Implementation of Certain New Controls on Emerging Technologies Agreed at Wassenaar Arrangement 2018 Plenary, 23886-23899 [2019-10778]

Download as PDF 23886 Federal Register / Vol. 84, No. 100 / Thursday, May 23, 2019 / Rules and Regulations Background DEPARTMENT OF COMMERCE Bureau of Industry and Security 15 CFR Part 774 [Docket No. 181129999–8999–01] RIN 0694–AH69 Implementation of Certain New Controls on Emerging Technologies Agreed at Wassenaar Arrangement 2018 Plenary Bureau of Industry and Security, Commerce. ACTION: Final rule. AGENCY: The Bureau of Industry and Security maintains, as part of its Export Administration Regulations, the Commerce Control List (CCL), which identifies certain items subject to Department of Commerce’s jurisdiction. This final rule revises the CCL to implement certain changes made to the Wassenaar Arrangement List of DualUse Goods and Technologies 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 2018 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 only the agreements on recently developed or developing technologies not previously controlled that are essential to the national security of the United States and warrant early implementation. The remaining agreements will be implemented in a separate rule. DATES: This rule is effective May 23, 2019. SUMMARY: 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: Category 3 (Electronics): Brian Baker at 202–482–5534. Category 5 (Information Security): Aaron Amundson or Anita Zinzuvadia 202–482–0707. Category 6 (Acoustic projector/ transducer): Michael Tu 202–482–6462. Category 9x515 (Satellites): Michael Tu 202–482–6462. SUPPLEMENTARY INFORMATION: khammond on DSKBBV9HB2PROD with RULES3 FOR FURTHER INFORMATION CONTACT: VerDate Sep<11>2014 17:05 May 22, 2019 Jkt 247001 The Wassenaar Arrangement on Export Controls for Conventional Arms and Dual-Use Goods and Technologies (Wassenaar or WA) (http:// www.wassenaar.org/) 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 control lists, which include the Wassenaar Arrangement Munitions List and the Wassenaar Arrangement List of Dual-Use Goods and Technologies, were first established in 1996 and have been revised annually thereafter. Proposals for changes to the WA control lists are reviewed by Participating States at expert group and 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. This rule adds to the EAR’s Commerce Control List (CCL) five recently developed or developing technologies that are essential to the national security of the United States: discrete microwave transistors (a major component of wideband semiconductors), continuity of operation software, post-quantum cryptography, underwater transducers designed to operate as hydrophones, and air-launch platforms. Revisions to the Commerce Control List Related to WA 2018 Plenary Agreements Revises (4) ECCNs: 3A001, 5A002, 6A001 and 9A004. Added ECCNs: 3D005. 3A001 Electronic Items ECCN 3A001 is amended by adding paragraph b.3.f to control discrete microwave transistors ‘‘rated for operation with a peak saturated power output greater than 5 W (37.0 dBm) at all frequencies exceeding 8.5 GHz up to and including 31.8 GHz’’. While older devices specified limited frequency ranges, new microwave transistors cover wider frequency bands at higher power levels, opening up new possibilities for radar and other transmitting applications. Note 1 that appears after paragraph b.3.f is revised, so that it does not apply to new paragraph b.3.f, meaning that the PO 00000 Frm 00002 Fmt 4701 Sfmt 4700 control status of a transistor in b.3.f is not determined by the lowest peak saturated power output control threshold. Discrete microwave transistors are used in microwave semiconductors and are applicable for both civilian use, such as mobile phone base stations and weather radars, and military use, such as fire control radars, decoys and jammers. Discrete microwave transistors are also increasingly used in wideband semiconductors, which have less power output and are more energy-efficient than the narrowband semiconductors. These features permit wideband semiconductors to operate at much higher voltages, frequencies and temperatures than conventional semiconductors. The wideband semiconductor is mainly used for military applications, such as electronic counter-measures for decoys, jammers and military radars, because it has a fractional bandwidth greater than 100%, and can enable a wide range of military radars, seekers, decoys and jammers. However, there are also instances of wideband semiconductors being used in civilian applications, such as to make green and blue light emitting diodes (LEDs) and lasers, which are used in DVD players (the Blu-ray and HD DVD formats). Wideband semiconductors will likely be a technology used in new electrical grid and alternative energy devices, in which such semiconductors will reduce energy loss and enable longer performance life in solar and wind energy power converters and eliminate bulky grid substation transformers. In addition, these robust and efficient power components are expected to be used in high energy vehicles, including electric trains and plug-in electric vehicles. It has been predicted that wideband semiconductors will facilitate simpler and higher efficiency charging for hybrid and all-electric vehicles. These discrete microwave transistors are subject to National Security (NS Column 1), Regional Stability (RS Column 1) and Anti-terrorism (AT Column 1) license requirements, except those being exported or reexported for use in civil telecommunications applications, as indicated on the Commerce Country Chart in Supplement No. 1 to part 738 of the EAR. List-based license exceptions (Limited Value Shipment (LVS) and Group B Shipments (GBS) and Strategic Trade Authorization (STA), see part 740 of the EAR), are available for those discrete microwave transistors that are being exported or reexported for use in civil telecommunications applications that meet the criteria of the license E:\FR\FM\23MYR3.SGM 23MYR3 Federal Register / Vol. 84, No. 100 / Thursday, May 23, 2019 / Rules and Regulations exception and where none of the license exception restrictions of § 740.2 apply. Transaction-based license exceptions may be available depending on the transaction meeting the license exception criteria; see part 740 of the EAR. khammond on DSKBBV9HB2PROD with RULES3 3D005 Continuity of Operation Software ECCN 3D005 is added to the CCL in order to control software that ensures continuity of operation when electronics are exposed to Electromagnetic Pulse (EMP) or Electrostatic Discharge (ESD). The software is controlled for national security and anti-terrorism reasons and a license is required worldwide, except for Canada, under national security (NS Column 1) and Anti-terrorism (AT Column 1) license requirements as indicated on the Commerce Country Chart, Supplement no. 1 to part 738 of the EAR. No list-based license exceptions are applicable; however, License Exception Strategic Trade Authorization (STA) is available for countries listed in Country Group A:5, see Supplement No. 1 to part 740 of the EAR. Research and development activities related to integrated circuit software that provides electromagnetic pulse (EMP) protective function to electronic devices is currently underway, and it is predicted that these products will be in the commercial marketplace in a few years. Because continuity of operation software would also be beneficial to military applications, it is being added to the CCL in this final rule. Category 5—Part 2—‘‘Information Security’’ ECCN 5A002 is amended in order to add a control on certain types of postquantum cryptographic algorithms. This rule adds paragraph 2.c of the Technical Notes that follow paragraph 5A002.a.4 to include a new paragraph addressing certain post-quantum asymmetric algorithms. This rule also revises paragraphs 5A002.a, a.4, paragraph 2 of the Technical Notes that follow paragraph 5A002.a.4, paragraph a.1.a.1.b in Note 2 to 5A002.a, and paragraph (4)(a) of Related Controls to 5A002, to replace the term ‘in excess of 56 bits of symmetric key length, or equivalent’ with ‘described security algorithm’. These changes are being made for technical accuracy since methods for establishing equivalence between modern classical and postquantum cryptography (PQC) are not settled. In addition, this rule revises the Nota Bene to Note 3 (the Cryptography Note) to specify that items that include VerDate Sep<11>2014 17:05 May 22, 2019 Jkt 247001 post-quantum asymmetric algorithms described by paragraph 2.c of the Technical Notes are subject to the classification or self-classification reporting requirements for mass market items. The WA cryptography controls reflect the development and application of modern cryptography. Currently, the WA includes controls over the most commonly-used forms of cryptography in the contemporary world: symmetric algorithms based on key length; and asymmetric algorithms based on factorization of integers or on the computation of discrete logarithms (over various groups). These controls are defined in the Technical Note 2 to 5A002.a of the CCL. The WA introduced specific parameters for the export control of cryptography in 1998, along with a general Category 5—Part 2 exclusion for ‘mass market’ encryption products (Cryptography Note, Note 3), in recognition of the increasing use of cryptography in the public domain. While the structure of Category 5—Part 2 of the WA has evolved significantly since 1998, the algorithms addressed have remained unchanged. These algorithms continue to provide adequate protection for encrypted data, based on the threat posed by attack by a non-quantum computer. However, if and when large scale quantum computers are built, they will likely undermine the security of current cryptographic systems. One goal of PQC is to develop and deploy quantum-resistant algorithms well in advance of a potential attack from a quantum computer. As the threat of quantum computers grows nearer, cryptography researchers are developing algorithms and working towards standardizing algorithms that resist attack from existing known quantum algorithms (such as Shor’s Algorithm). PQC is currently in use in commercial products, but those algorithms are not covered by any WA controls. Because such algorithms are becoming increasingly common, this control is being added to ensure that there is consistent treatment and a level playing field between modern classical and post-quantum cryptography. 5A002.a is subject to national security (NS Column 1), anti-terrorism (AT Column 1) and encryption items (EI) license requirements, as indicated on the Commerce Country Chart in Supplement no. 1 to part 738 of the EAR. Because this new control is added to 5A002.a with corresponding applicability to EI-controlled ECCNs 5D002.a.1, 5D002.c.1 and 5E002.a, BIS has determined that no changes to PO 00000 Frm 00003 Fmt 4701 Sfmt 4700 23887 License Exception ENC are required to accommodate this change. Items with post-quantum algorithms described by the technical note are treated the same under License Exception ENC as products using classical algorithms. 6A001 Acoustic Systems, Equipment and ‘‘Components’’ ECCN 6A001 is amended by moving the Note previously located below Item paragraph a.2.g.4 to below the introductory Item paragraph a.2 for better readability. This Note informs the public that Item paragraph a.2 ‘‘applies to receiving equipment, whether or not related in normal application to separate active equipment, and ‘‘specially designed’’ components therefor’’. This rule also adds a Technical Note 2 after paragraph a.2.a to alert the public that underwater acoustic transducers designed to operate as passive receivers are hydrophones. This rule revises paragraph a.2.a.6 to add the parameter ‘‘and having a ‘hydrophone sensitivity’ better than ¥230 dB below 4 kHz’’, to remove any transducers or hydrophones that are not of strategic concern. An underwater transducer that is designed to operate as a hydrophone, designed for operation below 1000 m and having a useful sensitivity below 4 kHz, must be controlled because of its utility in Anti-Submarine Warfare (ASW). These amendments will bridge the control gap that previously treated underwater acoustic transducers and receivers separately. Newer underwater acoustic devices can more readily operate in both transmit and receive mode. The new control structure resulting from these amendments allows each aspect of these multifunction devices to be evaluated. This rule also corrects a License Exception LVS paragraph for 6A001.a.1.b.1 by reversing the frequency band range for the equipment from ‘‘30 kHz to 2 kHz’’ to read ‘‘2 kHz to 30 kHz’’. All items in ECCN 6A001 are subject to national security (NS Column 2) and anti-terrorism (AT Column 1) license requirements as indicated in the Commerce Country Chart in Supplement no. 1 to part 738 of the EAR. License Exception Low Value Shipment (LVS) may be available depending on the operating frequency. License Exception Strategic Trade Authorization (STA) and transactionbased license exceptions may also be available depending on the circumstances of the transaction and the destination; see part 740 of the EAR. E:\FR\FM\23MYR3.SGM 23MYR3 23888 Federal Register / Vol. 84, No. 100 / Thursday, May 23, 2019 / Rules and Regulations superseded, set aside, or revoked under the authority of the ECRA. 9A004 Space Launch Vehicles and ‘‘Spacecraft’’, ‘‘Spacecraft Buses’’, ‘‘Spacecraft Payloads’’, ‘‘Spacecraft’’ On-Board Systems or Equipment, and Terrestrial Equipment Saving Clause ECCN 9A004 is amended by revising the Heading to add air-launch platforms. This rule adds new Item paragraph 9A004.g, which controls ‘‘aircraft’’ ‘‘specially designed’’ or modified to be air-launch platforms for space launch vehicles (SLV). The license requirements table is revised to add 9A004.g to the NS and AT license requirements paragraphs. Several commercial entities are building space-bound craft that will utilize an air-launch rather than traditional ground launch. This new Item paragraph expands existing spacelaunch controls to include this developing technology. Originally, military aircraft were used for airlaunched rockets to carry satellites specifically for military applications. Now, air-launch platforms allow the use of specialized commercial aircraft instead of rockets or military aircraft to facilitate the transport and launch of commercial satellites. The increase in commercial space activities has commercial satellite owners and space tourism companies moving toward airlaunch platforms to support their endeavours. Items specified in 9A004.g require a license for national security (NS Column 1) and anti-terrorism reasons (AT Column 1) as indicated on the Commerce Country Chart in Supplement no. 1 to part 738 of the EAR. There are no list-based license exceptions, but transaction-based license exceptions may be available; see part 740 of the EAR. khammond on DSKBBV9HB2PROD with RULES3 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) (50 U.S.C. 4801 to 4852) that provides the legal basis for BIS’s principal authorities. As set forth in Section 4826 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.) and as continued in effect pursuant to the International Emergency Economic Powers Act (50 U.S.C. 1701 et seq.), shall continue in effect according to their terms until modified, VerDate Sep<11>2014 17:05 May 22, 2019 Jkt 247001 Shipments of items removed from license exception eligibility or eligibility for export, reexport or transfer (incountry) without a license as a result of this regulatory action that were on dock for loading, on lighter, laden aboard an exporting carrier, or en route aboard a carrier to a port of export, on May 23, 2019, 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 July 22, 2019. Any such items not actually exported, reexported or transferred (in-country) before midnight, on July 22, 2019, 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. PO 00000 Frm 00004 Fmt 4701 Sfmt 4700 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 Executive Order 13771 (82 FR 9339, February 3, 2017) because it is issued with respect to a national security function of the United States. Paperwork Reduction Act Requirements Notwithstanding any other provision of law, no person is required to respond to, nor shall any person be subject to a penalty for failure to comply with a collection of information subject to the requirements of the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.) (PRA), unless that collection of information displays a currently valid Office of Management and Budget (OMB) Control Number. This rule involves the following OMB approved collections of information subject to the PRA: 0694–0088, ‘‘MultiPurpose Application’’, and carries a burden hour estimate of 29.6 minutes for a manual or electronic submission; 0694–0106, ‘‘Reporting and Recordkeeping Requirements under the Wassenaar Arrangement’’, which carries a burden hour estimate of 21 minutes for a manual or electronic submission; 0694–0137 ‘‘License Exceptions and Exclusions’’, which carries a burden hour estimate average of 1.5 hours per submission (Note: submissions for License Exceptions are rarely required); 0694–0096 ‘‘Five Year Records Retention Period’’, which carries a burden hour estimate of less than 1 minute; and 0607–0152 ‘‘Automated Export System (AES) Program, which carries a burden hour estimate of 3 minutes per electronic submission. 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. E:\FR\FM\23MYR3.SGM 23MYR3 Federal Register / Vol. 84, No. 100 / Thursday, May 23, 2019 / Rules and Regulations Administrative Procedure Act and Regulatory Flexibility Act Requirements Control(s) Pursuant to § 4821 of the ECRA, this action is exempt from the Administrative Procedure Act (5 U.S.C. 553) requirements for notice of proposed rulemaking, opportunity for public participation, and delay in effective date. Because a notice of proposed rulemaking and an opportunity for public comment are not required to be given for this rule by 5 U.S.C. 553, 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 in 15 CFR Part 774 Exports, Reporting and recordkeeping requirements. Accordingly, part 774 of the Export Administration Regulations (15 CFR parts 730 through 774) is amended as follows: PART 774—[AMENDED] 1. The authority citation for part 774 continues 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). 2. In supplement no. 1 to part 774, Category 3, ECCN 3A001 is revised to read as follows: ■ Supplement No. 1 to Part 774—The Commerce Control List * * * * * khammond on DSKBBV9HB2PROD with RULES3 3A001 Electronic Items as Follows (see List of Items Controlled). Reason for Control: NS, RS, MT, NP, AT 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 ¥54ßC to above +125ßC. 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 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 17:05 May 22, 2019 Jkt 247001 PO 00000 Frm 00005 Fmt 4701 Sfmt 4700 23889 List Based License Exceptions (See Part 740 for a Description of All License Exceptions) LVS: N/A for MT or NP; N/A for ‘‘Monolithic Microwave Integrated Circuit’’ (‘‘MMIC’’) amplifiers in 3A001.b.2 and discrete microwave transistors in 3A001.b.3, except those that are being exported or reexported for use in civil telecommunications applications Yes for: $1500: 3A001.c $3000: 3A001.b.1, b.2 (exported or reexported for use in civil telecommunications applications), b.3 (exported or reexported for use in civil telecommunications applications), b.9, .d, .e, .f, and .g. $5000: 3A001.a (except a.1.a and a.5.a when controlled for MT), b.4 to b.7, and b.12. GBS: Yes for 3A001.a.1.b, a.2 to a.14 (except .a.5.a when controlled for MT), b.2 (exported or reexported for use in civil telecommunications applications), b.8 (except for vacuum electronic device amplifiers exceeding 18 GHz), b.9, b.10, .g, .h, and .i. CIV: Yes for 3A001.a.3, a.7, and a.11. Special Conditions for STA STA: License Exception STA may not be used to ship any item in 3A001.b.2 or b.3, except those that are being exported or reexported for use in civil telecommunications applications, to any of the destinations listed in Country Group A:5 or A:6 (See Supplement No.1 to part 740 of the EAR). List of Items Controlled Related Controls: (1) See Category XV of the USML for certain ‘‘space-qualified’’ electronics and Category XI of the USML for certain ASICs, ‘transmit/receive modules,’ or ‘transmit modules’ ‘‘subject to the ITAR’’ (see 22 CFR parts 120 through 130). (2) See also 3A101, 3A201, 3A611, 3A991, and 9A515. Related Definitions: ‘Microcircuit’ means a device in which a number of passive or active elements are considered as indivisibly associated on or within a continuous structure to perform the function of a circuit. For the purposes of integrated circuits in 3A001.a.1, 5 × 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. 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’’). E:\FR\FM\23MYR3.SGM 23MYR3 khammond on DSKBBV9HB2PROD with RULES3 23890 Federal Register / Vol. 84, No. 100 / Thursday, May 23, 2019 / Rules and Regulations a.1. Integrated circuits designed or rated as radiation hardened to withstand any of the following: a.1.a. A total dose of 5 × 103 Gy (Si), or higher; a.1.b. A dose rate upset of 5 × 106 Gy (Si)/ s, or higher; or a.1.c. A fluence (integrated flux) of neutrons (1 MeV equivalent) of 5 × 1013 n/ cm2 or higher on silicon, or its equivalent for other materials; Note: 3A001.a.1.c does not apply to Metal Insulator Semiconductors (MIS). a.2. ‘‘Microprocessor microcircuits’’, ‘‘microcomputer microcircuits’’, microcontroller microcircuits, storage integrated circuits manufactured from a compound semiconductor, analog-to-digital converters, integrated circuits that contain analog-to-digital converters and store or process the digitized data, digital-to-analog converters, electro-optical or ‘‘optical integrated circuits’’ designed for ‘‘signal processing’’, field programmable logic 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. VerDate Sep<11>2014 17:05 May 22, 2019 Jkt 247001 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; PO 00000 Frm 00006 Fmt 4701 Sfmt 4700 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. E:\FR\FM\23MYR3.SGM 23MYR3 khammond on DSKBBV9HB2PROD with RULES3 Federal Register / Vol. 84, No. 100 / Thursday, May 23, 2019 / Rules and Regulations 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 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 Notes: 1. For purposes of 3A001.b, the parameter peak saturated power output may also be referred to on product data sheets as output power, saturated power output, maximum power output, peak power output, or peak envelope power output. 2. For purposes of 3A001.b.1, ‘vacuum electronic devices’ are electronic devices based on the interaction of an electron beam with an electromagnetic wave propagating in a vacuum circuit or interacting with radiofrequency vacuum cavity resonators. ‘Vacuum electronic devices’ include klystrons, traveling-wave tubes, and their derivatives. b.1. ‘Vacuum electronic devices’ and cathodes, as follows: Note 1: 3A001.b.1 does not control ‘vacuum electronic devices’ designed or rated for operation in any frequency band and having all of the following: a. Does not exceed 31.8 GHz; and b. Is ‘‘allocated by the ITU’’ for radiocommunications services, but not for radiodetermination. VerDate Sep<11>2014 17:05 May 22, 2019 Jkt 247001 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 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; PO 00000 Frm 00007 Fmt 4701 Sfmt 4700 23891 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 E:\FR\FM\23MYR3.SGM 23MYR3 khammond on DSKBBV9HB2PROD with RULES3 23892 Federal Register / Vol. 84, No. 100 / Thursday, May 23, 2019 / Rules and Regulations 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; 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; or b.3.f. Other than those specified by 3A001.b.3.a to 3A001.b.3.e and rated for operation with a peak saturated power output greater than 5 W (37.0 dBm) at all frequencies exceeding 8.5 GHz up to and including 31.8 GHz; Note 1: The control status of a transistor in 3A001.b.3.a through 3A001.b.3.e, whose rated operating frequency includes frequencies listed in more than one frequency range, as defined by 3A001.b.3.a through 3A001.b.3.e, is determined by the lowest peak saturated power output control threshold. Note 2: 3A001.b.3 includes bare dice, dice mounted on carriers, or dice mounted in packages. Some discrete transistors may also be referred to as power amplifiers, but the status of these discrete transistors is determined by 3A001.b.3. b.4. Microwave solid state amplifiers and microwave assemblies/modules containing microwave solid state amplifiers, that are any of the following: b.4.a. Rated for operation at frequencies exceeding 2.7 GHz up to and including 6.8 GHz with a ‘‘fractional bandwidth’’ greater than 15%, and having any of the following: b.4.a.1. A peak saturated power output greater than 500 W (57 dBm) at any frequency exceeding 2.7 GHz up to and including 2.9 GHz; VerDate Sep<11>2014 17:05 May 22, 2019 Jkt 247001 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 PO 00000 Frm 00008 Fmt 4701 Sfmt 4700 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, i.e., it includes the warm-up time of the MPM. b.10. Oscillators or oscillator assemblies, specified to operate with a single sideband E:\FR\FM\23MYR3.SGM 23MYR3 khammond on DSKBBV9HB2PROD with RULES3 Federal Register / Vol. 84, No. 100 / Thursday, May 23, 2019 / Rules and Regulations (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. 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 VerDate Sep<11>2014 17:05 May 22, 2019 Jkt 247001 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) 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: PO 00000 Frm 00009 Fmt 4701 Sfmt 4700 23893 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 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:\FR\FM\23MYR3.SGM 23MYR3 khammond on DSKBBV9HB2PROD with RULES3 23894 Federal Register / Vol. 84, No. 100 / Thursday, May 23, 2019 / Rules and Regulations 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 1: 3A001.g includes: —Silicon Controlled Rectifiers (SCRs) —Electrical Triggering Thyristors (ETTs) —Light Triggering Thyristors (LTTs) —Integrated Gate Commutated Thyristors (IGCTs) —Gate Turn-off Thyristors (GTOs) —MOS Controlled Thyristors (MCTs) —Solidtrons Note 2: 3A001.g does not control thyristor devices and ‘thyristor modules’ incorporated into equipment designed for civil railway or ‘‘civil aircraft’’ applications. Technical Note: For the purposes of 3A001.g, a ‘thyristor module’ contains one or more thyristor devices. h. Solid-state power semiconductor switches, diodes, or ‘modules,’ having all of the following: h.1. Rated for a maximum operating junction temperature greater than 488 K (215 °C); h.2. Repetitive peak off-state voltage (blocking voltage) exceeding 300 V; and h.3. Continuous current greater than 1 A. Technical Note: For the purposes of 3A001.h, ‘modules’ contain one or more solid-state power semiconductor switches or diodes. Note 1: Repetitive peak off-state voltage in 3A001.h includes drain to source voltage, collector to emitter voltage, repetitive peak reverse voltage and peak repetitive off-state blocking voltage. Note 2: 3A001.h includes: —Junction Field Effect Transistors (JFETs) VerDate Sep<11>2014 17:05 May 22, 2019 Jkt 247001 —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. 3. In supplement no. 1 to part 774, Category 3, add ECCN 3D005, after ECCN 3D004, to read as follows: ■ 3D005 ‘‘Software’’ ‘‘specially designed’’ to restore normal operation of a microcomputer, ‘‘microprocessor microcircuit’’ or ‘‘microcomputer microcircuit’’ within 1 ms after an Electromagnetic Pulse (EMP) or Electrostatic Discharge (ESD) disruption, without loss of continuation of operation. License Requirements Reason for Control: NS, AT Control(s) NS applies to entire entry. AT applies to entire entry. PO 00000 Frm 00010 Fmt 4701 Country Chart (See Supp. No. 1 to part 738) NS Column 1 AT Column 1 Sfmt 4700 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’’ 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: The list of items controlled is contained in the ECCN heading. 4. In supplement no. 1 to part 774, Category 5 Part 2, the N.B. to Note 3 (Cryptography Note) at the beginning of the Category is revised to read as follows: ■ Category 5—Telecommunications and ‘‘Information Security’’ * * * * * Part 2—‘‘Information Security’’ * * * * * N.B. to Note 3 (Cryptography Note): You must submit a classification request or selfclassification report to BIS for mass market encryption commodities and software eligible for the Cryptography Note employing a key length greater than 64 bits for the symmetric algorithm (or, for commodities and software not implementing any symmetric algorithms, employing a key length greater than 768 bits for asymmetric algorithms described by Technical note 2.b to 5A002.a or greater than 128 bits for elliptic curve algorithms, or any asymmetric algorithm described by Technical Note 2.c to 5A002.a) in accordance with the requirements of § 740.17(b) of the EAR in order to be released from the ‘‘EI’’ and ‘‘NS’’ controls of ECCN 5A002 or 5D002. * * * * * 5. 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 of 32 bit or more, including those E:\FR\FM\23MYR3.SGM 23MYR3 Federal Register / Vol. 84, No. 100 / Thursday, May 23, 2019 / Rules and Regulations incorporating ‘‘information security’’ functionality, and associated ‘‘software’’ and ‘‘technology’’ for the ‘‘production’’ or ‘‘development’’ of such microprocessors. khammond on DSKBBV9HB2PROD with RULES3 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’ having a ‘described security algorithm’ 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 § 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 a ‘described security algorithm’, 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; a.2. Digital communication or networking systems, equipment or components, not specified in paragraph 5A002.a.1; VerDate Sep<11>2014 17:05 May 22, 2019 Jkt 247001 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 a ‘described security algorithm’ 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, ‘described security algorithm’ 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); or 2.c. An ‘‘asymmetric algorithm’’ where the security of the algorithm is based on any of the following: 2.c.1. Shortest vector or closest vector problems associated with lattices (e.g., NewHope, Frodo, NTRUEncrypt, Kyber, Titanium); 2.c.2. Finding isogenies between Supersingular elliptic curves (e.g., Supersingular Isogeny Key Encapsulation); or 2.c.3. Decoding random codes (e.g., McEliece, Niederreiter). Technical Note: An algorithm described by Technical Note 2.c. may be referred to as being post-quantum, quantum-safe or quantum-resistant. Note 1: Details of items must be accessible and provided upon request, in order to establish any of the following: PO 00000 Frm 00011 Fmt 4701 Sfmt 4700 23895 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 a ‘described security algorithm’; 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 E:\FR\FM\23MYR3.SGM 23MYR3 khammond on DSKBBV9HB2PROD with RULES3 23896 Federal Register / Vol. 84, No. 100 / Thursday, May 23, 2019 / Rules and Regulations commercial cryptographic standards (except for anti-piracy functions, which may be nonpublished) and also meet the provisions of paragraphs a.2 to a.4 of the Cryptography Note (Note 3 in Category 5—Part 2), that have been customized for a specific civil industry application with features that do not affect the cryptographic functionality of these original non-customized devices; f. Items, where the ‘‘information security’’ functionality is limited to wireless ‘‘personal area network’’ functionality, meeting all of the following: 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. VerDate Sep<11>2014 17:05 May 22, 2019 Jkt 247001 6. In supplement no. 1 to part 774, Category 6, ECCN 6A001 is revised to read as follows: ■ 6A001 Acoustic systems, equipment and ‘‘components,’’ as follows (see List of Items Controlled). License Requirements Reason for Control: NS, AT 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: $3000; N/A for 6A001.a.1.b.1 object detection and location systems having a transmitting frequency below 5 kHz or a sound pressure level exceeding 210 dB (reference 1 mPa at 1 m) for equipment with an operating frequency in the band from 2 kHz to 30 kHz inclusive; 6A001.a.1.e, 6A001.a.2.a.1, a.2.a.2, 6A001.a.2.a.3, a.2.a.5, a.2.a.6, 6A001.a.2.b; processing equipment controlled by 6A001.a.2.c, and ‘‘specially designed’’ for real-time application with towed acoustic hydrophone arrays; a.2.e.1, a.2.e.2; and bottom or bay cable systems controlled by 6A001.a.2.f and having processing equipment ‘‘specially designed’’ for real-time application with bottom or bay cable systems. GBS: Yes for 6A001.a.1.b.4. CIV: Yes for 6A001.a.1.b.4. Special Conditions for STA STA: License Exception STA may not be used to ship commodities in 6A001.a.1.b, 6A001.a.1.e or 6A001.a.2 (except .a.2.a.4) to any of the destinations listed in Country Group A:6 (See Supplement No.1 to part 740 of the EAR). List of Items Controlled Related Controls: See also 6A991. Related Definitions: N/A Items: a. Marine acoustic systems, equipment and ‘‘specially designed’’ ‘‘components’’ therefor, as follows: a.1. Active (transmitting or transmittingand-receiving) systems, equipment and ‘‘specially designed’’ ‘‘components’’ therefor, as follows: Note: 6A001.a.1 does not control equipment as follows: a. Depth sounders operating vertically below the apparatus, not including a scanning function exceeding ± 20°, and limited to measuring the depth of water, the distance of submerged or buried objects or fish finding; b. Acoustic beacons, as follows: 1. Acoustic emergency beacons; PO 00000 Frm 00012 Fmt 4701 Sfmt 4700 2. Pingers ‘‘specially designed’’ for relocating or returning to an underwater position. a.1.a. Acoustic seabed survey equipment as follows: a.1.a.1. Surface vessel survey equipment designed for sea bed topographic mapping and having all of the following: a.1.a.1.a. Designed to take measurements at an angle exceeding 20° from the vertical; a.1.a.1.b. Designed to measure seabed topography at seabed depths exceeding 600 m; a.1.a.1.c.‘Sounding resolution’ less than 2; and a.1.a.1.d. ‘Enhancement’ of the depth ‘‘accuracy’’ through compensation for all the following: a.1.a.1.d.1. Motion of the acoustic sensor; a.1.a.1.d.2. In-water propagation from sensor to the seabed and back; and a.1.a.1.d.3. Sound speed at the sensor; Technical Notes: 1. ‘Sounding resolution’ is the swath width (degrees) divided by the maximum number of soundings per swath. 2. ‘Enhancement’ includes the ability to compensate by external means. a.1.a.2. Underwater survey equipment designed for seabed topographic mapping and having any of the following: Technical Note: The acoustic sensor pressure rating determines the depth rating of the equipment specified by 6A001.a.1.a.2. a.1.a.2.a. Having all of the following: a.1.a.2.a.1. Designed or modified to operate at depths exceeding 300 m; and a.1.a.2.a.2. ‘Sounding rate’ greater than 3,800 m/s; or Technical Note: ‘Sounding rate’ is the product of the maximum speed (m/s) at which the sensor can operate and the maximum number of soundings per swath assuming 100% coverage. For systems that produce soundings in two directions (3D sonars), the maximum of the ‘sounding rate’ in either direction should be used. a.1.a.2.b. Survey equipment, not specified by 6A001.a.1.a.2.a, having all of the following: a.1.a.2.b.1. Designed or modified to operate at depths exceeding 100 m; a.1.a.2.b.2. Designed to take measurements at an angle exceeding 20ßfrom the vertical; a.1.a.2.b.3. Having any of the following: a.1.a.2.b.3.a. Operating frequency below 350 kHz; or a.1.a.2.b.3.b. Designed to measure seabed topography at a range exceeding 200 m from the acoustic sensor; and a.1.a.2.b.4. ‘Enhancement’ of the depth ‘‘accuracy’’ through compensation of all of the following: a.1.a.2.b.4.a. Motion of the acoustic sensor; a.1.a.2.b.4.b. In-water propagation from sensor to the seabed and back; and a.1.a.2.b.4.c. Sound speed at the sensor. a.1.a.3. Side Scan Sonar (SSS) or Synthetic Aperture Sonar (SAS), designed for seabed imaging and having all of the following, and ‘‘specially designed’’ transmitting and receiving acoustic arrays therefor: a.1.a.3.a. Designed or modified to operate at depths exceeding 500 m; and a.1.a.3.b. An ‘area coverage rate’ of greater than 570 m2/s while operating at the E:\FR\FM\23MYR3.SGM 23MYR3 khammond on DSKBBV9HB2PROD with RULES3 Federal Register / Vol. 84, No. 100 / Thursday, May 23, 2019 / Rules and Regulations maximum range that it can operate with an ‘along track resolution’ of less than 15 cm; and a.1.a.3.c. An ‘across track resolution’ of less than 15 cm; Technical Notes: 1. ‘Area coverage rate’ (m2/s) is twice the product of the sonar range (m) and the maximum speed (m/s) at which the sensor can operate at that range. 2. ‘Along track resolution’ (cm), for SSS only, is the product of azimuth (horizontal) beamwidth (degrees) and sonar range (m) and 0.873. 3. ‘Across track resolution’ (cm) is 75 divided by the signal bandwidth (kHz). a.1.b Systems or transmitting and receiving arrays, designed for object detection or location, having any of the following: a.1.b.1. A transmitting frequency below 10 kHz; a.1.b.2. Sound pressure level exceeding 224dB (reference 1 mPa at 1 m) for equipment with an operating frequency in the band from 10 kHz to 24 kHz inclusive; a.1.b.3. Sound pressure level exceeding 235 dB (reference 1 mPa at 1 m) for equipment with an operating frequency in the band between 24 kHz and 30 kHz; a.1.b.4. Forming beams of less than 1° on any axis and having an operating frequency of less than 100 kHz; a.1.b.5. Designed to operate with an unambiguous display range exceeding 5,120 m; or a.1.b.6. Designed to withstand pressure during normal operation at depths exceeding 1,000 m and having transducers with any of the following: a.1.b.6.a. Dynamic compensation for pressure; or a.1.b.6.b. Incorporating other than lead zirconate titanate as the transduction element; a.1.c. Acoustic projectors, including transducers, incorporating piezoelectric, magnetostrictive, electrostrictive, electrodynamic or hydraulic elements operating individually or in a designed combination and having any of the following: Notes: 1. The control status of acoustic projectors, including transducers, ‘‘specially designed’’ for other equipment is determined by the control status of the other equipment. 2. 6A001.a.1.c does not control electronic sources that direct the sound vertically only, or mechanical (e.g., air gun or vapor-shock gun) or chemical (e.g., explosive) sources. 3. Piezoelectric elements specified in 6A001.a.1.c include those made from leadmagnesium-niobate/lead-titanate (Pb(Mg1/3Nb2/3O3¥PbTiO3, or PMN–PT) single crystals grown from solid solution or lead-indium-niobate/lead-magnesium niobate/lead-titanate (Pb(In1/2Nb1/2)O3– Pb(Mg1/3Nb2/3)O3–PbTiO3, or PIN–PMN–PT) single crystals grown from solid solution. a.1.c.1. Operating at frequencies below 10 kHz and having any of the following: a.1.c.1.a. Not designed for continuous operation at 100% duty cycle and having a radiated ‘free-field Source Level (SLRMS)’ exceeding (10log(f) + 169.77)dB (reference 1 mPa at 1 m) where f is the frequency in Hertz of maximum Transmitting Voltage Response (TVR) below 10 kHz; or VerDate Sep<11>2014 17:05 May 22, 2019 Jkt 247001 a.1.c.1.b. Designed for continuous operation at 100% duty cycle and having a continuously radiated ‘free-field Source Level (SLRMS)’ at 100% duty cycle exceeding (10log(f) + 159.77)dB (reference 1 mPa at 1 m) where f is the frequency in Hertz of maximum Transmitting Voltage Response (TVR) below 10 kHz; or Technical Note: The ‘free-field Source Level (SLRMS)’ is defined along the maximum response axis and in the far field of the acoustic projector. It can be obtained from the Transmitting Voltage Response using the following equation: SLRMS = (TVR + 20log VRMS) dB (ref 1mPa at 1 m), where SLRMS is the source level, TVR is the Transmitting Voltage Response and VRMS is the Driving Voltage of the Projector. a.1.c.2. [Reserved] N.B. See 6A001.a.1.c.1 for items previously specified in 6A001.a.1.c.2. a.1.c.3. Side-lobe suppression exceeding 22 dB; a.1.d. Acoustic systems and equipment, designed to determine the position of surface vessels or underwater vehicles and having all of the following, and ‘‘specially designed’’ ‘‘components’’ therefor: a.1.d.1. Detection range exceeding 1,000 m; and a.1.d.2. Determined position error of less than 10 m rms (root mean square) when measured at a range of 1,000 m; Note: 6A001.a.1.d includes: a. Equipment using coherent ‘‘signal processing’’ between two or more beacons and the hydrophone unit carried by the surface vessel or underwater vehicle; b. Equipment capable of automatically correcting speed-of-sound propagation errors for calculation of a point. a.1.e. Active individual sonars, ‘‘specially designed’’ or modified to detect, locate and automatically classify swimmers or divers, having all of the following, and ‘‘specially designed’’ transmitting and receiving acoustic arrays therefor: a.1.e.1. Detection range exceeding 530 m; a.1.e.2. Determined position error of less than 15 m rms (root mean square) when measured at a range of 530 m; and a.1.e.3. Transmitted pulse signal bandwidth exceeding 3 kHz; N.B.: For diver detection systems ‘‘specially designed’’ or modified for military use, see the U.S. Munitions List in the International Traffic in Arms Regulations (ITAR) (22 CFR part 121). Note: For 6A001.a.1.e, where multiple detection ranges are specified for various environments, the greatest detection range is used. a.2. Passive systems, equipment and ‘‘specially designed’’ ‘‘components’’ therefor, as follows: Note: 6A001.a.2 also applies to receiving equipment, whether or not related in normal application to separate active equipment, and ‘‘specially designed’’ components therefor. a.2.a. Hydrophones having any of the following: Note: The control status of hydrophones ‘‘specially designed’’ for other equipment is determined by the control status of the other equipment. Technical Notes: PO 00000 Frm 00013 Fmt 4701 Sfmt 4700 23897 1. Hydrophones consist of one or more sensing elements producing a single acoustic output channel. Those that contain multiple elements can be referred to as a hydrophone group. 2. For the purposes of 6A001.a.2.a, underwater acoustic transducers designed to operate as passive receivers are hydrophones. a.2.a.1. Incorporating continuous flexible sensing elements; a.2.a.2. Incorporating flexible assemblies of discrete sensing elements with either a diameter or length less than 20 mm and with a separation between elements of less than 20 mm; a.2.a.3. Having any of the following sensing elements: a.2.a.3.a. Optical fibers; a.2.a.3.b. ‘Piezoelectric polymer films’ other than polyvinylidene-fluoride (PVDF) and its co-polymers {P(VDF¥TrFE) and P(VDF–TFE)}; a.2.a.3.c. ‘Flexible piezoelectric composites’; a.2.a.3.d. Lead-magnesium- niobate/leadtitanate (i.e., Pb(Mg1/3Nb2/3)O3¥PbTiO3, or PMN–PT) piezoelectric single crystals grown from solid solution; or a.2.a.3.e.Lead-indium-niobate/leadmagnesium niobate/lead-titanate (i.e., Pb(In1/2Nb1/2)O3–Pb(Mg1/3Nb2/3)O3–PbTiO3, or PIN–PMN–PT) piezoelectric single crystals grown from solid solution; a.2.a.4. A ‘hydrophone sensitivity’ better than ¥180dB at any depth with no acceleration compensation; a.2.a.5. Designed to operate at depths exceeding 35 m with acceleration compensation; or a.2.a.6. Designed for operation at depths exceeding 1,000 m and having a ‘hydrophone sensitivity’ better than ¥230 dB below 4 kHz; Technical Notes: 1. ‘Piezoelectric polymer film’ sensing elements consist of polarized polymer film that is stretched over and attached to a supporting frame or spool (mandrel). 2. ‘Flexible piezoelectric composite’ sensing elements consist of piezoelectric ceramic particles or fibers combined with an electrically insulating, acoustically transparent rubber, polymer or epoxy compound, where the compound is an integral part of the sensing elements. 3. ‘Hydrophone sensitivity’ is defined as twenty times the logarithm to the base 10 of the ratio of rms output voltage to a 1 V rms reference, when the hydrophone sensor, without a pre-amplifier, is placed in a plane wave acoustic field with an rms pressure of 1 mPa. For example, a hydrophone of ¥160 dB (reference 1 V per mPa) would yield an output voltage of 10¥8 V in such a field, while one of ¥180 dB sensitivity would yield only 10¥9 V output. Thus, ¥160 dB is better than ¥180 dB. a.2.b. Towed acoustic hydrophone arrays having any of the following: Technical Note: Hydrophones arrays consist of a number of hydrophones providing multiple acoustic output channels. a.2.b.1. Hydrophone group spacing of less than 12.5 m or ‘able to be modified’ to have hydrophone group spacing of less than 12.5 m; E:\FR\FM\23MYR3.SGM 23MYR3 khammond on DSKBBV9HB2PROD with RULES3 23898 Federal Register / Vol. 84, No. 100 / Thursday, May 23, 2019 / Rules and Regulations a.2.b.2. Designed or ‘able to be modified’ to operate at depths exceeding 35m; Technical Note: ‘Able to be modified’ in 6A001.a.2.b means having provisions to allow a change of the wiring or interconnections to alter hydrophone group spacing or operating depth limits. These provisions are: Spare wiring exceeding 10% of the number of wires, hydrophone group spacing adjustment blocks or internal depth limiting devices that are adjustable or that control more than one hydrophone group. a.2.b.3. Heading sensors controlled by 6A001.a.2.d; a.2.b.4. Longitudinally reinforced array hoses; a.2.b.5. An assembled array of less than 40 mm in diameter; a.2.b.6. [Reserved]; a.2.b.7. Hydrophone characteristics controlled by 6A001.a.2.a; or a.2.b.8. Accelerometer-based hydroacoustic sensors specified by 6A001.a.2.g; a.2.c. Processing equipment, ‘‘specially designed’’ for towed acoustic hydrophone arrays, having ‘‘user-accessible programmability’’ and time or frequency domain processing and correlation, including spectral analysis, digital filtering and beamforming using Fast Fourier or other transforms or processes; a.2.d. Heading sensors having all of the following: a.2.d.1. An ‘‘accuracy’’ of better than ± 0.5°; and a.2.d.2. Designed to operate at depths exceeding 35 m or having an adjustable or removable depth sensing device in order to operate at depths exceeding 35 m; N.B.: For inertial heading systems, see 7A003.c. a.2.e. Bottom or bay-cable hydrophone arrays having any of the following: a.2.e.1. Incorporating hydrophones controlled by 6A001.a.2.a; a.2.e.2. Incorporating multiplexed hydrophone group signal modules having all of the following characteristics: a.2.e.2.a. Designed to operate at depths exceeding 35 m or having an adjustable or removal depth sensing device in order to operate at depths exceeding 35 m; and a.2.e.2.b. Capable of being operationally interchanged with towed acoustic hydrophone array modules; or a.2.e.3. Incorporating accelerometer-based hydro-acoustic sensors specified by 6A001.a.2.g; a.2.f. Processing equipment, ‘‘specially designed’’ for bottom or bay cable systems, having ‘‘user-accessible programmability’’ and time or frequency domain processing and correlation, including spectral analysis, digital filtering and beamforming using Fast Fourier or other transforms or processes; a.2.g. Accelerometer-based hydro-acoustic sensors having all of the following: a.2.g.1. Composed of three accelerometers arranged along three distinct axes; a.2.g.2. Having an overall ‘acceleration sensitivity’ better than 48 dB (reference 1,000 mV rms per 1g); a.2.g.3. Designed to operate at depths greater than 35 meters; and a.2.g.4. Operating frequency below 20 kHz; Note: 6A001.a.2.g does not apply to particle velocity sensors or geophones. VerDate Sep<11>2014 17:05 May 22, 2019 Jkt 247001 Technical Notes: 1. Accelerometer-based hydro-acoustic sensors are also known as vector sensors. 2. ‘Acceleration sensitivity’ is defined as twenty times the logarithm to the base 10 of the ratio of rms output voltage to a 1 V rms reference, when the hydro-acoustic sensor, without a preamplifier, is placed in a plane wave acoustic field with an rms acceleration of 1 g (i.e., 9.81 m/s2). b. Correlation-velocity and Dopplervelocity sonar log equipment designed to measure the horizontal speed of the equipment carrier relative to the sea bed, as follows: b.1. Correlation-velocity sonar log equipment having any of the following characteristics: b.1.a. Designed to operate at distances between the carrier and the sea bed exceeding 500 m; or b.1.b. Having speed ‘‘accuracy’’ better than 1% of speed; b.2. Doppler-velocity sonar log equipment having speed ‘‘accuracy’’ better than 1% of speed; Note 1: 6A001.b does not apply to depth sounders limited to any of the following: a. Measuring the depth of water; b. Measuring the distance of submerged or buried objects; or c. Fish finding. Note 2: 6A001.b does not apply to equipment ‘‘specially designed’’ for installation on surface vessels. c. [Reserved] N.B.: For diver deterrent acoustic systems, see 8A002.r. 7. 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, terrestrial equipment, and air-launch platforms, as follows (see List of Items Controlled). License Requirements Reason for Control: NS and AT Control(s) NS applies to 9A004.g, .u, .v, .w and .x. AT applies to 9A004.g, .u, .v, .w, .x and .y. Country Chart (See Supp. No. 1 to part 738) NS Column 1 AT Column 1 License Requirements Note: 9A004.b through .f are controlled under ECCN 9A515. List Based License Exceptions (See Part 740 for a Description of All License Exceptions) LVS: N/A GBS: N/A CIV: N/A 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 PO 00000 Frm 00014 Fmt 4701 Sfmt 4700 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. ‘‘Aircraft’’ ‘‘specially designed’’ or modified to be air-launch platforms for space launch vehicles. h. 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; E:\FR\FM\23MYR3.SGM 23MYR3 Federal Register / Vol. 84, No. 100 / Thursday, May 23, 2019 / Rules and Regulations v.3. Described in ECCNs 7A004 or 7A104; or khammond on DSKBBV9HB2PROD with RULES3 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. VerDate Sep<11>2014 17:05 May 22, 2019 Jkt 247001 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) PO 00000 pursuant to § 748.3(e) as warranting control in 9A004.y. Nazak Nikakhtar, Assistant Secretary for Industry & Analysis, Performing the Non-exclusive Duties of the Under Secretary for Industry and Security. [FR Doc. 2019–10778 Filed 5–22–19; 8:45 am] BILLING CODE 3510–33–P Frm 00015 Fmt 4701 Sfmt 9990 23899 E:\FR\FM\23MYR3.SGM 23MYR3

Agencies

[Federal Register Volume 84, Number 100 (Thursday, May 23, 2019)]
[Rules and Regulations]
[Pages 23886-23899]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2019-10778]



[[Page 23885]]

Vol. 84

Thursday,

No. 100

May 23, 2019

Part III





Department of Commerce





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Bureau of Industry and Security





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15 CFR Part 774





Implementation of Certain New Controls on Emerging Technologies Agreed 
at Wassenaar Arrangement 2018 Plenary; Final Rule

Federal Register / Vol. 84 , No. 100 / Thursday, May 23, 2019 / Rules 
and Regulations

[[Page 23886]]


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DEPARTMENT OF COMMERCE

Bureau of Industry and Security

15 CFR Part 774

[Docket No. 181129999-8999-01]
RIN 0694-AH69


Implementation of Certain New Controls on Emerging Technologies 
Agreed at Wassenaar Arrangement 2018 Plenary

AGENCY: Bureau of Industry and Security, Commerce.

ACTION: Final rule.

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SUMMARY: The Bureau of Industry and Security maintains, as part of its 
Export Administration Regulations, the Commerce Control List (CCL), 
which identifies certain items subject to Department of Commerce's 
jurisdiction. This final rule revises the CCL to implement certain 
changes made to the Wassenaar Arrangement List of Dual-Use Goods and 
Technologies 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 2018 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 only the agreements on 
recently developed or developing technologies not previously controlled 
that are essential to the national security of the United States and 
warrant early implementation. The remaining agreements will be 
implemented in a separate rule.

DATES: This rule is effective May 23, 2019.

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:
    Category 3 (Electronics): Brian Baker at 202-482-5534.
    Category 5 (Information Security): Aaron Amundson or Anita 
Zinzuvadia 202-482-0707.
    Category 6 (Acoustic projector/transducer): Michael Tu 202-482-
6462.
    Category 9x515 (Satellites): Michael Tu 202-482-6462.

SUPPLEMENTARY INFORMATION:

Background

    The Wassenaar Arrangement on Export Controls for Conventional Arms 
and Dual-Use Goods and Technologies (Wassenaar or WA) (http://www.wassenaar.org/) 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 control lists, which include the 
Wassenaar Arrangement Munitions List and the Wassenaar Arrangement List 
of Dual-Use Goods and Technologies, were first established in 1996 and 
have been revised annually thereafter. Proposals for changes to the WA 
control lists are reviewed by Participating States at expert group and 
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.
    This rule adds to the EAR's Commerce Control List (CCL) five 
recently developed or developing technologies that are essential to the 
national security of the United States: discrete microwave transistors 
(a major component of wideband semiconductors), continuity of operation 
software, post-quantum cryptography, underwater transducers designed to 
operate as hydrophones, and air-launch platforms.

Revisions to the Commerce Control List Related to WA 2018 Plenary 
Agreements

    Revises (4) ECCNs: 3A001, 5A002, 6A001 and 9A004.
    Added ECCNs: 3D005.

3A001 Electronic Items

    ECCN 3A001 is amended by adding paragraph b.3.f to control discrete 
microwave transistors ``rated for operation with a peak saturated power 
output greater than 5 W (37.0 dBm) at all frequencies exceeding 8.5 GHz 
up to and including 31.8 GHz''. While older devices specified limited 
frequency ranges, new microwave transistors cover wider frequency bands 
at higher power levels, opening up new possibilities for radar and 
other transmitting applications.
    Note 1 that appears after paragraph b.3.f is revised, so that it 
does not apply to new paragraph b.3.f, meaning that the control status 
of a transistor in b.3.f is not determined by the lowest peak saturated 
power output control threshold.
    Discrete microwave transistors are used in microwave semiconductors 
and are applicable for both civilian use, such as mobile phone base 
stations and weather radars, and military use, such as fire control 
radars, decoys and jammers. Discrete microwave transistors are also 
increasingly used in wideband semiconductors, which have less power 
output and are more energy-efficient than the narrowband 
semiconductors. These features permit wideband semiconductors to 
operate at much higher voltages, frequencies and temperatures than 
conventional semiconductors. The wideband semiconductor is mainly used 
for military applications, such as electronic counter-measures for 
decoys, jammers and military radars, because it has a fractional 
bandwidth greater than 100%, and can enable a wide range of military 
radars, seekers, decoys and jammers. However, there are also instances 
of wideband semiconductors being used in civilian applications, such as 
to make green and blue light emitting diodes (LEDs) and lasers, which 
are used in DVD players (the Blu-ray and HD DVD formats). Wideband 
semiconductors will likely be a technology used in new electrical grid 
and alternative energy devices, in which such semiconductors will 
reduce energy loss and enable longer performance life in solar and wind 
energy power converters and eliminate bulky grid substation 
transformers. In addition, these robust and efficient power components 
are expected to be used in high energy vehicles, including electric 
trains and plug-in electric vehicles. It has been predicted that 
wideband semiconductors will facilitate simpler and higher efficiency 
charging for hybrid and all-electric vehicles.
    These discrete microwave transistors are subject to National 
Security (NS Column 1), Regional Stability (RS Column 1) and Anti-
terrorism (AT Column 1) license requirements, except those being 
exported or reexported for use in civil telecommunications 
applications, as indicated on the Commerce Country Chart in Supplement 
No. 1 to part 738 of the EAR. List-based license exceptions (Limited 
Value Shipment (LVS) and Group B Shipments (GBS) and Strategic Trade 
Authorization (STA), see part 740 of the EAR), are available for those 
discrete microwave transistors that are being exported or reexported 
for use in civil telecommunications applications that meet the criteria 
of the license

[[Page 23887]]

exception and where none of the license exception restrictions of Sec.  
740.2 apply. Transaction-based license exceptions may be available 
depending on the transaction meeting the license exception criteria; 
see part 740 of the EAR.

3D005 Continuity of Operation Software

    ECCN 3D005 is added to the CCL in order to control software that 
ensures continuity of operation when electronics are exposed to 
Electromagnetic Pulse (EMP) or Electrostatic Discharge (ESD). The 
software is controlled for national security and anti-terrorism reasons 
and a license is required worldwide, except for Canada, under national 
security (NS Column 1) and Anti-terrorism (AT Column 1) license 
requirements as indicated on the Commerce Country Chart, Supplement no. 
1 to part 738 of the EAR. No list-based license exceptions are 
applicable; however, License Exception Strategic Trade Authorization 
(STA) is available for countries listed in Country Group A:5, see 
Supplement No. 1 to part 740 of the EAR.
    Research and development activities related to integrated circuit 
software that provides electromagnetic pulse (EMP) protective function 
to electronic devices is currently underway, and it is predicted that 
these products will be in the commercial marketplace in a few years. 
Because continuity of operation software would also be beneficial to 
military applications, it is being added to the CCL in this final rule.

Category 5--Part 2--``Information Security''

    ECCN 5A002 is amended in order to add a control on certain types of 
post-quantum cryptographic algorithms. This rule adds paragraph 2.c of 
the Technical Notes that follow paragraph 5A002.a.4 to include a new 
paragraph addressing certain post-quantum asymmetric algorithms. This 
rule also revises paragraphs 5A002.a, a.4, paragraph 2 of the Technical 
Notes that follow paragraph 5A002.a.4, paragraph a.1.a.1.b in Note 2 to 
5A002.a, and paragraph (4)(a) of Related Controls to 5A002, to replace 
the term `in excess of 56 bits of symmetric key length, or equivalent' 
with `described security algorithm'. These changes are being made for 
technical accuracy since methods for establishing equivalence between 
modern classical and post-quantum cryptography (PQC) are not settled. 
In addition, this rule revises the Nota Bene to Note 3 (the 
Cryptography Note) to specify that items that include post-quantum 
asymmetric algorithms described by paragraph 2.c of the Technical Notes 
are subject to the classification or self-classification reporting 
requirements for mass market items.
    The WA cryptography controls reflect the development and 
application of modern cryptography. Currently, the WA includes controls 
over the most commonly-used forms of cryptography in the contemporary 
world: symmetric algorithms based on key length; and asymmetric 
algorithms based on factorization of integers or on the computation of 
discrete logarithms (over various groups). These controls are defined 
in the Technical Note 2 to 5A002.a of the CCL.
    The WA introduced specific parameters for the export control of 
cryptography in 1998, along with a general Category 5--Part 2 exclusion 
for `mass market' encryption products (Cryptography Note, Note 3), in 
recognition of the increasing use of cryptography in the public domain. 
While the structure of Category 5--Part 2 of the WA has evolved 
significantly since 1998, the algorithms addressed have remained 
unchanged.
    These algorithms continue to provide adequate protection for 
encrypted data, based on the threat posed by attack by a non-quantum 
computer. However, if and when large scale quantum computers are built, 
they will likely undermine the security of current cryptographic 
systems.
    One goal of PQC is to develop and deploy quantum-resistant 
algorithms well in advance of a potential attack from a quantum 
computer. As the threat of quantum computers grows nearer, cryptography 
researchers are developing algorithms and working towards standardizing 
algorithms that resist attack from existing known quantum algorithms 
(such as Shor's Algorithm). PQC is currently in use in commercial 
products, but those algorithms are not covered by any WA controls. 
Because such algorithms are becoming increasingly common, this control 
is being added to ensure that there is consistent treatment and a level 
playing field between modern classical and post-quantum cryptography.
    5A002.a is subject to national security (NS Column 1), anti-
terrorism (AT Column 1) and encryption items (EI) license requirements, 
as indicated on the Commerce Country Chart in Supplement no. 1 to part 
738 of the EAR. Because this new control is added to 5A002.a with 
corresponding applicability to EI-controlled ECCNs 5D002.a.1, 5D002.c.1 
and 5E002.a, BIS has determined that no changes to License Exception 
ENC are required to accommodate this change. Items with post-quantum 
algorithms described by the technical note are treated the same under 
License Exception ENC as products using classical algorithms.

6A001 Acoustic Systems, Equipment and ``Components''

    ECCN 6A001 is amended by moving the Note previously located below 
Item paragraph a.2.g.4 to below the introductory Item paragraph a.2 for 
better readability. This Note informs the public that Item paragraph 
a.2 ``applies to receiving equipment, whether or not related in normal 
application to separate active equipment, and ``specially designed'' 
components therefor''. This rule also adds a Technical Note 2 after 
paragraph a.2.a to alert the public that underwater acoustic 
transducers designed to operate as passive receivers are hydrophones. 
This rule revises paragraph a.2.a.6 to add the parameter ``and having a 
`hydrophone sensitivity' better than -230 dB below 4 kHz'', to remove 
any transducers or hydrophones that are not of strategic concern.
    An underwater transducer that is designed to operate as a 
hydrophone, designed for operation below 1000 m and having a useful 
sensitivity below 4 kHz, must be controlled because of its utility in 
Anti-Submarine Warfare (ASW). These amendments will bridge the control 
gap that previously treated underwater acoustic transducers and 
receivers separately. Newer underwater acoustic devices can more 
readily operate in both transmit and receive mode. The new control 
structure resulting from these amendments allows each aspect of these 
multifunction devices to be evaluated.
    This rule also corrects a License Exception LVS paragraph for 
6A001.a.1.b.1 by reversing the frequency band range for the equipment 
from ``30 kHz to 2 kHz'' to read ``2 kHz to 30 kHz''. All items in ECCN 
6A001 are subject to national security (NS Column 2) and anti-terrorism 
(AT Column 1) license requirements as indicated in the Commerce Country 
Chart in Supplement no. 1 to part 738 of the EAR. License Exception Low 
Value Shipment (LVS) may be available depending on the operating 
frequency. License Exception Strategic Trade Authorization (STA) and 
transaction-based license exceptions may also be available depending on 
the circumstances of the transaction and the destination; see part 740 
of the EAR.

[[Page 23888]]

9A004 Space Launch Vehicles and ``Spacecraft'', ``Spacecraft Buses'', 
``Spacecraft Payloads'', ``Spacecraft'' On-Board Systems or Equipment, 
and Terrestrial Equipment

    ECCN 9A004 is amended by revising the Heading to add air-launch 
platforms. This rule adds new Item paragraph 9A004.g, which controls 
``aircraft'' ``specially designed'' or modified to be air-launch 
platforms for space launch vehicles (SLV). The license requirements 
table is revised to add 9A004.g to the NS and AT license requirements 
paragraphs.
    Several commercial entities are building space-bound craft that 
will utilize an air-launch rather than traditional ground launch. This 
new Item paragraph expands existing space-launch controls to include 
this developing technology. Originally, military aircraft were used for 
air-launched rockets to carry satellites specifically for military 
applications. Now, air-launch platforms allow the use of specialized 
commercial aircraft instead of rockets or military aircraft to 
facilitate the transport and launch of commercial satellites. The 
increase in commercial space activities has commercial satellite owners 
and space tourism companies moving toward air-launch platforms to 
support their endeavours.
    Items specified in 9A004.g require a license for national security 
(NS Column 1) and anti-terrorism reasons (AT Column 1) as indicated on 
the Commerce Country Chart in Supplement no. 1 to part 738 of the EAR. 
There are no list-based license exceptions, but transaction-based 
license exceptions may be available; see part 740 of the EAR.

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) (50 U.S.C. 4801 
to 4852) that provides the legal basis for BIS's principal authorities. 
As set forth in Section 4826 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.) and as continued in effect pursuant to the 
International Emergency Economic Powers Act (50 U.S.C. 1701 et seq.), 
shall continue in effect according to their terms until modified, 
superseded, set aside, or revoked under the authority of the 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 May 23, 2019, 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 July 22, 
2019. Any such items not actually exported, reexported or transferred 
(in-country) before midnight, on July 22, 2019, 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 Executive Order 
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.

[[Page 23889]]

Administrative Procedure Act and Regulatory Flexibility Act 
Requirements

    Pursuant to Sec.  4821 of the ECRA, this action is exempt from the 
Administrative Procedure Act (5 U.S.C. 553) requirements for notice of 
proposed rulemaking, opportunity for public participation, and delay in 
effective date. Because a notice of proposed rulemaking and an 
opportunity for public comment are not required to be given for this 
rule by 5 U.S.C. 553, 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 in 15 CFR Part 774

    Exports, Reporting and recordkeeping requirements.

    Accordingly, part 774 of the Export Administration Regulations (15 
CFR parts 730 through 774) is amended as follows:

PART 774--[AMENDED]

0
1. The authority citation for part 774 continues 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
2. In supplement no. 1 to part 774, Category 3, ECCN 3A001 is revised 
to read as follows:

Supplement No. 1 to Part 774--The Commerce Control List

* * * * *
3A001 Electronic Items as Follows (see List of Items Controlled).
Reason for Control: NS, RS, MT, NP, AT

 
                                            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[ordm]C to above +125[ordm]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:
    $1500: 3A001.c
    $3000: 3A001.b.1, b.2 (exported or reexported for use in civil 
telecommunications applications), b.3 (exported or reexported for 
use in civil telecommunications applications), b.9, .d, .e, .f, and 
.g.
    $5000: 3A001.a (except a.1.a and a.5.a when controlled for MT), 
b.4 to b.7, and b.12.
    GBS: Yes for 3A001.a.1.b, a.2 to a.14 (except .a.5.a when 
controlled for MT), b.2 (exported or reexported for use in civil 
telecommunications applications), b.8 (except for vacuum electronic 
device amplifiers exceeding 18 GHz), b.9, b.10, .g, .h, and .i.
    CIV: Yes for 3A001.a.3, a.7, and a.11.

Special Conditions for STA

STA: License Exception STA may not be used to ship any item in 
3A001.b.2 or b.3, except those that are being exported or reexported 
for use in civil telecommunications applications, to any of the 
destinations listed in Country Group A:5 or A:6 (See Supplement No.1 
to part 740 of the EAR).

List of Items Controlled

Related Controls: (1) See Category XV of the USML for certain 
``space-qualified'' electronics and Category XI of the USML for 
certain ASICs, `transmit/receive modules,' or `transmit modules' 
``subject to the ITAR'' (see 22 CFR parts 120 through 130). (2) See 
also 3A101, 3A201, 3A611, 3A991, and 9A515.
Related Definitions: `Microcircuit' means a device in which a number 
of passive or active elements are considered as indivisibly 
associated on or within a continuous structure to perform the 
function of a circuit. For the purposes of integrated circuits in 
3A001.a.1, 5 x 10\3\ Gy (Si) = 5 x 10\5\ Rads (Si); 5 x 10\6\ Gy 
(Si)/s = 5 x 10\8\ Rads (Si)/s.
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'').

[[Page 23890]]

    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.
    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 (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.

[[Page 23891]]

    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 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 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 Notes:
    1. For purposes of 3A001.b, the parameter peak saturated power 
output may also be referred to on product data sheets as output 
power, saturated power output, maximum power output, peak power 
output, or peak envelope power output.
    2. For purposes of 3A001.b.1, `vacuum electronic devices' are 
electronic devices based on the interaction of an electron beam with 
an electromagnetic wave propagating in a vacuum circuit or 
interacting with radio-frequency vacuum cavity resonators. `Vacuum 
electronic devices' include klystrons, traveling-wave tubes, and 
their derivatives.
    b.1. `Vacuum electronic devices' and cathodes, as follows:
    Note 1: 3A001.b.1 does not control `vacuum electronic devices' 
designed or rated for operation in any frequency band and having all 
of the following:
    a. Does not exceed 31.8 GHz; and
    b. Is ``allocated by the ITU'' for radio-communications 
services, but not for radio-determination.
    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

[[Page 23892]]

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;
    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; 
or
    b.3.f. Other than those specified by 3A001.b.3.a to 3A001.b.3.e 
and rated for operation with a peak saturated power output greater 
than 5 W (37.0 dBm) at all frequencies exceeding 8.5 GHz up to and 
including 31.8 GHz;
    Note 1: The control status of a transistor in 3A001.b.3.a 
through 3A001.b.3.e, whose rated operating frequency includes 
frequencies listed in more than one frequency range, as defined by 
3A001.b.3.a through 3A001.b.3.e, is determined by the lowest peak 
saturated power output control threshold.
    Note 2: 3A001.b.3 includes bare dice, dice mounted on carriers, 
or dice mounted in packages. Some discrete transistors may also be 
referred to as power amplifiers, but the status of these discrete 
transistors is determined by 3A001.b.3.
    b.4. Microwave solid state amplifiers and microwave assemblies/
modules containing microwave solid state amplifiers, that are any of 
the following:
    b.4.a. Rated for operation at frequencies exceeding 2.7 GHz up 
to and including 6.8 GHz with a ``fractional bandwidth'' greater 
than 15%, and having any of the following:
    b.4.a.1. A peak saturated power output greater than 500 W (57 
dBm) at any frequency exceeding 2.7 GHz up to and including 2.9 GHz;
    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 [micro]s and having any of the 
following:
    b.5.a. A band-pass bandwidth of more than 0.5% of center 
frequency; or
    b.5.b. A band-stop bandwidth of less than 0.5% of center 
frequency;
    b.6. [Reserved]
    b.7. Converters and harmonic mixers, that are any of the 
following:
    b.7.a. Designed to extend the frequency range of ``signal 
analyzers'' beyond 90 GHz;
    b.7.b. Designed to extend the operating range of signal 
generators as follows:
    b.7.b.1. Beyond 90 GHz;
    b.7.b.2. To an output power greater than 100 mW (20 dBm) 
anywhere within the frequency range exceeding 43.5 GHz but not 
exceeding 90 GHz;
    b.7.c. Designed to extend the operating range of network 
analyzers as follows:
    b.7.c.1. Beyond 110 GHz;
    b.7.c.2. To an output power greater than 31.62 mW (15 dBm) 
anywhere within the frequency range exceeding 43.5 GHz but not 
exceeding 90 GHz;
    b.7.c.3. To an output power greater than 1 mW (0 dBm) anywhere 
within the frequency range exceeding 90 GHz but not exceeding 110 
GHz; or
    b.7.d. Designed to extend the frequency range of microwave test 
receivers beyond 110 GHz;
    b.8. Microwave power amplifiers containing `vacuum electronic 
devices' controlled by 3A001.b.1 and having all of the following:
    b.8.a. Operating frequencies above 3 GHz;
    b.8.b. An average output power to mass ratio exceeding 80 W/kg; 
and
    b.8.c. A volume of less than 400 cm\3\;
    Note: 3A001.b.8 does not control equipment designed or rated for 
operation in any frequency band which is ``allocated by the ITU'' 
for radio-communications services, but not for radio-determination.
    b.9. Microwave Power Modules (MPM) consisting of, at least, a 
traveling-wave `vacuum electronic device,' a ``Monolithic Microwave 
Integrated Circuit'' (``MMIC'') and an integrated electronic power 
conditioner and having all of the following:
    b.9.a. A `turn-on time' from off to fully operational in less 
than 10 seconds;
    b.9.b. A volume less than the maximum rated power in Watts 
multiplied by 10 cm\3\/W; and
    b.9.c. An ``instantaneous bandwidth'' greater than 1 octave 
(fmax. > 2fmin,) and having any of the 
following:
    b.9.c.1. For frequencies equal to or less than 18 GHz, an RF 
output power greater than 100 W; or
    b.9.c.2. A frequency greater than 18 GHz;
    Technical Notes:
    1. To calculate the volume in 3A001.b.9.b, the following example 
is provided: for a maximum rated power of 20 W, the volume would be: 
20 W x 10 cm3/W = 200 cm3.
    2. The `turn-on time' in 3A001.b.9.a refers to the time from 
fully-off to fully operational, i.e., it includes the warm-up time 
of the MPM.
    b.10. Oscillators or oscillator assemblies, specified to operate 
with a single sideband

[[Page 23893]]

(SSB) phase noise, in dBc/Hz, less (better) than -(126 + 
20log10F - 20log10f) anywhere within the range 
of 10 Hz <=F <=10 kHz;
    Technical Note: In 3A001.b.10, F is the offset from the 
operating frequency in Hz and f is the operating frequency in MHz.
    b.11. `Frequency synthesizer' ``electronic assemblies'' having a 
``frequency switching time'' as specified by any of the following:
    b.11.a. Less than 143 ps;
    b.11.b. Less than 100 [mu]s for any frequency change exceeding 
2.2 GHz within the synthesized frequency range exceeding 4.8 GHz but 
not exceeding 31.8 GHz;
    b.11.c. [Reserved]
    b.11.d. Less than 500 [micro]s for any frequency change 
exceeding 550 MHz within the synthesized frequency range exceeding 
31.8 GHz but not exceeding 37 GHz; or
    b.11.e. Less than 100 [micro]s for any frequency change 
exceeding 2.2 GHz within the synthesized frequency range exceeding 
37 GHz but not exceeding 90 GHz; or
    b.11.f. [Reserved]
    b.11.g. Less than 1 ms within the synthesized frequency range 
exceeding 90 GHz;
    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.
    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 [micro]s; or
    c.1.c. A carrier frequency of 1 GHz or less and having any of 
the following:
    c.1.c.1. A product of the maximum delay time and the bandwidth 
(time in [micro]s and bandwidth in MHz) of more than 100;
    c.1.c.2. A dispersive delay of more than 10 [micro]s; or
    c.1.c.3. A `frequency side-lobe rejection' exceeding 65 dB and a 
bandwidth greater than 100 MHz;
    Technical Note: `Frequency side-lobe rejection' is the maximum 
rejection value specified in data sheet.
    c.2. Bulk (volume) acoustic wave devices that permit the direct 
processing of signals at frequencies exceeding 6 GHz;
    c.3. Acoustic-optic ``signal processing'' devices employing 
interaction between acoustic waves (bulk wave or surface wave) and 
light waves that permit the direct processing of signals or images, 
including spectral analysis, correlation or convolution;
    Note: 3A001.c does not control acoustic wave devices that are 
limited to a single band pass, low pass, high pass or notch 
filtering, or resonating function.
    d. Electronic devices and circuits containing ``components'', 
manufactured from ``superconductive'' materials, ``specially 
designed'' for operation at temperatures below the ``critical 
temperature'' of at least one of the ``superconductive'' 
constituents and having any of the following:
    d.1. Current switching for digital circuits using 
``superconductive'' gates with a product of delay time per gate (in 
seconds) and power dissipation per gate (in watts) of less than 
10-14 J; or
    d.2. Frequency selection at all frequencies using resonant 
circuits with Q-values exceeding 10,000;
    e. High energy devices as follows:
    e.1. `Cells' as follows:
    e.1.a. `Primary cells' having 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.

[[Page 23894]]

    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 1: 3A001.g includes:
    --Silicon Controlled Rectifiers (SCRs)
    --Electrical Triggering Thyristors (ETTs)
    --Light Triggering Thyristors (LTTs)
    --Integrated Gate Commutated Thyristors (IGCTs)
    --Gate Turn-off Thyristors (GTOs)
    --MOS Controlled Thyristors (MCTs)
    --Solidtrons
    Note 2: 3A001.g does not control thyristor devices and 
`thyristor modules' incorporated into equipment designed for civil 
railway or ``civil aircraft'' applications.
    Technical Note: For the purposes of 3A001.g, a `thyristor 
module' contains one or more thyristor devices.
    h. Solid-state power semiconductor switches, diodes, or 
`modules,' having all of the following:
    h.1. Rated for a maximum operating junction temperature greater 
than 488 K (215 [deg]C);
    h.2. Repetitive peak off-state voltage (blocking voltage) 
exceeding 300 V; and
    h.3. Continuous current greater than 1 A.
    Technical Note: For the purposes of 3A001.h, `modules' contain 
one or more solid-state power semiconductor switches or diodes.
    Note 1: Repetitive peak off-state voltage in 3A001.h includes 
drain to source voltage, collector to emitter voltage, repetitive 
peak reverse voltage and peak repetitive off-state blocking voltage.
    Note 2: 3A001.h includes:
    --Junction Field Effect Transistors (JFETs)
    --Vertical Junction Field Effect Transistors (VJFETs)
    --Metal Oxide Semiconductor Field Effect Transistors (MOSFETs)
    --Double Diffused Metal Oxide Semiconductor Field Effect 
Transistor (DMOSFET)
    --Insulated Gate Bipolar Transistor (IGBT)
    --High Electron Mobility Transistors (HEMTs)
    --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
3. In supplement no. 1 to part 774, Category 3, add ECCN 3D005, after 
ECCN 3D004, to read as follows:

3D005 ``Software'' ``specially designed'' to restore normal 
operation of a microcomputer, ``microprocessor microcircuit'' or 
``microcomputer microcircuit'' within 1 ms after an Electromagnetic 
Pulse (EMP) or Electrostatic Discharge (ESD) disruption, without 
loss of continuation of operation.

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: N/A

Special Conditions for STA

STA: License Exception STA may not be used to ship or transmit 
``software'' 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:

    The list of items controlled is contained in the ECCN heading.

0
4. In supplement no. 1 to part 774, Category 5 Part 2, the N.B. to Note 
3 (Cryptography Note) at the beginning of the Category is revised to 
read as follows:

Category 5--Telecommunications and ``Information Security''

* * * * *

Part 2--``Information Security''

* * * * *
    N.B. to Note 3 (Cryptography Note): You must submit a 
classification request or self-classification report to BIS for mass 
market encryption commodities and software eligible for the 
Cryptography Note employing a key length greater than 64 bits for 
the symmetric algorithm (or, for commodities and software not 
implementing any symmetric algorithms, employing a key length 
greater than 768 bits for asymmetric algorithms described by 
Technical note 2.b to 5A002.a or greater than 128 bits for elliptic 
curve algorithms, or any asymmetric algorithm described by Technical 
Note 2.c to 5A002.a) in accordance with the requirements of Sec.  
740.17(b) of the EAR in order to be released from the ``EI'' and 
``NS'' controls of ECCN 5A002 or 5D002.
* * * * *


0
5. 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

[[Page 23895]]

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' having a `described security 
algorithm' 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 a `described security algorithm', 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;
    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 a `described 
security algorithm' 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, `described security algorithm' 
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); or
    2.c. An ``asymmetric algorithm'' where the security of the 
algorithm is based on any of the following:
    2.c.1. Shortest vector or closest vector problems associated 
with lattices (e.g., NewHope, Frodo, NTRUEncrypt, Kyber, Titanium);
    2.c.2. Finding isogenies between Supersingular elliptic curves 
(e.g., Supersingular Isogeny Key Encapsulation); or
    2.c.3. Decoding random codes (e.g., McEliece, Niederreiter).
    Technical Note: An algorithm described by Technical Note 2.c. 
may be referred to as being post-quantum, quantum-safe or quantum-
resistant.
    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 a `described security algorithm'; 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

[[Page 23896]]

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
6. In supplement no. 1 to part 774, Category 6, ECCN 6A001 is revised 
to read as follows:

6A001 Acoustic systems, equipment and ``components,'' as follows 
(see List of Items Controlled).

License Requirements

Reason for Control: NS, AT

 
                                            Country Chart (See Supp. 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: $3000; N/A for 6A001.a.1.b.1 object detection and location 
systems having a transmitting frequency below 5 kHz or a sound 
pressure level exceeding 210 dB (reference 1 [mu]Pa at 1 m) for 
equipment with an operating frequency in the band from 2 kHz to 30 
kHz inclusive; 6A001.a.1.e, 6A001.a.2.a.1, a.2.a.2, 6A001.a.2.a.3, 
a.2.a.5, a.2.a.6, 6A001.a.2.b; processing equipment controlled by 
6A001.a.2.c, and ``specially designed'' for real-time application 
with towed acoustic hydrophone arrays; a.2.e.1, a.2.e.2; and bottom 
or bay cable systems controlled by 6A001.a.2.f and having processing 
equipment ``specially designed'' for real-time application with 
bottom or bay cable systems.
GBS: Yes for 6A001.a.1.b.4.
CIV: Yes for 6A001.a.1.b.4.

Special Conditions for STA

STA: License Exception STA may not be used to ship commodities in 
6A001.a.1.b, 6A001.a.1.e or 6A001.a.2 (except .a.2.a.4) to any of 
the destinations listed in Country Group A:6 (See Supplement No.1 to 
part 740 of the EAR).

List of Items Controlled

Related Controls: See also 6A991.
Related Definitions: N/A
    Items:
    a. Marine acoustic systems, equipment and ``specially designed'' 
``components'' therefor, as follows:
    a.1. Active (transmitting or transmitting-and-receiving) 
systems, equipment and ``specially designed'' ``components'' 
therefor, as follows:
    Note: 6A001.a.1 does not control equipment as follows:
    a. Depth sounders operating vertically below the apparatus, not 
including a scanning function exceeding  20[deg], and 
limited to measuring the depth of water, the distance of submerged 
or buried objects or fish finding;
    b. Acoustic beacons, as follows:
    1. Acoustic emergency beacons;
    2. Pingers ``specially designed'' for relocating or returning to 
an underwater position.
    a.1.a. Acoustic seabed survey equipment as follows:
    a.1.a.1. Surface vessel survey equipment designed for sea bed 
topographic mapping and having all of the following:
    a.1.a.1.a. Designed to take measurements at an angle exceeding 
20[deg] from the vertical;
    a.1.a.1.b. Designed to measure seabed topography at seabed 
depths exceeding 600 m;
    a.1.a.1.c.`Sounding resolution' less than 2; and
    a.1.a.1.d. `Enhancement' of the depth ``accuracy'' through 
compensation for all the following:
    a.1.a.1.d.1. Motion of the acoustic sensor;
    a.1.a.1.d.2. In-water propagation from sensor to the seabed and 
back; and
    a.1.a.1.d.3. Sound speed at the sensor;
    Technical Notes:
    1. `Sounding resolution' is the swath width (degrees) divided by 
the maximum number of soundings per swath.
    2. `Enhancement' includes the ability to compensate by external 
means.
    a.1.a.2. Underwater survey equipment designed for seabed 
topographic mapping and having any of the following:
    Technical Note: The acoustic sensor pressure rating determines 
the depth rating of the equipment specified by 6A001.a.1.a.2.
    a.1.a.2.a. Having all of the following:
    a.1.a.2.a.1. Designed or modified to operate at depths exceeding 
300 m; and
    a.1.a.2.a.2. `Sounding rate' greater than 3,800 m/s; or
    Technical Note: `Sounding rate' is the product of the maximum 
speed (m/s) at which the sensor can operate and the maximum number 
of soundings per swath assuming 100% coverage. For systems that 
produce soundings in two directions (3D sonars), the maximum of the 
`sounding rate' in either direction should be used.
    a.1.a.2.b. Survey equipment, not specified by 6A001.a.1.a.2.a, 
having all of the following:
    a.1.a.2.b.1. Designed or modified to operate at depths exceeding 
100 m;
    a.1.a.2.b.2. Designed to take measurements at an angle exceeding 
20[ordm] from the vertical;
    a.1.a.2.b.3. Having any of the following:
    a.1.a.2.b.3.a. Operating frequency below 350 kHz; or
    a.1.a.2.b.3.b. Designed to measure seabed topography at a range 
exceeding 200 m from the acoustic sensor; and
    a.1.a.2.b.4. `Enhancement' of the depth ``accuracy'' through 
compensation of all of the following:
    a.1.a.2.b.4.a. Motion of the acoustic sensor;
    a.1.a.2.b.4.b. In-water propagation from sensor to the seabed 
and back; and
    a.1.a.2.b.4.c. Sound speed at the sensor.
    a.1.a.3. Side Scan Sonar (SSS) or Synthetic Aperture Sonar 
(SAS), designed for seabed imaging and having all of the following, 
and ``specially designed'' transmitting and receiving acoustic 
arrays therefor:
    a.1.a.3.a. Designed or modified to operate at depths exceeding 
500 m; and
    a.1.a.3.b. An `area coverage rate' of greater than 570 m\2\/s 
while operating at the

[[Page 23897]]

maximum range that it can operate with an `along track resolution' 
of less than 15 cm; and
    a.1.a.3.c. An `across track resolution' of less than 15 cm;
    Technical Notes:
    1. `Area coverage rate' (m\2\/s) is twice the product of the 
sonar range (m) and the maximum speed (m/s) at which the sensor can 
operate at that range.
    2. `Along track resolution' (cm), for SSS only, is the product 
of azimuth (horizontal) beamwidth (degrees) and sonar range (m) and 
0.873.
    3. `Across track resolution' (cm) is 75 divided by the signal 
bandwidth (kHz).
    a.1.b Systems or transmitting and receiving arrays, designed for 
object detection or location, having any of the following:
    a.1.b.1. A transmitting frequency below 10 kHz;
    a.1.b.2. Sound pressure level exceeding 224dB (reference 1 
[micro]Pa at 1 m) for equipment with an operating frequency in the 
band from 10 kHz to 24 kHz inclusive;
    a.1.b.3. Sound pressure level exceeding 235 dB (reference 1 
[micro]Pa at 1 m) for equipment with an operating frequency in the 
band between 24 kHz and 30 kHz;
    a.1.b.4. Forming beams of less than 1[deg] on any axis and 
having an operating frequency of less than 100 kHz;
    a.1.b.5. Designed to operate with an unambiguous display range 
exceeding 5,120 m; or
    a.1.b.6. Designed to withstand pressure during normal operation 
at depths exceeding 1,000 m and having transducers with any of the 
following:
    a.1.b.6.a. Dynamic compensation for pressure; or
    a.1.b.6.b. Incorporating other than lead zirconate titanate as 
the transduction element;
    a.1.c. Acoustic projectors, including transducers, incorporating 
piezoelectric, magnetostrictive, electrostrictive, electrodynamic or 
hydraulic elements operating individually or in a designed 
combination and having any of the following:
    Notes:
    1. The control status of acoustic projectors, including 
transducers, ``specially designed'' for other equipment is 
determined by the control status of the other equipment.
    2. 6A001.a.1.c does not control electronic sources that direct 
the sound vertically only, or mechanical (e.g., air gun or vapor-
shock gun) or chemical (e.g., explosive) sources.
    3. Piezoelectric elements specified in 6A001.a.1.c include those 
made from lead-magnesium-niobate/lead-titanate (Pb(Mg1/3Nb2/3O3-
PbTiO3, or PMN-PT) single crystals grown from solid solution or 
lead-indium-niobate/lead-magnesium niobate/lead-titanate (Pb(In1/
2Nb1/2)O3-Pb(Mg1/3Nb2/3)O3-PbTiO3, or PIN-PMN-PT) single crystals 
grown from solid solution.
    a.1.c.1. Operating at frequencies below 10 kHz and having any of 
the following:
    a.1.c.1.a. Not designed for continuous operation at 100% duty 
cycle and having a radiated `free-field Source Level (SLRMS)' 
exceeding (10log(f) + 169.77)dB (reference 1 [mu]Pa at 1 m) where f 
is the frequency in Hertz of maximum Transmitting Voltage Response 
(TVR) below 10 kHz; or
    a.1.c.1.b. Designed for continuous operation at 100% duty cycle 
and having a continuously radiated `free-field Source Level (SLRMS)' 
at 100% duty cycle exceeding (10log(f) + 159.77)dB (reference 1 
[mu]Pa at 1 m) where f is the frequency in Hertz of maximum 
Transmitting Voltage Response (TVR) below 10 kHz; or
    Technical Note: The `free-field Source Level (SLRMS)' is defined 
along the maximum response axis and in the far field of the acoustic 
projector. It can be obtained from the Transmitting Voltage Response 
using the following equation: SLRMS = (TVR + 20log VRMS) dB (ref 
1[mu]Pa at 1 m), where SLRMS is the source level, TVR is the 
Transmitting Voltage Response and VRMS is the Driving Voltage of the 
Projector.
    a.1.c.2. [Reserved]
    N.B. See 6A001.a.1.c.1 for items previously specified in 
6A001.a.1.c.2.
    a.1.c.3. Side-lobe suppression exceeding 22 dB;
    a.1.d. Acoustic systems and equipment, designed to determine the 
position of surface vessels or underwater vehicles and having all of 
the following, and ``specially designed'' ``components'' therefor:
    a.1.d.1. Detection range exceeding 1,000 m; and
    a.1.d.2. Determined position error of less than 10 m rms (root 
mean square) when measured at a range of 1,000 m;
    Note: 6A001.a.1.d includes:
    a. Equipment using coherent ``signal processing'' between two or 
more beacons and the hydrophone unit carried by the surface vessel 
or underwater vehicle;
    b. Equipment capable of automatically correcting speed-of-sound 
propagation errors for calculation of a point.
    a.1.e. Active individual sonars, ``specially designed'' or 
modified to detect, locate and automatically classify swimmers or 
divers, having all of the following, and ``specially designed'' 
transmitting and receiving acoustic arrays therefor:
    a.1.e.1. Detection range exceeding 530 m;
    a.1.e.2. Determined position error of less than 15 m rms (root 
mean square) when measured at a range of 530 m; and
    a.1.e.3. Transmitted pulse signal bandwidth exceeding 3 kHz;
    N.B.: For diver detection systems ``specially designed'' or 
modified for military use, see the U.S. Munitions List in the 
International Traffic in Arms Regulations (ITAR) (22 CFR part 121).
    Note: For 6A001.a.1.e, where multiple detection ranges are 
specified for various environments, the greatest detection range is 
used.
    a.2. Passive systems, equipment and ``specially designed'' 
``components'' therefor, as follows:
    Note: 6A001.a.2 also applies to receiving equipment, whether or 
not related in normal application to separate active equipment, and 
``specially designed'' components therefor.
    a.2.a. Hydrophones having any of the following:
    Note: The control status of hydrophones ``specially designed'' 
for other equipment is determined by the control status of the other 
equipment.
    Technical Notes:
    1. Hydrophones consist of one or more sensing elements producing 
a single acoustic output channel. Those that contain multiple 
elements can be referred to as a hydrophone group.
    2. For the purposes of 6A001.a.2.a, underwater acoustic 
transducers designed to operate as passive receivers are 
hydrophones.
    a.2.a.1. Incorporating continuous flexible sensing elements;
    a.2.a.2. Incorporating flexible assemblies of discrete sensing 
elements with either a diameter or length less than 20 mm and with a 
separation between elements of less than 20 mm;
    a.2.a.3. Having any of the following sensing elements:
    a.2.a.3.a. Optical fibers;
    a.2.a.3.b. `Piezoelectric polymer films' other than 
polyvinylidene-fluoride (PVDF) and its co-polymers {P(VDF-TrFE) and 
P(VDF-TFE){time} ;
    a.2.a.3.c. `Flexible piezoelectric composites';
    a.2.a.3.d. Lead-magnesium- niobate/lead-titanate (i.e., 
Pb(Mg1/3Nb2/3)O3-PbTiO3, 
or PMN-PT) piezoelectric single crystals grown from solid solution; 
or
    a.2.a.3.e.Lead-indium-niobate/lead-magnesium niobate/lead-
titanate (i.e., Pb(In1/2Nb1/2)O3-
Pb(Mg1/3Nb2/3)O3-PbTiO3, 
or PIN-PMN-PT) piezoelectric single crystals grown from solid 
solution;
    a.2.a.4. A `hydrophone sensitivity' better than -180dB at any 
depth with no acceleration compensation;
    a.2.a.5. Designed to operate at depths exceeding 35 m with 
acceleration compensation; or
    a.2.a.6. Designed for operation at depths exceeding 1,000 m and 
having a `hydrophone sensitivity' better than -230 dB below 4 kHz;
    Technical Notes:
    1. `Piezoelectric polymer film' sensing elements consist of 
polarized polymer film that is stretched over and attached to a 
supporting frame or spool (mandrel).
    2. `Flexible piezoelectric composite' sensing elements consist 
of piezoelectric ceramic particles or fibers combined with an 
electrically insulating, acoustically transparent rubber, polymer or 
epoxy compound, where the compound is an integral part of the 
sensing elements.
    3. `Hydrophone sensitivity' is defined as twenty times the 
logarithm to the base 10 of the ratio of rms output voltage to a 1 V 
rms reference, when the hydrophone sensor, without a pre-amplifier, 
is placed in a plane wave acoustic field with an rms pressure of 1 
[micro]Pa. For example, a hydrophone of -160 dB (reference 1 V per 
[micro]Pa) would yield an output voltage of 10-8 V in 
such a field, while one of -180 dB sensitivity would yield only 
10-9 V output. Thus, -160 dB is better than -180 dB.
    a.2.b. Towed acoustic hydrophone arrays having any of the 
following:
    Technical Note: Hydrophones arrays consist of a number of 
hydrophones providing multiple acoustic output channels.
    a.2.b.1. Hydrophone group spacing of less than 12.5 m or `able 
to be modified' to have hydrophone group spacing of less than 12.5 
m;

[[Page 23898]]

    a.2.b.2. Designed or `able to be modified' to operate at depths 
exceeding 35m;
    Technical Note: `Able to be modified' in 6A001.a.2.b means 
having provisions to allow a change of the wiring or 
interconnections to alter hydrophone group spacing or operating 
depth limits. These provisions are: Spare wiring exceeding 10% of 
the number of wires, hydrophone group spacing adjustment blocks or 
internal depth limiting devices that are adjustable or that control 
more than one hydrophone group.
    a.2.b.3. Heading sensors controlled by 6A001.a.2.d;
    a.2.b.4. Longitudinally reinforced array hoses;
    a.2.b.5. An assembled array of less than 40 mm in diameter;
    a.2.b.6. [Reserved];
    a.2.b.7. Hydrophone characteristics controlled by 6A001.a.2.a; 
or
    a.2.b.8. Accelerometer-based hydro-acoustic sensors specified by 
6A001.a.2.g;
    a.2.c. Processing equipment, ``specially designed'' for towed 
acoustic hydrophone arrays, having ``user-accessible 
programmability'' and time or frequency domain processing and 
correlation, including spectral analysis, digital filtering and 
beamforming using Fast Fourier or other transforms or processes;
    a.2.d. Heading sensors having all of the following:
    a.2.d.1. An ``accuracy'' of better than  0.5[deg]; 
and
    a.2.d.2. Designed to operate at depths exceeding 35 m or having 
an adjustable or removable depth sensing device in order to operate 
at depths exceeding 35 m;
    N.B.: For inertial heading systems, see 7A003.c.
    a.2.e. Bottom or bay-cable hydrophone arrays having any of the 
following:
    a.2.e.1. Incorporating hydrophones controlled by 6A001.a.2.a;
    a.2.e.2. Incorporating multiplexed hydrophone group signal 
modules having all of the following characteristics:
    a.2.e.2.a. Designed to operate at depths exceeding 35 m or 
having an adjustable or removal depth sensing device in order to 
operate at depths exceeding 35 m; and
    a.2.e.2.b. Capable of being operationally interchanged with 
towed acoustic hydrophone array modules; or
    a.2.e.3. Incorporating accelerometer-based hydro-acoustic 
sensors specified by 6A001.a.2.g;
    a.2.f. Processing equipment, ``specially designed'' for bottom 
or bay cable systems, having ``user-accessible programmability'' and 
time or frequency domain processing and correlation, including 
spectral analysis, digital filtering and beamforming using Fast 
Fourier or other transforms or processes;
    a.2.g. Accelerometer-based hydro-acoustic sensors having all of 
the following:
    a.2.g.1. Composed of three accelerometers arranged along three 
distinct axes;
    a.2.g.2. Having an overall `acceleration sensitivity' better 
than 48 dB (reference 1,000 mV rms per 1g);
    a.2.g.3. Designed to operate at depths greater than 35 meters; 
and
    a.2.g.4. Operating frequency below 20 kHz;
    Note: 6A001.a.2.g does not apply to particle velocity sensors or 
geophones.
    Technical Notes:
    1. Accelerometer-based hydro-acoustic sensors are also known as 
vector sensors.
    2. `Acceleration sensitivity' is defined as twenty times the 
logarithm to the base 10 of the ratio of rms output voltage to a 1 V 
rms reference, when the hydro-acoustic sensor, without a 
preamplifier, is placed in a plane wave acoustic field with an rms 
acceleration of 1 g (i.e., 9.81 m/s\2\).
    b. Correlation-velocity and Doppler-velocity sonar log equipment 
designed to measure the horizontal speed of the equipment carrier 
relative to the sea bed, as follows:
    b.1. Correlation-velocity sonar log equipment having any of the 
following characteristics:
    b.1.a. Designed to operate at distances between the carrier and 
the sea bed exceeding 500 m; or
    b.1.b. Having speed ``accuracy'' better than 1% of speed;
    b.2. Doppler-velocity sonar log equipment having speed 
``accuracy'' better than 1% of speed;
    Note 1: 6A001.b does not apply to depth sounders limited to any 
of the following:
    a. Measuring the depth of water;
    b. Measuring the distance of submerged or buried objects; or
    c. Fish finding.
    Note 2: 6A001.b does not apply to equipment ``specially 
designed'' for installation on surface vessels.
    c. [Reserved]
    N.B.: For diver deterrent acoustic systems, see 8A002.r.

0
7. 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, terrestrial equipment, and air-launch platforms, 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.g, .u, .v, .w and .x..  NS Column 1
AT applies to 9A004.g, .u, .v, .w, .x and   AT Column 1
 .y.
 

    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. ``Aircraft'' ``specially designed'' or modified to be air-
launch platforms for space launch vehicles.
    h. 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;

[[Page 23899]]

    v.3. Described in ECCNs 7A004 or 7A104; or
    v.4. Described in an ECCN containing ``space-qualified'' as a 
control criterion (See ECCN 9A515.x.4).
    w. The International Space Station being developed, launched, 
and operated under the supervision of the U.S. National Aeronautics 
and Space Administration.
    x. ``Parts,'' ``components,'' ``accessories'' and 
``attachments'' that are ``specially designed'' for the 
International Space Station.
    y. Items that would otherwise be within the scope of ECCN 
9A004.v or .x but that have been identified in an interagency-
cleared commodity classification (CCATS) pursuant to Sec.  748.3(e) 
as warranting control in 9A004.y.

Nazak Nikakhtar,
Assistant Secretary for Industry & Analysis, Performing the Non-
exclusive Duties of the Under Secretary for Industry and Security.
[FR Doc. 2019-10778 Filed 5-22-19; 8:45 am]
 BILLING CODE 3510-33-P