Implementation of Certain New Controls on Emerging Technologies Agreed at Wassenaar Arrangement 2019 Plenary, 62583-62596 [2020-18334]

Agencies

• DEPARTMENT OF COMMERCE
• Bureau of Industry and Security

[Federal Register Volume 85, Number 193 (Monday, October 5, 2020)]
[Rules and Regulations]
[Pages 62583-62596]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2020-18334]


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DEPARTMENT OF COMMERCE

Bureau of Industry and Security

15 CFR Parts 740, 772, and 774

[Docket No. 200807-0209]
RIN 0694-AI03


Implementation of Certain New Controls on Emerging Technologies 
Agreed at Wassenaar Arrangement 2019 Plenary

AGENCY: Bureau of Industry and Security, Commerce.

ACTION: Final rule.

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SUMMARY: The Bureau of Industry and Security (BIS) maintains, as part 
of its Export Administration Regulations (EAR), the Commerce Control 
List (CCL), which identifies certain items subject to Department of 
Commerce jurisdiction. This final rule revises the CCL, as well as 
corresponding parts of the EAR, to implement certain changes made to 
the Wassenaar Arrangement List of Dual-Use Goods and Technologies (WA 
List) maintained and agreed to by governments participating in the 
Wassenaar Arrangement on Export Controls for Conventional Arms and 
Dual-Use Goods and Technologies (Wassenaar Arrangement, or WA) at the 
December 2019 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 final rule implements multilateral controls on six 
recently developed or developing technologies, which were identified by 
the WA December 2019 WA Plenary Meeting in a manner contemplated by the 
Export Control Reform Act of 2018 (ECRA) to identify emerging 
technologies that are essential to U.S. national security. This rule 
harmonizes the CCL with the WA December 2019 Plenary Meeting agreements 
that pertain to these six technologies. The inclusion of the six 
technologies in this final rule is consistent with the requirements of 
ECRA and the decision of the WA to add such technologies to its control 
lists, thereby making exports of such technologies subject to 
multilateral control. As these six technologies are recently developed 
or developing technologies that are essential to the national security 
of the United States, early implementation of the applicable WA 
December 2019 Plenary agreements is warranted. The remaining WA 2019 
Plenary agreements will be implemented in a separate rule.

[[Page 62584]]


DATES: This rule is effective October 5, 2020.

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 2: Joseph Giunta at 202-482-3127 or [email protected]
Category 3: Carlos Monroy at 202-482-3246 or [email protected]
Category 5: Aaron Amundson or Anita Zinzuvadia 202-482-0707 or 
[email protected] or [email protected]
Category 9: Michael Rithmire 202-482-6105 or Michael Tu 202-482-6462 or 
[email protected] or [email protected]
Category 9x515 (Satellites): Michael Tu 202-482-6462 or 
[email protected]

SUPPLEMENTARY INFORMATION:

Background

    The Wassenaar Arrangement (Wassenaar or WA) (https://www.wassenaar.org/) on Export Controls for Conventional Arms and Dual-
Use Goods and Technologies is a group of 42 like-minded states 
committed to promoting responsibility and transparency in the global 
arms trade and preventing destabilizing accumulations of arms. As a 
Participating State, the United States has committed to controlling for 
export all items on the WA control lists. These lists were first 
established in 1996 and have been revised annually thereafter. 
Proposals for changes to the WA control lists that achieve consensus 
are approved by Participating States at annual plenary meetings. 
Participating States are charged with implementing the agreed-upon list 
changes as soon as possible after approval. The United States' 
implementation of WA list changes ensures that U.S. companies have a 
level playing field with their competitors in other WA Participating 
States. This final rule implements multilateral controls on six 
recently developed or developing technologies, which were identified by 
the WA December 2019 WA Plenary Meeting in a manner contemplated by the 
ECRA to identify emerging technologies that are essential to U.S. 
national security. This rule harmonizes the CCL with the agreements 
reached by the WA during the WA December 2019 Plenary Meeting. The 
inclusion of the six technologies in this final rule is consistent with 
the requirements of ECRA and the decision of the WA to add the 
technologies to its control lists, thereby making exports of such 
technologies subject to multilateral control (following implementation 
by the United States and other WA participating countries).
    To implement the WA control list changes, this rule adds to the 
EAR's CCL the following six recently developed or developing 
technologies that are essential to the national security of the United 
States: Hybrid additive manufacturing (AM)/computer numerically 
controlled (CNC) tools; computational lithography software designed for 
the fabrication of extreme ultraviolet (EUV) masks; technology for 
finishing wafers for 5nm production; digital forensics tools that 
circumvent authentication or authorization controls on a computer (or 
communications device) and extract raw data; software for monitoring 
and analysis of communications and metadata acquired from a 
telecommunications service provider via a handover interface; and sub-
orbital craft.
    This rule also makes a correction to one ECCN and revises three 
related ECCNs and one License Exception.

Certain Revisions to the Commerce Control List Related to WA 2019 
Plenary Agreements

Revises five (5) ECCNs: 2B001, 3D003, 5E001, 5A004, 9A004
Revises three (4) related ECCNs: 5D002, 5E002, 9A012, 9A515
Corrects one (1) ECCN: 5D001
License Exception eligibility revisions: ENC
Adds (1) ECCN: 3E004

Category 2--Materials Processing

2B001 Machine Tools

    Note 4 is added at the beginning of the Items paragraph to advise 
the public that ``A machine tool having an additive manufacturing 
capability in addition to a turning, milling or grinding capability 
must be evaluated against each applicable entry 2B001.a, .b or .c,'' to 
ensure consistency in application of controls for these hybrid machine 
tools. Over the last several years, machine tools manufacturers have 
been adding more functionality by integrating multiple capabilities in 
their machines. Lately, manufacturers have integrated additive 
manufacturing and 5-axis computer numerically controlled (CNC) 
machines. As technology advances, future hybrid machines that also have 
multi-axis CNC capability will remain controlled in ECCN 2B001 even if 
it has the added additive manufacturing capability.
    Additive Manufacturing machines classified under ECCN 2B001 require 
a license to countries that have an ``X'' under columns NS column 2, NP 
column 1, or AT column 1. License Exception STA, as well as any 
applicable transaction-based license exceptions, are available if all 
of the criteria for the license exception are met and none of the 
restrictions in Sec.  740.2 apply.

Category 3--Electronics

3D003 `Computational Lithography' ``Software'' ``Specially Designed'' 
for the ``Development'' of Patterns on EUV-Lithography Masks or 
Reticles

    The Heading of 3D003 is revised to update controls on emerging 
Electronic Design Automation (EDA) or computational lithography 
software developed for Extreme Ultraviolet (EUV) masks. Extreme 
Ultraviolet Lithography (EUVL) introduces a number of issues that must 
be accurately modeled and corrected on the mask or reticle to produce 
optimized patterns in resist. Several key issues where specific 
software is needed for EUVL include mask three-dimensional (3D) 
effects, mask-shadowing effects, direction of illumination effects, 
long range flare effects, proximity effects, stochastic effects in 
resist, and source-masks optimization. Compensation of these effects 
using software modeling to optimize the patterns on the EUV mask 
reticle is required for making optimized photoresist patterns on 
wafers. This software has a license requirement for national security 
(NS) reasons at the NS column 1 level and for anti-terrorism (AT) 
reasons at the AT column 1 level. License Exceptions TSR and STA, as 
well as any applicable transaction-based license exceptions, are 
available if all of the criteria for the license exception are met and 
none of the restrictions in Sec.  740.2 apply.
    In addition, the two paragraphs in the Related Definitions 
paragraph are replaced by a definition for `computational lithography.'

3E004 ``Technology'' ``Required'' for the Slicing, Grinding and 
Polishing of 300 mm Diameter Silicon Wafers To Achieve a `Site Front 
Least sQuares Range' (`SFQR') Less Than or Equal to 20 nm at Any Site 
of 26 mm x 8 mm on the Front Surface of the Wafer and an Edge Exclusion 
Less Than or Equal to 2 mm

    This rule adds ECCN 3E004 to control ``technology'' for the 
production of substrates for high-end integrated circuits. The 
parameters include minimization of the flatness and the

[[Page 62585]]

surface defect. Flatness is referred to as SFQR (Site (Flatness) Front 
least sQuares Range) and surface defect is referred to as LLS 
(Localized Light Scatter). Though both of these parameters are known to 
represent wafer specifications, WA determined that the SFQR is the 
dominant parameter to capture the precision of wafer. ``SFQR is equal 
to or less than 20nm'' is an appropriate parameter to control the 
minimum guaranteed quality for the production of high-end integrated 
circuits designed for feature size of 5 nm or less taking into account 
the yield rate for integrated circuit production. This technology will 
have a license requirement for national security (NS) reasons at the NS 
column 1 level and for anti-terrorism (AT) reasons at the AT column 1 
level. License Exceptions TSR and STA, as well as any applicable 
transaction-based license exceptions, are available if all of the 
criteria for the license exception are met and none of the restrictions 
in Sec.  740.2 apply.

Category 5--Part 1--Telecommunications

5D001 ``Software''

    This rule makes a correction by removing 5D001.b from the Special 
Conditions for STA, because 5D001.b was removed from the 5D001 entry in 
2014 and reserved at that time.
    This rule adds Item paragraph 5D001.e to control specified 
surveillance ``software,'' other than that specified by 5D001.a or 
5D001.c, ``specially designed'' or modified for monitoring or analysis 
by law enforcement, including a Technical Note that defines `handover 
interface' and specifies some international standards examples. This 
new entry controls software that is specially designed for use by law 
enforcement to analyze the content of communications acquired from a 
handover interface. Such software can be used by international actors 
in ways that are contrary to U.S. national security. To be controlled, 
the software must meet both parameters in subparagraphs 5D001.e.1 and 
e.2, specifically, it must provide the ability to execute searches on 
the basis of ``hard selectors'' of either the content of communication 
or metadata acquired from a communications service provider using a 
`handover interface' and it must provide the ability to map the 
relational network or track the movement of targeted individuals based 
on such searches. This new entry does not control network management 
tools or banking software and therefore includes an exclusion note for 
``software'' ``specially designed'' or modified for any of the 
following: Billing purposes, Network Quality of Service (QoS), Quality 
of Experience (QoE), mediation devices, or mobile payment or banking 
use. Mediation devices for lawful intercept by the communication 
service provider may be controlled in 5A980 or 5D980 and are not 
included in this entry. A definition of ``hard selectors'' is added to 
Sec.  772.1 (Definitions) of the EAR. This software has a license 
requirement for NS column 1, and AT column 1. This software and its 
corresponding technology are added to the eligibility paragraph for 
License Exception TSR, limited to Country Group A:5 as specified in the 
TSR paragraph of the List Based License Exceptions section of ECCNs 
5D001 and 5E001. This software and technology are also eligible for 
License Exception STA.

5E001 ``Technology''

    This rule adds 5D001.e surveillance software to 5E001.a to control 
``technology'' according to the General Technology Note for the 
``development'', ``production'' or ``use'' (excluding operation) of 
``software'' controlled by 5D001.e. This technology has a license 
requirement for NS column 1 and AT column 1. This technology is added 
to the eligibility paragraph for License Exception TSR, as specified in 
the TSR paragraph of the List Based License Exceptions section of ECCN 
5E001. This technology is also eligible for License Exception STA.

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

5A004 ``Systems,'' ``Equipment'' and ``Components'' for Defeating, 
Weakening or Bypassing ``Information Security''

    This rule adds paragraph 5A004.b to control digital forensics or 
investigative tools. This new entry controls items that circumvent 
authentication or authorization mechanisms and extract raw data from a 
computer or communications device. Although once used primarily by law 
enforcement, these items are increasingly being used by the military to 
extract time-critical information from devices found on the 
battlefield. The purpose of the text is to control items that can 
quickly analyze a device and recover protected information, i.e., to 
capture products which allow the recovery of protected information by 
breaking, manipulating, exploiting, and/or bypassing security measures 
which the manufacturer has installed on a device. The text is not 
intended to capture items that extract data that is completely 
unprotected on a device; nor is it intended to capture production or 
test equipment, system administrator tools, or tools that are used for 
retail purposes such as unlocking mobile phones. In addition, the 
phrase ``extract raw data'' clarifies that items that are limited to 
extracting simple user data, such as contact lists, videos, and photos 
(for example to transfer personal information between mobile phone 
handsets), would not be controlled.
    5A004.b requires a license to countries that have an ``X'' under 
columns NS column 1 or AT column 1. An encryption item (EI) license 
requirement also applies. See Sec.  742.15 of the EAR. License 
Exception LVS and ENC are available as specified in the List Based 
License Exceptions of 5A004 and the applicable license exception 
criteria in part 740 so long as none of the restrictions set forth in 
Sec.  740.2 apply.

Sec.  740.17 License Exception Encryption Commodities, Software and 
Technology (ENC)

    This rule also makes changes to License Exception ENC consistent 
with the addition of 5A004.b. The first sentence in the introductory 
paragraph to Sec.  740.17 is revised by adding ``and digital forensics 
items (investigative tools)'' to the list of items authorized by 
License Exception ENC. Paragraphs 1 and 3 of the Note to paragraph 
(b)(2) introductory text are amended by adding ``classified in ECCN 
5A004.a, 5D002.a.3.a or c.3.a, or 5E002'' to clarify what is meant by 
``cryptanalytic items.'' Paragraph (b)(2)(ii) is changed by replacing 
the reference to ``5A004 or 5D002'' with a reference to ``5A004.a, 
5D002.a.3.a or 5D002.c.3.a'' where the paragraph mentions 
``cryptanalytic items.'' Paragraph (b)(3)(iii)(B) is revised by 
removing ``including network or computer forensics'' from the title and 
replacing it with ``and investigative tools''; and revising the text of 
the paragraph to point to ECCN 5A004.b for specific characteristics of 
digital forensics items (investigative tools) subject to the thirty-day 
(30-day) classification request requirement.

5D002 ``Software''

    This rule amends 5D002 by revising Item paragraphs 5D002.a.3 and 
c.3, which are the associated software controls for 5A004 items, to add 
software controls for 5A004.b digital forensics or investigative tools. 
This rule also adds an exclusion note to 5D002.c.3.b to exclude 
``intrusion software.'' This rule adds to Sec.  772.1 the definition of 
``intrusion software'' from the agreements reached at the 2013 WA

[[Page 62586]]

Plenary. 5D002 requires a license to countries that have an ``X'' under 
columns NS column 1 or AT column 1. An encryption item (EI) license 
requirement also applies. See Sec.  742.15 of the EAR. License 
Exception ENC is available as specified in the List Based License 
Exceptions of 5D002 and the applicable license exception criteria in 
part 740 so long as none of the restrictions set forth in Sec.  740.2 
apply.

5E002 ``Technology''

    This rule adds an exclusion note to Item paragraph 5E002.a to 
exclude ``technology'' for items specified by 5A004.b, 5D002.a.3.b or 
5D002.c.3.b. The techniques that are used to circumvent authentication 
and authorization and extract raw data are well known and therefore do 
not warrant additional controls. In addition, information on these 
techniques is often exchanged as part of cyber incident response and 
vulnerability analysis activities and therefore controlling such 
information could adversely impact those activities.

Category 9--Aerospace and Propulsion

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

    This rule adds ``sub-orbital craft'' to Item paragraph 9A004.h and 
the definition for ``sub-orbital craft'' to Sec.  772.1 of the EAR. A 
sub-orbital craft is designed to operate above the stratosphere and 
land on Earth without completing an orbit. Therefore, it does not meet 
the definition of ``spacecraft'', which is limited to satellites and 
space probes. Certain types of sub-orbital craft could already be 
considered to be controlled under 9A004 as space launch vehicles. 
However, an overall space launch system may consist of several stages, 
one of which may be a re-usable spaceplane. This item would generally 
not be considered a space launch vehicle. While this rule adds 9A004.h 
for consistency with the Wassenaar List of Dual-Use Goods, the ``sub-
orbital craft'' described by 9A004.h falls within the scope of 9A515.a 
and is controlled by that entry if subject to the EAR. It should be 
noted that ITAR Category XV(a)(11) captures certain sub-orbital craft.

9A515 ``Spacecraft'' and Related Commodities

    ``Sub-orbital craft'' warrant the same STA eligibility as 
``spacecraft'' described in 9A515.a.1, a.2, a.3 and a.4. Therefore, 
this rule revises the Special Conditions for STA by adding ``sub-
orbital craft'' to paragraph (1). This means that STA may not be used 
for ``sub-orbital craft'' unless determined by BIS to be eligible for 
License Exception STA in accordance with Sec.  740.20(g) (License 
Exception STA eligibility requests for certain 9x515 and ``600 series'' 
items). Paragraph (c)(2) of License Exception STA (Sec.  740.20(c)(2) 
of the EAR) may not be used for any item in 9A515. Note that 9A515 is 
eligible for License Exception Limited Value Shipment (LVS) at $1500.
    This rule also amends paragraph 9A515.a to add ``sub-orbital 
craft,'' because BIS lists ``spacecraft'' and related commodities in 
9A515 of the CCL to more easily implement appropriate license 
requirements and exceptions. ``Sub-orbital craft'' under ECCN 9A515.a 
require a license to countries that have an ``X'' under columns NS 
column 1, RS column 1, or AT column 1, which means a license is 
required for all destinations other than Canada.
    For added clarity, this rule adds ``sub-orbital craft'' to the Note 
to 9A515.a, which explains what is included in 9A515.a.

Sec.  740.20 License Exception Strategic Trade Authorization (STA)

    This rule amends paragraph (g) ``License Exception STA eligibility 
requests for 9x515 and ``600 series'' items''. This revision will 
clarify that ``sub-orbital craft'', ``spacecraft'' described in ECCNs 
9A515.a.1, .a.2, .a.3, .a.4, and remote sensing components ``specially 
designed'' for these ``spacecraft'' described in 9A515.g, require prior 
approval before using License Exception STA.

9A012 Non-Military ``Unmanned Aerial Vehicles,'' (``UAVs''), Unmanned 
``Airships'', Related Equipment and ``Components''

    This rule enumerates each sentence in the Related Controls 
paragraph and adds a third sentence that explains that in classifying 
``UAVs'' that are ``sub-orbital craft'' exporters should look at 
9A004.h and 9A515.a.

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 
includes the Export Control Reform Act of 2018 (ECRA), 50 U.S.C. 
Sections 4801-4852. ECRA provides the legal basis for BIS's principal 
authorities and serves as the authority under which BIS issues this 
rule.

Saving Clause

    Shipments of items removed from license exception eligibility or 
eligibility for export, reexport or transfer (in-country) without a 
license as a result of this regulatory action that were on dock for 
loading, on lighter, laden aboard an exporting carrier, or en route 
aboard a carrier to a port of export, on October 5, 2020, pursuant to 
actual orders for exports, reexports and transfers (in-country) to a 
foreign destination, may proceed to that destination under the previous 
license exception eligibility or without a license so long as they have 
been exported, reexported or transferred (in-country) before December 
4, 2020. Any such items not actually exported, reexported or 
transferred (in-country) before midnight, local time, on December 4, 
2020, 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) was 
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 goal was 
also to prevent the acquisition of such items by terrorists. There are 
presently 42 Participating States, including the United States, which 
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. Implementation 
of the WA Plenary 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

[[Page 62587]]

term is defined under Executive Order 13132.
    This rule is not subject to the requirements of E.O. 13771 (82 FR 
9339, February 3, 2017) because it is issued with respect to a national 
security function of the United States.

Paperwork Reduction Act Requirements

    Notwithstanding any other provision of law, no person is required 
to respond to, nor shall any person be subject to a penalty for failure 
to comply with, a collection of information subject to the requirements 
of the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.) (PRA), 
unless that collection of information displays a currently valid Office 
of Management and Budget (OMB) Control Number.
    This rule involves the following OMB-approved collections of 
information subject to the PRA: 0694-0088, ``Multi-Purpose 
Application'', which carries a burden hour estimate of 29.6 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 electronic 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, including moving the location of control 
text on the Commerce Control List, or that clarify language, will 
result in no change in license application submissions.
    Any comments regarding these collections of information, including 
suggestions for reducing the burden, may be sent to OMB Desk Officer, 
New Executive Office Building, Washington, DC 20503; and to Jasmeet K. 
Seehra, Office of Management and Budget (OMB), by email to 
[email protected], or by fax to (202) 395-7285.

Administrative Procedure Act and Regulatory Flexibility Act 
Requirements

    Pursuant to Sec.  4821 of 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 under the 
Administrative Procedure Act or by any other law, the analytical 
requirements of the Regulatory Flexibility Act (5 U.S.C. 601 et seq.) 
are not applicable. Accordingly, no regulatory flexibility analysis is 
required, and none has been prepared.

List of Subjects

15 CFR Part 740

    Administrative practice and procedure, Exports, Reporting and 
recordkeeping requirements.

15 CFR Part 772

    Exports

15 CFR Part 774

    Exports, Reporting and recordkeeping requirements.

    Accordingly, parts 740, 772, and 774 of the Export Administration 
Regulations (15 CFR parts 730 through 774) are amended as follows:

PART 740--LICENSE EXCEPTIONS

0
1. The authority citation for part 740 continues to read as follows:

    Authority: 50 U.S.C. 4801-4852; 50 U.S.C. 4601 et seq.; 50 
U.S.C. 1701 et seq.; 22 U.S.C. 7201 et seq.; E.O. 13026, 61 FR 
58767, 3 CFR, 1996 Comp., p. 228; E.O. 13222, 66 FR 44025, 3 CFR, 
2001 Comp., p. 783.


0
2. Section 740.17 is amended by:
0
a. Revising the first sentence of the introductory text;
0
b. Revising paragraphs 1 and 3 of the Note to paragraph (b)(2) 
introductory text;
0
c. Revising paragraphs (b)(2)(ii) and (b)(2)(iv)(B); and
0
d. Revising paragraph (b)(3)(iii)(B).
    The revised text is set forth below.


Sec.  740.17  Encryption commodities, software and technology (ENC).

    License Exception ENC authorizes export, reexport, and transfer 
(in-country) of systems, equipment, commodities, and components 
therefor that are classified under ECCN 5A002, 5B002, equivalent or 
related software and technology therefor classified under 5D002 or 
5E002, and ``cryptanalytic items'' and digital forensics items 
(investigative tools) classified under ECCN 5A004, 5D002 or 5E002. * * 
*
* * * * *
    (b) * * *
    (2) * * *

    Note to paragraph (b)(2) introductory text: * * *

    1. All submitted encryption items described in this paragraph 
(b)(2), except ``cryptanalytic items,'' classified in ECCN 5A004.a, 
5D002.a.3.a or c.3.a, or 5E002, to any end user located or 
headquartered in a country listed in supplement no. 3 to this part;
* * * * *
    3. ``Cryptanalytic items,'' classified in ECCN 5A004.a, 5D002.a.3.a 
or c.3.a, or 5E002, to non-``government end users,'' only, located or 
headquartered in a country listed in supplement no. 3 to this part; and
* * * * *
    (ii) Cryptanalytic commodities and software. ``Cryptanalytic 
items'' classified in ECCN 5A004.a, 5D002.a.3.a, or 5D002.c.3.a, to 
non- ``government end users'' located or headquartered in countries not 
listed in supplement no. 3 to this part.
* * * * *
    (iv) * * *
    (B) Other technology. Encryption technology classified under ECCN 
5E002 except technology for ``cryptanalytic items'' classified in ECCN 
5A004.a, 5D002.a.3.a or 5D002.c.3.a, ``non-standard cryptography'' or 
any ``open cryptographic interface,'' to any non-``government end 
user'' located in a country not listed in Country Group D:1, E:1, or 
E:2 of supplement no. 1 to part 740 of the EAR.
* * * * *
    (3) * * *
    (iii) * * *
    (B) Digital forensics and investigative tools. Items specified in 
ECCN 5A004.b, 5D002.a.3.b, or 5D002.c.3.b, see supplement no. 1 to part 
774 Commerce Control List.
* * * * *

0
3. Section 740.20 is amended by revising paragraph (g)(1) to read as 
follows:


Sec.  740.20  License Exception Strategic Trade Authorization (STA).

* * * * *
    (g) * * * (1) Applicability. Any person may request License 
Exception STA eligibility for end items described in ECCN 0A606.a, ECCN 
8A609.a, ECCNs 8A620.a or .b, ``spacecraft'' in ECCNs 9A515.a.1, .a.2, 
.a.3, or .a.4, ``sub-orbital craft,'' or items in 9A515.g, 9A610.a, or 
technology ECCNs 9E515.b, .d, .e, or .f.
* * * * *

PART 772--DEFINITIONS OF TERMS

0
4. The authority citation for part 772 continues to read as follows:


[[Page 62588]]


    Authority: 50 U.S.C. 4801-4852; 50 U.S.C. 4601 et seq.; 50 
U.S.C. 1701 et seq.; E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 
783.


0
5. Section 772.1 is amended by:
0
a. Adding the definition of ``hard selectors'' in alphabetical order;
0
b. Adding the definition of ``intrusion software'' in alphabetical 
order, with notes 1 and 2 to the definition of ``intrusion software'', 
and technical notes 1 and 2 to the definition of ``intrusion 
software''; and
0
c. Adding the definition of ``sub-orbital craft'' in alphabetical 
order.
    The additions read as follows:


Sec.  772.1  Definitions of Terms As Used In the Export Administration 
Regulations (EAR).

* * * * *
    Hard selectors. (Cat 5P1) Data or set of data, related to an 
individual (e.g., family name, given name, email, street address, phone 
number or group affiliations).
* * * * *
    Intrusion software. (5P2) ``Software'' specially designed or 
modified to avoid detection by `monitoring tools', or to defeat 
`protective countermeasures', of a computer or network-capable device, 
and performing any of the following:
    (1) The extraction of data or information, from a computer or 
network-capable device, or the modification of system or user data; or
    (2) The modification of the standard execution path of a program or 
process in order to allow the execution of externally provided 
instructions.

    Note 1 to ``Intrusion software'' definition: ``Intrusion 
software'' does not include any of the following: Hypervisors, 
debuggers or Software Reverse Engineering (SRE) tools; Digital 
Rights Management (DRM) ``software''; or ``Software'' designed to be 
installed by manufacturers, administrators or users, for the 
purposes of asset tracking or recovery.


    Note 2 to ``Intrusion software'' definition: Network-capable 
devices include mobile devices and smart meters.


    Technical note 1 to ``Intrusion software'' definition: 
`Monitoring tools': ``software'' or hardware devices, that monitor 
system behaviors or processes running on a device. This includes 
antivirus (AV) products, end point security products, Personal 
Security Products (PSP), Intrusion Detection Systems (IDS), 
Intrusion Prevention Systems (IPS) or firewalls.


    Technical note 2 to ``Intrusion software'' definition: 
`Protective countermeasures': techniques designed to ensure the safe 
execution of code, such as Data Execution Prevention (DEP), Address 
Space Layout Randomization (ASLR) or sandboxing.

* * * * *
    ``Sub-orbital craft''. (Cat 9) A craft having an enclosure designed 
for the transport of people or cargo, which is designed to:
    (1) Operate above the stratosphere;
    (2) Perform a non-orbital trajectory; and
    (3) Land back on Earth with the people or cargo intact.
* * * * *

PART 774--THE COMMERCE CONTROL LIST

0
6. The authority citation for part 774 continues to read as follows:

    Authority: 50 U.S.C. 4801-4852; 50 U.S.C. 4601 et seq.; 50 
U.S.C. 1701 et seq.; 10 U.S.C. 8720; 10 U.S.C. 8730(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. 1824; 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.


0
7. In supplement no. 1 to part 774:
0
a. Revise ECCN 2B001 under Category 2--Materials Processing, section B. 
``Test'', ``Inspection'' and ``Production Equipment'';
0
b. Revise ECCN 3D003 under Category 3--Electronics, section D. 
``Software'';
0
c. Add ECCN 3E004 after 3E003 under Category 3--Electronics, section E. 
``Technology'';
0
d. Revise ECCN 5D001 under Category 5--Telecommunications and 
``Information Security'', Part 1--Telecommunications, section D. 
``Software'';
0
e. Revise ECCN 5E001 under Category 5--Telecommunications and 
``Information Security'', Part 1--Telecommunications, section E. 
``Technology'';
0
f. Revise ECCN 5A004 under Category 5--Telecommunications and 
``Information Security'', Part 2--``Information Security'', section A. 
``End Items,'' ``Equipment,'' ``Accessories,'' ``Attachments,'' 
``Parts,'' ``Components,'' and ``Systems'', subsection III. DEFEATING, 
WEAKENING, OR BYPASSING ``INFORMATION SECURITY'';
0
g. Revise ECCN 5D002 under Category 5--Telecommunications and 
``Information Security'', Part 2--``Information Security'', section D. 
``Software'';
0
h. Revise ECCN 5E002 under Category 5--Telecommunications and 
``Information Security'', Part 2--``Information Security'', section E. 
``Technology'';
0
i. Revise ECCN 9A004 under Category 9--Aerospace and Propulsion, 
section A. ``End Items'', ``Equipment'', ``Accessories'', 
``Attachments'', ``Parts'', ``Components'' and ``Systems'';
0
j. Revise ECCN 9A012 under Category 9--Aerospace and Propulsion, 
section A. ``End Items'', ``Equipment'', ``Accessories'', 
``Attachments'', ``Parts'', ``Components'' and ``Systems''; and
0
k. Revise ECCN 9A515 under Category 9--Aerospace and Propulsion, 
section A. ``End Items'', ``Equipment'', ``Accessories'', 
``Attachments'', ``Parts'', ``Components'' and ``Systems''.
    The revisions and additions read as follows:

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

* * * * *

Category 2--Materials Processing

* * * * *

B. ``Test'', ``Inspection'' and ``Production Equipment''

* * * * *
2B001 Machine tools and any combination thereof, for removing (or 
cutting) metals, ceramics or ``composites'', which, according to the 
manufacturer's technical specifications, can be equipped with 
electronic devices for ``numerical control''; as follows (see List 
of Items Controlled).

License Requirements

Reason for Control: NS, NP, AT

 
                                         Country chart  (See Supp. No. 1
               Control(s)                          to part 738)
 
NS applies to entire entry.............  NS Column 2.
NP applies to 2B001.a, .b, .c, and .d,   NP Column 1.
 EXCEPT:.

[[Page 62589]]

 
(1) turning machines under 2B001.a with
 a capacity no greater than 35 mm
 diameter; (2) bar machines
 (Swissturn), limited to machining only
 bar feed through, if maximum bar
 diameter is equal to or less than 42
 mm and there is no capability of
 mounting chucks. (Machines may have
 drilling and/or milling capabilities
 for machining ``parts'' or
 ``components'' with diameters less
 than 42 mm); or
(3) milling machines under 2B001.b with
 x-axis travel greater than two meters
 and overall positioning accuracy
 according to ISO 230/2 (2006) on the x-
 axis more (worse) than 22.5 [mu]m.
AT applies to entire entry.............  AT Column 1.
 

List Based License Exceptions (See Part 740 for a description of all 
license exceptions)

LVS: N/A
GBS: N/A

List of Items Controlled

Related Controls: (1) See ECCN 2B002 for optical finishing machines. 
(2) See ECCNs 2D001 and 2D002 for software for items controlled 
under this entry. (3) See ECCNs 2E001 (``development''), 2E002 
(``production''), and 2E201 (``use'') for technology for items 
controlled under this entry. (4) Also see ECCNs 2B201 and 2B991.
Related Definitions: N/A
Items:

    Note 1:
    2B001 does not control special purpose machine tools limited to 
the manufacture of gears. For such machines, see 2B003.


    Note 2:
    2B001 does not control special purpose machine tools limited to 
the manufacture of any of the following:

    a. Crank shafts or cam shafts;
    b. Tools or cutters;
    c. Extruder worms;
    d. Engraved or faceted jewelry parts; or
    e. Dental prostheses.

    Note 3:
    A machine tool having at least two of the three turning, milling 
or grinding capabilities (e.g., a turning machine with milling 
capability), must be evaluated against each applicable entry 
2B001.a, .b or .c.


    Note 4:
    A machine tool having an additive manufacturing capability in 
addition to a turning, milling or grinding capability must be 
evaluated against each applicable entry 2B001.a, .b or .c.

    a. Machine tools for turning having two or more axes which can 
be coordinated simultaneously for ``contouring control'' having any 
of the following:
    a.1. ``Unidirectional positioning repeatability'' equal to or 
less (better) than 0.9 [micro]m along one or more linear axis with a 
travel length less than 1.0 m; or
    a.2. ``Unidirectional positioning repeatability'' equal to or 
less (better) than 1.1 [micro]m along one or more linear axis with a 
travel length equal to or greater than 1.0 m;

    Note 1:
     2B001.a does not control turning machines ``specially 
designed'' for producing contact lenses, having all of the 
following:

    a. Machine controller limited to using ophthalmic based 
``software'' for part programming data input; and
    b. No vacuum chucking.

    Note 2:
    2B001.a does not apply to bar machines (Swissturn), limited to 
machining only bar feed thru, if maximum bar diameter is equal to or 
less than 42 mm and there is no capability of mounting chucks. 
Machines may have drilling or milling capabilities for machining 
parts with diameters less than 42 mm.

    b. Machine tools for milling having any of the following:
    b.1. Three linear axes plus one rotary axis which can be 
coordinated simultaneously for ``contouring control'' having any of 
the following:
    b.1.a. ``Unidirectional positioning repeatability'' equal to or 
less (better) than 0.9 [micro]m along one or more linear axis with a 
travel length less than 1.0 m; or
    b.1.b. ``Unidirectional positioning repeatability'' equal to or 
less (better) than 1.1 [micro]m along one or more linear axis with a 
travel length equal to or greater than 1.0 m;
    b.2. Five or more axes which can be coordinated simultaneously 
for ``contouring control'' having any of the following:
    b.2.a. ``Unidirectional positioning repeatability'' equal to or 
less (better) than 0.9 [micro]m along one or more linear axis with a 
travel length less than 1.0 m;
    b.2.b. ``Unidirectional positioning repeatability'' equal to or 
less (better) than 1.4 [micro]m along one or more linear axis with a 
travel length equal to or greater than 1 m and less than 4 m; or
    b.2.c. ``Unidirectional positioning repeatability'' equal to or 
less (better) than 6.0 [micro]m along one or more linear axis with a 
travel length equal to or greater than 4 m;
    b.3. A ``unidirectional positioning repeatability'' for jig 
boring machines, equal to or less (better) than 1.1 [micro]m along 
one or more linear axis; or
    b.4. Fly cutting machines having all of the following:
    b.4.a. Spindle ``run-out'' and ``camming'' less (better) than 
0.0004 mm TIR; and
    b.4.b. Angular deviation of slide movement (yaw, pitch and roll) 
less (better) than 2 seconds of arc, TIR, over 300 mm of travel;
    c. Machine tools for grinding having any of the following:
    c.1. Having all of the following:
    c.1.a. ``Unidirectional positioning repeatability'' equal to or 
less (better) than 1.1 [micro]m along one or more linear axis; and
    c.1.b. Three or four axes which can be coordinated 
simultaneously for ``contouring control''; or
    c.2. Five or more axes which can be coordinated simultaneously 
for ``contouring control'' having any of the following:
    c.2.a. ``Unidirectional positioning repeatability'' equal to or 
less (better) than 1.1 [micro]m along one or more linear axis with a 
travel length less than 1m;
    c.2.b. ``Unidirectional positioning repeatability'' equal to or 
less (better) than 1.4 [micro]m along one or more linear axis with a 
travel length equal to or greater than 1 m and less than 4 m; or
    c.2.c. ``Unidirectional positioning repeatability'' equal to or 
less (better) than 6.0 [micro]m along one or more linear axis with a 
travel length equal to or greater than 4 m.

    Notes: 2B001.c does not control grinding machines as follows:

    a. Cylindrical external, internal, and external-internal 
grinding machines, having all of the following:
    a.1. Limited to cylindrical grinding; and
    a.2. Limited to a maximum workpiece capacity of 150 mm outside 
diameter or length.
    b. Machines designed specifically as jig grinders that do not 
have a z-axis or a w-axis, with a ``unidirectional positioning 
repeatability'' less (better) than 1.1 [micro]m.
    c. Surface grinders.
    d. Electrical discharge machines (EDM) of the non-wire type 
which have two or more rotary axes which can be coordinated 
simultaneously for ``contouring control'';
    e. Machine tools for removing metals, ceramics or 
``composites'', having all of the following:
    e.1. Removing material by means of any of the following:
    e.1.a. Water or other liquid jets, including those employing 
abrasive additives;
    e.1.b. Electron beam; or
    e.1.c. ``Laser'' beam; and
    e.2. At least two rotary axes having all of the following:
    e.2.a. Can be coordinated simultaneously for ``contouring 
control''; and
    e.2.b. A positioning ``accuracy'' of less (better) than 
0.003[deg];
    f. Deep-hole-drilling machines and turning machines modified for 
deep-hole-drilling, having a maximum depth-of-bore capability 
exceeding 5m.
* * * * *

Category 3--Electronics

* * * * *

D. ``Software''

* * * * *
3D003 Computational lithography' ``software'' ``specially designed'' 
for the ``development'' of patterns on EUV-lithography masks or 
reticles.

[[Page 62590]]

License Requirements

Reason for Control: NS, AT

 
                                         Country chart  (See Supp. No. 1
               Control(s)                          to part 738)
 
NS applies to entire entry.............  NS Column 1.
AT applies to entire entry.............  AT Column 1.
 

List Based License Exceptions (See Part 740 for a description of all 
license exceptions)

TSR: Yes

List of Items Controlled

Related Controls: N/A
Related Definitions: `Computational lithography' is the use of 
computer modelling to predict, correct, optimize and verify imaging 
performance of the lithography process over a range of patterns, 
processes, and system conditions.
Items:
    The list of items controlled is contained in the ECCN heading.
* * * * *

E. ``Technology''

* * * * *
3E004 ``Technology'' ``required'' for the slicing, grinding and 
polishing of 300 mm diameter silicon wafers to achieve a `Site Front 
least sQuares Range' (`SFQR') less than or equal to 20 nm at any 
site of 26 mm x 8 mm on the front surface of the wafer and an edge 
exclusion less than or equal to 2 mm.

License Requirements

Reason for Control: NS, AT

 
                                         Country chart  (See Supp. No. 1
               Control(s)                          to part 738)
 
NS applies to entire entry.............  NS Column 1.
AT applies to entire entry.............  AT Column 1.
 

List Based License Exceptions (See Part 740 for a description of all 
license exceptions)

TSR: Yes

List of Items Controlled

Related Controls: N/A
Related Definitions: For the purpose of 3E004, `Site Front least 
sQuares Range' (`SFQR') is the range of maximum deviation and 
minimum deviation from front reference plane, calculated by least 
square method with all front surface data including site boundary 
within a site.
Items:
    The list of items controlled is contained in the ECCN heading.
* * * * *

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

Part 1--Telecommunications

* * * * *

D. ``Software''

5D001 ``Software'' as follows (see List of Items Controlled).

License Requirements

Reason for Control: NS, SL, AT

 
                                         Country chart  (See Supp. No. 1
               Control(s)                          to part 738)
 
NS applies to entire entry.............  NS Column 1.
SL applies to the entire entry as        A license is required for all
 applicable for equipment, functions,     destinations, as specified in
 features, or characteristics             Sec.   742.13 of the EAR.
 controlled by 5A001.f.1.                 Accordingly, a column specific
                                          to this control does not
                                          appear on the Commerce Country
                                          Chart (Supplement No. 1 to
                                          Part 738 of the EAR).
                                         Note to SL paragraph: This
                                          licensing requirement does not
                                          supersede, implement, construe
                                          or limit the scope of any
                                          criminal statute, including,
                                          but not limited to, the
                                          Omnibus Safe Streets Act of
                                          1968, as amended.
AT applies to entire entry.............  AT Column 1.
 

Reporting Requirements

    See Sec.  743.1 of the EAR for reporting requirements for 
exports under License Exceptions and Validated End-User 
authorizations.

List Based License Exceptions (See Part 740 for a description of all 
license exceptions)

TSR: Yes, except for exports and reexports to destinations outside 
of those countries listed in Country Group A:5 (See Supplement No. 1 
to part 740 of the EAR) of the following:
    (1) ``Software'' controlled by 5D001.a and ``specially 
designed'' for items controlled by 5A001.b.5 and 5A001.h. or
    (2) ``Software'' controlled by 5D001.e.

Special Conditions for STA

STA: License Exception STA may not be used to ship or transmit 
5D001.a ``software'' ``specially designed'' for the ``development'' 
or ``production'' of equipment, functions or features, specified by 
ECCN 5A001.b.3, .b.5 or .h. for ``software'' ``specially designed'' 
or modified to support ``technology'' specified by the STA paragraph 
in the License Exception section of ECCN 5E001 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 5D980 and 5D991.
Related Definitions: N/A
Items:
    a. ``Software'' ``specially designed'' or modified for the 
``development'', ``production'' or ``use'' of equipment, functions 
or features controlled by 5A001;
    b. [Reserved]
    c. Specific ``software'' ``specially designed'' or modified to 
provide characteristics, functions or features of equipment, 
controlled by 5A001 or 5B001;
    d. ``Software'' ``specially designed'' or modified for the 
``development'' of any of the following telecommunication 
transmission or switching equipment:
    d.1. [Reserved]
    d.2. Equipment employing a ``laser'' and having any of the 
following:
    d.2.a. A transmission wavelength exceeding 1,750 nm; or
    d.2.b. Employing analog techniques and having a bandwidth 
exceeding 2.5 GHz; or


[[Page 62591]]


    Note: 5D001.d.2.b does not control ``software'' ``specially 
designed'' or modified for the ``development'' of commercial TV 
systems.

    d.3. [Reserved]
    d.4. Radio equipment employing Quadrature-Amplitude-Modulation 
(QAM) techniques above level 1,024;
    e. ``Software'', other than that specified by 5D001.a or 
5D001.c, ``specially designed'' or modified for monitoring or 
analysis by law enforcement, providing all of the following:
    e.1. Execution of searches on the basis of ``hard selectors'' of 
either the content of communication or metadata acquired from a 
communications service provider using a `handover interface'; and
    Technical Notes:
    1. For the purposes of 5D001.e, a `handover interface' is a 
physical and logical interface, designed for use by an authorised 
law enforcement authority, across which targeted interception 
measures are requested from a communications service provider and 
the results of interception are delivered from a communications 
service provider to the requesting authority. The `handover 
interface'' is implemented within systems or equipment (e.g., 
mediation devices) that receive and validate the interception 
request, and deliver to the requesting authority only the results of 
interception that fulfil the validated request.
    2. `Handover interfaces' may be specified by international 
standards (including but not limited to ETSI TS 101 331, ETSI TS 101 
671, 3GPP TS 33.108) or national equivalents.
    e.2. Mapping of the relational network or tracking the movement 
of targeted individuals based on the results of searches on content 
of communication or metadata or searches as described in 5D001.e.1.

    Note: 5D001.e does not apply to ``software'' ``specially 
designed'' or modified for any of the following:

    a. Billing purposes;
    b. Network Quality of Service (QoS);
    c. Quality of Experience (QoE);
    d. Mediation devices; or
    e. Mobile payment or banking use.
* * * * *

E. ``Technology''

5E001 ``Technology'' as follows (see List of Items Controlled).

License Requirements

Reason for Control: NS, SL, AT

 
                                         Country chart  (See Supp. No. 1
               Control(s)                          to part 738)
 
NS applies to entire entry.............  NS Column 1.
SL applies to ``technology'' for the     A license is required for all
 ``development'' or ``production'' of     destinations, as specified in
 equipment, functions or features         Sec.   742.13 of the EAR.
 controlled by 5A001.f.1, or for the      Accordingly, a column specific
 ``development'' or ``production'' of     to this control does not
 ``software'' controlled by ECCN          appear on the Commerce Country
 5D001.a (for 5A001.f.1).                 Chart (Supplement No. 1 to
                                          Part 738 of the EAR).
                                         Note to SL paragraph: This
                                          licensing requirement does not
                                          supersede, implement, construe
                                          or limit the scope of any
                                          criminal statute, including,
                                          but not limited to, the
                                          Omnibus Safe Streets Act of
                                          1968, as amended.
AT applies to entire entry.............  AT Column 1.
 

Reporting Requirements

    See Sec.  743.1 of the EAR for reporting requirements for 
exports under License Exceptions and Validated End-User 
authorizations.

List Based License Exceptions (See Part 740 for a description of all 
license exceptions)

TSR: Yes, except for exports or reexports to destinations outside of 
those countries listed in Country Group A:5 (See Supplement No. 1 to 
part 740 of the EAR) of ``technology'' controlled by 5E001.a for the 
``development'' or ``production'' of the following:
    (1) Items controlled by 5A001.b.5 or 5A001.h;
    (2) ``Software'' controlled by 5D001.a that is ``specially 
designed'' for the ``development'' or ``production'' of equipment, 
functions or features controlled by 5A001.b.5 or 5A001.h.; or
    (3) ``Software'' controlled by 5D001.e.

Special Conditions for STA

STA: License Exception STA may not be used to ship or transmit 
``technology'' according to the General Technology Note for the 
``development'' or ``production'' of equipment, functions or 
features specified by 5A001.b.3, .b.5 or .h; or for ``software'' in 
5D001.a that is specified in the STA paragraph in the License 
Exception section of ECCN 5D001 to any of the destinations listed in 
Country Group A:6 (See Supplement No.1 to part 740 of the EAR).

List of Items Controlled

Related Controls: (1) See also 5E101, 5E980 and 5E991. (2) 
``Technology'' for ``development'' or ``production'' of ``Monolithic 
Microwave Integrated Circuit'' (``MMIC'') amplifiers that meet the 
control criteria given at 3A001.b.2 is controlled in 3E001; 5E001.d 
refers only to that additional ``technology'' ``required'' for 
telecommunications.
Related Definitions: N/A
Items:
    a. ``Technology'' according to the General Technology Note for 
the ``development'', ``production'' or ``use'' (excluding operation) 
of equipment, functions or features, controlled by 5A001 or 
``software'' controlled by 5D001.a or 5D001.e.
    b. Specific ``technology'', as follows:
    b.1. ``Technology'' ``required'' for the ``development'' or 
``production'' of telecommunications equipment ``specially 
designed'' to be used on board satellites;
    b.2. ``Technology'' for the ``development'' or ``use'' of 
``laser'' communication techniques with the capability of 
automatically acquiring and tracking signals and maintaining 
communications through exoatmosphere or sub-surface (water) media;
    b.3. ``Technology'' for the ``development'' of digital cellular 
radio base station receiving equipment whose reception capabilities 
that allow multi-band, multi-channel, multi-mode, multi-coding 
algorithm or multi-protocol operation can be modified by changes in 
``software'';
    b.4. ``Technology'' for the ``development'' of ``spread 
spectrum'' techniques, including ``frequency hopping'' techniques.

    Note:  5E001.b.4 does not apply to ``technology'' for the 
``development'' of any of the following:

    a. Civil cellular radio-communications systems; or
    b. Fixed or mobile satellite Earth stations for commercial civil 
telecommunications.
    c. ``Technology'' according the General Technology Note for the 
``development'' or ``production'' of any of the following:
    c.1. [Reserved]
    c.2. Equipment employing a ``laser'' and having any of the 
following:
    c.2.a. A transmission wavelength exceeding 1,750 nm;
    c.2.b. [Reserved]
    c.2.c. [Reserved]
    c.2.d. Employing wavelength division multiplexing techniques of 
optical carriers at less than 100 GHz spacing; or
    c.2.e. Employing analog techniques and having a bandwidth 
exceeding 2.5 GHz;

    Note:  5E001.c.2.e does not control ``technology'' for 
commercial TV systems.


    N.B.: For ``technology'' for the ``development'' or 
``production'' of non-telecommunications equipment employing a 
``laser'', see Product Group E of Category 6, e.g., 6E00x.

    c.3. Equipment employing ``optical switching'' and having a 
switching time less than 1 ms; or
    c.4. Radio equipment having any of the following:
    c.4.a. Quadrature-Amplitude-Modulation (QAM) techniques above 
level 1,024; or
    c.4.b. Operating at input or output frequencies exceeding 31.8 
GHz; or

    Note: 5E001.c.4.b does not control ``technology'' for equipment 
designed or modified for operation in any frequency band which is 
``allocated by the ITU'' for radio-

[[Page 62592]]

communications services, but not for radio-determination.

    c.4.c. Operating in the 1.5 MHz to 87.5 MHz band and 
incorporating adaptive techniques providing more than 15 dB 
suppression of an interfering signal; or
    c.5. [Reserved]
    c.6. Mobile equipment having all of the following:
    c.6.a. Operating at an optical wavelength greater than or equal 
to 200nm and less than or equal to 400nm; and
    c.6.b. Operating as a ``local area network'';
    d. ``Technology'' according to the General Technology Note for 
the ``development'' or ``production'' of ``Monolithic Microwave 
Integrated Circuit'' (``MMIC'') amplifiers ``specially designed'' 
for telecommunications and that are any of the following:

    Technical Note: For purposes of 5E001.d, the parameter peak 
saturated power output may also be referred to on product data 
sheets as output power, saturated power output, maximum power 
output, peak power output, or peak envelope power output.

    d.1. Rated for operation at frequencies exceeding 2.7 GHz up to 
and including 6.8 GHz with a ``fractional bandwidth'' greater than 
15%, and having any of the following:
    d.1.a. A peak saturated power output greater than 75 W (48.75 
dBm) at any frequency exceeding 2.7 GHz up to and including 2.9 GHz;
    d.1.b. A peak saturated power output greater than 55 W (47.4 
dBm) at any frequency exceeding 2.9 GHz up to and including 3.2 GHz;
    d.1.c. A peak saturated power output greater than 40 W (46 dBm) 
at any frequency exceeding 3.2 GHz up to and including 3.7 GHz; or
    d.1.d. A peak saturated power output greater than 20 W (43 dBm) 
at any frequency exceeding 3.7 GHz up to and including 6.8 GHz;
    d.2. Rated for operation at frequencies exceeding 6.8 GHz up to 
and including 16 GHz with a ``fractional bandwidth'' greater than 
10%, and having any of the following:
    d.2.a. A peak saturated power output greater than 10W (40 dBm) 
at any frequency exceeding 6.8 GHz up to and including 8.5 GHz; or
    d.2.b. A peak saturated power output greater than 5W (37 dBm) at 
any frequency exceeding 8.5 GHz up to and including 16 GHz;
    d.3. Rated for operation with a peak saturated power output 
greater than 3 W (34.77 dBm) at any frequency exceeding 16 GHz up to 
and including 31.8 GHz, and with a ``fractional bandwidth'' of 
greater than 10%;
    d.4. Rated for operation with a peak saturated power output 
greater than 0.1 nW (-70 dBm) at any frequency exceeding 31.8 GHz up 
to and including 37 GHz;
    d.5. Rated for operation with a peak saturated power output 
greater than 1 W (30 dBm) at any frequency exceeding 37 GHz up to 
and including 43.5 GHz, and with a ``fractional bandwidth'' of 
greater than 10%;
    d.6. Rated for operation with a peak saturated power output 
greater than 31.62 mW (15 dBm) at any frequency exceeding 43.5 GHz 
up to and including 75 GHz, and with a ``fractional bandwidth'' of 
greater than 10%;
    d.7. Rated for operation with a peak saturated power output 
greater than 10 mW (10 dBm) at any frequency exceeding 75 GHz up to 
and including 90 GHz, and with a ``fractional bandwidth'' of greater 
than 5%; or
    d.8. Rated for operation with a peak saturated power output 
greater than 0.1 nW (-70 dBm) at any frequency exceeding 90 GHz;
    e. ``Technology'' according to the General Technology Note for 
the ``development'' or ``production'' of electronic devices and 
circuits, ``specially designed'' for telecommunications and 
containing ``components'' manufactured from ``superconductive'' 
materials, ``specially designed'' for operation at temperatures 
below the ``critical temperature'' of at least one of the 
``superconductive'' constituents and having any of the following:
    e.1. Current switching for digital circuits using 
``superconductive'' gates with a product of delay time per gate (in 
seconds) and power dissipation per gate (in watts) of less than 
10-\14\ J; or
    e.2. Frequency selection at all frequencies using resonant 
circuits with Q-values exceeding 10,000.
* * * * *

Part 2--``Information Security''

* * * * *

A. ``End Items,'' ``Equipment,'' ``Accessories,'' ``Attachments,'' 
``Parts,'' ``Components,'' and ``Systems''

* * * * *

III. Defeating, Weakening, or Bypassing ``Information Security''

5A004 ``Systems,'' ``equipment'' and ``components'' for defeating, 
weakening or bypassing ``information security,'' as follows (see 
List of Items Controlled).

License Requirements

Reason for Control: NS, AT, EI

 
                                         Country chart  (see Supp. No. 1
               Control(s)                          to part 738)
 
NS applies to entire entry.............  NS Column 1.
AT applies to entire entry.............  AT Column 1.
EI applies to entire entry.............  Refer to Sec.   742.15 of the
                                          EAR.
 


    License Requirements Note: See Sec.  744.17 of the EAR for 
additional license requirements for microprocessors having a 
processing speed of 5 GFLOPS or more and an arithmetic logic unit 
with an access width of 32 bit or more, including those 
incorporating ``information security'' functionality, and associated 
``software'' and ``technology'' for the ``production'' or 
``development'' of such microprocessors.

List Based License Exceptions (See Part 740 for a Description of All 
License Exceptions)

LVS: Yes: $500 for ``components.''
N/A for systems and equipment.
GBS: N/A
ENC: Yes for certain EI controlled commodities. See Sec.  740.17 of 
the EAR for eligibility.

List of Items Controlled

Related Controls: ECCN 5A004.a controls ``components'' providing the 
means or functions necessary for ``information security.'' All such 
``components'' are presumptively ``specially designed'' and 
controlled by 5A004.a.
Related Definitions: N/A
Items:
    a. Designed or modified to perform `cryptanalytic functions.'

    Note: 5A004.a includes systems or equipment, designed or 
modified to perform `cryptanalytic functions' by means of reverse 
engineering.


    Technical Note: `Cryptanalytic functions' are functions designed 
to defeat cryptographic mechanisms in order to derive confidential 
variables or sensitive data, including clear text, passwords or 
cryptographic keys.

    b. Items, not specified by 5A004.a, designed to perform all of 
the following:
    b.1. `Extract raw data' from a computing or communications 
device; and
    b.2. Circumvent ``authentication'' or authorisation controls of 
the device, in order to perform the function described in 5A004.b.1.

    Technical Note: `Extract raw data' from a computing or 
communications device means to retrieve binary data from a storage 
medium, e.g., RAM, flash or hard disk, of the device without 
interpretation by the device's operating system or filesystem.


    Note 1: 5A004.b does not apply to systems or equipment specially 
designed for the ``development'' or ``production'' of a computing or 
communications device.


    Note 2: 5A004.b does not include:

    a. Debuggers, hypervisors;
    b. Items limited to logical data extraction;
    c. Data extraction items using chip-off or JTAG; or
    d. Items specially designed and limited to jail-breaking or 
rooting.
* * * * *

D. ``Software''

5D002 ``Software'' as follows (see List of Items Controlled).

[[Page 62593]]

License Requirements

Reason for Control: NS, AT, EI

 
                                         Country chart  (See Supp. No. 1
               Control(s)                          to part 738)
 
NS applies to entire entry.............  NS Column 1.
AT applies to entire entry.............  AT Column 1.
EI applies to ``software'' in            Refer to Sec.   742.15 of the
 5D002.a.1, a.3, .b, c.1 and c.3, for     EAR.
 commodities or ``software'' controlled  Note: Encryption software is
 for EI reasons in ECCN 5A002, 5A004 or   controlled because of its
 5D002.                                   functional capacity, and not
                                          because of any informational
                                          value of such software; such
                                          software is not accorded the
                                          same treatment under the EAR
                                          as other ``software'; and for
                                          export licensing purposes,
                                          encryption software is treated
                                          under the EAR in the same
                                          manner as a commodity included
                                          in ECCN 5A002.
 


    License Requirements Note: 

    See Sec.  744.17 of the EAR for additional license requirements 
for microprocessors having a processing speed of 5 GFLOPS or more 
and an arithmetic logic unit with an access width of 32 bit or more, 
including those incorporating ``information security'' 
functionality, and associated ``software'' and ``technology'' for 
the ``production'' or ``development'' of such microprocessors.

List Based License Exceptions (See Part 740 for a description of all 
license exceptions)

TSR: N/A
ENC: Yes for certain EI controlled software. See Sec.  740.17 of the 
EAR for eligibility.

List of Items Controlled

Related Controls: After classification or self-classification in 
accordance with Sec.  740.17(b) of the EAR, mass market encryption 
software that meets eligibility requirements is released from ``EI'' 
and ``NS'' controls. This software is designated as 5D992.c.
Related Definitions: 5D002.a controls ``software'' designed or 
modified to use ``cryptography'' employing digital or analog 
techniques to ensure ``information security.''
Items:
    a. ``Software'' ``specially designed'' or modified for the 
``development,'' ``production'' or ``use'' of any of the following:
    a.1. Equipment specified by 5A002 or ``software'' specified by 
5D002.c.1;
    a.2. Equipment specified by 5A003 or ``software'' specified by 
5D002.c.2; or
    a.3. Equipment or ``software'', as follows:
    a.3.a. Equipment specified by 5A004.a or ``software'' specified 
by 5D002.c.3.a;
    a.3.b. Equipment specified by 5A004.b or ``software'' specified 
by 5D002.c.3.b;
    b. ``Software'' having the characteristics of a `cryptographic 
activation token' specified by 5A002.b;
    c. ``Software'' having the characteristics of, or performing or 
simulating the functions of, any of the following:
    c.1. Equipment specified by 5A002.a, .c, .d or .e;

    Note:  5D002.c.1 does not apply to ``software'' limited to the 
tasks of ``OAM'' implementing only published or commercial 
cryptographic standards.

    c.2. Equipment specified by 5A003; or
    c.3. Equipment, as follows:
    c.3.a. Equipment specified by 5A004.a;
    c.3.b. Equipment specified by 5A004.b.

    Note: 5D002.c.3.b does not apply to ``intrusion software''.

    d. [Reserved]

    N.B.: See 5D002.b for items formerly specified in 5D002.d.

* * * * *

E. ``Technology''

5E002 ``Technology'' as follows (see List of Items Controlled).

License Requirements

Reason for Control: NS, AT, EI

 
                                         Country chart  (See Supp. No. 1
               Control(s)                          to part 738)
 
NS applies to entire entry.............  NS Column 1.
AT applies to entire entry.............  AT Column 1.
EI applies to ``technology'' in 5E002.a  Refer to Sec.   742.15 of the
 for commodities or ``software''          EAR.
 controlled for EI reasons in ECCNs
 5A002, 5A004 or 5D002, and to
 ``technology'' in 5E002.b.
 


    License Requirements Notes: 

    (1) See Sec.  744.17 of the EAR for additional license 
requirements for microprocessors having a processing speed of 5 
GFLOPS or more and an arithmetic logic unit with an access width of 
32 bit or more, including those incorporating ``information 
security'' functionality, and associated ``software'' and 
``technology'' for the ``production'' or ``development'' of such 
microprocessors.
    (2) When a person performs or provides technical assistance that 
incorporates, or otherwise draws upon, ``technology'' that was 
either obtained in the United States or is of U.S.-origin, then a 
release of the ``technology'' takes place. Such technical 
assistance, when rendered with the intent to aid in the 
``development'' or ``production'' of encryption commodities or 
software that would be controlled for ``EI'' reasons under ECCN 
5A002, 5A004 or 5D002, may require authorization under the EAR even 
if the underlying encryption algorithm to be implemented is from the 
public domain or is not of U.S.-origin.

List Based License Exceptions (See Part 740 for a description of all 
license exceptions)

TSR: N/A
ENC: Yes for certain EI controlled technology. See Sec.  740.17 of 
the EAR for eligibility.

List of Items Controlled

Related Controls: See also 5E992. This entry does not control 
``technology'' ``required'' for the ``use'' of equipment excluded 
from control under the Related Controls paragraph or the Technical 
Notes in ECCN 5A002 or ``technology'' related to equipment excluded 
from control under ECCN 5A002.

Related Definitions: N/A
Items:
    a. ``Technology'' according to the General Technology Note for 
the ``development,'' ``production'' or ``use'' of equipment 
controlled by 5A002, 5A003, 5A004 or 5B002, or of ``software'' 
controlled by 5D002.a or 5D002.c.

    Note:  5E002.a does not apply to ``technology'' for items 
specified by 5A004.b, 5D002.a.3.b or 5D002.c.3.b.

    b. ``Technology'' having the characteristics of a `cryptographic 
activation token' specified by 5A002.b.

    Note:  5E002 includes ``information security'' technical data 
resulting from procedures carried out to evaluate or determine the 
implementation of functions, features or techniques specified in 
Category 5-Part 2.

* * * * *

[[Page 62594]]

Category 9--Aerospace and Propulsion

A. ``End Items'', ``Equipment'', ``Accessories'', ``Attachments'', 
``Parts'', ``Components'' and ``Systems''

* * * * *
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. 1
               Control(s)                          to part 738)
 
NS applies to 9A004.g, .u, .v, .w and    NS Column 1.
 .x.
AT applies to 9A004.g, .u, .v, .w, .x    AT Column 1.
 and .y.
 


    License Requirements Note:  9A004.b through .f, and .h 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

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. ``Sub-orbital craft''.
    i. through t. [RESERVED]
    u. The James Webb Space Telescope (JWST) being developed, 
launched, and operated under the supervision of the U.S. National 
Aeronautics and Space Administration (NASA).
    v. ``Parts,'' ``components,'' ``accessories'' and 
``attachments'' that are ``specially designed'' for the James Webb 
Space Telescope and that are not:
    v.1. Enumerated or controlled in the USML;
    v.2. Microelectronic circuits;
    v.3. Described in ECCN 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.
* * * * *
9A012 Non-military ``Unmanned Aerial Vehicles,'' (``UAVs''), 
unmanned ``airships'', related equipment and ``components'', as 
follows (see List of Items Controlled).

License Requirements

Reason for Control: NS, MT, AT

 
                                         Country chart  (See supp. no. 1
               Control(s)                          to part 738)
 
NS applies to entire entry.............  NS Column 1.
MT applies to non-military Unmanned      MT Column 1.
 Aerial Vehicles (UAVs) and Remotely
 Piloted Vehicles (RPVs) that are
 capable of a maximum range of at least
 300 kilometers (km), regardless of
 payload, and UAVs that meet the
 requirements of 9A120.
AT applies to entire entry.............  AT Column 1.
 

List Based License Exceptions (See Part 740 for a description of all 
license exceptions)

LVS: N/A
GBS: N/A

List of Items Controlled

Related Controls: (1) See the U.S. Munitions List Category VIII (22 
CFR part 121). (2) Also see ECCN 9A610 and Sec.  744.3 of the EAR. 
(3) For ``UAVs'' that are ``sub-orbital craft,'' see ECCNs 9A004.h 
and 9A515.a.
Related Definitions: N/A
Items:

    a. ``UAVs'' or unmanned ``airships'', designed to have 
controlled flight out of the direct `natural vision' of the 
`operator' and having any of the following:
    a.1. Having all of the following:
    a.1.a. A maximum `endurance' greater than or equal to 30 minutes 
but less than 1 hour; and
    a.1.b. Designed to take-off and have stable controlled flight in 
wind gusts equal to or exceeding 46.3 km/h (25 knots); or
    a.2. A maximum `endurance' of 1 hour or greater;
    Technical Notes:

[[Page 62595]]

    1. For the purposes of 9A012.a, `operator' is a person who 
initiates or commands the ``UAV'' or unmanned ``airship'' flight.
    2. For the purposes of 9A012.a, `endurance' is to be calculated 
for ISA conditions (ISO 2533:1975) at sea level in zero wind.
    3. For the purposes of 9A012.a, `natural vision' means unaided 
human sight, with or without corrective lenses.
    b. Related equipment and ``components'', as follows:
    b.1 [Reserved]
    b.2. [Reserved]
    b.3. Equipment or ``components'' ``specially designed'' to 
convert a manned ``aircraft'' or a manned ``airship'' to a ``UAV'' 
or unmanned ``airship'', controlled by 9A012.a;
    b.4. Air breathing reciprocating or rotary internal combustion 
type engines, ``specially designed'' or modified to propel ``UAVs'' 
or unmanned ``airships'', at altitudes above 15,240 meters (50,000 
feet).
* * * * *
9A515 ``Spacecraft'' and related commodities, as follows (see List 
of Items Controlled).

License Requirements

Reason for Control: NS, RS, MT, AT

 
                                         Country chart  (See supp. no. 1
               Control(s)                          to part 738)
 
NS applies to entire entry, except .e    NS Column 1.
 and .y.
RS applies to entire entry, except .e    RS Column 1.
 and .y.
RS applies to 9A515.e..................  RS Column 2.
RS applies to 9A515.y, except to Russia  China, Russia or Venezuela (see
 for use in, with, or for the             Sec.   742.6(a)(7)).
 International Space Station (ISS),
 including launch to the ISS.
MT applies to microcircuits in 9A515.d   MT Column 1.
 and 9A515.e.2 when ``usable in''
 ``missiles'' for protecting
 ``missiles'' against nuclear effects
 (e.g., Electromagnetic Pulse (EMP), X-
 rays, combined blast and thermal
 effects). MT also applies to 9A515.h
 when the total impulse capacity is
 equal to or greater than 8.41x10[and]5
 newton seconds.
AT applies to entire entry.............  AT Column 1.
 


    License Requirement Note:  The Commerce Country Chart is not 
used for determining license requirements for commodities classified 
in ECCN 9A515.a.1, .a.2., .a.3., .a.4, and .g. See Sec.  
742.6(a)(9), which specifies that such commodities are subject to a 
worldwide license requirement.

List Based License Exceptions (See Part 740 for a description of all 
license exceptions)

LVS: $1,500
GBS: N/A

Special Conditions for STA

STA: (1) Paragraph (c)(1) of License Exception STA (Sec.  
740.20(c)(1) of the EAR) may not be used for ``spacecraft'' in ECCNs 
9A515.a.1, .a.2, .a.3, or .a.4, ``sub-orbital craft,'' or items in 
9A515.g, unless determined by BIS to be eligible for License 
Exception STA in accordance with Sec.  740.20(g) (License Exception 
STA eligibility requests for certain 9x515 and ``600 series'' 
items). (2) License Exception STA may not be used if the 
``spacecraft'' controlled in ECCN 9A515.a.1, .a.2, .a.3, or .a.4 
contains a separable or removable propulsion system enumerated in 
USML Category IV(d)(2) or USML Category XV(e)(12) and designated MT. 
(3) Paragraph (c)(2) of License Exception STA (Sec.  740.20(c)(2) of 
the EAR) may not be used for any item in 9A515.

List of Items Controlled

Related Controls: Spacecraft, launch vehicles and related articles 
that are enumerated in the USML, and technical data (including 
``software'') directly related thereto, and all services (including 
training) directly related to the integration of any satellite or 
spacecraft to a launch vehicle, including both planning and onsite 
support, or furnishing any assistance (including training) in the 
launch failure analysis or investigation for items in ECCN 9A515.a, 
are ``subject to the ITAR.'' All other ``spacecraft,'' as enumerated 
below and defined in Sec.  772.1, are subject to the controls of 
this ECCN. See also ECCNs 3A001, 3A002, 3A991, 3A992, 6A002, 6A004, 
6A008, and 6A998 for specific ``space-qualified'' items, 7A004 and 
7A104 for star trackers, and 9A004 for the International Space 
Station (ISS), the James Webb Space Telescope (JWST), and 
``specially designed'' ``parts'' and ``components'' therefor. See 
USML Category XI(c) for controls on ``Monolithic Microwave 
Integrated Circuit'' (``MMIC'') amplifiers that are ``specially 
designed'' for defense articles. See ECCN 9A610.g for pressure suits 
used for high altitude aircraft.
Related Definitions: `Microcircuit' means a device in which a number 
of passive or active elements are considered as indivisibly 
associated on or within a continuous structure to perform the 
function of a circuit.

Items:
    ``Spacecraft'' and other items described in ECCN 9A515 remain 
subject to the EAR even if exported, reexported, or transferred (in-
country) with defense articles ``subject to the ITAR'' integrated 
into and included therein as integral parts of the item. In all 
other cases, such defense articles are subject to the ITAR. For 
example, a 9A515.a ``spacecraft'' remains ``subject to the EAR'' 
even when it is exported, reexported, or transferred (in-country) 
with a ``hosted payload'' described in USML Category XV(e)(17) 
incorporated therein. In all other cases, a ``hosted payload'' 
performing a function described in USML Category XV(a) always 
remains a USML item. The removal of the defense article subject to 
the ITAR from the spacecraft is a retransfer under the ITAR and 
would require an ITAR authorization, regardless of the CCL 
authorization the spacecraft is exported under. Additionally, 
transfer of technical data regarding the defense article subject to 
the ITAR integrated into the spacecraft would require an ITAR 
authorization.
    a. ``Spacecraft,'' including satellites, and space vehicles and 
``sub-orbital craft,'' whether designated developmental, 
experimental, research or scientific, not enumerated in USML 
Category XV or described in ECCN 9A004.u or .w, that:
    a.1. Have electro-optical remote sensing capabilities and having 
a clear aperture greater than 0.35 meters, but less than or equal to 
0.50 meters;
    a.2. Have remote sensing capabilities beyond NIR (i.e., SWIR, 
MWIR, or LWIR);
    a.3. Have radar remote sensing capabilities (e.g., AESA, SAR, or 
ISAR) having a center frequency equal to or greater than 1.0 GHz, 
but less than 10.0 GHz and having a bandwidth equal to or greater 
than 100 MHz, but less than 300 MHz;
    a.4. Provide space-based logistics, assembly, or servicing of 
another ``spacecraft''; or
    a.5. Are not described in ECCN 9A515.a.1, .a.2, .a.3 or .a.4.

    Note:  ECCN 9A515.a includes commercial communications 
satellites, remote sensing satellites, planetary rovers, planetary 
and interplanetary probes, in-space habitats, and ``sub-orbital 
craft,'' not identified in ECCN 9A004 or USML Category XV(a).

    b. Ground control systems and training simulators ``specially 
designed'' for telemetry, tracking, and control of the 
``spacecraft'' controlled in paragraphs 9A004.u or 9A515.a.
    c. [Reserved]
    d. Microelectronic circuits (e.g., integrated circuits, 
microcircuits, or MOSFETs) and discrete electronic components rated, 
certified, or otherwise specified or described as meeting or 
exceeding all the following characteristics and that are ``specially 
designed'' for defense articles, ``600 series'' items, or items 
controlled by ECCNs 9A004.v or 9A515:
    d.1. A total dose of 5 x 10\5\ Rads (Si) (5 x 10\3\ Gy (Si));
    d.2. A dose rate upset threshold of 5 x 10\8\ Rads (Si)/sec (5 x 
10\6\ Gy (Si)/sec);
    d.3. A neutron dose of 1 x 10\14\ n/cm\2\ (1 MeV equivalent);

[[Page 62596]]

    d.4. An uncorrected single event upset sensitivity of 1 x 
10-10 errors/bit/day or less, for the CR[Egrave]ME-MC 
geosynchronous orbit, Solar Minimum Environment for heavy ion flux; 
and
    d.5. An uncorrected single event upset sensitivity of 1 x 
10-3 errors/part or less for a fluence of 1 X 10\7\ 
protons/cm\2\ for proton energy greater than 50 MeV.
    e. Microelectronic circuits (e.g., integrated circuits, 
microcircuits, or MOSFETs) and discrete electronic components that 
are rated, certified, or otherwise specified or described as meeting 
or exceeding the characteristics in either paragraph e.1 or e.2, AND 
``specially designed'' for defense articles controlled by USML 
Category XV or items controlled by ECCNs 9A004.u or 9A515:
    e.1. A total dose >=1 X 10\5\ Rads (Si) (1 x 10\3\ Gy(Si)) and 
<5 X 10\5\ Rads (Si) (5 x 10\3\ Gy(Si)); and a single event effect 
(SEE) (i.e., single event latchup (SEL), single event burnout (SEB), 
or single event gate rupture (SEGR)) immunity to a linear energy 
transfer (LET) >=80 MeV-cm2/mg; or
    e.2. A total dose >=5 x 10\5\ Rads (Si) (5 x 10\3\ Gy (Si)) and 
not described in 9A515.d.

    Note 1 to 9A515.d and .e:  Application specific integrated 
circuits (ASICs), integrated circuits developed and produced for a 
specific application or function, specifically designed or modified 
for defense articles and not in normal commercial use are controlled 
by Category XI(c) of the USML regardless of characteristics.


    Note 2 to 9A515.d and .e:  See 3A001.a for controls on 
radiation-hardened microelectronic circuits ``subject to the EAR'' 
that are not controlled by 9A515.d or 9A515.e.

    f. Pressure suits (i.e., space suits) capable of operating at 
altitudes 55,000 feet above sea level.
    g. Remote sensing components ``specially designed'' for 
``spacecraft'' described in ECCNs 9A515.a.1 through 9A515.a.4 as 
follows:
    g.1. Space-qualified optics (i.e., lens, mirror, membrane having 
active properties (e.g., adaptive, deformable)) with the largest 
lateral clear aperture dimension equal to or less than 0.35 meters; 
or with the largest clear aperture dimension greater than 0.35 
meters but less than or equal to 0.50 meters;
    g.2. Optical bench assemblies ``specially designed'' for ECCN 
9A515.a.1, 9A515.a.2, 9A515.a.3, or 9A515.a.4 ``spacecraft;'' or
    g.3. Primary, secondary, or hosted payloads that perform a 
function of ECCN 9A515.a.1, 9A515.a.2, 9A515.a.3, or 9A515.a.4 
``spacecraft.''
    h. Spacecraft thrusters using bi-propellants or mono-propellants 
that provide thrust equal to or less than 150 lbf (i.e., 667.23 N) 
vacuum thrust.
    i. through w. [RESERVED]
    x. ``Parts,'' ``components,'' ``accessories'' and 
``attachments'' that are ``specially designed'' for defense articles 
controlled by USML Category XV or items controlled by 9A515, and 
that are NOT:
    x.1. Enumerated or controlled in the USML or elsewhere within 
ECCNs 9A515 or 9A004;
    x.2. Microelectronic circuits and discrete electronic 
components;
    x.3. Described in ECCNs 7A004 or 7A104;
    x.4. Described in an ECCN containing ``space-qualified'' as a 
control criterion (i.e., 3A001.b.1, 3A001.e.4, 3A002.g.1, 3A991.o, 
3A992.b.3, 6A002.a.1, 6A002.b.2, 6A002.d.1, 6A004.c and .d, 
6A008.j.1, 6A998.b, or 7A003.d.2);
    x.5. Microwave solid state amplifiers and microwave assemblies 
(refer to ECCN 3A001.b.4 for controls on these items);
    x.6. Travelling wave tube amplifiers (refer to ECCN 3A001.b.8 
for controls on these items); or
    x.7. Elsewhere specified in ECCN 9A515.y.

    Note to 9A515.x:  ``Parts,'' ``components,'' ``accessories,'' 
and ``attachments'' specified in USML subcategory XV(e) or 
enumerated in other USML categories are subject to the controls of 
that paragraph or category.

    y. Items that would otherwise be within the scope of ECCN 
9A515.x but that have been identified in an interagency-cleared 
commodity classification (CCATS) pursuant to Sec.  748.3(e) as 
warranting control in 9A515.y.
    y.1. Discrete electronic components not specified in 9A515.e;
    y.2. Space grade or for spacecraft applications thermistors;
    y.3. Space grade or for spacecraft applications RF microwave 
bandpass ceramic filters (Dielectric Resonator Bandpass Filters);
    y.4. Space grade or for spacecraft applications hall effect 
sensors;
    y.5. Space grade or for spacecraft applications subminiature 
(SMA and SMP) plugs and connectors, TNC plugs and cable and 
connector assemblies with SMA plugs and connectors; and
    y.6. Space grade or for spacecraft applications flight cable 
assemblies.

Matthew S. Borman,
Deputy Assistant Secretary for Export Administration.
[FR Doc. 2020-18334 Filed 10-2-20; 8:45 am]
BILLING CODE 3510-33-P