ERP equal to or greater than +24 dBm (26.15 dBm EIRP);
d.3. Rated for operation above 66 GHz, but not exceeding 90 GHz,
and having an ERP equal to or greater than +20 dBm (22.15 dBm EIRP);
d.4. Rated for operation above 90 GHz;
Note 1: 5A001.d does not control `electronically steerable
phased array antennae' for landing systems with instruments meeting
ICAO standards covering Microwave Landing Systems (MLS).
Note 2: 5A001.d does not apply to antennae specially designed
for any of the following:
a. Civil cellular or WLAN radio-communications systems;
b. IEEE 802.15 or wireless HDMI; or
c. Fixed or mobile satellite earth stations for commercial civil
telecommunications.
Technical Note: For the purposes of 5A001.d `electronically
steerable phased array antenna' is an antenna which forms a beam by
means of phase coupling, (i.e., the beam direction is controlled by
the complex excitation coefficients of the radiating elements) and
the direction of that beam can be varied (both in transmission and
reception) in azimuth or in elevation, or both, by application of an
electrical signal.
e. Radio direction finding equipment operating at frequencies
above 30 MHz and having all of the following, and ``specially
designed'' ``components'' therefor:
e.1. ``Instantaneous bandwidth'' of 10 MHz or more; and
e.2. Capable of finding a Line Of Bearing (LOB) to non-
cooperating radio transmitters with a signal duration of less than 1
ms;
f. Mobile telecommunications interception or jamming equipment,
and monitoring equipment therefor, as follows, and ``specially
designed'' ``components'' therefor:
f.1. Interception equipment designed for the extraction of voice
or data, transmitted over the air interface;
f.2. Interception equipment not specified in 5A001.f.1, designed
for the extraction of client device or subscriber identifiers (e.g.,
IMSI, TIMSI or IMEI), signaling, or other metadata transmitted over
the air interface;
f.3. Jamming equipment ``specially designed'' or modified to
intentionally and selectively interfere with, deny, inhibit, degrade
or seduce mobile telecommunication services and performing any of
the following:
f.3.a. Simulate the functions of Radio Access Network (RAN)
equipment;
f.3.b. Detect and exploit specific characteristics of the mobile
telecommunications protocol employed (e.g., GSM); or
f.3.c. Exploit specific characteristics of the mobile
telecommunications protocol employed (e.g., GSM);
f.4. Radio Frequency (RF) monitoring equipment designed or
modified to identify the operation of items specified in 5A001.f.1,
5A001.f.2 or 5A001.f.3.
Note: 5A001.f.1 and 5A001.f.2 do not apply to any of the
following:
a. Equipment ``specially designed'' for the interception of
analog Private Mobile Radio (PMR), IEEE 802.11 WLAN;
b. Equipment designed for mobile telecommunications network
operators; or
c. Equipment designed for the ``development'' or ``production''
of mobile telecommunications equipment or systems.
N.B. 1: See also the International Traffic in Arms Regulations
(ITAR) (22 CFR parts 120 through 130). For items specified by
5A001.f.1 (including as previously specified by 5A001.i), see
also5A980 and the U.S. Munitions List (22 CFR part 121).
N.B. 2: For radio receivers see 5A001.b.5.
g. Passive Coherent Location (PCL) systems or equipment,
``specially designed'' for detecting and tracking moving objects by
measuring reflections of ambient radio frequency emissions, supplied
by non-radar transmitters.
Technical Note: Non-radar transmitters may include commercial
radio, television or cellular telecommunications base stations.
Note: 5A001.g. does not control:
a. Radio-astronomical equipment; or
b. Systems or equipment, that require any radio transmission
from the target.
h. Counter Improvised Explosive Device (IED) equipment and
related equipment, as follows:
h.1. Radio Frequency (RF) transmitting equipment, not specified
by 5A001.f, designed or modified for prematurely activating or
preventing the initiation of Improvised Explosive Devices (IEDs);
h.2. Equipment using techniques designed to enable radio
communications in the same frequency channels on which co-located
equipment specified by 5A001.h.1 is transmitting.
N.B.: See also Category XI of the International Traffic in Arms
Regulations (ITAR) (22 CFR parts 120 through 130).
i. [Reserved]
N.B.: See 5A001.f.1 for items previously specified by 5A001.i.
0
45. In supplement no. 1 to part 774, Category 5, part 2, ECCN 5A002 is
revised to read as follows:
5A002 ``Information security'' systems, equipment and
``components'', as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, AT, EI
Country chart (see Supp. No.
Control(s) 1 to part 738)
NS applies to entire entry................ NS Column 1
AT applies to entire entry................ AT Column 1
EI applies to entire entry................ Refer to Sec. 742.15 of
the EAR
License Requirements Note: See Sec. 744.17 of the EAR for
additional license requirements for microprocessors having a
processing speed of 5 GFLOPS or more and an arithmetic logic unit
with an access width of 32 bit or more, including those
incorporating ``information security'' functionality, and associated
``software'' and ``technology'' for the ``production'' or
``development'' of such microprocessors.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: Yes: $500 for ``components''. N/A for systems and equipment.
GBS: N/A
CIV: N/A
ENC: Yes for certain EI controlled commodities, see Sec. 740.17 of
the EAR for eligibility.
List of Items Controlled
Related Controls: (1) ECCN 5A002.a controls ``components'' providing
the means or functions necessary for ``information security''. All
such ``components'' are presumptively ``specially designed'' and
controlled by 5A002.a. (2) See USML Categories XI (including XI(b))
and XIII(b) (including XIII(b)(2)) for controls on systems,
equipment, and components described in 5A002.d or .e that are
subject to the ITAR. (3) For Global Navigation Satellite Systems
(GNSS) receiving equipment containing or employing decryption see
7A005, and for related decryption ``software'' and ``technology''
see 7D005 and 7E001. (4) Noting that items may be controlled
elsewhere on the CCL, examples of items not controlled by ECCN
5A002.a.4 include the following: (a) An automobile where the only
`cryptography for data confidentiality' `in excess of 56 bits of
symmetric key length, or equivalent' is performed by a Category 5--
Part 2 Note 3 eligible mobile telephone that is built into the car.
In this case, secure phone communications support a non-primary
function of the automobile but the mobile telephone (equipment), as
a standalone item, is not controlled by ECCN 5A002 because it is
excluded by the Cryptography Note (Note 3) (See ECCN 5A992.c). (b)
An exercise bike with an embedded Category 5--Part 2 Note 3 eligible
web browser, where the only controlled cryptography is performed by
the web browser. In this case, secure web browsing supports a non-
primary function of the exercise bike but the web browser
(``software''), as a standalone item, is not controlled by ECCN
5D002 because it is excluded by the Cryptography Note (Note 3) (See
ECCN 5D992.c). (5) After classification or self-classification in
accordance with Sec. 740.17(b) of the EAR, mass market encryption
commodities that meet eligibility requirements are released from
``EI'' and ``NS'' controls. These commodities are designated
5A992.c.
Related Definitions: N/A
Items:
a. Designed or modified to use `cryptography for data
confidentiality' `having in excess of 56 bits of symmetric key
length, or equivalent,' where that cryptographic capability is
usable, has been activated, or can be activated by means of
``cryptographic activation'' not employing a secure mechanism, as
follows:
a.1. Items having ``information security'' as a primary
function;
[[Page 53775]]
a.2. Digital communication or networking systems, equipment or
components, not specified in paragraph 5A002.a.1;
a.3. Computers, other items having information storage or
processing as a primary function, and components therefor, not
specified in paragraphs 5A002.a.1 or .a.2;
N.B.: For operating systems see also 5D002.a.1 and .c.1.
a.4. Items, not specified in paragraphs 5A002.a.1 to a.3, where
the `cryptography for data confidentiality' `having in excess of 56
bits of symmetric key length, or equivalent' meets all of the
following:
a.4.a. It supports a non-primary function of the item; and
a.4.b. It is performed by incorporated equipment or ``software''
that would, as a standalone item, be specified by ECCNs 5A002,
5A003, 5A004, 5B002 or 5D002.
N.B. to paragraph a.4: See Related Control Paragraph (4) of this
ECCN 5A002 for examples of items not controlled by 5A002.a.4.
Technical Notes:
1. For the purposes of 5A002.a, `cryptography for data
confidentiality' means ``cryptography'' that employs digital
techniques and performs any cryptographic function other than any of
the following:
1.a. ``Authentication'';
1.b. Digital signature;
1.c. Data integrity;
1.d. Non-repudiation;
1.e. Digital rights management, including the execution of copy-
protected ``software'';
1.f. Encryption or decryption in support of entertainment, mass
commercial broadcasts or medical records management; or
1.g. Key management in support of any function described in
paragraphs 1.a to 1.f of this Technical Note paragraph 1.
2. For the purposes of 5A002.a, `in excess of 56 bits of
symmetric key length, or equivalent' means any of the following:
2.a. A ``symmetric algorithm'' employing a key length in excess
of 56 bits, not including parity bits; or
2.b. An ``asymmetric algorithm'' where the security of the
algorithm is based on any of the following:
2.b.1. Factorization of integers in excess of 512 bits (e.g.,
RSA);
2.b.2. Computation of discrete logarithms in a multiplicative
group of a finite field of size greater than 512 bits (e.g., Diffie-
Hellman over Z/pZ); or
2.b.3. Discrete logarithms in a group other than mentioned in
paragraph 2.b.2 of this Technical Note in excess of 112 bits (e.g.,
Diffie-Hellman over an elliptic curve).
Note 1: Details of items must be accessible and provided upon
request, in order to establish any of the following:
a. Whether the item meets the criteria of 5A002.a.1 to a.4; or
b. Whether the cryptographic capability for data confidentiality
specified by 5A002.a is usable without ``cryptographic activation''.
Note 2: 5A002.a does not control any of the following items, or
specially designed ``information security'' components therefor:
a. Smart cards and smart card `readers/writers' as follows:
a.1. A smart card or an electronically readable personal
document (e.g., token coin, e-passport) that meets any of the
following:
a.1.a. The cryptographic capability meets all of the following:
a.1.a.1. It is restricted for use in any of the following:
a.1.a.1.a. Equipment or systems, not described by 5A002.a.1 to
a.4;
a.1.a.1.b. Equipment or systems, not using `cryptography for
data confidentiality' having `in excess of 56 bits of symmetric key
length, or equivalent'; or
a.1.a.1.c. Equipment or systems, excluded from 5A002.a by
entries b. to f. of this Note; and
a.1.a.2. It cannot be reprogrammed for any other use; or
a.1.b. Having all of the following:
a.1.b.1. It is specially designed and limited to allow
protection of `personal data' stored within;
a.1.b.2. Has been, or can only be, personalized for public or
commercial transactions or individual identification; and
a.1.b.3. Where the cryptographic capability is not user-
accessible;
Technical Note to paragraph a.1.b of Note 2: `Personal data'
includes any data specific to a particular person or entity, such as
the amount of money stored and data necessary for
``authentication''.
a.2. `Readers/writers' specially designed or modified, and
limited, for items specified by paragraph a.1 of this Note;
Technical Note to paragraph a.2 of Note 2: `Readers/writers'
include equipment that communicates with smart cards or
electronically readable documents through a network.
b. Cryptographic equipment specially designed and limited for
banking use or `money transactions';
Technical Note to paragraph b. of Note 2: `Money transactions'
in 5A002 Note 2 paragraph b. includes the collection and settlement
of fares or credit functions.
c. Portable or mobile radiotelephones for civil use (e.g., for
use with commercial civil cellular radio communication systems) that
are not capable of transmitting encrypted data directly to another
radiotelephone or equipment (other than Radio Access Network (RAN)
equipment), nor of passing encrypted data through RAN equipment
(e.g., Radio Network Controller (RNC) or Base Station Controller
(BSC));
d. Cordless telephone equipment not capable of end-to-end
encryption where the maximum effective range of unboosted cordless
operation (i.e., a single, unrelayed hop between terminal and home
base station) is less than 400 meters according to the
manufacturer's specifications;
e. Portable or mobile radiotelephones and similar client
wireless devices for civil use, that implement only published or
commercial cryptographic standards (except for anti-piracy
functions, which may be non-published) and also meet the provisions
of paragraphs a.2 to a.4 of the Cryptography Note (Note 3 in
Category 5--Part 2), that have been customized for a specific civil
industry application with features that do not affect the
cryptographic functionality of these original non-customized
devices;
f. Items, where the ``information security'' functionality is
limited to wireless ``personal area network'' functionality, meeting
all of the following:
f.1. Implement only published or commercial cryptographic
standards; and
f.2. The cryptographic capability is limited to a nominal
operating range not exceeding 30 meters according to the
manufacturer's specifications, or not exceeding 100 meters according
to the manufacturer's specifications for equipment that cannot
interconnect with more than seven devices;
g. Mobile telecommunications Radio Access Network (RAN)
equipment designed for civil use, which also meet the provisions of
paragraphs a.2 to a.4 of the Cryptography Note (Note 3 in Category
5--Part 2), having an RF output power limited to 0.1W (20 dBm) or
less, and supporting 16 or fewer concurrent users;
h. Routers, switches or relays, where the ``information
security'' functionality is limited to the tasks of ``Operations,
Administration or Maintenance'' (``OAM'') implementing only
published or commercial cryptographic standards; or
i. General purpose computing equipment or servers, where the
``information security'' functionality meets all of the following:
i.1. Uses only published or commercial cryptographic standards;
and
i.2. Is any of the following:
i.2.a. Integral to a CPU that meets the provisions of Note 3 in
Category 5--Part 2;
i.2.b. Integral to an operating system that is not specified by
5D002; or
i.2.c. Limited to ``OAM'' of the equipment.
b. Designed or modified for converting, by means of
``cryptographic activation'', an item not specified by Category 5--
Part 2 into an item specified by 5A002.a or 5D002.c.1, and not
released by the Cryptography Note (Note 3 in Category 5--Part 2), or
for enabling, by means of ``cryptographic activation'', additional
functionality specified by 5A002.a of an item already specified by
Category 5--Part 2;
c. Designed or modified to use or perform ``quantum
cryptography'';
Technical Note: ``Quantum cryptography'' is also known as
Quantum Key Distribution (QKD).
d. Designed or modified to use cryptographic techniques to
generate channelizing codes, scrambling codes or network
identification codes, for systems using ultra-wideband modulation
techniques and having any of the following:
d.1. A bandwidth exceeding 500 MHz; or
d.2. A ``fractional bandwidth'' of 20% or more;
e. Designed or modified to use cryptographic techniques to
generate the spreading code for ``spread spectrum'' systems, not
specified by 5A002.d, including the hopping code for ``frequency
hopping'' systems.
0
46. In supplement no. 1 to part 774, Category 5, part 2, ECCN 5D002 is
revised to read as follows:
5D002 ``Software'' as follows (see List of Items Controlled).
[[Page 53776]]
License Requirements
Reason for Control: NS, AT, EI
Country chart (see Supp.
Control(s) No. 1 to part 738)
NS applies to entire entry................ NS Column 1
AT applies to entire entry................ AT Column 1
EI applies to ``software'' in 5D002.a.1, Refer to Sec. 742.15 of
a.3, .b, c.1 and c.3, for commodities or the EAR
``software'' controlled for EI reasons in Note: Encryption software is
ECCNs 5A002, 5A004 or 5D002. controlled because of its
functional capacity, and
not because of any
informational value of such
software; such software is
not accorded the same
treatment under the EAR as
other ``software'; and for
export licensing purposes,
encryption software is
treated under the EAR in
the same manner as a
commodity included in ECCN
5A002
License Requirements Note: See Sec. 744.17 of the EAR for
additional license requirements for microprocessors having a
processing speed of 5 GFLOPS or more and an arithmetic logic unit
with an access width of 32 bit or more, including those
incorporating ``information security'' functionality, and associated
``software'' and ``technology'' for the ``production'' or
``development'' of such microprocessors.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
CIV: N/A
TSR: N/A
ENC: Yes for certain EI controlled software, see Sec. 740.17 of the
EAR for eligibility.
List of Items Controlled
Related Controls: After classification or self-classification in
accordance with Sec. 740.17(b) of the EAR, mass market encryption
software that meet eligibility requirements are released from ``EI''
and ``NS'' controls. This software is designated as 5D992.c.
Related Definitions: 5D002.a controls ``software'' designed or
modified to use ``cryptography'' employing digital or analog
techniques to ensure ``information security''.
Items:
a. ``Software'' ``specially designed'' or modified for the
``development'', ``production'' or ``use'' of any of the following:
a.1. Equipment specified by 5A002 or ``software'' specified by
5D002.c.1;
a.2. Equipment specified by 5A003 or ``software'' specified by
5D002.c.2; or
a.3. Equipment specified by 5A004 or ``software'' specified by
5D002.c.3;
b. ``Software'' designed or modified for converting, by means of
``cryptographic activation'', an item not specified by Category 5--
Part 2 into an item specified by 5A002.a or 5D002.c.1, and not
released by the Cryptography Note (Note 3 in Category 5--Part 2), or
for enabling, by means of ``cryptographic activation'', additional
functionality specified by 5A002.a of an item already specified by
Category 5--Part 2;
c. ``Software'' having the characteristics of, or performing or
simulating the functions of, any of the following:
c.1.Equipment specified by 5A002.a, .c, .d or .e;
Note: 5D002.c.1 does not apply to ``software'' limited to the
tasks of ``OAM'' implementing only published or commercial
cryptographic standards.
c.2. Equipment specified by 5A003; or
c.3. Equipment specified by 5A004.
d. [Reserved]
N.B.: See 5D002.b for items formerly specified in 5D002.d.
0
47. In supplement no. 1 to part 774, Category 5, part 2, ECCN 5E002 is
revised to read as follows:
5E002 ``Technology'' as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, AT, EI
Country chart (see Supp.
Control(s) No. 1 to part 738)
NS applies to entire entry................ NS Column 1
AT applies to entire entry................ AT Column 1
EI applies to ``technology'' in 5E002.a Refer to Sec. 742.15 of
for commodities or ``software'' the EAR
controlled for EI reasons in ECCNs 5A002,
5A004 or 5D002, and to ``technology'' in
5E002.b.
License Requirements Notes: (1) See Sec. 744.17 of the EAR for
additional license requirements for microprocessors having a
processing speed of 5 GFLOPS or more and an arithmetic logic unit
with an access width of 32 bit or more, including those
incorporating ``information security'' functionality, and associated
``software'' and ``technology'' for the ``production'' or
``development'' of such microprocessors.
(2) When a person performs or provides technical assistance that
incorporates, or otherwise draws upon, ``technology'' that was
either obtained in the United States or is of US-origin, then a
release of the ``technology'' takes place. Such technical
assistance, when rendered with the intent to aid in the
``development'' or ``production'' of encryption commodities or
software that would be controlled for ``EI'' reasons under ECCN
5A002, 5A004 or 5D002, may require authorization under the EAR even
if the underlying encryption algorithm to be implemented is from the
public domain or is not of U.S.-origin.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
CIV: N/A
TSR: N/A
ENC: Yes for certain EI controlled technology, see Sec. 740.17 of
the EAR for eligibility.
List of Items Controlled
Related Controls: See also 5E992. This entry does not control
``technology'' ``required'' for the ``use'' of equipment excluded
from control under the Related Controls paragraph or the Technical
Notes in ECCN 5A002 or ``technology'' related to equipment excluded
from control under ECCN 5A002.
Related Definitions: N/A
Items:
a. ``Technology'' according to the General Technology Note for
the ``development'', ``production'' or ``use'' of equipment
controlled by 5A002, 5A003, 5A004 or 5B002, or of ``software''
controlled by 5D002.a or 5D002.c.
b. ``Technology'' for converting, by means of ``cryptographic
activation'', an item not specified by Category 5--Part 2 into an
item specified by 5A002.a or 5D002.c.1, and not released by the
Cryptography Note (Note 3 in Category 5--Part 2), or for enabling,
by means of ``cryptographic activation'', additional functionality
specified by 5A002.a of an item already specified by Category 5--
Part 2.
Note: 5E002 includes ``information security'' technical data
resulting from procedures carried out to evaluate or determine the
implementation of functions, features or techniques specified in
Category 5 Part 2.
0
48. In supplement no. 1 to part 774, Category 6, ECCN 6A002 is revised
to read as follows:
6A002 Optical sensors and equipment, and ``components'' therefor, as
follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, MT, CC, RS, AT, UN
Country chart (see Supp. No.
Control(s) 1 to part 738).
NS applies to entire entry................ NS Column 2
[[Page 53777]]
MT applies to optical detectors in MT Column 1
6A002.a.1, or a.3 that are ``specially
designed'' or modified to protect
``missiles'' against nuclear effects
(e.g., Electromagnetic Pulse (EMP), X-
rays, combined blast and thermal
effects), and usable for ``missiles''.
RS applies to 6A002.a.1, a.2, a.3 (except RS Column 1
a.3.d.2.a and a.3.e for lead selenide
based focal plane arrays (FPAs)), .c, and
.f.
CC applies to police-model infrared CC Column 1
viewers in 6A002.c.
AT applies to entire entry................ AT Column 1
UN applies to 6A002.a.1, a.2, a.3 and .c.. See Sec. 746.1(b) of the
EAR for UN controls.
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for exports
under License Exceptions, and Validated End-User authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $500 for 6A002.f.
$3,000; except N/A for MT and for 6A002.a.1, a.2, a.3, .c, and .f.
GBS: N/A
CIV: N/A
List of Items Controlled
Related Controls: (1) See USML Category XII(e) for infrared focal
plane arrays, image intensifier tubes, and related parts and
components, subject to the ITAR. (2) See USML Category XV(e) for
space-qualified focal plane arrays subject to the ITAR. (3) See also
ECCNs 6A102, 6A202, and 6A992. (4) See ECCN 0A919 for foreign-made
military commodities that incorporate commodities described in
6A002. (5) Section 744.9 of the EAR imposes a license requirement on
commodities described in ECCN 6A002 if being exported, reexported,
or transferred (in-country) for use by a military end-user or for
incorporation into an item controlled by ECCN 0A919. (6) See USML
Categories XII(e) and XV(e)(3) for read-out integrated circuits
``subject to the ITAR.''
Related Definitions: N/A
Items:
a. Optical detectors as follows:
a.1. ``Space-qualified'' solid-state detectors as follows:
Note: For the purpose of 6A002.a.1, solid-state detectors
include ``focal plane arrays''.
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.1.d. ``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;
a.2. Image intensifier tubes and ``specially designed''
``components'' therefor, as follows:
Note: 6A002.a.2 does not control non-imaging photomultiplier
tubes having an electron sensing device in the vacuum space limited
solely to any of the following:
a. A single metal anode; or
b. Metal anodes with a center to center spacing greater than 500
[mu]m.
Technical Note: `Charge multiplication' is a form of electronic
image amplification and is defined as the generation of charge
carriers as a result of an impact ionization gain process. `Charge
multiplication' sensors may take the form of an image intensifier
tube, solid state detector or ``focal plane array''.
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. Electron image amplification using any of the
following:
a.2.a.2.a. A microchannel plate with a hole pitch (center-to-
center spacing) of 12 [mu]m or less; or
a.2.a.2.b. An electron sensing device with a non-binned pixel
pitch of 500 [mu]m or less, ``specially designed'' or modified to
achieve `charge multiplication' other than by a microchannel plate;
and
a.2.a.3. Any of the following photocathodes:
a.2.a.3.a. Multialkali photocathodes (e.g., S-20 and S-25)
having a luminous sensitivity exceeding 350 [mu]A/lm;
a.2.a.3.b. GaAs or GaInAs photocathodes; or
a.2.a.3.c. Other ``III-V compound'' semiconductor photocathodes
having a maximum ``radiant sensitivity'' exceeding 10 mA/W;
a.2.b. Image intensifier tubes having all of the following:
a.2.b.1. A peak response in the wavelength range exceeding 1,050
nm but not exceeding 1,800 nm;
a.2.b.2. Electron image amplification using any of the
following:
a.2.b.2.a. A microchannel plate with a hole pitch (center-to-
center spacing) of 12 [mu]m or less; or
a.2.b.2.b. An electron sensing device with a non-binned pixel
pitch of 500 [mu]m or less, ``specially designed'' or modified to
achieve `charge multiplication' other than by a microchannel plate;
and
a.2.b.3. ``III/V compound'' semiconductor (e.g., GaAs or GaInAs)
photocathodes and transferred electron photocathodes, having a
maximum ``radiant sensitivity'' exceeding 15 mA/W;
a.2.c. ``Specially designed'' ``components'' as follows:
a.2.c.1. Microchannel plates having a hole pitch (center-to-
center spacing) of 12 [mu]m or less;
a.2.c.2. An electron sensing device with a non-binned pixel
pitch of 500 [mu]m or less, ``specially designed'' or modified to
achieve `charge multiplication' other than by a microchannel plate;
a.2.c.3. ``III-V compound'' semiconductor (e.g., GaAs or GaInAs)
photocathodes and transferred electron photocathodes;
Note: 6A002.a.2.c.3 does not control compound semiconductor
photocathodes designed to achieve a maximum ``radiant sensitivity''
of any of the following:
a. 10 mA/W or less at the peak response in the wavelength range
exceeding 400 nm but not exceeding 1,050 nm; or
b. 15 mA/W or less at the peak response in the wavelength range
exceeding 1,050 nm but not exceeding 1,800 nm.
a.3. Non-``space-qualified'' ``focal plane arrays'' as follows:
N.B.: `Microbolometer' non-``space-qualified'' ``focal plane
arrays'' are only specified by 6A002.a.3.f.
Technical Note: Linear or two-dimensional multi-element
detector arrays are referred to as ``focal plane arrays'';
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.
c. ``Focal plane arrays'' ``specially designed'' or modified to
achieve `charge multiplication' and limited by design to have a
maximum ``radiant sensitivity'' of 10 mA/W or less for wavelengths
exceeding 760 nm, having all of the following:
c.1. Incorporating a response limiting mechanism designed not to
be removed or modified; and
c.2. Any of the following:
c.2.a. The response limiting mechanism is integral to or
combined with the detector element; or
c.2.b. The ``focal plane array'' is only operable with the
response limiting mechanism in place.
[[Page 53778]]
d. Thermopile arrays having less than 5,130 elements;
Technical Note: A response limiting mechanism integral to the
detector element is designed not to be removed or modified without
rendering the detector inoperable.
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. Any of the following:
a.3.a.2.a. A response ``time constant'' of less than 0.5 ns; or
a.3.a.2.b. ``Specially designed'' or modified to achieve `charge
multiplication' and having a maximum ``radiant sensitivity''
exceeding 10 mA/W;
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. Any of the following:
a.3.b.2.a. A response ``time constant'' of 95 ns or less; or
a.3.b.2.b. ``Specially designed'' or modified to achieve `charge
multiplication' and having a maximum ``radiant sensitivity''
exceeding 10 mA/W;
a.3.c. Non-``space-qualified'' non-linear (2-dimensional)
``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 by
6A002.a.3.f.
a.3.d. Non-``space-qualified'' linear (1-dimensional) ``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 3,000 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 detector elements;
Note: 6A002.a.3.d does not control ``focal plane arrays'' (not
to exceed 32 elements) having detector elements limited solely to
germanium material.
Technical Note: For the purposes of 6A002.a.3.d, `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.
a.3.e. Non-``space-qualified'' linear (1-dimensional) ``focal
plane arrays'' having individual elements with a peak response in
the wavelength range exceeding 3,000 nm but not exceeding 30,000 nm;
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;
Technical Note: 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.
a.3.g. Non-``space-qualified'' ``focal plane arrays'' having all
of the following:
a.3.g.1. Individual detector elements with a peak response in
the wavelength range exceeding 400 nm but not exceeding 900 nm;
a.3.g.2. ``Specially designed'' or modified to achieve `charge
multiplication' and having a maximum ``radiant sensitivity''
exceeding 10 mA/W for wavelengths exceeding 760 nm; and
a.3.g.3. Greater than 32 elements;
b. ``Monospectral imaging sensors'' and ``multispectral imaging
sensors'', designed for remote sensing applications and having any
of the following:
b.1. An Instantaneous-Field-Of-View (IFOV) of less than 200
[mu]rad (microradians); or
b.2. 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. Having any of the following characteristics:
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);
Note: 6A002.b.1 does not control ``monospectral imaging
sensors'' with a peak response in the wavelength range exceeding 300
nm but not exceeding 900 nm and only incorporating any of the
following non-``space-qualified'' detectors or non-``space-
qualified'' ``focal plane arrays'':
a. Charge Coupled Devices (CCD) not designed or modified to
achieve `charge multiplication'; or
b. Complementary Metal Oxide Semiconductor (CMOS) devices not
designed or modified to achieve `charge multiplication'.
c. `Direct view' imaging equipment incorporating any of the
following:
c.1. Image intensifier tubes having the characteristics listed
in 6A002.a.2.a or 6A002.a.2.b;
c.2. ``Focal plane arrays'' having the characteristics listed in
6A002.a.3; or
c.3. Solid state detectors specified by 6A002.a.1;
Technical Note: `Direct view' refers to imaging equipment 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 equipment as follows, when
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;
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 218K (-55[deg] C), as follows:
d.2.a. Closed cycle type with a specified Mean-Time-To-Failure
(MTTF) or Mean-Time-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.
Note: 6A002.d.3 does not apply to encapsulated optical sensing
fibers ``specially designed'' for bore hole sensing applications.
e. [Reserved]
f. `Read-Out Integrated Circuits' (`ROIC') ``specially
designed'' for ``focal plane arrays'' specified by 6A002.a.3.
Note: 6A002.f does not apply to read-out integrated circuits
``specially designed'' for civil automotive applications.
Technical Note: A `Read-Out Integrated Circuit' (`ROIC') is an
integrated circuit designed to underlie or be bonded to a ``focal
plane array'' (``FPA'') and used to read-out (i.e., extract and
register) signals produced by the detector elements. At a minimum
the `ROIC' reads the charge from the detector elements by extracting
the charge and applying a multiplexing function in a manner that
retains the relative spatial position and orientation information of
the detector elements for processing inside or outside the `ROIC'.
0
49. In supplement no. 1 to part 774, Category 6, ECCN 6A003 is revised
to read as follows:
6A003 Cameras, systems or equipment, and ``components'' therefor, as
follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, NP, RS, AT, UN
Country chart (see Supp. No.
Control(s) 1 to part 738)
NS applies to entire entry................ NS Column 2
NP applies to cameras controlled by NP Column 1
6A003.a.3 or a.4 and to plug-ins in
6A003.a.6 for cameras controlled by
6A003.a.3 or a.4.
[[Page 53779]]
RS applies to 6A003.b.3, 6A003.b.4.a, RS Column 1
6A003.b.4.c and to items controlled in
6A003.b.4.b that have a frame rate
greater than 60 Hz or that incorporate a
focal plane array with more than 111,000
elements, or to items in 6A003.b.4.b when
being exported or reexported to be
embedded in a civil product. (But see
Sec. 742.6(a)(2)(iii) and (v) of the
EAR for certain exemptions).
RS applies to items controlled in RS Column 2
6A003.b.4.b that have a frame rate of 60
Hz or less and that incorporate a focal
plane array with not more than 111,000
elements if not being exported or
reexported to be embedded in a civil
product.
AT applies to entire entry................ AT Column 1
UN applies to 6A003.b.3 and b.4........... See Sec. 746.1(b) of the
EAR for UN controls
License Requirement Note: Commodities that are not subject to
the ITAR but are of the type described in USML Category XII(c) are
controlled as cameras in ECCN 6A003 when they incorporate a camera
controlled in this ECCN.
Reporting Requirements
See Sec. 743.3 of the EAR for thermal camera reporting for exports
that are not authorized by an individually validated license of
thermal imaging cameras controlled by ECCN 6A003.b.4.b to
destinations in Country Group A:1 (see Supplement No. 1 to part 740
of the EAR), must be reported to BIS.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $1,500, except N/A for 6A003.a.3 through a.6, b.1, b.3 and b.4
GBS: N/A
CIV: N/A
Special Conditions for STA
STA: License Exception STA may not be used to ship any commodity in
6A003.b.3 or b.4 to any of the destinations listed in Country Group
A:6 (See Supplement No.1 to part 740 of the EAR).
List of Items Controlled
Related Controls: (1) See ECCNs 6E001 (``development''), 6E002
(``production''), and 6E201 (``use'') for technology for items
controlled under this entry. (2) Also see ECCN 6A203. (3) See ECCN
0A919 for foreign made military commodities that incorporate cameras
described in 6A003. (4) Section 744.9 of the EAR imposes a license
requirement on cameras described in 6A003 if being exported,
reexported, or transferred (in-country) for use by a military end-
user or for incorporation into a commodity controlled by ECCN 0A919.
(5) See USML Category XII(c) and (e) for cameras subject to the
ITAR.
Related Definitions: N/A
Items:
a. Instrumentation cameras and ``specially designed''
``components'' therefor, as follows:
Note: Instrumentation cameras, controlled by 6A003.a.3 to
6A003.a.5, with modular structures should be evaluated by their
maximum capability, using plug-ins available according to the camera
manufacturer's specifications.
a.1. [Reserved]
a.2. [Reserved]
a.3. Electronic streak cameras having temporal resolution better
than 50 ns;
a.4. Electronic framing cameras having a speed exceeding
1,000,000 frames/s;
a.5. Electronic cameras having all of the following:
a.5.a. An electronic shutter speed (gating capability) of less
than 1[mu]s per full frame; and
a.5.b. A read out time allowing a framing rate of more than 125
full frames per second;
a.6. Plug-ins having all of the following characteristics:
a.6.a. ``Specially designed'' for instrumentation cameras which
have modular structures and that are controlled by 6A003.a; and
a.6.b. Enabling these cameras to meet the characteristics
specified by 6A003.a.3, 6A003.a.4 or 6A003.a.5, according to the
manufacturer's specifications;
b. Imaging cameras as follows:
Note: 6A003.b does not control television or video cameras
``specially designed'' for television broadcasting.
b.1. Video cameras incorporating solid state sensors, having a
peak response in the wavelength range exceeding 10 nm, but not
exceeding 30,000 nm and having all of the following:
b.1.a. Having any of the following:
b.1.a.1. More than 4 x 10\6\ ``active pixels'' per solid state
array for monochrome (black and white) cameras;
b.1.a.2. More than 4 x 10\6\ ``active pixels'' per solid state
array for color cameras incorporating three solid state arrays; or
b.1.a.3. More than 12 x 10\6\ ``active pixels'' for solid state
array color cameras incorporating one solid state array; and
b.1.b. Having any of the following:
b.1.b.1. Optical mirrors controlled by 6A004.a.;
b.1.b.2. Optical control equipment controlled by 6A004.d.; or
b.1.b.3. The capability for annotating internally generated
`camera tracking data;'
Technical Notes:
1. For the purposes of this entry, digital video cameras should
be evaluated by the maximum number of ``active pixels'' used for
capturing moving images.
2. For the purpose of this entry, `camera tracking data' is the
information necessary to define camera line of sight orientation
with respect to the earth. This includes: (1) The horizontal angle
the camera line of sight makes with respect to the earth's magnetic
field direction and; (2) the vertical angle between the camera line
of sight and the earth's horizon.
b.2. Scanning cameras and scanning camera systems, having all of
the following:
b.2.a. A peak response in the wavelength range exceeding 10 nm,
but not exceeding 30,000 nm;
b.2.b. Linear detector arrays with more than 8,192 elements per
array; and
b.2.c. Mechanical scanning in one direction;
Note: 6A003.b.2 does not apply to scanning cameras and scanning
camera systems, ``specially designed'' for any of the following:
a. Industrial or civilian photocopiers;
b. Image scanners ``specially designed'' for civil, stationary,
close proximity scanning applications (e.g., reproduction of images
or print contained in documents, artwork or photographs); or
c. Medical equipment.
b.3. Imaging cameras incorporating image intensifier tubes
having the characteristics listed in 6A002.a.2.a or 6A002.a.2.b;
b.4. Imaging cameras incorporating ``focal plane arrays'' having
any of the following:
b.4.a. Incorporating ``focal plane arrays'' controlled by
6A002.a.3.a to 6A002.a.3.e;
b.4.b. Incorporating ``focal plane arrays'' controlled by
6A002.a.3.f; or
b.4.c. Incorporating ``focal plane arrays'' controlled by
6A002.a.3.g;
Note 1: Imaging cameras described in 6A003.b.4 include ``focal
plane arrays'' combined with sufficient ``signal processing''
electronics, beyond the read out integrated circuit, to enable as a
minimum the output of an analog or digital signal once power is
supplied.
Note 2: 6A003.b.4.a does not control imaging cameras
incorporating linear ``focal plane arrays'' with 12 elements or
fewer, not employing time-delay-and-integration within the element
and designed for any of the following:
a. Industrial or civilian intrusion alarm, traffic or industrial
movement control or counting systems;
b. Industrial equipment used for inspection or monitoring of
heat flows in buildings, equipment or industrial processes;
c. Industrial equipment used for inspection, sorting or analysis
of the properties of materials;
d. Equipment ``specially designed'' for laboratory use; or
e. Medical equipment.
Note 3: 6A003.b.4.b does not control imaging cameras having any
of the following:
a. A maximum frame rate equal to or less than 9 Hz;
b. Having all of the following:
[[Page 53780]]
1. Having a minimum horizontal or vertical `Instantaneous-Field
-of-View (IFOV)' of at least 10 mrad (milliradians);
2. Incorporating a fixed focal-length lens that is not designed
to be removed;
3. Not incorporating a `direct view' display; and
Technical Note: `Direct view' refers to an imaging camera
operating in the infrared spectrum that presents a visual image to a
human observer using a near-to-eye micro display incorporating any
light-security mechanism.
4. Having any of the following:
a. No facility to obtain a viewable image of the detected field-
of-view; or
b. The camera is designed for a single kind of application and
designed not to be user modified; or
Technical Note:
`Instantaneous Field of View (IFOV)' specified in Note 3.b is
the lesser figure of the `Horizontal FOV' or the `Vertical FOV.'
`Horizontal IFOV' = horizontal Field of View (FOV)/number of
horizontal detector elements
`Vertical IFOV' = vertical Field of View (FOV)/number of
vertical detector elements.
c. The camera is ``specially designed'' for installation into a
civilian passenger land vehicle and having all of the following:
1. The placement and configuration of the camera within the
vehicle are solely to assist the driver in the safe operation of the
vehicle;
2. Is operable only when installed in any of the following:
a. The civilian passenger land vehicle for which it was intended
and the vehicle weighs less than 4,500 kg (gross vehicle weight); or
b. A ``specially designed'', authorized maintenance test
facility; and
3. Incorporates an active mechanism that forces the camera not
to function when it is removed from the vehicle for which it was
intended.
Note: When necessary, details of the items will be provided,
upon request, to the Bureau of Industry and Security in order to
ascertain compliance with the conditions described in Note 3.b.4 and
Note 3.c in this Note to 6A003.b.4.b.
Note 4: 6A003.b.4.c does not apply to `imaging cameras' having
any of the following characteristics:
a. Having all of the following:
1. Where the camera is ``specially designed'' for installation
as an integrated component into indoor and wall-plug-operated
systems or equipment, limited by design for a single kind of
application, as follows:
a. Industrial process monitoring, quality control, or analysis
of the properties of materials;
b. Laboratory equipment ``specially designed'' for scientific
research;
c. Medical equipment;
d. Financial fraud detection equipment; and
2. Is only operable when installed in any of the following:
a. The system(s) or equipment for which it was intended; or
b. A ``specially designed'', authorized maintenance facility;
and
3. Incorporates an active mechanism that forces the camera not
to function when it is removed from the system(s) or equipment for
which it was intended;
b. Where the camera is ``specially designed'' for installation
into a civilian passenger land vehicle or passenger and vehicle
ferries and having all of the following:
1. The placement and configuration of the camera within the
vehicle or ferry are solely to assist the driver or operator in the
safe operation of the vehicle or ferry;
2. Is only operable when installed in any of the following:
a. The civilian passenger land vehicle for which it was intended
and the vehicle weighs less than 4,500 kg (gross vehicle weight);
b. The passenger and vehicle ferry for which it was intended and
having a length overall (LOA) 65 m or greater; or
c. A ``specially designed'', authorized maintenance test
facility; and
3. Incorporates an active mechanism that forces the camera not
to function when it is removed from the vehicle for which it was
intended;
c. Limited by design to have a maximum ``radiant sensitivity''
of 10 mA/W or less for wavelengths exceeding 760 nm, having all of
the following:
1. Incorporating a response limiting mechanism designed not to
be removed or modified; and
2. Incorporates an active mechanism that forces the camera not
to function when the response limiting mechanism is removed; and
3. Not ``specially designed'' or modified for underwater use; or
d. Having all of the following:
1. Not incorporating a `direct view' or electronic image
display;
2. Has no facility to output a viewable image of the detected
field of view;
3. The ``focal plane array'' is only operable when installed in
the camera for which it was intended; and
4. The ``focal plane array'' incorporates an active mechanism
that forces it to be permanently inoperable when removed from the
camera for which it was intended.
Note: When necessary, details of the item will be provided, upon
request, to the Bureau of Industry and Security in order to
ascertain compliance with the conditions described in Note 4 above.
b.5. Imaging cameras incorporating solid-state detectors
specified by 6A002.a.1.
0
50. In supplement no. 1 to part 774, Category 6, ECCN 6A004 is revised
to read as follows:
6A004 Optical equipment and ``components'', as follows (see List of
Items Controlled).
License Requirements
Reason for Control: NS, AT
Country chart (see Supp. No.
Control(s) 1 to part 738)
NS applies to entire entry................ NS Column 2
AT applies to entire entry................ AT Column 1
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for exports
under License Exceptions, and Validated End-User authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $3,000
GBS: Yes for 6A004.a.1, a.2, a.4, .b, d.2, and .f.
CIV: Yes for 6A004.a.1, a.2, a.4, .b, d.2, and .f.
Special Conditions for STA
STA: Paragraph (c)(2) of License Exception STA may not be used to
ship any commodity in 6A004.c or .d to any of the destinations
listed in Country Group A:6 (See Supplement No.1 to part 740 of the
EAR).
List of Items Controlled
Related Controls: (1) For optical mirrors or `aspheric optical
elements' ``specially designed'' for lithography ``equipment'', see
ECCN 3B001. (2) See USML Category XII(e) for gimbals ``subject to
the ITAR''. (3) See also 6A994.
Related Definitions: An `aspheric optical element' is any element
used in an optical system whose imaging surface or surfaces are
designed to depart from the shape of an ideal sphere.
Items:
a. Optical mirrors (reflectors) as follows:
Technical Note: For the purpose of 6A004.a, Laser Induced Damage
Threshold (LIDT) is measured according to ISO 21254-1:2011.
a.1. `Deformable mirrors' having an active optical aperture
greater than 10 mm and having any of the following, and specially
designed components therefor:
a.1.a. Having all the following:
a.1.a.1. A mechanical resonant frequency of 750 Hz or more; and
a.1.a.2. More than 200 actuators; or
a.1.b. A Laser Induced Damage Threshold (LIDT) being any of the
following:
a.1.b.1. Greater than 1 kW/cm\2\ using a ``CW laser''; or
a.1.b.2. Greater than 2 J/cm\2\ using 20 ns ``laser'' pulses at
20 Hz repetition rate;
Technical Note: `Deformable mirrors' are mirrors having any of
the following:
a. A single continuous optical reflecting surface which is
dynamically deformed by the application of individual torques or
forces to compensate for distortions in the optical waveform
incident upon the mirror; or
b. Multiple optical reflecting elements that can be individually
and dynamically repositioned by the application of torques or forces
to compensate for distortions in the optical waveform incident upon
the mirror.
[[Page 53781]]
`Deformable mirrors' are also known as adaptive optic mirrors.
a.2. Lightweight monolithic mirrors having an average
``equivalent density'' of less than 30 kg/m\2\ and a total mass
exceeding 10 kg;
a.3. Lightweight ``composite'' or foam mirror structures having
an average ``equivalent density'' of less than 30 kg/m\2\ and a
total mass exceeding 2 kg;
Note: 6A004.a.2 and 6A004.a.3 do not apply to mirrors
``specially designed'' to direct solar radiation for terrestrial
heliostat installations.
a.4. Mirrors specially designed for beam steering mirror stages
specified in 6A004.d.2.a with a flatness of [lambda]/10 or better
([lambda] is equal to 633 nm) and having any of the following:
a.4.a. Diameter or major axis length greater than or equal to
100 mm; or
a.4.b. Having all of the following:
a.4.b.1. Diameter or major axis length greater than 50 mm but
less than 100 mm; and
a.4.b.2. A Laser Induced Damage Threshold (LIDT) being any of
the following:
a.4.b.2.a. Greater than 10 kW/cm2 using a ``CW laser''; or
a.4.b.2.b. Greater than 20 J/cm2 using 20 ns ``laser'' pulses at
20 Hz repetition rate;
N.B. For optical mirrors specially designed for lithography
equipment, see 3B001.
b. Optical ``components'' made from zinc selenide (ZnSe) or zinc
sulphide (ZnS) with transmission in the wavelength range exceeding
3,000 nm but not exceeding 25,000 nm and having any of the
following:
b.1. Exceeding 100 cm\3\ in volume; or
b.2. Exceeding 80 mm in diameter or length of major axis and 20
mm in thickness (depth);
c. ``Space-qualified'' ``components'' for optical systems, as
follows:
c.1. ``Components'' lightweighted to less than 20% ``equivalent
density'' compared with a solid blank of the same aperture and
thickness;
c.2. Raw substrates, processed substrates having surface
coatings (single-layer or multi-layer, metallic or dielectric,
conducting, semiconducting or insulating) or having protective
films;
c.3. Segments or assemblies of mirrors designed to be assembled
in space into an optical system with a collecting aperture
equivalent to or larger than a single optic 1 m in diameter;
c.4. ``Components'' manufactured from ``composite'' materials
having a coefficient of linear thermal expansion equal to or less
than 5 x 10-6 in any coordinate direction;
d. Optical control equipment as follows:
d.1. Equipment ``specially designed'' to maintain the surface
figure or orientation of the ``space-qualified'' ``components''
controlled by 6A004.c.1 or 6A004.c.3;
d.2. Steering, tracking, stabilisation and resonator alignment
equipment as follows:
d.2.a. Beam steering mirror stages designed to carry mirrors
having diameter or major axis length greater than 50 mm and having
all of the following, and specially designed electronic control
equipment therefor:
d.2.a.1. A maximum angular travel of 26 mrad or
more;
d.2.a.2. A mechanical resonant frequency of 500 Hz or more; and
d.2.a.3. An angular ``accuracy'' of 10 [mu]rad (microradians) or
less (better);
d.2.b. Resonator alignment equipment having bandwidths equal to
or more than 100 Hz and an ``accuracy'' of 10 [mu]rad or less
(better);
d.3. Gimbals having all of the following:
d.3.a. A maximum slew exceeding 5[deg];
d.3.b. A bandwidth of 100 Hz or more;
d.3.c. Angular pointing errors of 200 [mu]rad (microradians) or
less; and
d.3.d. Having any of the following:
d.3.d.1. Exceeding 0.15 m but not exceeding 1 m in diameter or
major axis length and capable of angular accelerations exceeding 2
rad (radians)/s\2\; or
d.3.d.2. Exceeding 1 m in diameter or major axis length and
capable of angular accelerations exceeding 0.5 rad (radians)/s\2\;
d.4. [Reserved]
e. `Aspheric optical elements' having all of the following:
e.1. Largest dimension of the optical-aperture greater than 400
mm;
e.2. Surface roughness less than 1 nm (rms) for sampling lengths
equal to or greater than 1 mm; and
e.3. Coefficient of linear thermal expansion's absolute
magnitude less than 3 x 10-6/K at 25 [deg]C;
Technical Note:
1. [See Related Definitions section of this ECCN]
2. Manufacturers are not required to measure the surface
roughness listed in 6A004.e.2 unless the optical element was
designed or manufactured with the intent to meet, or exceed, the
control parameter.
Note: 6A004.e does not control `aspheric optical elements'
having any of the following:
a. Largest optical-aperture dimension less than 1 m and focal
length to aperture ratio equal to or greater than 4.5:1;
b. Largest optical-aperture dimension equal to or greater than 1
m and focal length to aperture ratio equal to or greater than 7:1;
c. Designed as Fresnel, flyeye, stripe, prism or diffractive
optical elements;
d. Fabricated from borosilicate glass having a coefficient of
linear thermal expansion greater than 2.5 x 10-6/K at 25
[deg]C; or
e. An x-ray optical element having inner mirror capabilities
(e.g., tube-type mirrors).
f. Dynamic wavefront measuring equipment having all of the
following:
f.1. `Frame rates' equal to or more than 1 kHz; and
f.2. A wavefront accuracy equal to or less (better) than
[lambda]/20 at the designed wavelength.
Technical Note: For the purposes of 6A004.f, `frame rate' is a
frequency at which all ``active pixels'' in the ``focal plane
array'' are integrated for recording images projected by the
wavefront sensor optics.
0
51. In supplement no. 1 to part 774, Category 6, ECCN 6A005 is revised
to read as follows:
6A005 ``Lasers'', ``components'' and optical equipment, as follows
(see List of Items Controlled), excluding items that are subject to
the export licensing authority of the Nuclear Regulatory Commission
(see 10 CFR part 110).
License Requirements
Reason for Control: NS, NP, AT
Country chart (see Supp. No.
Control(s) 1 to part 738)
NS applies to entire entry................ NS Column 2
NP applies to lasers controlled by NP Column 1
6A005.a.2, a.3, a.4, b.2.b, b.3, b.4,
b.6.c, c.1.b, c.2.b, d.2, d.3.c, or d.4.c
that meet or exceed the technical
parameters described in 6A205.
AT applies to entire entry................ AT Column 1
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A for NP items; $3,000 for all other items
GBS: Neodymium-doped (other than glass) ``lasers'' controlled by
6A005.b.6.d.2 (except 6A005.b.6.d.2.b) that have an output
wavelength exceeding 1,000 nm, but not exceeding 1,100 nm, and an
average or CW output power not exceeding 2kW, and operate in a
pulse-excited, non-``Q-switched'' multiple-transverse mode, or in a
continuously excited, multiple-transverse mode; Dye and Liquid
Lasers controlled by 6A005.c.1, c.2 and c.3, except for a pulsed
single longitudinal mode oscillator having an average output power
exceeding 1 W and a repetition rate exceeding 1 kHz if the ``pulse
duration'' is less than 100 ns; CO ``lasers'' controlled by
6A005.d.2 having a CW maximum rated single or multimode output power
not exceeding 10 kW; CO2 or CO/CO2 ``lasers''
controlled by 6A005.d.3 having an output wavelength in the range
from 9,000 to 11,000 nm and having a pulsed output not exceeding 2 J
per pulse and a maximum rated average single or multimode output
power not exceeding 5 kW; CO2 ``lasers'' controlled by
6A005.d.3 that operate in CW multiple-transverse mode, and having a
CW output power not exceeding 15kW.
CIV: Neodymium-doped (other than glass) ``lasers'' controlled by
6A005.b.6.d.2 (except 6A005.b.6.d.2.b) that have an output
wavelength exceeding 1,000 nm, but not exceeding 1,100 nm, and an
average or CW output power not exceeding 2kW, and operate in a
pulse-excited, non-``Q-switched'' multiple-transverse mode, or in a
continuously excited, multiple-transverse mode; Dye and Liquid
Lasers controlled by 6A005.c.1, c.2 and c.3, except for a pulsed
single longitudinal mode oscillator having an average output power
exceeding 1 W and a repetition rate exceeding 1 kHz if the ``pulse
duration'' is less than 100 ns; CO ``lasers'' controlled by
6A005.d.2 having a CW maximum rated single or multimode output power
not exceeding 10 kW; CO2 or CO/CO2 ``lasers''
controlled by 6A005.d.3 having an output wavelength in the range
from 9,000 to 11,000 nm and having a pulsed output not
[[Page 53782]]
exceeding 2 J per pulse and a maximum rated average single or
multimode output power not exceeding 5 kW; CO2 ``lasers''
controlled by 6A005.d.3 that operate in CW multiple-transverse mode,
and having a CW output power not exceeding 15kW.
List of Items Controlled
Related Controls: (1) See ECCN 6D001 for ``software'' for items
controlled under this entry. (2) See ECCNs 6E001 (``development''),
6E002 (``production''), and 6E201 (``use'') for technology for items
controlled under this entry. (3) Also see ECCNs 6A205 and 6A995. (4)
See ECCN 3B001 for excimer ``lasers'' ``specially designed'' for
lithography equipment. (5) ``Lasers'' ``specially designed'' or
prepared for use in isotope separation are subject to the export
licensing authority of the Nuclear Regulatory Commission (see 10 CFR
part 110). (6) See USML Category XII(b) and (e) for laser systems or
lasers subject to the ITAR. (7) See USML Category XVIII for certain
laser-based directed energy weapon systems, equipment, and
components subject to the ITAR.
Related Definitions: (1) `Wall-plug efficiency' is defined as the
ratio of ``laser'' output power (or ``average output power'') to
total electrical input power required to operate the ``laser'',
including the power supply/conditioning and thermal conditioning/
heat exchanger, see 6A005.a.6.b.1 and 6A005.b.6; (2) `Non-repetitive
pulsed' refers to ``lasers'' that produce either a single output
pulse or that have a time interval between pulses exceeding one
minute, see Note 2 of 6A005 and 6A005.d.6.
Items:
Note:
1. Pulsed ``lasers'' include those that run in a continuous wave
(CW) mode with pulses superimposed.
2. Excimer, semiconductor, chemical, CO, CO2, and
`non-repetitive pulsed' Nd:glass ``lasers'' are only specified by
6A005.d.
Technical Note: `Non-repetitive pulsed' refers to ``lasers''
that produce either a single output pulse or that have a time
interval between pulses exceeding one minute.
3. 6A005 includes fiber ``lasers''.
4. The control status of ``lasers'' incorporating frequency
conversion (i.e., wavelength change) by means other than one
``laser'' pumping another ``laser'' is determined by applying the
control parameters for both the output of the source ``laser'' and
the frequency-converted optical output.
5. 6A005 does not control ``lasers'' as follows:
a. Ruby with output energy below 20 J;
b. Nitrogen;
c. Krypton.
a. Non-``tunable'' continuous wave ``(CW) lasers'' having any of
the following:
a.1. Output wavelength less than 150 nm and output power
exceeding 1W;
a.2. Output wavelength of 150 nm or more but not exceeding 510
nm and output power exceeding 30 W;
Note: 6A005.a.2 does not control Argon ``lasers'' having an
output power equal to or less than 50 W.
a.3. Output wavelength exceeding 510 nm but not exceeding 540 nm
and any of the following:
a.3.a. Single transverse mode output and output power exceeding
50 W; or
a.3.b. Multiple transverse mode output and output power
exceeding 150 W;
a.4. Output wavelength exceeding 540 nm but not exceeding 800 nm
and output power exceeding 30 W;
a.5. Output wavelength exceeding 800 nm but not exceeding 975 nm
and any of the following:
a.5.a. Single transverse mode output and output power exceeding
50 W; or
a.5.b. Multiple transverse mode output and output power
exceeding 80 W;
a.6. Output wavelength exceeding 975 nm but not exceeding 1,150
nm and any of the following;
a.6.a. Single transverse mode output and output power exceeding
500 W; or
a.6.b. Multiple transverse mode output and any of the following:
a.6.b.1. `Wall-plug efficiency' exceeding 18% and output power
exceeding 500 W; or
a.6.b.2. Output power exceeding 2 kW;
Note 1: 6A005.a.6.b does not control multiple transverse mode,
industrial ``lasers'' with output power exceeding 2kW and not
exceeding 6 kW with a total mass greater than 1,200 kg. For the
purpose of this note, total mass includes all ``components''
required to operate the ``laser'', e.g., ``laser'', power supply,
heat exchanger, but excludes external optics for beam conditioning
or delivery.
Note 2: 6A005.a.6.b does not apply to multiple transverse mode,
industrial ``lasers'' having any of the following:
a. Output power exceeding 500 W but not exceeding 1 kW and
having all of the following:
1. Beam Parameter Product (BPP) exceeding 0.7 mmmrad;
and
2. `Brightness' not exceeding 1024 W/(mmmrad)\2\;
b. Output power exceeding 1 kW but not exceeding 1.6 kW and
having a BPP exceeding 1.25 mmmrad;
c. Output power exceeding 1.6 kW but not exceeding 2.5 kW and
having a BPP exceeding 1.7 mmmrad;
d. Output power exceeding 2.5 kW but not exceeding 3.3 kW and
having a BPP exceeding 2.5 mmmrad;
e. Output power exceeding 3.3 kW but not exceeding 4 kW and
having a BPP exceeding 3.5 mmmrad;
f. Output power exceeding 4 kW but not exceeding 5 kW and
having a BPP exceeding 5 mmmrad;
g. Output power exceeding 5 kW but not exceeding 6 kW and
having a BPP exceeding 7.2 mmmrad;
h. Output power exceeding 6 kW but not exceeding 8 kW and
having a BPP exceeding 12 mmmrad; or
i. Output power exceeding 8 kW but not exceeding 10 kW and
having a BPP exceeding 24 mmmrad;
Technical Note: For the purpose of 6A005.a.6.b, Note 2 (a)(2),
`brightness' is defined as the output power of the ``laser'' divided
by the squared Beam Parameter Product (BPP), i.e., (output power)/
BPP\2\.
a.7. Output wavelength exceeding 1,150 nm but not exceeding
1,555 nm and any of the following:
a.7.a. Single transverse mode and output power exceeding 50 W;
or
a.7.b. Multiple transverse mode and output power exceeding 80 W;
a.8. Output wavelength exceeding 1,555 nm but not exceeding
1,850 nm and output power exceeding 1 W;
a.9. Output wavelength exceeding 1,850 nm but not exceeding
2,100 nm, and any of the following:
a.9.a. Single transverse mode and output power exceeding 1 W; or
a.9. b. Multiple transverse mode output and output power
exceeding 120 W; or
a.10. Output wavelength exceeding 2,100 nm and output power
exceeding 1 W;
b. Non-``tunable'' ``pulsed lasers'' having any of the
following:
b.1. Output wavelength less than 150 nm and any of the
following:
b.1.a. Output energy exceeding 50 mJ per pulse and ``peak
power'' exceeding 1 W; or
b.1.b. ``Average output power'' exceeding 1 W;
b.2. Output wavelength of 150 nm or more but not exceeding 510
nm and any of the following:
b.2.a. Output energy exceeding 1.5 J per pulse and ``peak
power'' exceeding 30 W; or
b.2.b. ``Average output power'' exceeding 30 W;
Note: 6A005.b.2.b does not control Argon ``lasers'' having an
``average output power'' equal to or less than 50 W.
b.3. Output wavelength exceeding 510 nm, but not exceeding 540
nm and any of the following:
b.3.a. Single transverse mode output and any of the following:
b.3.a.1. Output energy exceeding 1.5 J per pulse and ``peak
power'' exceeding 50 W; or
b.3.a.2. ``Average output power'' exceeding 50 W; or
b.3.b. Multiple transverse mode output and any of the following:
b.3.b.1. Output energy exceeding 1.5 J per pulse and ``peak
power'' exceeding 150 W; or
b.3.b.2. ``Average output power'' exceeding 150 W;
b.4. Output wavelength exceeding 540 nm but not exceeding 800 nm
and any of the following:
b.4.a. ``Pulse duration'' less than 1 ps and any of the
following:
b.4.a.1. Output energy exceeding 0.005 J per pulse and ``peak
power'' exceeding 5 GW; or
b.4.a.2. ``Average output power'' exceeding 20 W; or
b.4.b. ``Pulse duration'' equal to or exceeding 1 ps and any of
the following:
b.4.b.1. Output energy exceeding 1.5 J per pulse and ``peak
power'' exceeding 30 W; or
b.4.b.2. ``Average output power'' exceeding 30 W;
b.5. Output wavelength exceeding 800 nm but not exceeding 975 nm
and any of the following:
b.5.a. ``Pulse duration'' less than 1ps and any of the
following:
b.5.a.1. Output energy exceeding 0.005 J per pulse and ``peak
power'' exceeding 5 GW; or
[[Page 53783]]
b.5.a.2. Single transverse mode output and ``average output
power'' exceeding 20 W;
b.5.b. ``Pulse duration'' equal to or exceeding 1 ps and not
exceeding 1 [mu]s and any of the following:
b.5.b.1. Output energy exceeding 0.5 J per pulse and ``peak
power'' exceeding 50 W;
b.5.b.2. Single transverse mode output and ``average output
power'' exceeding 20 W; or
b.5.b.3. Multiple transverse mode output and ``average output
power'' exceeding 50 W; or
b.5.c. ``Pulse duration'' exceeding 1 [mu]s and any of the
following:
b.5.c.1. Output energy exceeding 2 J per pulse and ``peak
power'' exceeding 50 W;
b.5.c.2. Single transverse mode output and ``average output
power'' exceeding 50 W; or
b.5.c.3. Multiple transverse mode output and ``average output
power'' exceeding 80 W.
b.6. Output wavelength exceeding 975 nm but not exceeding 1,150
nm and any of the following:
b.6.a. ``Pulse duration'' of less than 1 ps, and any of the
following:
b.6.a.1. Output ``peak power'' exceeding 2 GW per pulse;
b.6.a.2. ``Average output power'' exceeding 30 W; or
b.6.a.3. Output energy exceeding 0.002 J per pulse;
b.6.b. ``Pulse duration'' equal to or exceeding 1 ps and less
than 1 ns, and any of the following:
b.6.b.1. Output ``peak power'' exceeding 5 GW per pulse;
b.6.b.2. ``Average output power'' exceeding 50 W; or
b.6.b.3. Output energy exceeding 0.1 J per pulse;
b.6.c. ``Pulse duration'' equal to or exceeding 1 ns but not
exceeding 1 [mu]s and any of the following:
b.6.c.1. Single transverse mode output and any of the following:
b.6.c.1.a. ``Peak power'' exceeding 100 MW;
b.6.c.1.b. ``Average output power'' exceeding 20 W limited by
design to a maximum pulse repetition frequency less than or equal to
1 kHz;
b.6.c.1.c. `Wall-plug efficiency' exceeding 12%, ``average
output power'' exceeding 100 W and capable of operating at a pulse
repetition frequency greater than 1 kHz;
b.6.c.1.d. ``Average output power'' exceeding 150 W and capable
of operating at a pulse repetition frequency greater than 1 kHz; or
b.6.c.1.e. Output energy exceeding 2 J per pulse; or
b.6.c.2. Multiple transverse mode output and any of the
following:
b.6.c.2.a. ``Peak power'' exceeding 400 MW;
b.6.c.2.b. `Wall-plug efficiency' exceeding 18% and ``average
output power'' exceeding 500 W;
b.6.c.2.c. ``Average output power'' exceeding 2 kW; or
b.6.c.2.d. Output energy exceeding 4 J per pulse; or
b.6.d. ``Pulse duration'' exceeding 1 [mu]s and any of the
following:
b.6.d.1. Single transverse mode output and any of the following:
b.6.d.1.a. ``Peak power'' exceeding 500 kW;
b.6.d.1.b. `Wall-plug efficiency' exceeding 12% and ``average
output power'' exceeding 100 W; or
b.6.d.1.c. ``Average output power'' exceeding 150 W; or
b.6.d.2. Multiple transverse mode output and any of the
following:
b.6.d.2.a. ``Peak power'' exceeding 1 MW;
b.6.d.2.b. `Wall-plug efficiency' exceeding 18% and ``average
output power'' exceeding 500 W; or
b.6.d.2.c. ``Average output power'' exceeding 2 kW;
b.7. Output wavelength exceeding 1,150 nm but not exceeding
1,555 nm and any of the following:
b.7.a. ``Pulse duration'' not exceeding 1 [mu]s and any of the
following:
b.7.a.1. Output energy exceeding 0.5 J per pulse and ``peak
power'' exceeding 50 W;
b.7.a.2. Single transverse mode output and ``average output
power'' exceeding 20 W; or
b.7.a.3. Multiple transverse mode output and ``average output
power'' exceeding 50 W; or
b.7.b. ``Pulse duration'' exceeding 1 [mu]s and any of the
following:
b.7.b.1. Output energy exceeding 2 J per pulse and ``peak
power'' exceeding 50 W;
b.7.b.2. Single transverse mode output and ``average output
power'' exceeding 50 W; or
b.7.b.3. Multiple transverse mode output and ``average output
power'' exceeding 80 W;
b.8. Output wavelength exceeding 1,555 nm but not exceeding
1,850 nm, and any of the following:
b.8.a. Output energy exceeding 100 mJ per pulse and ``peak
power'' exceeding 1 W; or
b.8.b. ``Average output power'' exceeding 1 W;
b.9. Output wavelength exceeding 1,850 nm but not exceeding
2,100 nm, and any of the following:
b.9.a. Single transverse mode and any of the following:
b.9.a.1. Output energy exceeding 100 mJ per pulse and ``peak
power'' exceeding 1 W; or
b.9.a.2. ``Average output power'' exceeding 1 W;
b.9.b. Multiple transverse mode and any of the following:
b.9.b.1. Output energy exceeding 100 mJ per pulse and ``peak
power'' exceeding 10 kW; or
b.9.b.2. ``Average output power'' exceeding 120 W; or
b.10. Output wavelength exceeding 2,100 nm and any of the
following:
b.10.a. Output energy exceeding 100 mJ per pulse and ``peak
power'' exceeding 1 W; or
b.10.b. ``Average output power'' exceeding 1 W;
c. ``Tunable'' lasers having any of the following:
c.1. Output wavelength less than 600 nm and any of the
following:
c.1.a. Output energy exceeding 50 mJ per pulse and ``peak
power'' exceeding 1 W; or
c.1.b. Average or CW output power exceeding 1W;
Note: 6A005.c.1 does not apply to dye ``lasers'' or other liquid
``lasers'', having a multimode output and a wavelength of 150 nm or
more but not exceeding 600 nm and all of the following:
1. Output energy less than 1.5 J per pulse or a ``peak power''
less than 20 W; and
2. Average or CW output power less than 20 W.
c.2. Output wavelength of 600 nm or more but not exceeding 1,400
nm, and any of the following:
c.2.a. Output energy exceeding 1 J per pulse and ``peak power''
exceeding 20 W; or
c.2.b. Average or CW output power exceeding 20 W; or
c.3. Output wavelength exceeding 1,400 nm and any of the
following:
c.3.a. Output energy exceeding 50 mJ per pulse and ``peak
power'' exceeding 1 W; or
c.3.b. Average or CW output power exceeding 1 W;
d. Other ``lasers'', not controlled by 6A005.a, 6A005.b, or
6A005.c as follows:
d.1. Semiconductor ``lasers'' as follows:
Note:
1. 6A005.d.1 includes semiconductor ``lasers'' having optical
output connectors (e.g., fiber optic pigtails).
2. The control status of semiconductor ``lasers'' ``specially
designed'' for other equipment is determined by the control status
of the other equipment.
d.1.a. Individual single transverse mode semiconductor
``lasers'' having any of the following:
d.1.a.1. Wavelength equal to or less than 1,510 nm and average
or CW output power, exceeding 1.5 W; or
d.1.a.2. Wavelength greater than 1,510 nm and average or CW
output power, exceeding 500 mW;
d.1.b. Individual, multiple-transverse mode semiconductor
``lasers'' having any of the following:
d.1.b.1. Wavelength of less than 1,400 nm and average or CW
output power, exceeding 15 W;
d.1.b.2. Wavelength equal to or greater than 1,400 nm and less
than 1,900 nm and average or CW output power, exceeding 2.5 W; or
d.1.b.3. Wavelength equal to or greater than 1,900 nm and
average or CW output power, exceeding 1 W;
d.1.c. Individual semiconductor ``laser'' `bars' having any of
the following:
d.1.c.1. Wavelength of less than 1,400 nm and average or CW
output power, exceeding 100 W;
d.1.c.2. Wavelength equal to or greater than 1,400 nm and less
than 1,900 nm and average or CW output power, exceeding 25 W; or
d.1.c.3. Wavelength equal to or greater than 1,900 nm and
average or CW output power, exceeding 10 W;
d.1.d. Semiconductor ``laser'' `stacked arrays' (two dimensional
arrays) having any of the following:
d.1.d.1. Wavelength less than 1,400 nm and having any of the
following:
d.1.d.1.a. Average or CW total output power less than 3 kW and
having average or CW output `power density' greater than 500 W/
cm\2\;
d.1.d.1.b. Average or CW total output power equal to or
exceeding 3 kW but less than or equal to 5 kW, and having average or
CW output `power density' greater than 350W/cm\2\;
d.1.d.1.c. Average or CW total output power exceeding 5 kW;
[[Page 53784]]
d.1.d.1.d. Peak pulsed `power density' exceeding 2,500 W/cm\2\;
or
Note: 6A005.d.1.d.1.d does not apply to epitaxially-fabricated
monolithic devices.
d.1.d.1.e. Spatially coherent average or CW total output power,
greater than 150 W;
d.1.d.2. Wavelength greater than or equal to 1,400 nm but less
than 1,900 nm, and having any of the following:
d.1.d.2.a. Average or CW total output power less than 250 W and
average or CW output `power density' greater than 150 W/cm\2\;
d.1.d.2.b. Average or CW total output power equal to or
exceeding 250 W but less than or equal to 500 W, and having average
or CW output `power density' greater than 50W/cm\2\;
d.1.d.2.c. Average or CW total output power exceeding 500 W;
d.1.d.2.d. Peak pulsed `power density' exceeding 500 W/cm\2\; or
Note: 6A005.d.1.d.2.d does not apply to epitaxially-fabricated
monolithic devices.
d.1.d.2.e. Spatially coherent average or CW total output power,
exceeding 15 W;
d.1.d.3. Wavelength greater than or equal to 1,900 nm and having
any of the following:
d.1.d.3.a. Average or CW output `power density' greater than 50
W/cm\2\;
d.1.d.3.b. Average or CW output power greater than 10 W; or
d.1.d.3.c. Spatially coherent average or CW total output power,
exceeding 1.5 W; or
d.1.d.4. At least one ``laser'' `bar' specified by 6A005.d.1.c;
Technical Note: For the purposes of 6A005.d.1.d, `power density'
means the total ``laser'' output power divided by the emitter
surface area of the `stacked array.'
d.1.e. Semiconductor ``laser'' `stacked arrays,' other than
those specified by 6.A005.d.1.d., having all of the following:
d.1.e.1. ``Specially designed'' or modified to be combined with
other `stacked arrays' to form a larger `stacked array;' and
d.1.e.2. Integrated connections, common for both electronics and
cooling;
Note 1: `Stacked arrays,' formed by combining semiconductor
``laser'' `stacked arrays' specified by 6A005.d.1.e, that are not
designed to be further combined or modified are specified by
6A005.d.1.d.
Note 2: `Stacked arrays,' formed by combining semiconductor
``laser'' `stacked arrays' specified by 6A005.d.1.e, that are
designed to be further combined or modified are specified by
6A005.d.1.e.
Note 3: 6A005.d.1.e does not apply to modular assemblies of
single `bars' designed to be fabricated into end to end stacked
linear arrays.
Technical Notes:
1. Semiconductor ``lasers'' are commonly called ``laser''
diodes.
2. A `bar' (also called a semiconductor ``laser'' `bar,' a
``laser'' diode `bar' or diode `bar') consists of multiple
semiconductor ``lasers'' in a one dimensional array.
3. A `stacked array' consists of multiple `bars' forming a two
dimensional array of semiconductor ``lasers''.
d.2. Carbon monoxide (CO) ``lasers'' having any of the
following:
d.2.a. Output energy exceeding 2 J per pulse and ``peak power''
exceeding 5 kW; or
d.2.b. Average or CW output power, exceeding 5 kW;
d.3. Carbon dioxide (CO2) ``lasers'' having any of
the following:
d.3.a. CW output power exceeding 15 kW;
d.3.b. Pulsed output with ``pulse duration'' exceeding 10 [mu]s
and any of the following:
d.3.b.1. ``Average output power'' exceeding 10 kW; or
d.3.b.2. ``Peak power'' exceeding 100 kW; or
d.3.c. Pulsed output with a ``pulse duration'' equal to or less
than 10 [mu]s and any of the following:
d.3.c.1. Pulse energy exceeding 5 J per pulse; or
d.3.c.2. ``Average output power'' exceeding 2.5 kW;
d.4. Excimer ``lasers'' having any of the following:
d.4.a. Output wavelength not exceeding 150 nm and any of the
following:
d.4.a.1. Output energy exceeding 50 mJ per pulse; or
d.4.a.2. ``Average output power'' exceeding 1 W;
d.4.b. Output wavelength exceeding 150 nm but not exceeding 190
nm and any of the following:
d.4.b.1. Output energy exceeding 1.5 J per pulse; or
d.4.b.2. ``Average output power'' exceeding 120 W;
d.4.c. Output wavelength exceeding 190 nm but not exceeding 360
nm and any of the following:
d.4.c.1. Output energy exceeding 10 J per pulse; or
d.4.c.2. ``Average output power'' exceeding 500 W; or
d.4.d. Output wavelength exceeding 360 nm and any of the
following:
d.4.d.1. Output energy exceeding 1.5 J per pulse; or
d.4.d.2. ``Average output power'' exceeding 30 W;
Note: For excimer ``lasers'' ``specially designed'' for
lithography equipment, see 3B001.
d.5. ``Chemical lasers'' as follows:
d.5.a. Hydrogen Fluoride (HF) ``lasers'';
d.5.b. Deuterium Fluoride (DF) ``lasers'';
d.5.c. `Transfer lasers' as follows:
d.5.c.1. Oxygen Iodine (O2-I) ``lasers'';
d.5.c.2. Deuterium Fluoride-Carbon dioxide (DF-CO2)
``lasers'';
Technical Note: `Transfer lasers' are ``lasers'' in which the
lasing species are excited through the transfer of energy by
collision of a non-lasing atom or molecule with a lasing atom or
molecule species.
d.6. `Non-repetitive pulsed' Neodymium (Nd) glass ``lasers''
having any of the following:
d.6.a. A ``pulse duration'' not exceeding 1 [mu]s and output
energy exceeding 50 J per pulse; or
d.6.b. A ``pulse duration'' exceeding 1 [mu]s and output energy
exceeding 100 J per pulse;
e. ``Components'' as follows:
e.1. Mirrors cooled either by `active cooling' or by heat pipe
cooling;
Technical Note: `Active cooling' is a cooling technique for
optical ``components'' using flowing fluids within the subsurface
(nominally less than 1 mm below the optical surface) of the optical
component to remove heat from the optic.
e.2. Optical mirrors or transmissive or partially transmissive
optical or electro-optical ``components'', other than fused tapered
fiber combiners and Multi-Layer Dielectric gratings (MLDs),
``specially designed'' for use with controlled ``lasers'';
Note to 6A005.e.2: Fiber combiners and MLDs are specified by
6A005.e.3.
e.3. Fiber ``laser'' ``components'' as follows:
e.3.a. Multimode to multimode fused tapered fiber combiners
having all of the following:
e.3.a.1. An insertion loss better (less) than or equal to 0.3 dB
maintained at a rated total average or CW output power (excluding
output power transmitted through the single mode core if present)
exceeding 1,000 W; and
e.3.a.2. Number of input fibers equal to or greater than 3;
e.3.b. Single mode to multimode fused tapered fiber combiners
having all of the following:
e.3.b.1. An insertion loss better (less) than 0.5 dB maintained
at a rated total average or CW output power exceeding 4,600 W;
e.3.b.2. Number of input fibers equal to or greater than 3; and
e.3.b.3. Having any of the following:
e.3.b.3.a. A Beam Parameter Product (BPP) measured at the output
not exceeding 1.5 mm mrad for a number of input fibers less than or
equal to 5; or
e.3.b.3.b. A BPP measured at the output not exceeding 2.5 mm
mrad for a number of input fibers greater than 5;
e.3.c. MLDs having all of the following:
e.3.c.1. Designed for spectral or coherent beam combination of 5
or more fiber ``lasers''; and
e.3.c.2. CW ``Laser'' Induced Damage Threshold (LIDT) greater
than or equal to 10 kW/cm\2\;
f. Optical equipment as follows:
N.B.: For shared aperture optical elements, capable of operating
in ``Super-High Power Laser'' (``SHPL'') applications, see the U.S.
Munitions List (22 CFR part 121).
f.1. [Reserved]
N.B.: For items previously specified by 6A005.f.1, see 6A004.f.
f.2. ``Laser'' diagnostic equipment ``specially designed'' for
dynamic measurement of ``SHPL'' system angular beam steering errors
and having an angular ``accuracy'' of 10 [mu]rad (microradians) or
less (better);
f.3. Optical equipment and ``components'', ``specially
designed'' for coherent beam combination in a phased-array ``SHPL''
system and having any of the following:
f.3.a. An ``accuracy'' of 0.1 [micro]m or less, for wavelengths
greater than 1 [micro]m; or
f.3.b. An ``accuracy'' of [lambda]/10 or less (better) at the
designed wavelength, for wavelengths equal to or less than 1
[micro]m;
f.4. Projection telescopes ``specially designed'' for use with
``SHPL'' systems;
g. `Laser acoustic detection equipment' having all of the
following:
g.1. CW ``laser'' output power greater than or equal to 20 mW;
[[Page 53785]]
g.2. ``Laser'' frequency stability equal to or better (less)
than 10 MHz;
g.3. ``Laser'' wavelengths equal to or exceeding 1,000 nm but
not exceeding 2,000 nm;
g.4. Optical system resolution better (less) than 1 nm; and
g.5. Optical Signal to Noise ratio equal or exceeding to 10\3\.
Technical Note: `Laser acoustic detection equipment' is
sometimes referred to as a ``Laser'' Microphone or Particle Flow
Detection Microphone.
0
52. In supplement no. 1 to part 774, Category 6, ECCN 6A008 is revised
to read as follows:
6A008 Radar systems, equipment and assemblies, having any of the
following (see List of Items Controlled), and ``specially designed''
``components'' therefor.
License Requirements
Reason for Control: NS, MT, RS, AT
Country chart (see Supp.
Control(s) No. 1 to part 738)
NS applies to entire entry................ NS Column 2
MT applies to items that are designed for MT Column 1
airborne applications and that are usable
in systems controlled for MT reasons.
RS applies to 6A008.j.1................... RS Column 1
AT applies to entire entry................ AT Column 1
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for exports
under License Exceptions, and Validated End-User authorizations.
List Based License Exceptions (See Part 740 for a Description of all
License Exceptions)
LVS: $5,000; N/A for MT and for 6A008.j.1.
GBS: Yes, for 6A008.b, .c, and l.1 only
CIV: Yes, for 6A008.b, .c, and l.1 only
Special Conditions for STA
STA: License Exception STA may not be used to ship any commodity in
6A008.d, 6A008.h or 6A008.k to any of the destinations listed in
Country Group A:6 (See Supplement No. 1 to part 740 of the EAR).
List of Items Controlled
Related Controls: (1) See also ECCNs 6A108 and 6A998. ECCN 6A998
controls, inter alia, the Light Detection and Ranging (LIDAR)
equipment excluded by the note to paragraph j. of this ECCN (6A008).
(2) See USML Category XII(b) for certain LIDAR, Laser Detection and
Ranging (LADAR), or range-gated systems subject to the ITAR.
Related Definitions: N/A
Items:
Note: 6A008 does not control:
--Secondary surveillance radar (SSR);
--Civil Automotive Radar;
--Displays or monitors used for air traffic control (ATC);
--Meteorological (weather) radar;
--Precision Approach Radar (PAR) equipment conforming to ICAO
standards and employing electronically steerable linear (1-
dimensional) arrays or mechanically positioned passive antennas.
a. Operating at frequencies from 40 GHz to 230 GHz and having
any of the following:
a.1. An average output power exceeding 100 mW; or
a.2. Locating ``accuracy'' of 1 m or less (better) in range and
0.2 degree or less (better) in azimuth;
b. A tunable bandwidth exceeding 6.25% of the
`center operating frequency;'
Technical Note: The `center operating frequency' equals one
half of the sum of the highest plus the lowest specified operating
frequencies.
c. Capable of operating simultaneously on more than two carrier
frequencies;
d. Capable of operating in synthetic aperture (SAR), inverse
synthetic aperture (ISAR) radar mode, or sidelooking airborne (SLAR)
radar mode;
e. Incorporating electronically scanned array antennae;
Technical Note: Electronically scanned array antennae are also
known as electronically steerable array antennae.
f. Capable of heightfinding non-cooperative targets;
g. ``Specially designed'' for airborne (balloon or airframe
mounted) operation and having Doppler ``signal processing'' for the
detection of moving targets;
h. Employing processing of radar signals and using any of the
following:
h.1. ``Radar spread spectrum'' techniques; or
h.2. ``Radar frequency agility'' techniques;
i. Providing ground-based operation with a maximum
``instrumented range'' exceeding 185 km;
Note: 6A008.i does not control:
a. Fishing ground surveillance radar;
b. Ground radar equipment ``specially designed'' for en route
air traffic control, and having all of the following:
1. A maximum ``instrumented range'' of 500 km or less;
2. Configured so that radar target data can be transmitted only
one way from the radar site to one or more civil ATC centers;
3. Contains no provisions for remote control of the radar scan
rate from the en route ATC center; and
4. Permanently installed;
c. Weather balloon tracking radars.
j. Being ``laser'' radar or Light Detection and Ranging (LIDAR)
equipment and having any of the following:
j.1. ``Space-qualified'';
j.2. Employing coherent heterodyne or homodyne detection
techniques and having an angular resolution of less (better) than 20
[mu]rad (microradians); or
j.3. Designed for carrying out airborne bathymetric littoral
surveys to International Hydrographic Organization (IHO) Order 1a
Standard (5th Edition February 2008) for Hydrographic Surveys or
better, and using one or more ``lasers'' with a wavelength exceeding
400 nm but not exceeding 600 nm;
Note 1: LIDAR equipment ``specially designed'' for surveying is
only specified by 6A008.j.3.
Note 2: 6A008.j does not apply to LIDAR equipment ``specially
designed'' for meteorological observation.
Note 3: Parameters in the IHO Order 1a Standard 5th Edition
February 2008 are summarized as follows:
Horizontal Accuracy (95% Confidence Level) = 5 m + 5% of depth.
Depth Accuracy for Reduced Depths (95% confidence level) =
[radic](a\2\ + (b * d)\2\) where:
a = 0.5 m = constant depth error, i.e. the sum of all constant
depth errors
b = 0.013 = factor of depth dependant error
b * d = depth dependant error, i.e. the sum of all depth
dependant errors
d = depth
Feature Detection = Cubic features >2 m in depths up to 40 m;
10% of depth beyond 40 m.
k. Having ``signal processing'' sub-systems using ``pulse
compression'' and having any of the following:
k.1. A ``pulse compression'' ratio exceeding 150; or
k.2. A compressed pulse width of less than 200 ns; or
Note: 6A008.k.2 does not apply to two dimensional `marine radar'
or `vessel traffic service' radar, having all of the following:
a. ``Pulse compression'' ratio not exceeding 150;
b. Compressed pulse width of greater than 30 ns;
c. Single and rotating mechanically scanned antenna;
d. Peak output power not exceeding 250 W; and
e. Not capable of ``frequency hopping''.
l. Having data processing sub-systems and having any of the
following:
l.1. `Automatic target tracking' providing, at any antenna
rotation, the predicted target position beyond the time of the next
antenna beam passage; or
Note: 6A008.l.1 does not control conflict alert capability in
ATC systems, or `marine radar.'
Technical Note: `Automatic target tracking' is a processing
technique that automatically determines and provides as output an
extrapolated value of the most probable position of the target in
real time.
l.2. [Reserved]
l.3. [Reserved]
l.4. Configured to provide superposition and correlation, or
fusion, of target data within six seconds from two or more
`geographically dispersed' radar sensors to improve the aggregate
performance beyond that of any single sensor specified by 6A008.f,
or 6A008.i.
Technical Note: Sensors are considered `geographically
dispersed' when each location is distant from any other more than
1,500 m in any direction. Mobile sensors are
[[Page 53786]]
always considered `geographically dispersed'.
N.B.: See also the U.S. Munitions List (22 CFR part 121).
Note: 6A008.l does not apply to systems, equipment and
assemblies designed for `vessel traffic services.'
Technical Notes:
1. For the purposes of 6A008, `marine radar' is a radar that is
used to navigate safely at sea, inland waterways or near-shore
environments.
2. For the purposes of 6A008, `vessel traffic service' is a
vessel traffic monitoring and control service similar to air traffic
control for ``aircraft''.
0
53. In supplement no. 1 to part 774, Category 6, ECCN 6A203 is revised
to read as follows:
6A203 High-speed cameras, imaging devices and ``components''
therefor, other than those controlled by 6A003 (see List of Items
Controlled).
License Requirements
Reason for Control: NP, AT
Country chart (see Supp.
Control(s) No. 1 to part 738)
NP applies to entire entry................ NP Column 1
AT applies to entire entry................ AT Column 1
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Related Controls: (1) See ECCNs 6E001 (``development''), 6E002
(``production''), and 6E201 (``use'') for technology for items
controlled under this entry. (2) Also see ECCN 6A003.a.3, and a.4.
Related Definitions: N/A
Items:
a. Streak cameras and ``specially designed'' components
therefor, as follows:
a.1. Streak cameras with writing speeds greater than 0.5 mm/
[micro]s;
a.2. Electronic streak cameras capable of 50 ns or less time
resolution;
a.3. Streak tubes for cameras described in 6A203.a.2;
a.4. Plug-ins, ``specially designed'' for use with streak
cameras having modular structures, that enable the performance
characteristics described in 6A203.a.1 or .a.2;
a.5. Synchronizing electronics units, and rotor assemblies
consisting of turbines, mirrors and bearings, that are ``specially
designed'' for cameras described in 6A203.a.1.
b. Framing cameras and ``specially designed'' components
therefor, as follows:
b.1. Framing cameras with recording rates greater than 225,000
frames per second;
b.2. Framing cameras capable of 50 ns or less frame exposure
time;
b.3. Framing tubes, and solid-state imaging devices, that have a
fast image gating (shutter) time of 50 ns or less and are
``specially designed'' for cameras described in 6A203.b.1 or .b.2;
b.4. Plug-ins, ``specially designed'' for use with framing
cameras having modular structures, that enable the performance
characteristics described in 6A203.b.1 or .b.2;
b.5. Synchronizing electronic units, and rotor assemblies
consisting of turbines, mirrors and bearings, that are ``specially
designed'' for cameras described in 6A203.b.1 or .b.2.
c. Solid-state or electron tube cameras and ``specially
designed'' components therefor, as follows:
c.1. Solid-state cameras, or electron tube cameras, with a fast
image gating (shutter) time of 50 ns or less;
c.2. Solid-state imaging devices, and image intensifiers tubes,
that have a fast image gating (shutter) time of 50 ns or less and
are ``specially designed'' for cameras described in 6A203.c.1;
c.3. Electro-optical shuttering devices (Kerr or Pockels cells)
with a fast image gating (shutter) time of 50 ns or less;
c.4. Plug-ins, ``specially designed'' for use with cameras
having modular structures, that enable the performance
characteristics described in 6A203.c.1.
Technical Note: High speed single frame cameras can be used
alone to produce a single image of a dynamic event, or several such
cameras can be combined in a sequentially-triggered system to
produce multiple images of an event.
d. Radiation-hardened TV cameras, or lenses therefor,
``specially designed'' or rated as radiation hardened to withstand a
total radiation dose greater than 5 x 10\4\ Gy (silicon) without
operational degradation.
Technical Note: The term Gy (silicon) refers to the energy in
Joules per kilogram absorbed by an unshielded silicon sample when
exposed to ionizing radiation.
0
54. In supplement no. 1 to part 774, Category 6, ECCN 6A990 is removed.
0
55. In supplement no. 1 to part 774, Category 6, ECCN 6D003 is revised
to read as follows:
6D003 Other ``software'' as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, RS, AT
Country chart (see Supp.
Control(s) No. 1 to part 738)
NS applies to entire entry................ NS Column 1
RS applies to paragraph c................. RS Column 1
AT applies to entire entry................ AT Column 1
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for exports
under License Exceptions, and Validated End-User authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
CIV: Yes for 6D003.h.1
TSR: Yes, except for 6D003.c and exports or reexports to
destinations outside of those countries listed in Country Group A:5
(See Supplement No. 1 to part 740 of the EAR) of ``software'' for
items controlled by 6D003.a.
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit
software in 6D003.a to any of the destinations listed in Country
Group A:6 (See Supplement No.1 to part 740 of the EAR).
List of Items Controlled
Related Controls: See also ECCNs 6D103, 6D991, and 6D993.
Related Definitions: N/A
Items:
Acoustics
a. ``Software'' as follows:
a.1. ``Software'' ``specially designed'' for acoustic beam
forming for the ``real-time processing'' of acoustic data for
passive reception using towed hydrophone arrays;
a.2. ``Source code'' for the ``real-time processing'' of
acoustic data for passive reception using towed hydrophone arrays;
a.3. ``Software'' ``specially designed'' for acoustic beam
forming for the ``real-time processing'' of acoustic data for
passive reception using bottom or bay cable systems;
a.4. ``Source code'' for the ``real-time processing'' of
acoustic data for passive reception using bottom or bay cable
systems;
a.5. ``Software'' or ``source code'', ``specially designed'' for
all of the following:
a.5.a. ``Real-time processing'' of acoustic data from sonar
systems controlled by 6A001.a.1.e; and
a.5.b. Automatically detecting, classifying and determining the
location of divers or swimmers;
N.B.: For diver detection ``software'' or ``source code'',
``specially designed'' or modified for military use, see the U.S.
Munitions List of the International Traffic in Arms Regulations
(ITAR) (22 CFR part 121).
b. Optical sensors. None.
Cameras
c. ``Software'' designed or modified for cameras incorporating
``focal plane arrays'' specified by 6A002.a.3.f and designed or
modified to remove a frame rate restriction and allow the camera to
exceed the frame rate specified in 6A003.b.4 Note 3.a;
Optics
d. ``Software'' specially designed to maintain the alignment and
phasing of segmented mirror systems consisting of mirror segments
having a diameter or major axis length equal to or larger than 1 m;
e. Lasers. None.
Magnetic and Electric Field Sensors
f. ``Software'' as follows:
f.1. ``Software'' ``specially designed'' for magnetic and
electric field ``compensation systems'' for magnetic sensors
designed to operate on mobile platforms;
[[Page 53787]]
f.2. ``Software'' ``specially designed'' for magnetic and
electric field anomaly detection on mobile platforms;
f.3. ``Software'' ``specially designed'' for ``real-time
processing'' of electromagnetic data using underwater
electromagnetic receivers specified by 6A006.e;
f.4. ``Source code'' for ``real-time processing'' of
electromagnetic data using underwater electromagnetic receivers
specified by 6A006.e;
Gravimeters
g. ``Software'' ``specially designed'' to correct motional
influences of gravity meters or gravity gradiometers;
Radar
h. ``Software'' as follows:
h.1. Air Traffic Control (ATC) ``software'' application
``programs'' designed to be hosted on general purpose computers
located at Air Traffic Control centers and capable of accepting
radar target data from more than four primary radars;
h.2. ``Software'' for the design or ``production'' of radomes
having all of the following:
h.2.a. ``Specially designed'' to protect the ``electronically
scanned array antennae'' specified by 6A008.e; and
h.2.b. Resulting in an antenna pattern having an `average side
lobe level' more than 40 dB below the peak of the main beam level.
Technical Note: `Average side lobe level' in 6D003.h.2.b is
measured over the entire array excluding the angular extent of the
main beam and the first two side lobes on either side of the main
beam.
0
56. In supplement no. 1 to part 774, Category 6, ECCN 6D991 is revised
to read as follows:
6D991 ``Software,'' n.e.s., ``specially designed'' for the
``development'', ``production'', or ``use'' of commodities
controlled by 6A002, 6A003, 6A991, 6A996, 6A997, or 6A998.
License Requirements
Reason for Control: RS, AT
Country chart (see Supp. No.
Control(s) 1 to part 738)
RS applies to ``software'' for commodities RS Column 1
controlled by 6A002, 6A003, or 6A998.b.
RS applies to ``software'' for commodities RS Column 2
controlled by 6A998.c.
AT applies to entire entry, except AT Column 1
``software'' for commodities controlled
by 6A991.
AT applies to ``software'' for commodities AT Column 2
controlled by 6A991.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
CIV: N/A
TSR: N/A
List of Items Controlled
Related Controls: (1) See ECCN 6D002 for ``software'' ``specially
designed'' for the ``use'' of commodities controlled under ECCN
6A002.b. (2) See ECCN 6D003.c for ``software'' ``specially
designed'' for cameras incorporating ``focal plane arrays''
specified by 6A002.a.3.f and ``specially designed'' to remove a
frame rate restriction and allow the camera to exceed the frame rate
specified in 6A003.b.4 Note 3.a.
Related Definitions: N/A
Items:
The list of items controlled is contained in the ECCN heading.
0
57. In supplement no. 1 to part 774, Category 6, ECCN 6E001 is revised
to read as follows:
6E001 ``Technology'' according to the General Technology Note for
the ``development'' of equipment, materials or ``software''
controlled by 6A (except 6A991, 6A992, 6A994, 6A995, 6A996, 6A997,
6A998, or 6A999.c), 6B (except 6B995), 6C (except 6C992 or 6C994),
or 6D (except 6D991, 6D992, or 6D993).
License Requirements
Reason for Control: NS, MT, NP, RS, CC, AT, UN
Country chart (see Supp. No.
Control(s) 1 to part 738)
NS applies to ``technology'' for items NS Column 1
controlled by 6A001 to 6A008, 6B004 to
6B008, 6C002 to 6C005, or 6D001 to 6D003.
MT applies to ``technology'' for items MT Column 1
controlled by 6A002, 6A007, 6A008, 6A102,
6A107, 6A108, 6B008, 6B108, 6D001, 6D002,
6D102 or 6D103 for MT reasons.
NP applies to ``technology'' for items NP Column 1
controlled by 6A003, 6A005, 6A202, 6A203,
6A205, 6A225, 6A226, 6D001, or 6D201 for
NP reasons.
RS applies to ``technology'' for items RS Column 1
controlled by 6A002.a.1, .a.2, .a.3, .c,
or .f, 6A003.b.3 or .b.4, or 6A008.j.1.
CC applies to ``technology'' for equipment CC Column 1
controlled by 6A002 for CC reasons.
AT applies to entire entry................ AT Column 1
UN applies to ``technology'' for equipment See Sec. 746.1(b) of the
controlled by 6A002 or 6A003 for UN EAR for UN controls
reasons.
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for exports
under License Exceptions, and Validated End-User authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
CIV: N/A
TSR: Yes, except for the following: (1) Items controlled for MT
reasons; (2) ``Technology'' for commodities controlled by 6A002,
6A004.e or 6A008.j.1; (3) ``Technology'' for 6A003 cameras, unless
for ``technology'' for the integration of 6A003 cameras into camera
systems ``specially designed'' for civil automotive applications;
(4) ``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; or (5) Exports or reexports to destinations outside of those
countries listed in Country Group A:5 (See Supplement No. 1 to part
740 of the EAR) of ``technology'' for the ``development'' of the
following: (a) Items controlled by 6A001.a.1.b, 6A001.a.1.e,
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.d, 6A001.a.2.e, 6A004.c,
6A004.d, 6A006.a.2, 6A006.c.1, 6A006.d, 6A006.e, 6A008.d, 6A008.h,
6A008.k, 6B008, or 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 6B008, or 6D003.a.
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit any
technology in this entry to any of the destinations listed in
Country Group A:6 (See Supplement No.1 to part 740 of the EAR).
List of Items Controlled
Related Controls: (1) Technical data directly related to satellites
and all other items described in USML Category XV are subject to the
ITAR under USML Category XV(f). (2) Technical data directly related
to laser systems, infrared imaging systems, and all other items
described in USML Category XII are subject to the ITAR under USML
Category XII(f). (3) Technical data
[[Page 53788]]
directly related to read-out integrated circuits described in USML
Categories XII(e) or XV(e)(3) is subject to the ITAR under USML
Categories XII(f) or XV(f), respectively. (4) See also 6E101, 6E201,
and 6E991.
Related Definitions: N/A
Items:
The list of items controlled is contained in the ECCN heading.
0
58. In supplement no. 1 to part 774, Category 6, ECCN 6E002 is revised
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, 6A998 or 6A999.c),
6B (except 6B995) or 6C (except 6C992 or 6C994).
License Requirements
Reason for Control: NS, MT, NP, RS, CC, AT, UN
Country chart (see Supp. No.
Control(s) 1 to part 738)
NS applies to ``technology'' for equipment NS Column 1
controlled by 6A001 to 6A008, 6B004 to
6B008, or 6C002 to 6C005.
MT applies to ``technology'' for equipment MT Column 1
controlled by 6A002, 6A007, 6A008, 6A102,
6A107, 6A108, 6B008, or 6B108 for MT
reasons.
NP applies to ``technology'' for items NP Column 1
controlled by 6A003, 6A005, 6A202, 6A203,
6A205, 6A225 or 6A226 for NP reasons.
RS applies to ``technology'' for items RS Column 1
controlled by 6A002.a.1, .a.2, .a.3, .c,
or .f, 6A003.b.3 or .b.4, or 6A008.j.1.
CC applies to ``technology'' for equipment CC Column 1
controlled by 6A002 for CC reasons.
AT applies to entire entry................ AT Column 1
UN applies to ``technology'' for equipment See Sec. 746.1(b) of the
controlled by 6A002 or 6A003 for UN EAR for UN controls
reasons.
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for exports
under License Exceptions, and Validated End-User authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
CIV: N/A
TSR: Yes, except for the following:
(1) Items controlled for MT reasons;
(2) ``Technology'' for commodities controlled by 6A002, 6A004.e, or
6A008.j.1;
(3) ``Technology'' for 6A003 cameras, unless for ``technology'' for
the integration of 6A003 cameras into camera systems ``specially
designed'' for civil automotive applications; or
(4) Exports or reexports to destinations outside of those countries
listed in Country Group A:5 (See Supplement No. 1 to part 740 of the
EAR) of ``technology'' for the ``production'' of the following: (a)
Items controlled by 6A001.a.1.b, 6A001.a.1.e, 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, 6A004.c, 6A004.d, 6A006.a.2, 6A006.c.1, 6A006.d,
6A006.e, 6A008.d, 6A008.h, 6A008.k, or 6B008; and (b) Items
controlled by 6A001.a.2.c or 6A001.a.2.f when ``specially designed''
for real time applications.
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit
``technology'' according to the General Technology Note for the
``production'' of equipment specified in the STA exclusion
paragraphs found in the License Exception sections of by ECCNs
6A001, 6A002, 6A003, 6A004, 6A006, 6A008, or 6B008 to any of the
destinations listed in Country Group A:6 (See Supplement No. 1 to
part 740 of the EAR).
List of Items Controlled
Related Controls: (1) Technical data directly related to satellites
and all other items described in USML Category XV are subject to the
ITAR under USML Category XV(f). (2) Technical data directly related
to laser systems, infrared imaging systems, and all other items
described in USML Category XII are subject to the ITAR under USML
Category XII(f). (3) Technical data directly related to read-out
integrated circuits described in USML Categories XII(e) or XV(e)(3)
is subject to the ITAR under USML Categories XII(f) or XV(f),
respectively. (4) See also 6E992.
Related Definitions: N/A
Items:
The list of items controlled is contained in the ECCN heading.
0
59. In supplement no. 1 to part 774, Category 6, ECCN 6E201 is revised
to read as follows:
6E201 ``Technology'' according to the General Technology Note for
the ``use'' of equipment controlled by 6A003.a.3, 6A003.a.4;
6A005.a.2, 6A005.b.2.b, 6A005.b.3, 6A005.b.4.b.2, 6A005.b.6.c,
6A005.c.1.b, 6A005.c.2.b, 6A005.d.2, 6A005.d.3.c, or 6A005.d.4.c
(that meet or exceed the parameters of 6A205); 6A202, 6A203, 6A205,
6A225 or 6A226.
License Requirements
Reason for Control: NP, AT
Country chart (see Supp.
Control(s) No. 1 to part 738)
NP applies to entire entry................ NP Column 1
AT applies to entire entry................ AT Column 1
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
CIV: N/A
TSR: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
ECCN Controls: This entry only controls ``technology'' for
``lasers'' in 6A005 that are controlled for NP reasons.
Items:
The list of items controlled is contained in the ECCN heading.
0
60. In supplement no. 1 to part 774, Category 6, ECCN 6E990 is removed.
0
61. In supplement no. 1 to part 774, Category 7, ECCN 7A006 is revised
to read as follows:
7A006 Airborne altimeters operating at frequencies other than 4.2 to
4.4 GHz inclusive and having any of the following (see List of Items
Controlled).
License Requirements
Reason for Control: NS, MT, AT
Country chart (see Supp.
Control(s) No. 1 to part 738)
NS applies to entire entry................ NS Column 1
MT applies to commodities in this entry MT Column 1
that meet or exceed the parameters of
7A106.
AT applies to entire entry................ AT Column 1
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Related Controls: See also 7A106, 7A994 and Category 6 for controls
on radar.
Related Definitions: N/A
Items:
a. `Power management'; or
Technical Note: `Power management' is changing the transmitted
power of the altimeter signal so that received power at the
``aircraft'' altitude is always at the minimum necessary to
determine the altitude.
b. Using phase shift key modulation.
0
62. In supplement no. 1 to part 774, Category 7, ECCN 7E004 is revised
to read as follows:
[[Page 53789]]
7E004 Other ``technology'' as follows (see List of Items
Controlled).
License Requirements
Reason for Control: NS, MT, AT
Country chart (see Supp.
Control(s) No. 1 to part 738)
NS applies to entire entry................ NS Column 1
MT applies to ``technology ''for equipment MT Column 1
or systems controlled for MT reasons.
AT applies to entire entry................ AT Column 1
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
CIV: N/A
TSR: N/A
Special Conditions for STA
STA: (1) Paragraph (c)(1) of License Exception STA (Sec.
740.20(c)(1) of the EAR) may not be used for 7E004, except for
7E004.a.7. (2) Paragraph (c)(2) of License Exception STA (Sec.
740.20(c)(2) of the EAR) may not be used for 7E004, except for
7E004.a.7.
List of Items Controlled
Related Controls: (1) See also 7E001, 7E002, 7E101, and 7E994. (2)
In addition to the Related Controls in 7E001, 7E002, and 7E101 that
include MT controls, also see the MT controls in 7E104 for design
``technology'' for the integration of the flight control, guidance,
and propulsion data into a flight management system, designed or
modified for rockets or missiles capable of achieving a ``range''
equal to or greater than 300 km, for optimization of rocket system
trajectory; and also see 9E101 for design ``technology'' for
integration of air vehicle fuselage, propulsion system and lifting
control surfaces, designed or modified for unmanned aerial vehicles
capable of achieving a ``range'' equal to or greater than 300 km, to
optimize aerodynamic performance throughout the flight regime of an
unmanned aerial vehicle.
Related Definitions: ``Primary flight control'' means an
``aircraft'' stability or maneuvering control using force/moment
generators, i.e., aerodynamic control surfaces or propulsive thrust
vectoring.
Items:
a. ``Technology'' for the ``development'' or ``production'' of
any of the following:
a.1. [Reserved]
a.2. Air data systems based on surface static data only, i.e.,
which dispense with conventional air data probes;
a.3. Three dimensional displays for ``aircraft'';
a.4. [Reserved]
a.5. Electric actuators (i.e., electromechanical,
electrohydrostatic and integrated actuator package) ``specially
designed'' for `primary flight control';
Technical Note: `Primary flight control' is ``aircraft''
stability or manoeuvring control using force/moment generators, i.e.
aerodynamic control surfaces or propulsive thrust vectoring.
a.6. `Flight control optical sensor array' ``specially
designed'' for implementing ``active flight control systems''; or
Technical Note: A `flight control optical sensor array' is a
network of distributed optical sensors, using ``laser'' beams, to
provide real-time flight control data for on-board processing.
a.7. ``DBRN'' systems designed to navigate underwater, using
sonar or gravity databases, that provide a positioning ``accuracy''
equal to or less (better) than 0.4 nautical miles;
b. ``Development'' ``technology'', as follows, for ``active
flight control systems'' (including ``fly-by-wire systems'' or
``fly-by-light systems''):
b.1. Photonic-based ``technology'' for sensing ``aircraft'' or
flight control component state, transferring flight control data, or
commanding actuator movement, ``required'' for ``fly-by-light
systems'' ``active flight control systems'';
b.2. [Reserved]
b.3. Real-time algorithms to analyze component sensor
information to predict and preemptively mitigate impending
degradation and failures of components within an ``active flight
control system'';
Note: 7E004.b.3 does not include algorithms for purpose of off-
line maintenance.
b.4. Real-time algorithms to identify component failures and
reconfigure force and moment controls to mitigate ``active flight
control system'' degradations and failures;
Note: 7E004.b.4 does not include algorithms for the elimination
of fault effects through comparison of redundant data sources, or
off-line pre-planned responses to anticipated failures.
b.5. Integration of digital flight control, navigation and
propulsion control data, into a digital flight management system for
``total control of flight'';
Note: 7E004.b.5 does not apply to:
1. ``Technology'' for integration of digital flight control,
navigation and propulsion control data, into a digital flight
management system for `flight path optimization';
2. ``Technology'' for ``aircraft'' flight instrument systems
integrated solely for VOR, DME, ILS or MLS navigation or approaches.
Technical Note: `Flight path optimization' is a procedure that
minimizes deviations from a four-dimensional (space and time)
desired trajectory based on maximizing performance or effectiveness
for mission tasks.
b.6. [Reserved]
b.7. ``Technology'' ``required'' for deriving the functional
requirements for ``fly-by-wire systems'' having all of the
following:
b.7.a. `Inner-loop' airframe stability controls requiring loop
closure rates of 40 Hz or greater; and
Technical Note: `Inner-loop' refers to functions of ``active
flight control systems'' that automate airframe stability controls.
b.7.b. Having any of the following:
b.7.b.1. Corrects an aerodynamically unstable airframe, measured
at any point in the design flight envelope, that would lose
recoverable control if not corrected within 0.5 seconds;
b.7.b.2. Couples controls in two or more axes while compensating
for `abnormal changes in aircraft state;';
Technical Note: `Abnormal changes in aircraft state' include
in-flight structural damage, loss of engine thrust, disabled control
surface, or destabilizing shifts in cargo load.
b.7.b.3. Performs the functions specified in 7E004.b.5; or
Note: 7E004.b.7.b.3 does not apply to autopilots.
b.7.b.4. Enables ``aircraft'' to have stable controlled flight,
other than during take-off or landing, at greater than 18 degrees
angle of attack, 15 degrees side slip, 15 degrees/second pitch or
yaw rate, or 90 degrees/second roll rate;
b.8. ``Technology'' ``required'' for deriving the functional
requirements of ``fly-by-wire systems'' to achieve all of the
following:
b.8.a. No loss of control of the ``aircraft'' in the event of a
consecutive sequence of any two individual faults within the ``fly-
by-wire system''; and
b.8.b. Probability of loss of control of the ``aircraft'' being
less (better) than 1x10\-9\ failures per flight hour;
Note: 7E004.b does not apply to ``technology'' associated with
common computer elements and utilities (e.g., input signal
acquisition, output signal transmission, computer program and data
loading, built-in test, task scheduling mechanisms) not providing a
specific flight control system function.
c. ``Technology'' for the ``development'' of helicopter systems,
as follows:
c.1. Multi-axis fly-by-wire or fly-by-light controllers, which
combine the functions of at least two of the following into one
controlling element:
c.1.a. Collective controls;
c.1.b. Cyclic controls;
c.1.c. Yaw controls;
c.2. ``Circulation-controlled anti-torque or circulation-
controlled direction control systems'';
c.3. Rotor blades incorporating `variable geometry airfoils',
for use in systems using individual blade control.
Technical Note: `Variable geometry airfoils' use trailing edge
flaps or tabs, or leading edge slats or pivoted nose droop, the
position of which can be controlled in flight.
0
63. In supplement no. 1 to part 774, Category 9, ECCN 9A002 is revised
to read as follows:
9A002 `Marine gas turbine engines' designed to use liquid fuel and
having all of the following (see List of Items Controlled), and
``specially designed'' assemblies and ``components'' therefor.
License Requirements
Reason for Control: NS, AT
[[Page 53790]]
Country chart (see Supp.
Control(s) No. 1 to part 738)
NS applies to entire entry................ NS Column 2
AT applies to entire entry................ AT Column 1
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $5,000
GBS: N/A
CIV: N/A
List of Items Controlled:
Related Controls: N/A
Related Definition: N/A
Items:
a. Maximum continuous power when operating in ``steady state
mode'' at standard reference conditions specified by ISO 3977-2:1997
(or national equivalent) of 24,245 kW or more; and
b. `Corrected specific fuel consumption' not exceeding 0.219 kg/
kWh at 35% of the maximum continuous power when using liquid fuel.
Note: The term `marine gas turbine engines' includes those
industrial, or aero-derivative, gas turbine engines adapted for a
ship's electric power generation or propulsion.
Technical Note: For the purposes of 9A002, `corrected specific
fuel consumption' is the specific fuel consumption of the engine
corrected to a marine distillate liquid fuel having a net specific
energy (i.e., net heating value) of 42 MJ/kg (ISO 3977-2:1997).
0
64. In supplement no. 1 to part 774, Category 9, ECCN 9A004 is revised
to read as follows:
9A004 Space launch vehicles and ``spacecraft'', ``spacecraft
buses'', ``spacecraft payloads'', ``spacecraft'' on-board systems or
equipment, and terrestrial equipment, as follows (see List of Items
Controlled).
License Requirements
Reason for Control: NS and AT
Country chart (see Supp. No.
Control(s) 1 to part 738)
NS applies to 9A004.u, .v, .w and .x...... NS Column 1
AT applies to 9A004.u, .v, .w, .x and .y.. AT Column 1
License Requirements Note: 9A004.b through .f are controlled
under ECCN 9A515.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Related Controls: (1) See also 9A104, 9A515, and 9B515. (2) See
ECCNs 9E001 (``development'') and 9E002 (``production'') for
technology for items controlled by this entry. (3) See USML
Categories IV for the space launch vehicles and XV for other
spacecraft that are ``subject to the ITAR'' (see 22 CFR parts 120
through 130).
Related Definition: N/A
Items:
a. Space launch vehicles;
b. ``Spacecraft'';
c. ``Spacecraft buses'';
d. ``Spacecraft payloads'' incorporating items specified by
3A001.b.1.a.4, 3A002.g, 5A001.a.1, 5A001.b.3, 5A002.c, 5A002.e,
6A002.a.1, 6A002.a.2, 6A002.b, 6A002.d, 6A003.b, 6A004.c, 6A004.e,
6A008.d, 6A008.e, 6A008.k, 6A008.l or 9A010.c;
e. On-board systems or equipment, specially designed for
``spacecraft'' and having any of the following functions:
e.1. `Command and telemetry data handling;';
Note: For the purpose of 9A004.e.1, `command and telemetry data
handling' includes bus data management, storage, and processing.
e.2. `Payload data handling;' or
Note: For the purpose of 9A004.e.2, `payload data handling'
includes payload data management, storage, and processing.
e.3. `Attitude and orbit control;';
Note: For the purpose of 9A004.e.3, `attitude and orbit
control' includes sensing and actuation to determine and control the
position and orientation of a ``spacecraft''.
N.B.: Equipment specially designed for military use is ``subject
to the ITAR''. See 22 CFR parts 120 through 130.
f. Terrestrial equipment specially designed for ``spacecraft'',
as follows:
f.1. Telemetry and telecommand equipment ``specially designed''
for any of the following data processing functions:
f.1.a. Telemetry data processing of frame synchronization and
error corrections, for monitoring of operational status (also known
as health and safe status) of the ``spacecraft bus''; or
f.1.b. Command data processing for formatting command data being
sent to the ``spacecraft'' to control the ``spacecraft bus'';
f.2. Simulators ``specially designed'' for `verification of
operational procedures' of ``spacecraft''.
Technical Note: For the purposes of 9A004.f.2, `verification of
operational procedures' is any of the following:
1. Command sequence confirmation;
2. Operational training;
3. Operational rehearsals; or
4. Operational analysis.
g. through t. [Reserved]
u. The James Webb Space Telescope (JWST) being developed,
launched, and operated under the supervision of the U.S. National
Aeronautics and Space Administration (NASA).
v. ``Parts'', ``components'', ``accessories'' and
``attachments'' that are ``specially designed'' for the James Webb
Space Telescope and that are not:
v.1. Enumerated or controlled in the USML;
v.2. Microelectronic circuits;
v.3. Described in ECCNs 7A004 or 7A104; or
v.4. Described in an ECCN containing ``space-qualified'' as a
control criterion (See ECCN 9A515.x.4).
w. The International Space Station being developed, launched,
and operated under the supervision of the U.S. National Aeronautics
and Space Administration.
x. ``Parts'', ``components'', ``accessories'' and
``attachments'' that are ``specially designed'' for the
International Space Station.
y. Items that would otherwise be within the scope of ECCN
9A004.v or .x but that have been identified in an interagency-
cleared commodity classification (CCATS) pursuant to Sec. 748.3(e)
of the EAR as warranting control in 9A004.y.
0
65. In supplement no. 1 to part 774, Category 9, ECCN 9D001 is revised
to read as follows:
9D001 ``Software'', not specified in 9D003 or 9D004, ``specially
designed'' or modified for the ``development'' of equipment or
``technology'' controlled by ECCN 9A001 to 9A004, 9A012, 9A101
(except for items in 9A101.b that are ``subject to the ITAR'', see
22 CFR part 121), 9A106.d. or .e, 9A110, or 9A120, 9B (except for
ECCNs 9B604, 9B610, 9B619, 9B990, and 9B991), or ECCN 9E003.
License Requirements
Reason for Control: NS, MT, AT
Country chart (see Supp.
Control(s) No. 1 to part 738)
NS applies to ``software'' for equipment NS Column 1
controlled by 9A001 to 9A004, 9A012,
9B001 to 9B010, and technology controlled
by 9E003.
MT applies to ``software'' for equipment MT Column 1
controlled by 9B116 for MT reasons.
AT applies to entire entry................ AT Column 1
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for exports
under License Exceptions, and Validated End-User authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
CIV: N/A
TSR: N/A
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit
``software'' ``specially designed'' or modified for the
``development'' of equipment or ``technology'', specified by ECCNs
9B001.b. or 9E003.a.1, 9E003.a.2 to a.5, 9E003.a.8, or 9E003.h to
any of the destinations listed in
[[Page 53791]]
Country Group A:6 (See Supplement No.1 to part 740 of the EAR).
List of Items Controlled
Related Controls: ``Software'' that is ``required'' for the
``development'' of items specified in ECCNs 9A005 to 9A011, 9A101.b
(except for items that are subject to the EAR), 9A103 to 9A105,
9A106.a, .b, and .c, 9A107 to 9A109, 9A110 (for items that are
``specially designed'' for use in missile systems and subsystems),
and 9A111 to 9A119 is ``subject to the ITAR''.
Related Definitions: N/A
Items:
The list of items controlled is contained in the ECCN heading.
0
66. In supplement no. 1 to part 774, Category 9, ECCN 9D002 is revised
to read as follows:
9D002 ``Software'', not specified in 9D003 or 9D004, ``specially
designed'' or modified for the ``production'' of equipment
controlled by ECCN 9A001 to 9A004, 9A012, 9A101 (except for items in
9A101.b that are ``subject to the ITAR'', see 22 CFR part 121),
9A106.d or .e, 9A110, or 9A120, 9B (except for ECCNs 9B604, 9B610,
9B619, 9B990, and 9B991).
License Requirements
Reason for Control: NS, MT, AT
Country chart (see Supp.
Control(s) No. 1 to part 738)
NS applies to ``software'' for equipment NS Column 1
controlled by 9A001 to 9A004, 9A012,
9B001 to 9B010.
MT applies to ``software'' for equipment MT Column 1
controlled by 9B116 for MT reasons.
AT applies to entire entry................ AT Column 1
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for exports
under License Exceptions, and Validated End-User authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
CIV: N/A
TSR: N/A.
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit
``software'' ``specially designed'' or modified for the
``production'' of equipment specified by 9B001.b to any of the
destinations listed in Country Group A:6 (See Supplement No.1 to
part 740 of the EAR).
List of Items Controlled
Related Controls: ``Software'' that is ``required'' for the
``production'' of items specified in ECCNs 9A005 to 9A011, 9A101.b
(except for items that are subject to the EAR), 9A103 to 9A105,
9A106.a, .b, and .c, 9A107 to 9A109, 9A110 (for items that are
``specially designed'' for use in missile systems and subsystems),
and 9A111 to 9A119 is ``subject to the ITAR''.
Related Definitions: N/A
Items:
The list of items controlled is contained in the ECCN heading.
0
67. In supplement no. 1 to part 774, Category 9, ECCN 9D004 is revised
to read as follows:
9D004 Other ``software'' as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, AT
Country chart (see Supp.
Control(s) No. 1 to part 738)
NS applies to entire entry................ NS Column 1
AT applies to entire entry................ AT Column 1
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
CIV: N/A
TSR: N/A.
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit
software in 9D004.a and 9D004.c to any of the destinations listed in
Country Group A:6 (See Supplement No.1 to part 740 of the EAR)
List of Items Controlled
Related Controls: See also 9D104.
Related Definitions: N/A
Items:
a. 2D or 3D viscous ``software'', validated with wind tunnel or
flight test data required for detailed engine flow modelling;
b. ``Software'' for testing aero gas turbine engines,
assemblies, ``parts'' or ``components'', having all of the
following:
b.1. ``Specially designed'' for testing any of the following:
b.1.a. Aero gas turbine engines, assemblies or components,
incorporating ``technology'' specified by 9E003.a, 9E003.h or
9E003.i; or
b.1.b. Multi-stage compressors providing either bypass or core
flow, specially designed for aero gas turbine engines incorporating
``technology'' specified by 9E003.a or 9E003.h; and
b.2. ``Specially designed'' for all of the following:
a. Acquisition and processing of data, in real time; and
b. Feedback control of the test article or test conditions
(e.g., temperature, pressure, flow rate) while the test is in
progress;
Note: 9D004.b does not specify software for operation of the
test facility or operator safety (e.g., overspeed shutdown, fire
detection and suppression), or production, repair or maintenance
acceptance-testing limited to determining if the item has been
properly assembled or repaired.
c. ``Software'' ``specially designed'' to control directional
solidification or single crystal material growth in equipment
specified by 9B001.a or 9B001.c;
d. [Reserved]
e. ``Software'' ``specially designed'' or modified for the
operation of items specified by 9A012;
f. ``Software'' ``specially designed'' to design the internal
cooling passages of aero gas turbine engine blades, vanes and ``tip
shrouds'';
g. ``Software'' having all of the following:
g.1. ``Specially designed'' to predict aero thermal,
aeromechanical and combustion conditions in aero gas turbine
engines; and
g.2. Theoretical modeling predictions of the aero thermal,
aeromechanical and combustion conditions, which have been validated
with actual turbine engine (experimental or production) performance
data.
0
68. In supplement no. 1 to part 774, Category 9, ECCN 9E003 is revised
to read as follows:
9E003 Other ``technology'' as follows (see List of Items
Controlled).
License Requirements
Reason for Control: NS, SI, AT
Country chart (see Supp.
Control(s) No. 1 to part 738)
NS applies to entire entry................ NS Column 1
SI applies to 9E003.a.1 through a.8, .h, See Sec. 742.14 of the EAR
.i, and .k. for additional information.
AT applies to entire entry................ AT Column 1
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for exports
under License Exceptions, and Validated End-User authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
CIV: N/A
TSR: N/A
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit any
technology in 9E003.a.1, 9E003.a.2 to a.5, 9E003.a.8, or 9E003.h to
any of the destinations listed in Country Group A:6 (See Supplement
No.1 to part 740 of the EAR).
List of Items Controlled
Related Controls: (1) Hot section ``technology'' specifically
designed, modified, or equipped for military uses or purposes, or
developed principally with U.S. Department of Defense funding, is
``subject to the ITAR'' (see 22 CFR parts 120 through 130). (2)
``Technology'' is subject to the EAR when actually applied to a
commercial ``aircraft'' engine program. Exporters may seek to
establish commercial application either on a case-by-case basis
through submission of documentation demonstrating application
[[Page 53792]]
to a commercial program in requesting an export license from the
Department Commerce in respect to a specific export, or in the case
of use for broad categories of ``aircraft'', engines, ``parts'' or
``components'', a commodity jurisdiction determination from the
Department of State.
Related Definitions: N/A
Items:
a. ``Technology'' ``required'' for the ``development'' or
``production'' of any of the following gas turbine engine ``parts'',
``components'' or systems:
a.1. Gas turbine blades, vanes or ``tip shrouds'', made from
directionally solidified (DS) or single crystal (SC) alloys and
having (in the 001 Miller Index Direction) a stress-rupture life
exceeding 400 hours at 1,273 K (1,000 [deg]C) at a stress of 200
MPa, based on the average property values;
Technical Note: For the purposes of 9E003.a.1, stress-rupture
life testing is typically conducted on a test specimen.
a.2. Combustors having any of the following:
a.2.a. `Thermally decoupled liners' designed to operate at
`combustor exit temperature' exceeding 1,883K (1,610 [deg]C);
a.2.b. Non-metallic liners;
a.2.c. Non-metallic shells; or
a.2.d. Liners designed to operate at `combustor exit
temperature' exceeding 1,883K (1,610 [deg]C) and having holes that
meet the parameters specified by 9E003.c;
Note: The ``required'' ``technology'' for holes in 9E003.a.2 is
limited to the derivation of the geometry and location of the holes.
Technical Notes:
1. `Thermally decoupled liners' are liners that feature at least
a support structure designed to carry mechanical loads and a
combustion facing structure designed to protect the support
structure from the heat of combustion. The combustion facing
structure and support structure have independent thermal
displacement (mechanical displacement due to thermal load) with
respect to one another, i.e. they are thermally decoupled.
2. `Combustor exit temperature' is the bulk average gas path
total (stagnation) temperature between the combustor exit plane and
the leading edge of the turbine inlet guide vane (i.e., measured at
engine station T40 as defined in SAE ARP 755A) when the engine is
running in a ``steady state mode'' of operation at the certificated
maximum continuous operating temperature.
N.B.: See 9E003.c for ``technology'' ``required'' for
manufacturing cooling holes.
a.3. ``Parts'' or ``components'', that are any of the following:
a.3.a. Manufactured from organic ``composite'' materials
designed to operate above 588 K (315 [deg]C);
a.3.b. Manufactured from any of the following:
a.3.b.1. Metal ``matrix'' ``composites'' reinforced by any of
the following:
a.3.b.1.a. Materials controlled by 1C007;
a.3.b.1.b. ``Fibrous or filamentary materials'' specified by
1C010; or
a.3.b.1.c. Aluminides specified by 1C002.a; or
a.3.b.2. Ceramic ``matrix'' ``composites'' specified by 1C007;
or
a.3.c. Stators, vanes, blades, tip seals (shrouds), rotating
blings, rotating blisks or `splitter ducts,' that are all of the
following:
a.3.c.1. Not specified in 9E003.a.3.a;
a.3.c.2. Designed for compressors or fans; and
a.3.c.3. Manufactured from material controlled by 1C010.e with
resins controlled by 1C008;
Technical Note: A `splitter duct' performs the initial
separation of the air-mass flow between the bypass and core sections
of the engine.
a.4. Uncooled turbine blades, vanes or ``tip shrouds'' designed
to operate at a `gas path temperature' of 1,373 K (1,100 [deg]C) or
more;
a.5. Cooled turbine blades, vanes or ``tip-shrouds'', other than
those described in 9E003.a.1, designed to operate at a `gas path
temperature' of 1,693 K (1,420 [deg]C) or more;
Technical Note: `Gas path temperature' is the bulk average gas
path total (stagnation) temperature at the leading edge plane of the
turbine component when the engine is running in a ``steady state
mode'' of operation at the certificated or specified maximum
continuous operating temperature.
a.6. Airfoil-to-disk blade combinations using solid state
joining;
a.7. Gas turbine engine ``parts'' or ``components'' using
``diffusion bonding'' ``technology'' controlled by 2E003.b;
a.8. `Damage tolerant' gas turbine engine rotor ``parts'' or
``components'' using powder metallurgy materials controlled by
1C002.b; or
Technical Note: `Damage tolerant' ``parts'' and ``components''
are designed using methodology and substantiation to predict and
limit crack growth.
a.9. [Reserved]
N.B.: For ``FADEC systems'', see 9E003.h.
a.10. [Reserved]
N.B.: For adjustable flow path geometry, see 9E003.i.
a.11. Hollow fan blades;
b. ``Technology'' ``required'' for the ``development'' or
``production'' of any of the following:
b.1. Wind tunnel aero-models equipped with non-intrusive sensors
capable of transmitting data from the sensors to the data
acquisition system; or
b.2. ``Composite'' propeller blades or propfans, capable of
absorbing more than 2,000 kW at flight speeds exceeding Mach 0.55;
c. ``Technology'' ``required'' for manufacturing cooling holes,
in gas turbine engine ``parts'' or ``components'' incorporating any
of the ``technologies'' specified by 9E003.a.1, 9E003.a.2 or
9E003.a.5, and having any of the following:
c.1. Having all of the following:
c.1.a. Minimum `cross-sectional area' less than 0.45 mm\2\;
c.1.b. `Hole shape ratio' greater than 4.52; and
c.1.c. `Incidence angle' equal to or less than 25[deg]; or
c.2. Having all of the following:
c.2.a. Minimum `cross-sectional area' less than 0.12 mm\2\;
c.2.b. `Hole shape ratio' greater than 5.65; and
c.2.c. `Incidence angle' more than 25[deg];
Note: 9E003.c does not apply to ``technology'' for
manufacturing constant radius cylindrical holes that are straight
through and enter and exit on the external surfaces of the
component.
Technical Notes:
1. For the purposes of 9E003.c, the `cross-sectional area' is
the area of the hole in the plane perpendicular to the hole axis.
2. For the purposes of 9E003.c, `hole shape ratio' is the
nominal length of the axis of the hole divided by the square root of
its minimum `cross-sectional area.'
3. For the purposes of 9E003.c, `incidence angle' is the acute
angle measured between the plane tangential to the airfoil surface
and the hole axis at the point where the hole axis enters the
airfoil surface.
4. Methods for manufacturing holes in 9E003.c include ``laser''
beam machining, water jet machining, Electro-Chemical Machining
(ECM) or Electrical Discharge Machining (EDM).
d. ``Technology'' ``required'' for the ``development'' or
``production'' of helicopter power transfer systems or tilt rotor or
tilt wing ``aircraft'' power transfer systems;
e. ``Technology'' for the ``development'' or ``production'' of
reciprocating diesel engine ground vehicle propulsion systems having
all of the following:
e.1. `Box volume' of 1.2 m\3\ or less;
e.2. An overall power output of more than 750 kW based on 80/
1269/EEC, ISO 2534 or national equivalents; and
e.3. Power density of more than 700 kW/m\3\ of `box volume';
Technical Note: `Box volume' is the product of three
perpendicular dimensions measured in the following way:
Length: The length of the crankshaft from front flange to
flywheel face;
Width: The widest of any of the following:
a. The outside dimension from valve cover to valve cover;
b. The dimensions of the outside edges of the cylinder heads; or
c. The diameter of the flywheel housing;
Height: The largest of any of the following:
a. The dimension of the crankshaft center-line to the top plane
of the valve cover (or cylinder head) plus twice the stroke; or
b. The diameter of the flywheel housing.
f. ``Technology'' ``required'' for the ``production'' of
``specially designed'' ``parts'' or ``components'' for high output
diesel engines, as follows:
f.1. ``Technology'' ``required'' for the ``production'' of
engine systems having all of the following ``parts'' and
``components'' employing ceramics materials controlled by 1C007:
f.1.a Cylinder liners;
f.1.b. Pistons;
f.1.c. Cylinder heads; and
f.1.d. One or more other ``part'' or ``component'' (including
exhaust ports, turbochargers, valve guides, valve assemblies or
insulated fuel injectors);
f.2. ``Technology'' ``required'' for the ``production'' of
turbocharger systems with single-stage compressors and having all of
the following:
[[Page 53793]]
f.2.a. Operating at pressure ratios of 4:1 or higher;
f.2.b. Mass flow in the range from 30 to 130 kg per minute; and
f.2.c. Variable flow area capability within the compressor or
turbine sections;
f.3. ``Technology'' ``required'' for the ``production'' of fuel
injection systems with a ``specially designed'' multifuel (e.g.,
diesel or jet fuel) capability covering a viscosity range from
diesel fuel (2.5 cSt at 310.8 K (37.8[deg]C)) down to gasoline fuel
(0.5 cSt at 310.8 K (37.8[deg]C)) and having all of the following:
f.3.a. Injection amount in excess of 230 mm\3\ per injection per
cylinder; and
f.3.b. Electronic control features ``specially designed'' for
switching governor characteristics automatically depending on fuel
property to provide the same torque characteristics by using the
appropriate sensors;
g. ``Technology'' ``required'' for the development'' or
``production'' of `high output diesel engines' for solid, gas phase
or liquid film (or combinations thereof) cylinder wall lubrication
and permitting operation to temperatures exceeding 723 K (450
[deg]C), measured on the cylinder wall at the top limit of travel of
the top ring of the piston;
Technical Note: `High output diesel engines' are diesel engines
with a specified brake mean effective pressure of 1.8 MPa or more at
a speed of 2,300 rpm, provided the rated speed is 2,300 rpm or more.
h. ``Technology'' for gas turbine engine ``FADEC systems'' as
follows:
h.1. ``Development'' ``technology'' for deriving the functional
requirements for the ``parts'' or ``components'' necessary for the
``FADEC system'' to regulate engine thrust or shaft power (e.g.,
feedback sensor time constants and accuracies, fuel valve slew
rate);
h.2. ``Development'' or ``production'' ``technology'' for
control and diagnostic ``parts'' or ``components'' unique to the
``FADEC system'' and used to regulate engine thrust or shaft power;
h.3. ``Development'' ``technology'' for the control law
algorithms, including ``source code'', unique to the ``FADEC
system'' and used to regulate engine thrust or shaft power;
Note: 9E003.h does not apply to technical data related to
engine-``aircraft'' integration required by civil aviation
authorities of one or more Wassenaar Arrangement Participating
States (See Supplement No. 1 to part 743 of the EAR) to be published
for general airline use (e.g., installation manuals, operating
instructions, instructions for continued airworthiness) or interface
functions (e.g., input/output processing, airframe thrust or shaft
power demand).
i. ``Technology'' for adjustable flow path systems designed to
maintain engine stability for gas generator turbines, fan or power
turbines, or propelling nozzles, as follows:
i.1. ``Development'' ``technology'' for deriving the functional
requirements for the ``parts'' or ``components'' that maintain
engine stability;
i.2. ``Development'' or ``production'' ``technology'' for
``parts'' or ``components'' unique to the adjustable flow path
system and that maintain engine stability;
i.3. ``Development'' ``technology'' for the control law
algorithms, including ``source code'', unique to the adjustable flow
path system and that maintain engine stability;
Note: 9E003.i does not apply to ``technology'' for any of the
following:
a. Inlet guide vanes;
b. Variable pitch fans or prop-fans;
c. Variable compressor vanes;
d. Compressor bleed valves; or
e. Adjustable flow path geometry for reverse thrust.
j. ``Technology'' ``required'' for the ``development'' of wing-
folding systems designed for fixed-wing ``aircraft'' powered by gas
turbine engines.
N.B.: For ``technology'' ``required'' for the ``development'' of
wing-folding systems designed for fixed-wing ``aircraft'' specified
in USML Category VIII (a), see USML Category VIII (i).
k. ``Technology'' not otherwise controlled in 9E003.a.1 through
a.8, a.10, and .h and used in the ``development'', ``production'',
or overhaul of hot section ``parts'' or ``components'' of civil
derivatives of military engines controlled on the U.S. Munitions
List.
0
69. In supplement no. 6 to part 774, paragraphs (1) and (2) are revised
to read as follows:
Supplement No. 6 to Part 774--Sensitive List
* * * * *
(1) Category 1
(i) 1A002.a.1.
(ii) 1C001.
(iii) 1C007.c.
(iv) 1C010.c and .d.
(v) 1C012.
(vi) 1D002--``Software'' for the ``development'' of organic
``matrix'', metal ``matrix'', or carbon ``matrix'' laminates or
composites controlled under 1A002, 1C007.c, 1C010.c or 1C010.d.
(vii) 1E001--``Technology'' according to the General Technology
Note for the ``development'' or ``production'' of equipment and
materials controlled under 1A002, 1C001, 1C007.c, 1C010.c, 1C010.d,
or 1C012.
(viii) 1E002.e and .f.
(2) Category 2
(i) 2D001--``Software'', other than that controlled by 2D002,
``specially designed'' for the ``development'' or ``production'' of
equipment as follows:
(A) Specified by 2B001.a, 2B001.b.1, or 2B001.b.2, and having a
``unidirectional positioning repeatability'' equal to or less
(better) than 0.9 [micro]m along one or more linear axis;
(B) Specified by 2B001.b.3, 2B001.d, 2B001.f or 2B003.
(ii) 2E001--``Technology'' according to the General Technology
Note for the ``development'' of equipment or ``software'', as
follows:
(A) Equipment specified by 2B001.a, 2B001.b.1 or 2B001.b.2, and
having a ``unidirectional positioning repeatability'' equal to or
less (better) than 0.9 [micro]m along one or more linear axis;
(B) Equipment specified by 2B001.b.3, 2B001.d, 2B001.f or 2B003.
(C) ``Software'' specified by 2D001 of this Supplement;
(iii) 2E002--``Technology'' according to the General Technology
Note for the ``production'' of equipment as follows:
(A) Specified by 2B001.a, 2B001.b.1, or 2B001.b.2, and having a
``unidirectional positioning repeatability'' equal to or less
(better) than 0.9 [micro]m along one or more linear axis;
(B) Specified by 2B001.b.3, 2B001.d, 2B001.f or 2B003.
* * * * *
0
70. Supplement no. 7 to part 774 is amended by:
0
a. Revising paragraph (1)(i); and
0
b. Removing the phrase ``user accessible programmability'' and adding
in its place ``user-accessible programmability'' in paragraphs (3)(iv)
and (vi).
The revision reads as follows:
Supplement No. 7 to Part 774--Very Sensitive List
* * * * *
(1) * * *
(i) 1A002.a.1.
* * * * *
Dated: October 4, 2018.
Richard E. Ashooh,
Assistant Secretary for Export Administration.
[FR Doc. 2018-22163 Filed 10-23-18; 8:45 am]
BILLING CODE 3510-33-P
