Wassenaar Arrangement 2018 Plenary Decisions Implementation; and Other Revisions Related to National Security Controls; Correction, 78684-78697 [2020-26638]
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Federal Register / Vol. 85, No. 234 / Friday, December 4, 2020 / Rules and Regulations
DEPARTMENT OF COMMERCE
Bureau of Industry and Security
15 CFR Part 774
[Docket No. 201118–0305]
RIN 0694–AH77
Wassenaar Arrangement 2018 Plenary
Decisions Implementation; and Other
Revisions Related to National Security
Controls; Correction
Bureau of Industry and
Security, Commerce.
ACTION: Correcting amendments.
AGENCY:
In this rule, the Bureau of
Industry and Security (BIS) amends the
Export Administration Regulations
(EAR) by making corrections to address
errors that were inadvertently
introduced with the September 11,
2020, Federal Register publication of
‘‘Wassenaar Arrangement 2018 Plenary
Decisions Implementation; and Other
Revisions Related to National Security
Controls (Final Rule)’’.
DATES: This rule is effective December 4,
2020.
FOR FURTHER INFORMATION CONTACT:
Logan Norton, Regulatory Policy
Division, Logan.Norton@bis.doc.gov,
(202) 812–1762.
SUPPLEMENTARY INFORMATION:
SUMMARY:
Background
On September 11, 2020, BIS
published ‘‘Wassenaar Arrangement
2018 Plenary Decisions Implementation;
and Other Revisions Related to National
Security Controls (Final Rule)’’ (85 FR
56294) in the Federal Register. This
publication unintentionally introduced
errors in Export Control Classification
Numbers (ECCNs) 3A001, 3A002,
3A991, 5A002, 7A005, and 9E003,
entries located on the Commerce
Control List, Supplement No. 1 to part
774 of the EAR. This final rule revises
part 774 of the EAR to correct these
errors and thereby conform the entries
to other recent regulatory changes.
These revisions do not change BIS
policy, including policy regarding any
applicable licensing requirements. The
specific revisions set forth in this final
rule are detailed below.
3A001
Electronic Items
ECCN 3A001 is corrected as follows:
Adding double quotes around the
remaining listed terms that do not have
double quotes in the Note following the
introductory text of Items paragraph .a.
This stylistic convention is consistent
with the Wassenaar Arrangement List of
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Dual-Use Goods and Technologies and
the EAR.
Item paragraph a.2 is corrected by
replacing ‘‘Electrical Erasable
Programmable Read Only Memories
(EEPROMS), flash memories, and
MRAMs’’ with ‘non-volatile memories’
and by adding a Technical Note to
define ‘non-volatile memories.’
Item paragraph a.2.c is corrected by
adding a plus sign before 125 °C.
The term ‘‘Mega Samples Per Second’’
is removed from subparagraphs a.5.a.3,
a.5.a.4, and a.5.a.5 in Item paragraph
a.5.a, leaving its acronym ‘‘MSPS’’ in all
three places. Item paragraph a.5.a and
the Technical Note below a.5.a are
corrected by replacing the term ‘‘output
rate’’ with the term ‘‘sample rate’’. The
Technical Notes below Item paragraph
a.5.a are corrected by adding an
explanation for the resolution of the
Analogue-to-Digital Convert (ADC), by
removing the explanation for output
rate, by replacing single quotes with
double quotes around the terms
‘‘interleaved ADCs’’ and ‘‘multiple
channel ADCs’’, and by removing
Technical Notes 5 through 9.
Item paragraph a.5.b.2.a (settling time
parameter) is corrected by adding
‘‘arrive at or within’’ before the
reference to 0.024%.
The inclusion Note to 3A001.a.7 is
corrected by removing the term ‘‘Simple
Programmable Logic Devices (SPLDs)’’.
Item paragraph a.14 is corrected by
replacing ‘‘Integrated circuits that
perform all of the following:’’ with
‘‘Integrated circuits that perform or are
programmable to perform all of the
following:’’. Item paragraph a.14 is
corrected by replacing the term ‘‘input
sample rate’’ with the term ‘‘sample
rate’’, which is defined in part 772. Item
paragraph a.14 is also corrected by
removing ‘‘Giga Samples Per Second’’
from subparagraphs a.14.a.2 and
a.14.a.3, leaving the acronym ‘‘GSPS’’ in
both places. Item paragraph a.14 is also
corrected by removing ‘‘Mega Samples
Per Second’’ from subparagraph
a.14.a.5, leaving the acronym ‘‘MSPS’’.
Four Technical Notes that further
explain the parameters in Item
paragraph a. are added below Item
paragraph a.14.b.2.
Nota Bene 3 is added after Item
paragraph b.4.f to reference 3A001.b.7
for converters and harmonic mixers.
In Item paragraph b.11, double quotes
are replaced with single quotes around
the term ‘frequency synthesizer’, the
‘‘or’’ is removed from the end of b.11.d,
and a Technical Note below Item
paragraph b.11.g is added defining
‘frequency synthesizer’.
Technical Note 5 after Item paragraph
b.12.d is corrected by replacing the
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reference ‘‘3A001.b.4.12.c’’ with
‘‘3A001.b.12.c’’.
The parameters for ‘primary cells’ in
Item paragraph e.1.a are corrected by
cascading the parameters and by adding
a ‘continuous power density’ parameter
and the definition for it in Technical
Note 5 below Item paragraph e.1.b. In
Item paragraph e.1.b, ‘‘293 K’’ and
extraneous parentheticals around 20 °C
are removed.
Item paragraph 3A001.f, which
pertains to rotary input type absolute
position encoders, is corrected by
removing a single plus/minus sign in
front of ‘‘1.0 second of arc’’.
Paragraph 3A001.i, which pertains to
intensity, amplitude, or phase electrooptic modulators, designed for analog
signals (including electro-optic
modulators having optical input and
output connectors), is added. These
items are eligible for License Exception
Shipments to Country Group B
countries (GBS); therefore, the GBS
paragraph under ‘‘List Based License
Exceptions’’ is accordingly corrected to
reference Item paragraph .i. One
parameter specified in Item paragraph .i,
‘half-wave voltage’ (‘Vp’), is defined in
a Technical Note added below the
paragraph.
3A002 General Purpose ‘‘Electronic
Assemblies,’’ Modules and Equipment
In Item paragraph c.1., the frequency
parameter is corrected by replacing
‘‘exceeding 10 MHz’’ with ‘‘exceeding
40 MHz’’ for signal analyzers having a
3 dB resolution bandwidth (RBW).
Double quotes are replaced with
single quotes for the term ‘real-time
bandwidth’ in Item paragraph c.4.a and
for the term ‘frequency mask trigger’ in
Item paragraph c.4.b.2. The definitions
for these terms are added to the
Technical Notes after Item paragraph
c.4.b.2. Two additional Technical Notes
are added, for a total of four Technical
Notes.
Double quotes are added to the term
‘‘sample rate’’ in Item paragraph h.1.
The words ‘‘an input’’ are replaced with
the word ‘‘a’’ in Item paragraph h.1.
The scientific unit ‘‘billion samples
per second’’ is replaced with ‘‘Giga
Samples Per Second (GSPS)’’ in Item
paragraph h.1.a.
The scientific unit ‘‘billion samples
per second’’ is replaced with the
acronym ‘‘GSPS’’ in Item paragraphs
h.1.b and h.1.c.
The scientific unit ‘‘million samples
per second’’ is replaced with ‘‘Mega
Samples Per Second (MSPS)’’ in Item
paragraph h.1.d.
The scientific unit ‘‘million samples
per second’’ is replaced with the
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Federal Register / Vol. 85, No. 234 / Friday, December 4, 2020 / Rules and Regulations
acronym ‘‘MSPS’’ in Item paragraph
h.1.e.
The Technical Note below Item
paragraph h.2.c is replaced by four
Technical Notes that explain resolution
and ‘‘sample rate’’ for interleaved and
non-interleaved multiple-channel
‘‘electronic assemblies’’, modules, or
equipment.
3A991 Electronic Devices, and
‘‘Components’’
Item paragraph j.2 is corrected by
increasing the energy density from 300
to 350 Wh/kg or less.
5A002 ‘‘Information Security’’
Systems, Equipment, and
‘‘Components’’
Paragraph (4)(a) of Related Controls is
corrected by replacing the phrase ‘in
excess of 56 bits of symmetric key
length, or equivalent’ with ‘described
security algorithm’.
Item paragraph .a is corrected by
replacing ‘‘usable without
‘‘cryptographic activation’’ or has been
activated’’ with ‘‘useable, has been
activated, or can be activated by means
of ‘‘cryptographic activation’’ not
employing a secure mechanism’’.
Item paragraph a.4 is corrected by
removing ‘‘in excess of’’.
Paragraph 2.a of the Technical Notes
that follow Item paragraph a.4 is
corrected by removing the word ‘‘or’’ at
the end of the paragraph.
Paragraph 2.b of the Technical Notes
that follow Item paragraph a.4 is
corrected by replacing ‘‘.’’ with ‘‘; or’’ at
the end.
7A005 ‘‘Satellite Navigation System’’
Receiving Equipment
The reference to License Exception
Civil End Users, which was removed
from the EAR by 85 FR 23470 (April 28,
2020), is deleted from the License
Exception section of ECCN 7A005.
9E003 ‘‘Specially Designed’’
Assemblies or ‘‘Components’’ for Aero
Gas Turbine Engines
ECCN 9E003 is corrected as follows:
In Technical Note 2 below Item
paragraph a.2 and in the Technical Note
below Item paragraph a.5, the single
quotes are replaced with double quotes
around the term ‘‘steady state mode’’. In
Technical Note 2 below a.5, the
definition for ‘‘steady state mode’’, is
removed.
Technical Note 4 below the Note to
9E003.c is corrected by replacing
‘‘laser’’ with ‘‘ ‘‘laser’’ beam machining’’,
replacing ‘‘water jet’’ with ‘‘water jet
machining’’, and by replacing
‘‘Electrical Discharge Machining (EDM)
methods’’ with ‘‘Electrical Discharge
Machining (EDM)’’.
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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. Sections 4801–4852.
ECRA provides the legal basis for BIS’s
principal authorities and serves as the
authority under which BIS issues this
rule.
Rulemaking Requirements
1. 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, and distributed impacts, and
taking into account equity issues).
Executive Order 13563 emphasizes the
importance of quantifying both costs
and benefits, of reducing costs, of
harmonizing rules, and of promoting
flexibility. This final rule has been
designated as a regulatory action that is
not significant under section 3(f) of
Executive Order 12866. This rule is not
an Executive Order 13771 regulatory
action because this rule is not
significant under Executive Order
12866.
2. Notwithstanding any other
provision of law, no person may be
required to respond to or 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 regulation
involves a collection currently approved
by OMB under control number 0694–
0088, Simplified Network Application
Processing System. This collection
includes, among other things, license
applications, and carries a burden
estimate of 42.5 minutes for a manual or
electronic submission for a total burden
estimate of 31,878 hours. BIS does not
expect the burden hours associated with
this collection to change as a result of
these correcting amendments.
3. This rule does not contain policies
with federalism implications as that
term is defined under Executive Order
13132.
Administrative Procedure Act and
Regulatory Flexibility Act
Requirements
Pursuant to Section 4821 of ECRA,
this action is exempt from the
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78685
Administrative Procedure Act (5 U.S.C.
553) requirements for notice of
proposed rulemaking, opportunity for
public participation and delay in
effective date. Furthermore, no other
law requires that a notice of proposed
rulemaking and an opportunity for
public comment be given for this final
rule. Because a notice of proposed
rulemaking and an opportunity for
public comment are not required to be
given for this rule under the
Administrative Procedure Act or by any
other law, the analytical requirements of
the Regulatory Flexibility Act (5 U.S.C.
601 et seq.) are not applicable.
Accordingly, no regulatory flexibility
analysis is required, and none has been
prepared.
List of Subjects in 15 CFR Part 774
Exports, Reporting and recordkeeping
requirements, Terrorism.
Accordingly, part 774 of the Export
Administration Regulations (15 CFR
parts 730 through 774) is corrected by
making the following correcting
amendments:
PART 774—[AMENDED]
1. The authority citation for 15 CFR
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.
2. In Supplement No. 1 to part 774:
a. Revise ECCNs 3A001, 3A002, and
3A991 under Category 3, section A;
■ b. Revise ECCN 5A002 under Category
5, Part 2, section A.I.;
■ c. Revise ECCN 7A005 under Category
7, section A; and
■ d. Revise ECCN 9E003 under Category
9, section E.
The revisions read as follows:
■
■
Supplement No. 1 to Part 774—The
Commerce Control List
*
*
*
*
*
Category 3—Electronics
A. ‘‘End Items’’, ‘‘Equipment’’,
‘‘Accessories’’, ‘‘Attachments’’, ‘‘Parts’’,
‘‘Components’’ and ‘‘Systems’’
*
*
*
*
*
3A001 Electronic items as follows (see List
of Items Controlled).
Reason for Control: NS, RS, MT, NP, AT
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Federal Register / Vol. 85, No. 234 / Friday, December 4, 2020 / Rules and Regulations
Control(s)
NS applies to ‘‘Monolithic Microwave
Integrated Circuit’’
(‘‘MMIC’’) amplifiers
in 3A001.b.2 and
discrete microwave
transistors in
3A001.b.3, except
those 3A001.b.2
and b.3 items
being exported or
reexported for use
in civil telecommunications
applications.
NS applies to entire
entry.
RS applies ‘‘Monolithic Microwave Integrated Circuit’’
(‘‘MMIC’’) amplifiers
in 3A001.b.2 and
discrete microwave
transistors in
3A001.b.3, except
those 3A001.b.2
and b.3 items
being exported or
reexported for use
in civil telecommunications
applications.
MT applies to
3A001.a.1.a when
usable in ‘‘missiles’’; and to
3A001.a.5.a when
‘‘designed or modified’’ for military
use, hermetically
sealed and rated
for operation in the
temperature range
from below –54 °C
to above +125 °C.
NP applies to pulse
discharge capacitors in 3A001.e.2
and superconducting solenoidal
electromagnets in
3A001.e.3 that
meet or exceed the
technical parameters in 3A201.a
and 3A201.b, respectively.
AT applies to entire
entry.
Country chart
(See Supp. No. 1 to
part 738)
NS Column 1
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 devices’’
exceeding 18 GHz), b.9., b.10, .g, and .h,
and .i.
NS Column 2
RS Column 1
Special Conditions for STA
STA: License Exception STA may not be
used to ship any item in 3A001.b.2 or b.3,
except those that are being exported or
reexported for use in civil
telecommunications applications, to any of
the destinations listed in Country Group
A:5 or A:6 (See Supplement No.1 to part
740 of the EAR).
MT Column 1
NP Column 1
AT Column 1
Reporting Requirements: See § 743.1 of
the EAR for reporting requirements for
exports under 3A001.b.2 or b.3 under License
Exceptions, and Validated End-User
authorizations.
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
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incorporating ‘‘information security’’
functionality, and associated ‘‘software’’ and
‘‘technology’’ for the ‘‘production’’ or
‘‘development’’ of such microprocessors.
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: Integrated circuits include the
following types:
— ‘‘Monolithic integrated circuits’’;
— ‘‘Hybrid integrated circuits’’;
— ‘‘Multichip integrated circuits’’;
— ‘‘Film type integrated circuits, including
silicon-on-sapphire integrated circuits’’;
— ‘‘Optical integrated circuits’’;
— ‘‘Three dimensional integrated circuits’’;
— ‘‘Monolithic Microwave Integrated
Circuits’’ (‘‘MMICs’’).
a.1. Integrated circuits designed or rated as
radiation hardened to withstand any of the
following:
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a.1.a. A total dose of 5 × 103 Gy (Si), or
higher;
a.1.b. A dose rate upset of 5 × 106 Gy (Si)/
s, or higher; or
a.1.c. A fluence (integrated flux) of
neutrons (1 MeV equivalent) of 5 × 1013 n/
cm2 or higher on silicon, or its equivalent for
other materials;
Note: 3A001.a.1.c does not apply to Metal
Insulator Semiconductors (MIS).
a.2. ‘‘Microprocessor microcircuits,’’
‘‘microcomputer microcircuits,’’
microcontroller microcircuits, storage
integrated circuits manufactured from a
compound semiconductor, analog-to-digital
converters, integrated circuits that contain
analog-to-digital converters and store or
process the digitized data, digital-to-analog
converters, electro-optical or ‘‘optical
integrated circuits’’ designed for ‘‘signal
processing’’, field programmable logic
devices, custom integrated circuits for which
either the function is unknown or the control
status of the equipment in which the
integrated circuit will be used in unknown,
Fast Fourier Transform (FFT) processors,
Static Random-Access Memories (SRAMs), or
‘non-volatile memories,’ having any of the
following:
Technical Note: ‘Non-volatile memories’
are memories with data retention over a
period of time after a power shutdown.
a.2.a. Rated for operation at an ambient
temperature above 398 K (+125 °C);
a.2.b. Rated for operation at an ambient
temperature below 218 K (¥55 °C); or
a.2.c. Rated for operation over the entire
ambient temperature range from 218 K (¥55
°C) to 398 K (+125 °C);
Note: 3A001.a.2 does not apply to
integrated circuits designed 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’’ 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’’ greater
than 400 MSPS;
a.5.a.4. A resolution of 14 bit or more, but
less than 16 bit, with a ‘‘sample rate’’ greater
than 250 MSPS; or
a.5.a.5. A resolution of 16 bit or more with
a ‘‘sample 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.
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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 but
less than 12-bit,with an ‘adjusted update rate’
of exceeding 3,500 MSPS; or
a.5.b.2. A resolution of 12-bit or more and
having any of the following:
a.5.b.2.a. An ‘adjusted update rate’
exceeding 1,250 MSPS but not exceeding
3,500 MSPS, and having any of the following:
a.5.b.2.a.1. 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.a.2. 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; or
a.5.b.2.b. An ‘adjusted update rate’
exceeding 3,500 MSPS;
Technical Notes:
‘1. ‘Spurious Free Dynamic Range’ (SFDR)
is defined as the ratio of the RMS value of
the carrier frequency (maximum signal
component) at the input of the DAC to the
RMS value of the next largest noise or
harmonic distortion component at its output.
2. SFDR is determined directly from the
specification table or from the
characterization plots of SFDR versus
frequency.
3. A signal is defined to be full scale when
its amplitude is greater than –3 dBfs (full
scale).
4. ‘Adjusted update rate’ for DACs is:
a. For conventional (non-interpolating)
DACs, the ‘adjusted update rate’ is the rate
at which the digital signal is converted to an
analog signal and the output analog values
are changed by the DAC. For DACs where the
interpolation mode may be bypassed
(interpolation factor of one), the DAC should
be considered as a conventional (noninterpolating) DAC.
b. For interpolating DACs (oversampling
DACs), the ‘adjusted update rate’ is defined
as the DAC update rate divided by the
smallest interpolating factor. For
interpolating DACs, the ‘adjusted update
rate’ may be referred to by different terms
including:
• input data rate
• input word rate
• input sample rate
• maximum total input bus rate
• maximum DAC clock rate for DAC clock
input.
a.6. Electro-optical and ‘‘optical integrated
circuits’’, designed for ‘‘signal processing’’
and having all of the following:
a.6.a. One or more than one internal
‘‘laser’’ diode;
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a.6.b. One or more than one internal light
detecting element; and
a.6.c. Optical waveguides;
a.7. ‘Field programmable logic devices’
having any of the following:
a.7.a. A maximum number of single-ended
digital input/outputs of greater than 700; or
a.7.b. An ‘aggregate one-way peak serial
transceiver data rate’ of 500 Gb/s or greater;
Note: 3A001.a.7 includes:
— Complex Programmable Logic Devices
(CPLDs);
— Field Programmable Gate Arrays (FPGAs);
— Field Programmable Logic Arrays
(FPLAs);
— Field Programmable Interconnects
(FPICs).
N.B.: For integrated circuits having field
programmable logic devices that are
combined with an analog-to-digital converter,
see 3A001.a.14.
Technical Notes:
1. Maximum number of digital input/
outputs in 3A001.a.7.a is also referred to as
maximum user input/outputs or maximum
available input/outputs, whether the
integrated circuit is packaged or bare die.
2. ‘Aggregate one-way peak serial
transceiver data rate’ is the product of the
peak serial one-way transceiver data rate
times the number of transceivers on the
FPGA.
a.8. [Reserved]
a.9. Neural network integrated circuits;
a.10. Custom integrated circuits for which
the function is unknown, or the control
status of the equipment in which the
integrated circuits will be used is unknown
to the manufacturer, having any of the
following:
a.10.a. More than 1,500 terminals;
a.10.b. A typical ‘‘basic gate propagation
delay time’’ of less than 0.02 ns; or
a.10.c. An operating frequency exceeding 3
GHz;
a.11. Digital integrated circuits, other than
those described in 3A001.a.3 to 3A001.a.10
and 3A001.a.12, based upon any compound
semiconductor and having any of the
following:
a.11.a. An equivalent gate count of more
than 3,000 (2 input gates); or
a.11.b. A toggle frequency exceeding 1.2
GHz;
a.12. Fast Fourier Transform (FFT)
processors having a rated execution time for
an N-point complex FFT of less than (N log2
N)/20,480 ms, where N is the number of
points;
Technical Note: When N is equal to 1,024
points, the formula in 3A001.a.12 gives an
execution time of 500 ms.
a.13. Direct Digital Synthesizer (DDS)
integrated circuits having any of the
following:
a.13.a. A Digital-to-Analog Converter
(DAC) clock frequency of 3.5 GHz or more
and a DAC resolution of 10 bit or more, but
less than 12 bit; or
a.13.b. A DAC clock frequency of 1.25 GHz
or more and a DAC resolution of 12 bit or
more;
Technical Note: The DAC clock
frequency may be specified as the master
clock frequency or the input clock frequency.
a.14. Integrated circuits that perform or are
programmable to perform all of the following:
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a.14.a. Analog-to-digital conversions
meeting any of the following:
a.14.a.1. A resolution of 8 bit or more, but
less than 10 bit, with a ‘‘sample rate’’ greater
than 1.3 Giga Samples Per Second (GSPS);
a.14.a.2. A resolution of 10 bit or more, but
less than 12 bit, with a ‘‘sample rate’’ greater
than 1.0 GSPS;
a.14.a.3. A resolution of 12 bit or more, but
less than 14 bit, with a ‘‘sample rate’’ greater
than 1.0 GSPS;
A.14.a.4. A resolution of 14 bit or more, but
less than 16 bit, with a ‘‘sample rate’’ greater
than 400 Mega Samples Per Second (MSPS);
or
a.14.a.5. A resolution of 16 bit or more
with a ‘‘sample rate’’ greater than 180 MSPS;
and
a.14.b. Any of the following:
a.14.b.1. Storage of digitized data; or
a.14.b.2. Processing of digitized data;
N.B. 1: For analog-to-digital converter
integrated circuits see 3A001.a.5.a.
N.B. 2: For field programmable logic
devices see 3A001.a.7.
Technical Notes:
1. A resolution of n bit corresponds to a
quantization of 2n levels.
2. The resolution of the ADC is the number
of bits of the digital output of the ADC that
represents the measured analog input.
Effective Number of Bits (ENOB) is not used
to determine the resolution of the ADC.
3. For integrated circuits with noninterleaving ‘‘multiple channel ADCs’’, the
‘‘sample rate’’ is not aggregated and the
‘‘sample rate’’ is the maximum rate of any
single channel.
4. For integrated circuits with ‘‘interleaved
ADCs’’ or with ‘‘multiple channel ADCs’’ that
are specified to have an interleaved mode of
operation, the ‘‘sample rates’’ are aggregated
and the ‘‘sample rate’’ is the maximum
combined total rate of all of the interleaved
channels.
b. Microwave or millimeter wave items, as
follows:
Technical Note: 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.
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.
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.
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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;
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;
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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 0.1 nW
(-70 dBm) at any frequency exceeding 31.8
GHz up to and including 37 GHz;
b.2.e. Rated for operation with a peak
saturated power output greater than 1 W (30
dBm) at any frequency exceeding 37 GHz up
to and including 43.5 GHz, and with a
‘‘fractional bandwidth’’ of greater than 10%;
b.2.f. Rated for operation with a peak
saturated power output greater than 31.62
mW (15 dBm) at any frequency exceeding
43.5 GHz up to and including 75 GHz, and
with a ‘‘fractional bandwidth’’ of greater than
10%;
b.2.g. Rated for operation with a peak
saturated power output greater than 10 mW
(10 dBm) at any frequency exceeding 75 GHz
up to and including 90 GHz, and with a
‘‘fractional bandwidth’’ of greater than 5%; or
b.2.h. Rated for operation with a peak
saturated power output greater than 0.1 nW
(-70 dBm) at any frequency exceeding 90
GHz;
Note 1: [Reserved]
Note 2: The control status of the ‘‘MMIC’’
whose rated operating frequency includes
frequencies listed in more than one frequency
range, as defined by 3A001.b.2.a through
3A001.b.2.h, is determined by the lowest
peak saturated power output control
threshold.
Note 3: Notes 1 and 2 following the
Category 3 heading for product group A.
Systems, Equipment, and Components mean
that 3A001.b.2 does not control ‘‘MMICs’’ if
they are ‘‘specially designed’’ for other
applications, e.g., telecommunications,
radar, automobiles.
b.3. Discrete microwave transistors that are
any of the following:
b.3.a. Rated for operation at frequencies
exceeding 2.7 GHz up to and including 6.8
GHz and having any of the following:
b.3.a.1. A peak saturated power output
greater than 400 W (56 dBm) at any
frequency exceeding 2.7 GHz up to and
including 2.9 GHz;
b.3.a.2. A peak saturated power output
greater than 205 W (53.12 dBm) at any
frequency exceeding 2.9 GHz up to and
including 3.2 GHz;
b.3.a.3. A peak saturated power output
greater than 115 W (50.61 dBm) at any
frequency exceeding 3.2 GHz up to and
including 3.7 GHz; or
b.3.a.4. A peak saturated power output
greater than 60 W (47.78 dBm) at any
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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;
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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 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:
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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
(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
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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;
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
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
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‘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:
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 20 °C;
Technical Notes:
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1. For the purpose of 3A001.e.1, ‘energy
density’ (Wh/kg) is calculated from the
nominal voltage multiplied by the nominal
capacity in ampere-hours (Ah) divided by the
mass in kilograms. If the nominal capacity is
not stated, energy density is calculated from
the nominal voltage squared then multiplied
by the discharge duration in hours divided by
the discharge load in Ohms and the mass in
kilograms.
2. For the purpose of 3A001.e.1, a ‘cell’ is
defined as an electrochemical device, which
has positive and negative electrodes, an
electrolyte, and is a source of electrical
energy. It is the basic building block of a
battery.
3. For the purpose of 3A001.e.1.a, a
‘primary cell’ is a ‘cell’ that is not designed
to be charged by any other source.
4. For the purpose of 3A001.e.1.b, a
‘secondary cell’ is a ‘cell’ that is designed to
be charged by an external electrical source.
5. For the purpose of 3A001.e.1.a,
‘continuous power density’ (W/kg) is
calculated from the nominal voltage
multiplied by the specified maximum
continuous discharge current in ampere (A)
divided by the mass in kilograms.
‘Continuous power density’ is also referred to
as specific power.
Note: 3A001.e does not control batteries,
including single-cell batteries.
e.2. High energy storage capacitors as
follows:
e.2.a. Capacitors with a repetition rate of
less than 10 Hz (single shot capacitors) and
having all of the following:
e.2.a.1. A voltage rating equal to or more
than 5 kV;
e.2.a.2. An energy density equal to or more
than 250 J/kg; and
e.2.a.3. A total energy equal to or more
than 25 kJ;
e.2.b. Capacitors with a repetition rate of
10 Hz or more (repetition rated capacitors)
and having all of the following:
e.2.b.1. A voltage rating equal to or more
than 5 kV;
e.2.b.2. An energy density equal to or more
than 50 J/kg;
e.2.b.3. A total energy equal to or more
than 100 J; and
e.2.b.4. A charge/discharge cycle life equal
to or more than 10,000;
e.3. ‘‘Superconductive’’ electromagnets and
solenoids, ‘‘specially designed’’ to be fully
charged or discharged in less than one
second and having all of the following:
Note: 3A001.e.3 does not control
‘‘superconductive’’ electromagnets or
solenoids ‘‘specially designed’’ for Magnetic
Resonance Imaging (MRI) medical
equipment.
e.3.a. Energy delivered during the
discharge exceeding 10 kJ in the first second;
e.3.b. Inner diameter of the current
carrying windings of more than 250 mm; and
e.3.c. Rated for a magnetic induction of
more than 8 T or ‘‘overall current density’’
in the winding of more than 300 A/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’
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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)
—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)
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—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.
3A002 General purpose ‘‘electronic
assemblies,’’ modules and equipment, as
follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, MT, AT
Control(s)
NS applies to entire
entry.
MT applies to
3A002.h when the
parameters in
3A101.a.2.b are
met or exceeded.
AT applies to entire
entry.
Country chart (see
Supp. No. 1 to part
738)
NS Column 2
MT Column 1
AT Column 1
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: 3A002.a, .e, .f, and .g
$5000: 3A002.c to .d, and .h (unless
controlled for MT);
GBS: Yes, for 3A002.h (unless controlled for
MT)
Special Conditions for STA
STA: License Exception STA may not be
used to ship any item in 3A002.g.1 to any
of the destinations listed in Country Group
A:6 (See Supplement No.1 to part 740 of
the EAR).
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List of Items Controlled
Related Controls: See Category XV(e)(9) of
the USML for certain ‘‘space-qualified’’
atomic frequency standards ‘‘subject to the
ITAR’’ (see 22 CFR parts 120 through 130).
See also 3A101, 3A992 and 9A515.x.
Related Definitions: Constant percentage
bandwidth filters are also known as octave
or fractional octave filters.
Items:
a. Recording equipment and oscilloscopes,
as follows:
a.1. to a.5. [Reserved]
N.B.: For waveform digitizers and transient
recorders, see 3A002.h.
a.6. Digital data recorders having all of the
following:
a.6.a. A sustained ‘continuous throughput’
of more than 6.4 Gbit/s to disk or solid-state
drive memory; and
a.6.b. ‘‘Signal processing’’ of the radio
frequency signal data while it is being
recorded;
Technical Notes:
1. For recorders with a parallel bus
architecture, the ‘continuous throughput’
rate is the highest word rate multiplied by the
number of bits in a word.
2. ‘Continuous throughput’ is the fastest
data rate the instrument can record to disk
or solid-state drive memory without the loss
of any information while sustaining the input
digital data rate or digitizer conversion rate.
a.7. Real-time oscilloscopes having a
vertical root-mean-square (rms) noise voltage
of less than 2% of full-scale at the vertical
scale setting that provides the lowest noise
value for any input 3dB bandwidth of 60 GHz
or greater per channel;
Note: 3A002.a.7 does not apply to
equivalent-time sampling oscilloscopes.
b. [Reserved]
c. ‘‘Signal analyzers’’ as follows:
c.1. ‘‘Signal analyzers’’ having a 3 dB
resolution bandwidth (RBW) exceeding 40
MHz anywhere within the frequency range
exceeding 31.8 GHz but not exceeding 37
GHz;
c.2. ‘‘Signal analyzers’’ having Displayed
Average Noise Level (DANL) less (better)
than ¥150 dBm/Hz anywhere within the
frequency range exceeding 43.5 GHz but not
exceeding 90 GHz;
c.3. ‘‘Signal analyzers’’ having a frequency
exceeding 90 GHz;
c.4. ‘‘Signal analyzers’’ having all of the
following:
c.4.a. ‘Real-time bandwidth’ exceeding 170
MHz; and
c.4.b. Having any of the following:
c.4.b.1. 100% probability of discovery,
with less than a 3 dB reduction from full
amplitude due to gaps or windowing effects,
of signals having a duration of 15 ms or less;
or
c.4.b.2. A ‘frequency mask trigger’
function, with 100% probability of trigger
(capture) for signals having a duration of 15
ms or less;
Technical Notes:
1. ‘Real-time bandwidth’ is the widest
frequency range for which the analyzer can
continuously transform time-domain data
entirely into frequency-domain results, using
a Fourier or other discrete time transform
that processes every incoming time point,
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78691
without a reduction of measured amplitude
of more than 3 dB below the actual signal
amplitude caused by gaps or windowing
effects, while outputting or displaying the
transformed data.
2. Probability of discovery in 3A002.c.4.b.1
is also referred to as probability of intercept
or probability of capture.
3. For the purposes of 3A002.c.4.b.1, the
duration for 100% probability of discovery is
equivalent to the minimum signal duration
necessary for the specified level
measurement uncertainty.
4. A ‘frequency mask trigger’ is a
mechanism where the trigger function is able
to select a frequency range to be triggered on
as a subset of the acquisition bandwidth
while ignoring other signals that may also be
present within the same acquisition
bandwidth. A ‘frequency mask trigger’ may
contain more than one independent set of
limits.
Note: 3A002.c.4 does not apply to those
‘‘signal analyzers’’ using only constant
percentage bandwidth filters (also known as
octave or fractional octave filters).
c.5. [Reserved]
d. Signal generators having any of the
following:
d.1. Specified to generate pulse-modulated
signals having all of the following, anywhere
within the frequency range exceeding 31.8
GHz but not exceeding 37 GHz:
d.1.a. ‘Pulse duration’ of less than 25 ns;
and
d.1.b. On/off ratio equal to or exceeding 65
dB;
d.2. An output power exceeding 100 mW
(20 dBm) anywhere within the frequency
range exceeding 43.5 GHz but not exceeding
90 GHz;
d.3. A ‘‘frequency switching time’’ as
specified by any of the following:
d.3.a. [Reserved]
d.3.b. Less than 100 ms for any frequency
change exceeding 2.2 GHz within the
frequency range exceeding 4.8 GHz but not
exceeding 31.8 GHz;
d.3.c. [Reserved]
d.3.d. Less than 500 ms for any frequency
change exceeding 550 MHz within the
frequency range exceeding 31.8 GHz but not
exceeding 37 GHz; or
d.3.e. Less than 100 ms for any frequency
change exceeding 2.2 GHz within the
frequency range exceeding 37 GHz but not
exceeding 90 GHz;
d.3.f. [Reserved]
d.4. Single sideband (SSB) phase noise, in
dBc/Hz, specified as being any of the
following:
d.4.a. Less (better) than ¥(126 + 20 log10
F¥20log10f) for anywhere within the range of
10 Hz ≤ F ≤ 10 kHz anywhere within the
frequency range exceeding 3.2 GHz but not
exceeding 90 GHz; or
d.4.b. Less (better) than ¥(206¥20log10f)
for anywhere within the range of 10 kHz <
F ≤ 100 kHz anywhere within the frequency
range exceeding 3.2 GHz but not exceeding
90 GHz;
Technical Note: In 3A002.d.4, F is the
offset from the operating frequency in Hz and
f is the operating frequency in MHz.
d.5. An ‘RF modulation bandwidth’ of
digital baseband signals as specified by any
of the following:
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d.5.a. Exceeding 2.2 GHz within the
frequency range exceeding 4.8 GHz but not
exceeding 31.8 GHz;
d.5.b. Exceeding 550 MHz within the
frequency range exceeding 31.8 GHz but not
exceeding 37 GHz; or
d.5.c. Exceeding 2.2 GHz within the
frequency range exceeding 37 GHz but not
exceeding 90 GHz; or
Technical Note: ‘RF modulation
bandwidth’ is the Radio Frequency (RF)
bandwidth occupied by a digitally encoded
baseband signal modulated onto an RF
signal. It is also referred to as information
bandwidth or vector modulation bandwidth.
I/Q digital modulation is the technical
method for producing a vector-modulated RF
output signal, and that output signal is
typically specified as having an ‘RF
modulation bandwidth’.
d.6. A maximum frequency exceeding 90
GHz;
Note 1: For the purpose of 3A002.d, signal
generators include arbitrary waveform and
function generators.
Note 2: 3A002.d does not control
equipment in which the output frequency is
either produced by the addition or
subtraction of two or more crystal oscillator
frequencies, or by an addition or subtraction
followed by a multiplication of the result.
Technical Notes:
1. The maximum frequency of an arbitrary
waveform or function generator is calculated
by dividing the sample rate, in samples/
second, by a factor of 2.5.
2. For the purposes of 3A002.d.1.a, ‘pulse
duration’ is defined as the time interval from
the point on the leading edge that is 50% of
the pulse amplitude to the point on the
trailing edge that is 50% of the pulse
amplitude.
e. Network analyzers having any of the
following:
e.1. An output power exceeding 31.62 mW
(15 dBm) anywhere within the operating
frequency range exceeding 43.5 GHz but not
exceeding 90 GHz;
e.2. An output power exceeding 1 mW (0
dBm) anywhere within the operating
frequency range exceeding 90 GHz but not
exceeding 110 GHz;
e.3. ‘Nonlinear vector measurement
functionality’ at frequencies exceeding 50
GHz but not exceeding 110 GHz; or
Technical Note: ‘Nonlinear vector
measurement functionality’ is an
instrument’s ability to analyze the test results
of devices driven into the large-signal domain
or the non-linear distortion range.
e.4. A maximum operating frequency
exceeding 110 GHz;
f. Microwave test receivers having all of the
following:
f.1. Maximum operating frequency
exceeding 110 GHz; and
f.2. Being capable of measuring amplitude
and phase simultaneously;
g. Atomic frequency standards being any of
the following:
g.1. ‘‘Space-qualified’’;
g.2. Non-rubidium and having a long-term
stability less (better) than 1 × 10¥11/month;
or
g.3. Non-‘‘space-qualified’’ and having all
of the following:
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g.3.a. Being a rubidium standard;
g.3.b. Long-term stability less (better) than
1 × 10¥11/month; and
g.3.c. Total power consumption of less
than 1 Watt.
h. ‘‘Electronic assemblies,’’ modules or
equipment, specified to perform all of the
following:
h.1. Analog-to-digital conversions meeting
any of the following:
h.1.a. A resolution of 8 bit or more, but less
than 10 bit, with a ‘‘sample rate’’ greater than
1.3 Giga Samples Per Second (GSPS);
h.1.b. A resolution of 10 bit or more, but
less than 12 bit, with a ‘‘sample rate’’ greater
than 1.0 GSPS;
h.1.c. A resolution of 12 bit or more, but
less than 14 bit, with a ‘‘sample rate’’ greater
than 1.0 GSPS;
h.1.d. 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
h.1.e. A resolution of 16 bit or more with
a ‘‘sample rate’’ greater than 180 MSPS; and
h.2. Any of the following:
h.2.a. Output of digitized data;
h.2.b. Storage of digitized data; or
h.2.c. Processing of digitized data;
N.B.: Digital data recorders, oscilloscopes,
‘‘signal analyzers,’’ signal generators,
network analyzers and microwave test
receivers, are specified by 3A002.a.6,
3A002.a.7, 3A002.c, 3A002.d, 3A002.e and
3A002.f, respectively.
Technical Notes:
1. A resolution of n bit corresponds to a
quantization of 2n levels.
2. The resolution of the ADC is the number
of bits in of the digital output of the ADC that
represents the measured analog input word.
Effective Number of Bits (ENOB) is not used
to determine the resolution of the ADC.
3. For non-interleaved multiple-channel
‘‘electronic assemblies’’, modules, or
equipment, the ‘‘sample rate’’ is not
aggregated and the ‘‘sample rate’’ is the
maximum rate of any single channel.
4. For interleaved channels on multiplechannel ‘‘electronic assemblies’’, modules, or
equipment, the ‘‘sample rates’’ are
aggregated and the ‘‘sample rate’’ is the
maximum combined total rate of all the
interleaved channels.
Note: 3A002.h includes ADC cards,
waveform digitizers, data acquisition cards,
signal acquisition boards and transient
recorders.
*
*
*
*
*
3A991 Electronic devices, and
‘‘components’’ not controlled by 3A001.
License Requirements
Reason for Control: AT
Control(s)
AT applies to entire
entry.
Country chart (see
Supp. No. 1 to part
738)
AT Column 1
License Requirements Note: See
§ 744.17 of the EAR for additional license
requirements for microprocessors having a
processing speed of 5 GFLOPS or more and
an arithmetic logic unit with an access width
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of 32 bit or more, including those
incorporating ‘‘information security’’
functionality, and associated ‘‘software’’ and
‘‘technology’’ for the ‘‘production’’ or
‘‘development’’ of such microprocessors.
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items:
a. ‘‘Microprocessor microcircuits’’,
‘‘microcomputer microcircuits’’, and
microcontroller microcircuits having any of
the following:
a.1. A performance speed of 5 GFLOPS or
more and an arithmetic logic unit with an
access width of 32 bit or more;
a.2. A clock frequency rate exceeding 25
MHz; or
a.3. More than one data or instruction bus
or serial communication port that provides a
direct external interconnection between
parallel ‘‘microprocessor microcircuits’’ with
a transfer rate of 2.5 Mbyte/s;
b. Storage integrated circuits, as follows:
b.1. Electrical erasable programmable readonly memories (EEPROMs) with a storage
capacity;
b.1.a. Exceeding 16 Mbits per package for
flash memory types; or
b.1.b. Exceeding either of the following
limits for all other EEPROM types:
b.1.b.1. Exceeding 1 Mbit per package; or
b.1.b.2. Exceeding 256 kbit per package
and a maximum access time of less than 80
ns;
b.2. Static random access memories
(SRAMs) with a storage capacity:
b.2.a. Exceeding 1 Mbit per package; or
b.2.b. Exceeding 256 kbit per package and
a maximum access time of less than 25 ns;
c. Analog-to-digital converters having any
of the following:
c.1. A resolution of 8 bit or more, but less
than 12 bit, with an output rate greater than
200 million words per second;
c.2. A resolution of 12 bit with an output
rate greater than 105 million words per
second;
c.3. A resolution of more than 12 bit but
equal to or less than 14 bit with an output
rate greater than 10 million words per
second; or
c.4. A resolution of more than 14 bit with
an output rate greater than 2.5 million words
per second;
d. Field programmable logic devices
having a maximum number of single-ended
digital input/outputs between 200 and 700;
e. Fast Fourier Transform (FFT) processors
having a rated execution time for a 1,024
point complex FFT of less than 1 ms;
f. Custom integrated circuits for which
either the function is unknown, or the
control status of the equipment in which the
integrated circuits will be used is unknown
to the manufacturer, having any of the
following:
f.1. More than 144 terminals; or
f.2. A typical ‘‘basic propagation delay
time’’ of less than 0.4 ns;
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g. Traveling-wave ‘‘vacuum electronic
devices,’’ pulsed or continuous wave, as
follows:
g.1. Coupled cavity devices, or derivatives
thereof;
g.2. Helix devices based on helix, folded
waveguide, or serpentine waveguide circuits,
or derivatives thereof, with any of the
following:
g.2.a. An ‘‘instantaneous bandwidth’’ of
half an octave or more; and
g.2.b. The product of the rated average
output power (expressed in kW) and the
maximum operating frequency (expressed in
GHz) of more than 0.2;
g.2.c. An ‘‘instantaneous bandwidth’’ of
less than half an octave; and
g.2.d. The product of the rated average
output power (expressed in kW) and the
maximum operating frequency (expressed in
GHz) of more than 0.4;
h. Flexible waveguides designed for use at
frequencies exceeding 40 GHz;
i. Surface acoustic wave and surface
skimming (shallow bulk) acoustic wave
devices (i.e., ‘‘signal processing’’ devices
employing elastic waves in materials), having
either of the following:
i.1. A carrier frequency exceeding 1 GHz;
or
i.2. A carrier frequency of 1 GHz or less;
and
i.2.a. A frequency side-lobe rejection
exceeding 55 Db;
i.2.b. A product of the maximum delay
time and bandwidth (time in microseconds
and bandwidth in MHz) of more than 100; or
i.2.c. A dispersive delay of more than 10
microseconds;
j. Cells as follows:
j.1. Primary cells having an energy density
of 550 Wh/kg or less at 293 K (20 °C);
j.2. Secondary cells having an energy
density of 350 Wh/kg or less at 293 K (20 °C);
Note: 3A991.j does not control batteries,
including single cell batteries.
Technical Notes:
1. For the purpose of 3A991.j energy
density (Wh/kg) is calculated from the
nominal voltage multiplied by the nominal
capacity in ampere-hours divided by the
mass in kilograms. If the nominal capacity is
not stated, energy density is calculated from
the nominal voltage squared then multiplied
by the discharge duration in hours divided by
the discharge load in Ohms and the mass in
kilograms.
2. For the purpose of 3A991.j, a ‘cell’ is
defined as an electrochemical device, which
has positive and negative electrodes, and
electrolyte, and is a source of electrical
energy. It is the basic building block of a
battery.
3. For the purpose of 3A991.j.1, a ‘primary
cell’ is a ‘cell’ that is not designed to be
charged by any other source.
4. For the purpose of 3A991.j.2, a
‘secondary cell’ is a ‘cell’ that is designed to
be charged by an external electrical source.
k. ‘‘Superconductive’’ electromagnets or
solenoids ‘‘specially designed’’ to be fully
charged or discharged in less than one
minute, having all of the following:
Note: 3A991.k does not control
‘‘superconductive’’ electromagnets or
solenoids designed for Magnetic Resonance
Imaging (MRI) medical equipment.
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k.1. Maximum energy delivered during the
discharge divided by the duration of the
discharge of more than 500 kJ per minute;
k.2. Inner diameter of the current carrying
windings of more than 250 mm; and
k.3. Rated for a magnetic induction of more
than 8T or ‘‘overall current density’’ in the
winding of more than 300 A/mm2;
l. Circuits or systems for electromagnetic
energy storage, containing ‘‘components’’
manufactured from ‘‘superconductive’’
materials ‘‘specially designed’’ for operation
at temperatures below the ‘‘critical
temperature’’ of at least one of their
‘‘superconductive’’ constituents, having all of
the following:
l.1. Resonant operating frequencies
exceeding 1 MHz;
l.2. A stored energy density of 1 MJ/M3 or
more; and
l.3. A discharge time of less than 1 ms;
m. Hydrogen/hydrogen-isotope thyratrons
of ceramic-metal construction and rate for a
peak current of 500 A or more;
n. Digital integrated circuits based on any
compound semiconductor having an
equivalent gate count of more than 300 (2
input gates);
o. Solar cells, cell-interconnect-coverglass
(CIC) assemblies, solar panels, and solar
arrays, which are ‘‘space qualified’’ and not
controlled by 3A001.e.4.
*
*
*
*
*
Category 5—Telecommunications and
‘‘Information Security’’
*
*
*
*
*
Part 2—‘‘Information Security’’
*
*
*
*
*
A. ‘‘End Items’’, ‘‘Equipment’’,
‘‘Accessories’’, ‘‘Attachments’’, ‘‘Parts’’,
‘‘Components’’ and ‘‘Systems’’
I. Cryptographic ‘‘Information Security’’
5A002 ‘‘Information security’’ systems,
equipment and ‘‘components,’’ as
follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, AT, EI
Control(s)
NS applies to entire
entry.
AT applies to entire
entry.
EI applies to entire
entry.
Country chart
(see Supp. No. 1 to
part 738)
NS Column 1
AT Column 1
Refer to § 742.15 of
the EAR
License Requirements Note: See
§ 744.17 of the EAR for additional license
requirements for microprocessors having a
processing speed of 5 GFLOPS or more and
an arithmetic logic unit with an access width
of 32 bit or more, including those
incorporating ‘‘information security’’
functionality, and associated ‘‘software’’ and
‘‘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’’.
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N/A for systems and equipment.
GBS: 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
‘‘component’’ 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 ‘‘satellite navigation
system’’ 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 nonprimary function of the exercise bike but
the web browser (‘‘software’’), as a
standalone item, is not controlled by ECCN
5D002 because it is excluded by the
Cryptography Note (Note 3) (See ECCN
5D992.c). (5) After classification or selfclassification in accordance with
§ 740.17(b) of the EAR, mass market
encryption commodities that meet
eligibility requirements are released from
‘‘EI’’ and ‘‘NS’’ controls. These
commodities are designated 5A992.c.
Related Definitions: N/A
Items:
a. Designed or modified to use
‘cryptography for data confidentiality’ having
a ‘described security algorithm’, where that
cryptographic capability is useable, 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
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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;
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:
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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
commercial cryptographic standards (except
for anti-piracy functions, which may be nonpublished) and also meet the provisions of
paragraphs a.2 to a.4 of the Cryptography
Note (Note 3 in Category 5—Part 2), that have
been customized for a specific civil industry
application with features that do not affect
the cryptographic functionality of these
original non-customized devices;
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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;
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;
or
j. Items specially designed for a ‘connected
civil industry application’, meeting all of the
following:
j.1. Being any of the following:
j.1.a. A network-capable endpoint device
meeting any of the following:
j.1.a.1. The ‘‘information security’’
functionality is limited to securing ’nonarbitrary data’ or the tasks of ‘‘Operations,
Administration or Maintenance’’ (‘‘OAM’’);
or
j.1.a.2. The device is limited to a specific
‘connected civil industry application’; or
j.1.b. Networking equipment meeting all of
the following:
j.1.b.1. Being specially designed to
communicate with the devices specified by
paragraph j.1.a above; and
j.1.b.2. The ‘‘information security’’
functionality is limited to supporting the
‘connected civil industry application’ of
devices specified by paragraph j.1.a above, or
the tasks of ‘‘OAM’’ of this networking
equipment or of other items specified by
paragraph j. of this Note; and
j.2. Where the ‘‘information security’’
functionality implements only published or
commercial cryptographic standards, and the
cryptographic functionality cannot easily be
changed by the user.
Technical Notes:
1. ‘Connected civil industry application’
means a network-connected consumer or
civil industry application other than
‘‘information security’’, digital
communication, general purpose networking
or computing.
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2. ‘Non-arbitrary data’ means sensor or
metering data directly related to the stability,
performance or physical measurement of a
system (e.g., temperature, pressure, flow rate,
mass, volume, voltage, physical location,
etc.), that cannot be changed by the user of
the device.
b. Being a ‘cryptographic activation token’;
Technical Note: A ‘cryptographic
activation token’ is an item designed or
modified for any of the following:
1. 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
2. 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.
*
*
*
*
*
*
*
*
Reason for Control: NS, MT and AT
Country chart
(see Supp. No. 1 to
part 738)
NS Column 1
MT Column 1
*
*
*
*
Category 9—Aerospace and Propulsion
*
*
*
*
*
*
*
E. ‘‘Technology’’
*
*
*
9E003 Other ‘‘technology’’ as follows (see
List of Items Controlled).
Country chart
(see Supp. No. 1 to
part 738)
NS applies to entire
entry.
SI applies to
9E003.a.1 through
a.8, .h, .i, and .k.
AT applies to entire
entry.
NS Column 1
See § 742.14 of the
EAR for additional
information
AT Column 1
Reporting Requirements
See § 743.1 of the EAR for reporting
requirements for exports under License
Exceptions, and Validated End-User
authorizations.
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
TSR: N/A
Special Conditions for STA
AT Column 1
List Based License Exceptions (See Part 740
for a Description of All License Exceptions)
LVS: N/A
GBS: N/A
VerDate Sep<11>2014
*
*
License Requirements
NS applies to
7A005.b.
MT applies to commodities in
7A005.b that meet
or exceed the parameters of 7A105.
AT applies to
7A005.b.
Related Controls: (1) Hot section
‘‘technology’’ specifically designed,
modified, or equipped for military uses or
purposes, or developed principally with
U.S. Department of Defense funding, is
‘‘subject to the ITAR’’ (see 22 CFR parts
120 through 130). (2) ‘‘Technology’’ is
subject to the EAR when actually applied
to a commercial ‘‘aircraft’’ engine program.
Exporters may seek to establish
commercial application either on a caseby-case basis through submission of
documentation demonstrating application
to a commercial program in requesting an
export license from the Department
Commerce in respect to a specific export,
or in the case of use for broad categories
of ‘‘aircraft,’’ engines, ‘‘parts’’ or
‘‘components,’’ a commodity jurisdiction
determination from the Department of
State.
Related Definitions: N/A
Items:
a. ‘‘Technology’’ ‘‘required’’ for the
‘‘development’’ or ‘‘production’’ of any of the
following gas turbine engine ‘‘parts,’’
‘‘components’’ or systems:
a.1. Gas turbine blades, vanes or ‘‘tip
shrouds’’, made from Directionally Solidified
(DS) or Single Crystal (SC) alloys and having
(in the 001 Miller Index Direction) a stressrupture life exceeding 400 hours at 1,273 K
(1,000 °C) at a stress of 200 MPa, based on
the average property values;
Technical Note: For the purposes of
9E003.a.1, stress-rupture life testing is
typically conducted on a test specimen.
a.2. Combustors having any of the
following:
a.2.a. ‘Thermally decoupled liners’
designed to operate at ‘combustor exit
temperature’ exceeding 1,883 K (1,610 °C);
a.2.b. Non-metallic liners;
a.2.c. Non-metallic shells; or
a.2.d. Liners designed to operate at
‘combustor exit temperature’ exceeding 1,883
K (1,610 °C) and having holes that meet the
parameters specified by 9E003.c;
Note: The ‘‘required’’ ‘‘technology’’ for
holes in 9E003.a.2 is limited to the derivation
of the geometry and location of the holes.
Technical Notes:
1. ‘Thermally decoupled liners’ are liners
that feature at least a support structure
designed to carry mechanical loads and a
combustion facing structure designed to
protect the support structure from the heat of
combustion. The combustion facing structure
and support structure have independent
thermal displacement (mechanical
displacement due to thermal load) with
respect to one another, i.e., they are
thermally decoupled.
2. ‘Combustor exit temperature’ is the bulk
average gas path total (stagnation)
temperature between the combustor exit
plane and the leading edge of the turbine
inlet guide vane (i.e., measured at engine
station T40 as defined in SAE ARP 755A)
when the engine is running in a ‘‘steady state
mode’’ of operation at the certificated
maximum continuous operating temperature.
N.B.: See 9E003.c for ‘‘technology’’
‘‘required’’ for manufacturing cooling holes.
Control(s)
7A005 ‘‘Satellite navigation system’’
receiving equipment having any of the
following and ‘‘specially designed’’
‘‘components’’ therefor.
Control(s)
List of Items Controlled
Related Controls: (1) See also ECCNs 7A105,
7A611 and 7A994. Commercially available
‘‘satellite navigation system’’ receivers do
not typically employ decryption or
adaptive antennae and are classified as
7A994. (2) See USML Category XII(d) for
‘‘satellite navigation system’’ receiving
equipment subject to the ITAR and USML
Category XI(c)(10) for antennae that are
subject to the ITAR. (3) Items that
otherwise would be covered by ECCN
7A005.a are ‘‘subject to the ITAR’’ (see 22
CFR parts 120 through 130).
Related Definitions: N/A
Items:
a. Employing a decryption algorithm
‘‘specially designed’’ or modified for
government use to access the ranging code
for position and time; or
b. Employing ‘adaptive antenna systems’.
Note: 7A005.b does not apply to ‘‘satellite
navigation system’’ receiving equipment that
only uses ‘‘components’’ designed to filter,
switch, or combine signals from multiple
omni-directional antennas that do not
implement adaptive antenna techniques.
Technical Note: For the purposes of
7A005.b ‘adaptive antenna systems’
dynamically generate one or more spatial
nulls in an antenna array pattern by signal
processing in the time domain or frequency
domain.
Reason for Control: NS, SI, AT
A. ‘‘End Items’’, ‘‘Equipment’’,
‘‘Accessories’’, ‘‘Attachments’’, ‘‘Parts’’,
‘‘Components’’ and ‘‘Systems’’
*
List of Items Controlled
License Requirements
Category 7—Navigation and Avionics
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STA: License Exception STA may not be
used to ship or transmit any technology in
9E003.a.1, 9E003.a.2 to a.5, 9E003.a.8, or
9E003.h to any of the destinations listed in
Country Group A:6 (See Supplement No.1
to part 740 of the EAR).
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a.3. ‘‘Parts’’ or ‘‘components,’’ that are any
of the following:
a.3.a. Manufactured from organic
‘‘composite’’ materials designed to operate
above 588 K (315 °C);
a.3.b. Manufactured from any of the
following:
a.3.b.1. Metal ‘‘matrix’’ ‘‘composites’’
reinforced by any of the following:
a.3.b.1.a. Materials controlled by 1C007;
a.3.b.1.b. ‘‘Fibrous or filamentary
materials’’ specified by 1C010; or
a.3.b.1.c. Aluminides specified by 1C002.a;
or
a.3.b.2. Ceramic ‘‘matrix’’ ‘‘composites’’
specified by 1C007; or
a.3.c. Stators, vanes, blades, tip seals
(shrouds), rotating blings, rotating blisks or
‘splitter ducts’, that are all of the following:
a.3.c.1. Not specified in 9E003.a.3.a;
a.3.c.2. Designed for compressors or fans;
and
a.3.c.3. Manufactured from material
controlled by 1C010.e with resins controlled
by 1C008;
Technical Note: A ‘splitter duct’ performs
the initial separation of the air-mass flow
between the bypass and core sections of the
engine.
a.4. Uncooled turbine blades, vanes or ‘‘tip
shrouds’’ designed to operate at a ‘gas path
temperature’ of 1,373 K (1,100 °C) or more;
a.5. Cooled turbine blades, vanes or ‘‘tipshrouds’’, other than those described in
9E003.a.1, designed to operate at a ‘gas path
temperature’ of 1,693 K (1,420 °C) or more;
Technical Note: ‘Gas path temperature’ is
the bulk average gas path total (stagnation)
temperature at the leading edge plane of the
turbine component when the engine is
running in a ‘‘steady state mode’’ of
operation at the certificated or specified
maximum continuous operating temperature.
a.6. Airfoil-to-disk blade combinations
using solid state joining;
a.7. [Reserved]
a.8. ‘Damage tolerant’ gas turbine engine
rotor ‘‘parts’’ or ‘‘components’’ using powder
metallurgy materials controlled by 1C002.b;
or
Technical Note: ‘Damage tolerant’
‘‘parts’’ and ‘‘components’’ are designed
using methodology and substantiation to
predict and limit crack growth.
a.9. [Reserved]
N.B.: For ‘‘FADEC systems’’, see 9E003.h.
a.10. [Reserved]
N.B.: For adjustable flow path geometry,
see 9E003.i.
a.11. Hollow fan blades;
b. ‘‘Technology’’ ‘‘required’’ for the
‘‘development’’ or ‘‘production’’ of any of the
following:
b.1. Wind tunnel aero-models equipped
with non-intrusive sensors capable of
transmitting data from the sensors to the data
acquisition system; or
b.2. ‘‘Composite’’ propeller blades or propfans, capable of absorbing more than 2,000
kW at flight speeds exceeding Mach 0.55;
c. ‘‘Technology’’ ‘‘required’’ for
manufacturing cooling holes, in gas turbine
engine ‘‘parts’’ or ‘‘components’’
incorporating any of the ‘‘technologies’’
specified by 9E003.a.1, 9E003.a.2 or
9E003.a.5, and having any of the following:
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20:07 Dec 03, 2020
Jkt 253001
c.1. Having all of the following:
c.1.a. Minimum ‘cross-sectional area’ less
than 0.45 mm2;
c.1.b. ‘Hole shape ratio’ greater than 4.52;
and
c.1.c. ‘Incidence angle’ equal to or less than
25°; or
c.2. Having all of the following:
c.2.a. Minimum ‘cross-sectional area’ less
than 0.12 mm2;
c.2.b. ‘Hole shape ratio’ greater than 5.65;
and
c.2.c. ‘Incidence angle’ more than 25°;
Note: 9E003.c does not apply to
‘‘technology’’ for manufacturing constant
radius cylindrical holes that are straight
through and enter and exit on the external
surfaces of the component.
Technical Notes:
1. For the purposes of 9E003.c, the ‘crosssectional area’ is the area of the hole in the
plane perpendicular to the hole axis.
2. For the purposes of 9E003.c, ‘hole shape
ratio’ is the nominal length of the axis of the
hole divided by the square root of its
minimum ‘cross-sectional area’.
3. For the purposes of 9E003.c, ‘incidence
angle’ is the acute angle measured between
the plane tangential to the airfoil surface and
the hole axis at the point where the hole axis
enters the airfoil surface.
4. Techniques for manufacturing holes in
9E003.c include ‘‘laser’’ beam machining,
water jet machining, Electro-Chemical
Machining (ECM) or Electrical Discharge
Machining (EDM).
d. ‘‘Technology’’ ‘‘required’’ for the
‘‘development’’ or ‘‘production’’ of helicopter
power transfer systems or tilt rotor or tilt
wing ‘‘aircraft’’ power transfer systems;
e. ‘‘Technology’’ for the ‘‘development’’ or
‘‘production’’ of reciprocating diesel engine
ground vehicle propulsion systems having all
of the following:
e.1. ‘Box volume’ of 1.2 m3 or less;
e.2. An overall power output of more than
750 kW based on 80/1269/EEC, ISO 2534 or
national equivalents; and
e.3. Power density of more than 700 kW/
m3 of ‘box volume’;
Technical Note: ‘Box volume’ is the
product of three perpendicular dimensions
measured in the following way:
Length: The length of the crankshaft from
front flange to flywheel face;
Width: The widest of any of the following:
a. The outside dimension from valve cover
to valve cover;
b. The dimensions of the outside edges of
the cylinder heads; or
c. The diameter of the flywheel housing;
Height: The largest of any of the following:
a. The dimension of the crankshaft centerline to the top plane of the valve cover (or
cylinder head) plus twice the stroke; or
b. The diameter of the flywheel housing.
f. ‘‘Technology’’ ‘‘required’’ for the
‘‘production’’ of ‘‘specially designed’’ ‘‘parts’’
or ‘‘components’’ for high output diesel
engines, as follows:
f.1. ‘‘Technology’’ ‘‘required’’ for the
‘‘production’’ of engine systems having all of
the following ‘‘parts’’ and ‘‘components’’
employing ceramics materials controlled by
1C007:
f.1.a Cylinder liners;
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Fmt 4701
Sfmt 4700
f.1.b. Pistons;
f.1.c. Cylinder heads; and
f.1.d. One or more other ‘‘part’’ or
‘‘component’’ (including exhaust ports,
turbochargers, valve guides, valve assemblies
or insulated fuel injectors);
f.2. ‘‘Technology’’ ‘‘required’’ for the
‘‘production’’ of turbocharger systems with
single-stage compressors and having all of
the following:
f.2.a. Operating at pressure ratios of 4:1 or
higher;
f.2.b. Mass flow in the range from 30 to 130
kg per minute; and
f.2.c. Variable flow area capability within
the compressor or turbine sections;
f.3. ‘‘Technology’’ ‘‘required’’ for the
‘‘production’’ of fuel injection systems with
a ‘‘specially designed’’ multifuel (e.g., diesel
or jet fuel) capability covering a viscosity
range from diesel fuel (2.5 cSt at 310.8 K
(37.8 °C)) down to gasoline fuel (0.5 cSt at
310.8 K (37.8 °C)) and having all of the
following:
f.3.a. Injection amount in excess of 230
mm3 per injection per cylinder; and
f.3.b. Electronic control features ‘‘specially
designed’’ for switching governor
characteristics automatically depending on
fuel property to provide the same torque
characteristics by using the appropriate
sensors;
g. ‘‘Technology’’ ‘‘required’’ for the
development’’ or ‘‘production’’ of ‘high
output diesel engines’ for solid, gas phase or
liquid film (or combinations thereof) cylinder
wall lubrication and permitting operation to
temperatures exceeding 723 K (450 °C),
measured on the cylinder wall at the top
limit of travel of the top ring of the piston;
Technical Note: ‘High output diesel
engines’ are diesel engines with a specified
brake mean effective pressure of 1.8 MPa or
more at a speed of 2,300 r.p.m., provided the
rated speed is 2,300 r.p.m. or more.
h. ‘‘Technology’’ for gas turbine engine
‘‘FADEC systems’’ as follows:
h.1. ‘‘Development’’ ‘‘technology’’ for
deriving the functional requirements for the
‘‘parts’’ or ‘‘components’’ necessary for the
‘‘FADEC system’’ to regulate engine thrust or
shaft power (e.g., feedback sensor time
constants and accuracies, fuel valve slew
rate);
h.2. ‘‘Development’’ or ‘‘production’’
‘‘technology’’ for control and diagnostic
‘‘parts’’ or ‘‘components’’ unique to the
‘‘FADEC system’’ and used to regulate engine
thrust or shaft power;
h.3. ‘‘Development’’ ‘‘technology’’ for the
control law algorithms, including ‘‘source
code’’, unique to the ‘‘FADEC system’’ and
used to regulate engine thrust or shaft power;
Note: 9E003.h does not apply to technical
data related to engine-‘‘aircraft’’ integration
required by civil aviation authorities of one
or more Wassenaar Arrangement
Participating States (See Supplement No. 1 to
part 743 of the EAR) to be published for
general airline use (e.g., installation manuals,
operating instructions, instructions for
continued airworthiness) or interface
functions (e.g., input/output processing,
airframe thrust or shaft power demand).
i. ‘‘Technology’’ for adjustable flow path
systems designed to maintain engine stability
E:\FR\FM\04DER3.SGM
04DER3
Federal Register / Vol. 85, No. 234 / Friday, December 4, 2020 / Rules and Regulations
for gas generator turbines, fan or power
turbines, or propelling nozzles, as follows:
i.1. ‘‘Development’’ ‘‘technology’’ for
deriving the functional requirements for the
‘‘parts’’ or ‘‘components’’ that maintain
engine stability;
i.2. ‘‘Development’’ or ‘‘production’’
‘‘technology’’ for ‘‘parts’’ or ‘‘components’’
unique to the adjustable flow path system
and that maintain engine stability;
i.3. ‘‘Development’’ ‘‘technology’’ for the
control law algorithms, including ‘‘source
code’’, unique to the adjustable flow path
system and that maintain engine stability;
Note: 9E003.i does not apply to
‘‘technology’’ for any of the following:
VerDate Sep<11>2014
20:07 Dec 03, 2020
Jkt 253001
a. Inlet guide vanes;
b. Variable pitch fans or prop-fans;
c. Variable compressor vanes;
d. Compressor bleed valves; or
e. Adjustable flow path geometry for
reverse thrust.
j. ‘‘Technology’’ ‘‘required’’ for the
‘‘development’’ of wing-folding systems
designed for fixed-wing ‘‘aircraft’’ powered
by gas turbine engines.
N.B.: For ‘‘technology’’ ‘‘required’’ for the
‘‘development’’ of wing-folding systems
designed for fixed-wing ‘‘aircraft’’ specified
in USML Category VIII (a), see USML
Category VIII (i).
PO 00000
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78697
k. ‘‘Technology’’ not otherwise controlled
in 9E003.a.1 through a.8, a.10, and .h and
used in the ‘‘development’’, ‘‘production’’, or
overhaul of hot section ‘‘parts’’ or
‘‘components’’ of civil derivatives of military
engines controlled on the U.S. Munitions
List.
*
*
*
*
*
Matthew S. Borman,
Deputy Assistant Secretary for Export
Administration.
[FR Doc. 2020–26638 Filed 12–3–20; 8:45 am]
BILLING CODE 3510–33–P
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04DER3
]]>Agencies
[Federal Register Volume 85, Number 234 (Friday, December 4, 2020)]
[Rules and Regulations]
[Pages 78684-78697]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2020-26638]
[[Page 78683]]
Vol. 85
Friday,
No. 234
December 4, 2020
Part V
Department of Commerce
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Bureau of Industry and Security
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15 CFR Part 774
Wassenaar Arrangement 2018 Plenary Decisions Implementation; and Other
Revisions Related to National Security Controls; Correction; Final Rule
Federal Register / Vol. 85 , No. 234 / Friday, December 4, 2020 /
Rules and Regulations
[[Page 78684]]
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DEPARTMENT OF COMMERCE
Bureau of Industry and Security
15 CFR Part 774
[Docket No. 201118-0305]
RIN 0694-AH77
Wassenaar Arrangement 2018 Plenary Decisions Implementation; and
Other Revisions Related to National Security Controls; Correction
AGENCY: Bureau of Industry and Security, Commerce.
ACTION: Correcting amendments.
-----------------------------------------------------------------------
SUMMARY: In this rule, the Bureau of Industry and Security (BIS) amends
the Export Administration Regulations (EAR) by making corrections to
address errors that were inadvertently introduced with the September
11, 2020, Federal Register publication of ``Wassenaar Arrangement 2018
Plenary Decisions Implementation; and Other Revisions Related to
National Security Controls (Final Rule)''.
DATES: This rule is effective December 4, 2020.
FOR FURTHER INFORMATION CONTACT: Logan Norton, Regulatory Policy
Division, [email protected], (202) 812-1762.
SUPPLEMENTARY INFORMATION:
Background
On September 11, 2020, BIS published ``Wassenaar Arrangement 2018
Plenary Decisions Implementation; and Other Revisions Related to
National Security Controls (Final Rule)'' (85 FR 56294) in the Federal
Register. This publication unintentionally introduced errors in Export
Control Classification Numbers (ECCNs) 3A001, 3A002, 3A991, 5A002,
7A005, and 9E003, entries located on the Commerce Control List,
Supplement No. 1 to part 774 of the EAR. This final rule revises part
774 of the EAR to correct these errors and thereby conform the entries
to other recent regulatory changes. These revisions do not change BIS
policy, including policy regarding any applicable licensing
requirements. The specific revisions set forth in this final rule are
detailed below.
3A001 Electronic Items
ECCN 3A001 is corrected as follows:
Adding double quotes around the remaining listed terms that do not
have double quotes in the Note following the introductory text of Items
paragraph .a. This stylistic convention is consistent with the
Wassenaar Arrangement List of Dual-Use Goods and Technologies and the
EAR.
Item paragraph a.2 is corrected by replacing ``Electrical Erasable
Programmable Read Only Memories (EEPROMS), flash memories, and MRAMs''
with `non-volatile memories' and by adding a Technical Note to define
`non-volatile memories.'
Item paragraph a.2.c is corrected by adding a plus sign before 125
[deg]C.
The term ``Mega Samples Per Second'' is removed from subparagraphs
a.5.a.3, a.5.a.4, and a.5.a.5 in Item paragraph a.5.a, leaving its
acronym ``MSPS'' in all three places. Item paragraph a.5.a and the
Technical Note below a.5.a are corrected by replacing the term ``output
rate'' with the term ``sample rate''. The Technical Notes below Item
paragraph a.5.a are corrected by adding an explanation for the
resolution of the Analogue-to-Digital Convert (ADC), by removing the
explanation for output rate, by replacing single quotes with double
quotes around the terms ``interleaved ADCs'' and ``multiple channel
ADCs'', and by removing Technical Notes 5 through 9.
Item paragraph a.5.b.2.a (settling time parameter) is corrected by
adding ``arrive at or within'' before the reference to 0.024%.
The inclusion Note to 3A001.a.7 is corrected by removing the term
``Simple Programmable Logic Devices (SPLDs)''.
Item paragraph a.14 is corrected by replacing ``Integrated circuits
that perform all of the following:'' with ``Integrated circuits that
perform or are programmable to perform all of the following:''. Item
paragraph a.14 is corrected by replacing the term ``input sample rate''
with the term ``sample rate'', which is defined in part 772. Item
paragraph a.14 is also corrected by removing ``Giga Samples Per
Second'' from subparagraphs a.14.a.2 and a.14.a.3, leaving the acronym
``GSPS'' in both places. Item paragraph a.14 is also corrected by
removing ``Mega Samples Per Second'' from subparagraph a.14.a.5,
leaving the acronym ``MSPS''.
Four Technical Notes that further explain the parameters in Item
paragraph a. are added below Item paragraph a.14.b.2.
Nota Bene 3 is added after Item paragraph b.4.f to reference
3A001.b.7 for converters and harmonic mixers.
In Item paragraph b.11, double quotes are replaced with single
quotes around the term `frequency synthesizer', the ``or'' is removed
from the end of b.11.d, and a Technical Note below Item paragraph
b.11.g is added defining `frequency synthesizer'.
Technical Note 5 after Item paragraph b.12.d is corrected by
replacing the reference ``3A001.b.4.12.c'' with ``3A001.b.12.c''.
The parameters for `primary cells' in Item paragraph e.1.a are
corrected by cascading the parameters and by adding a `continuous power
density' parameter and the definition for it in Technical Note 5 below
Item paragraph e.1.b. In Item paragraph e.1.b, ``293 K'' and extraneous
parentheticals around 20 [deg]C are removed.
Item paragraph 3A001.f, which pertains to rotary input type
absolute position encoders, is corrected by removing a single plus/
minus sign in front of ``1.0 second of arc''.
Paragraph 3A001.i, which pertains to intensity, amplitude, or phase
electro-optic modulators, designed for analog signals (including
electro-optic modulators having optical input and output connectors),
is added. These items are eligible for License Exception Shipments to
Country Group B countries (GBS); therefore, the GBS paragraph under
``List Based License Exceptions'' is accordingly corrected to reference
Item paragraph .i. One parameter specified in Item paragraph .i, `half-
wave voltage' (`V[pi]'), is defined in a Technical Note added below the
paragraph.
3A002 General Purpose ``Electronic Assemblies,'' Modules and Equipment
In Item paragraph c.1., the frequency parameter is corrected by
replacing ``exceeding 10 MHz'' with ``exceeding 40 MHz'' for signal
analyzers having a 3 dB resolution bandwidth (RBW).
Double quotes are replaced with single quotes for the term `real-
time bandwidth' in Item paragraph c.4.a and for the term `frequency
mask trigger' in Item paragraph c.4.b.2. The definitions for these
terms are added to the Technical Notes after Item paragraph c.4.b.2.
Two additional Technical Notes are added, for a total of four Technical
Notes.
Double quotes are added to the term ``sample rate'' in Item
paragraph h.1. The words ``an input'' are replaced with the word ``a''
in Item paragraph h.1.
The scientific unit ``billion samples per second'' is replaced with
``Giga Samples Per Second (GSPS)'' in Item paragraph h.1.a.
The scientific unit ``billion samples per second'' is replaced with
the acronym ``GSPS'' in Item paragraphs h.1.b and h.1.c.
The scientific unit ``million samples per second'' is replaced with
``Mega Samples Per Second (MSPS)'' in Item paragraph h.1.d.
The scientific unit ``million samples per second'' is replaced with
the
[[Page 78685]]
acronym ``MSPS'' in Item paragraph h.1.e.
The Technical Note below Item paragraph h.2.c is replaced by four
Technical Notes that explain resolution and ``sample rate'' for
interleaved and non-interleaved multiple-channel ``electronic
assemblies'', modules, or equipment.
3A991 Electronic Devices, and ``Components''
Item paragraph j.2 is corrected by increasing the energy density
from 300 to 350 Wh/kg or less.
5A002 ``Information Security'' Systems, Equipment, and ``Components''
Paragraph (4)(a) of Related Controls is corrected by replacing the
phrase `in excess of 56 bits of symmetric key length, or equivalent'
with `described security algorithm'.
Item paragraph .a is corrected by replacing ``usable without
``cryptographic activation'' or has been activated'' with ``useable,
has been activated, or can be activated by means of ``cryptographic
activation'' not employing a secure mechanism''.
Item paragraph a.4 is corrected by removing ``in excess of''.
Paragraph 2.a of the Technical Notes that follow Item paragraph a.4
is corrected by removing the word ``or'' at the end of the paragraph.
Paragraph 2.b of the Technical Notes that follow Item paragraph a.4
is corrected by replacing ``.'' with ``; or'' at the end.
7A005 ``Satellite Navigation System'' Receiving Equipment
The reference to License Exception Civil End Users, which was
removed from the EAR by 85 FR 23470 (April 28, 2020), is deleted from
the License Exception section of ECCN 7A005.
9E003 ``Specially Designed'' Assemblies or ``Components'' for Aero Gas
Turbine Engines
ECCN 9E003 is corrected as follows:
In Technical Note 2 below Item paragraph a.2 and in the Technical
Note below Item paragraph a.5, the single quotes are replaced with
double quotes around the term ``steady state mode''. In Technical Note
2 below a.5, the definition for ``steady state mode'', is removed.
Technical Note 4 below the Note to 9E003.c is corrected by
replacing ``laser'' with `` ``laser'' beam machining'', replacing
``water jet'' with ``water jet machining'', and by replacing
``Electrical Discharge Machining (EDM) methods'' with ``Electrical
Discharge Machining (EDM)''.
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.
Sections 4801-4852. ECRA provides the legal basis for BIS's principal
authorities and serves as the authority under which BIS issues this
rule.
Rulemaking Requirements
1. 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, and distributed impacts, and taking into
account equity issues). Executive Order 13563 emphasizes the importance
of quantifying both costs and benefits, of reducing costs, of
harmonizing rules, and of promoting flexibility. This final rule has
been designated as a regulatory action that is not significant under
section 3(f) of Executive Order 12866. This rule is not an Executive
Order 13771 regulatory action because this rule is not significant
under Executive Order 12866.
2. Notwithstanding any other provision of law, no person may be
required to respond to or 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 regulation involves a
collection currently approved by OMB under control number 0694-0088,
Simplified Network Application Processing System. This collection
includes, among other things, license applications, and carries a
burden estimate of 42.5 minutes for a manual or electronic submission
for a total burden estimate of 31,878 hours. BIS does not expect the
burden hours associated with this collection to change as a result of
these correcting amendments.
3. This rule does not contain policies with federalism implications
as that term is defined under Executive Order 13132.
Administrative Procedure Act and Regulatory Flexibility Act
Requirements
Pursuant to Section 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. Furthermore, no other law requires that a notice of
proposed rulemaking and an opportunity for public comment be given for
this final rule. Because a notice of proposed rulemaking and an
opportunity for public comment are not required to be given for this
rule under the Administrative Procedure Act or by any other law, the
analytical requirements of the Regulatory Flexibility Act (5 U.S.C. 601
et seq.) are not applicable. Accordingly, no regulatory flexibility
analysis is required, and none has been prepared.
List of Subjects in 15 CFR Part 774
Exports, Reporting and recordkeeping requirements, Terrorism.
Accordingly, part 774 of the Export Administration Regulations (15
CFR parts 730 through 774) is corrected by making the following
correcting amendments:
PART 774--[AMENDED]
0
1. The authority citation for 15 CFR 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
2. In Supplement No. 1 to part 774:
0
a. Revise ECCNs 3A001, 3A002, and 3A991 under Category 3, section A;
0
b. Revise ECCN 5A002 under Category 5, Part 2, section A.I.;
0
c. Revise ECCN 7A005 under Category 7, section A; and
0
d. Revise ECCN 9E003 under Category 9, section E.
The revisions read as follows:
Supplement No. 1 to Part 774--The Commerce Control List
* * * * *
Category 3--Electronics
A. ``End Items'', ``Equipment'', ``Accessories'', ``Attachments'',
``Parts'', ``Components'' and ``Systems''
* * * * *
3A001 Electronic items as follows (see List of Items Controlled).
Reason for Control: NS, RS, MT, NP, AT
[[Page 78686]]
Country chart (See Supp.
Control(s) No. 1 to part 738)
NS applies to ``Monolithic Microwave NS Column 1
Integrated Circuit'' (``MMIC'')
amplifiers in 3A001.b.2 and discrete
microwave transistors in 3A001.b.3,
except those 3A001.b.2 and b.3 items
being exported or reexported for use in
civil telecommunications applications.
NS applies to entire entry................ NS Column 2
RS applies ``Monolithic Microwave RS Column 1
Integrated Circuit'' (``MMIC'')
amplifiers in 3A001.b.2 and discrete
microwave transistors in 3A001.b.3,
except those 3A001.b.2 and b.3 items
being exported or reexported for use in
civil telecommunications applications.
MT applies to 3A001.a.1.a when usable in MT Column 1
``missiles''; and to 3A001.a.5.a when
``designed or modified'' for military
use, hermetically sealed and rated for
operation in the temperature range from
below -54 [deg]C to above +125 [deg]C.
NP applies to pulse discharge capacitors NP Column 1
in 3A001.e.2 and superconducting
solenoidal electromagnets in 3A001.e.3
that meet or exceed the technical
parameters in 3A201.a and 3A201.b,
respectively.
AT applies to entire entry................ AT Column 1
Reporting Requirements: See Sec. 743.1 of the EAR for reporting
requirements for exports under 3A001.b.2 or b.3 under License
Exceptions, and Validated End-User authorizations.
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 devices'' exceeding 18 GHz), b.9., b.10, .g, and .h, and
.i.
Special Conditions for STA
STA: License Exception STA may not be used to ship any item in
3A001.b.2 or b.3, except those that are being exported or reexported
for use in civil telecommunications applications, to any of the
destinations listed in Country Group A:5 or A:6 (See Supplement No.1
to part 740 of the EAR).
List of Items Controlled
Related Controls: (1) See Category XV of the USML for certain
``space-qualified'' electronics and Category XI of the USML for
certain ASICs, `transmit/receive modules,' or `transmit modules'
``subject to the ITAR'' (see 22 CFR parts 120 through 130). (2) See
also 3A101, 3A201, 3A611, 3A991, and 9A515.
Related Definitions: `Microcircuit' means a device in which a number
of passive or active elements are considered as indivisibly
associated on or within a continuous structure to perform the
function of a circuit. For the purposes of integrated circuits in
3A001.a.1, 5 x 10\3\ Gy (Si) = 5 x 10\5\ Rads (Si); 5 x 10\6\ Gy
(Si)/s = 5 x 10\8\ Rads (Si)/s.
Items:
a. General purpose integrated circuits, as follows:
Note 1: Integrated circuits include the following types:
-- ``Monolithic integrated circuits'';
-- ``Hybrid integrated circuits'';
-- ``Multichip integrated circuits'';
-- ``Film type integrated circuits, including silicon-on-sapphire
integrated circuits'';
-- ``Optical integrated circuits'';
-- ``Three dimensional integrated circuits'';
-- ``Monolithic Microwave Integrated Circuits'' (``MMICs'').
a.1. Integrated circuits designed or rated as radiation hardened
to withstand any of the following:
a.1.a. A total dose of 5 x 10\3\ Gy (Si), or higher;
a.1.b. A dose rate upset of 5 x 10\6\ Gy (Si)/s, or higher; or
a.1.c. A fluence (integrated flux) of neutrons (1 MeV
equivalent) of 5 x 10\13\ n/cm\2\ or higher on silicon, or its
equivalent for other materials;
Note: 3A001.a.1.c does not apply to Metal Insulator
Semiconductors (MIS).
a.2. ``Microprocessor microcircuits,'' ``microcomputer
microcircuits,'' microcontroller microcircuits, storage integrated
circuits manufactured from a compound semiconductor, analog-to-
digital converters, integrated circuits that contain analog-to-
digital converters and store or process the digitized data, digital-
to-analog converters, electro-optical or ``optical integrated
circuits'' designed for ``signal processing'', field programmable
logic devices, custom integrated circuits for which either the
function is unknown or the control status of the equipment in which
the integrated circuit will be used in unknown, Fast Fourier
Transform (FFT) processors, Static Random-Access Memories (SRAMs),
or `non-volatile memories,' having any of the following:
Technical Note: `Non-volatile memories' are memories with data
retention over a period of time after a power shutdown.
a.2.a. Rated for operation at an ambient temperature above 398 K
(+125 [deg]C);
a.2.b. Rated for operation at an ambient temperature below 218 K
(-55 [deg]C); or
a.2.c. Rated for operation over the entire ambient temperature
range from 218 K (-55 [deg]C) to 398 K (+125 [deg]C);
Note: 3A001.a.2 does not apply to integrated circuits designed
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'' 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'' greater than 400 MSPS;
a.5.a.4. A resolution of 14 bit or more, but less than 16 bit,
with a ``sample rate'' greater than 250 MSPS; or
a.5.a.5. A resolution of 16 bit or more with a ``sample 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 2\n\
levels.
[[Page 78687]]
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 but less than 12-
bit,with an `adjusted update rate' of exceeding 3,500 MSPS; or
a.5.b.2. A resolution of 12-bit or more and having any of the
following:
a.5.b.2.a. An `adjusted update rate' exceeding 1,250 MSPS but
not exceeding 3,500 MSPS, and having any of the following:
a.5.b.2.a.1. 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.a.2. 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; or
a.5.b.2.b. An `adjusted update rate' exceeding 3,500 MSPS;
Technical Notes:
`1. `Spurious Free Dynamic Range' (SFDR) is defined as the ratio
of the RMS value of the carrier frequency (maximum signal component)
at the input of the DAC to the RMS value of the next largest noise
or harmonic distortion component at its output.
2. SFDR is determined directly from the specification table or
from the characterization plots of SFDR versus frequency.
3. A signal is defined to be full scale when its amplitude is
greater than -3 dBfs (full scale).
4. `Adjusted update rate' for DACs is:
a. For conventional (non-interpolating) DACs, the `adjusted
update rate' is the rate at which the digital signal is converted to
an analog signal and the output analog values are changed by the
DAC. For DACs where the interpolation mode may be bypassed
(interpolation factor of one), the DAC should be considered as a
conventional (non-interpolating) DAC.
b. For interpolating DACs (oversampling DACs), the `adjusted
update rate' is defined as the DAC update rate divided by the
smallest interpolating factor. For interpolating DACs, the `adjusted
update rate' may be referred to by different terms including:
input data rate
input word rate
input sample rate
maximum total input bus rate
maximum DAC clock rate for DAC clock input.
a.6. Electro-optical and ``optical integrated circuits'',
designed for ``signal processing'' and having all of the following:
a.6.a. One or more than one internal ``laser'' diode;
a.6.b. One or more than one internal light detecting element;
and
a.6.c. Optical waveguides;
a.7. `Field programmable logic devices' having any of the
following:
a.7.a. A maximum number of single-ended digital input/outputs of
greater than 700; or
a.7.b. An `aggregate one-way peak serial transceiver data rate'
of 500 Gb/s or greater;
Note: 3A001.a.7 includes:
-- Complex Programmable Logic Devices (CPLDs);
-- Field Programmable Gate Arrays (FPGAs);
-- Field Programmable Logic Arrays (FPLAs);
-- Field Programmable Interconnects (FPICs).
N.B.: For integrated circuits having field programmable logic
devices that are combined with an analog-to-digital converter, see
3A001.a.14.
Technical Notes:
1. Maximum number of digital input/outputs in 3A001.a.7.a is
also referred to as maximum user input/outputs or maximum available
input/outputs, whether the integrated circuit is packaged or bare
die.
2. `Aggregate one-way peak serial transceiver data rate' is the
product of the peak serial one-way transceiver data rate times the
number of transceivers on the FPGA.
a.8. [Reserved]
a.9. Neural network integrated circuits;
a.10. Custom integrated circuits for which the function is
unknown, or the control status of the equipment in which the
integrated circuits will be used is unknown to the manufacturer,
having any of the following:
a.10.a. More than 1,500 terminals;
a.10.b. A typical ``basic gate propagation delay time'' of less
than 0.02 ns; or
a.10.c. An operating frequency exceeding 3 GHz;
a.11. Digital integrated circuits, other than those described in
3A001.a.3 to 3A001.a.10 and 3A001.a.12, based upon any compound
semiconductor and having any of the following:
a.11.a. An equivalent gate count of more than 3,000 (2 input
gates); or
a.11.b. A toggle frequency exceeding 1.2 GHz;
a.12. Fast Fourier Transform (FFT) processors having a rated
execution time for an N-point complex FFT of less than (N
log2 N)/20,480 ms, where N is the number of points;
Technical Note: When N is equal to 1,024 points, the formula in
3A001.a.12 gives an execution time of 500 [micro]s.
a.13. Direct Digital Synthesizer (DDS) integrated circuits
having any of the following:
a.13.a. A Digital-to-Analog Converter (DAC) clock frequency of
3.5 GHz or more and a DAC resolution of 10 bit or more, but less
than 12 bit; or
a.13.b. A DAC clock frequency of 1.25 GHz or more and a DAC
resolution of 12 bit or more;
Technical Note: The DAC clock frequency may be specified as the
master clock frequency or the input clock frequency.
a.14. Integrated circuits that perform or are programmable to
perform all of the following:
a.14.a. Analog-to-digital conversions meeting any of the
following:
a.14.a.1. A resolution of 8 bit or more, but less than 10 bit,
with a ``sample rate'' greater than 1.3 Giga Samples Per Second
(GSPS);
a.14.a.2. A resolution of 10 bit or more, but less than 12 bit,
with a ``sample rate'' greater than 1.0 GSPS;
a.14.a.3. A resolution of 12 bit or more, but less than 14 bit,
with a ``sample rate'' greater than 1.0 GSPS;
A.14.a.4. A resolution of 14 bit or more, but less than 16 bit,
with a ``sample rate'' greater than 400 Mega Samples Per Second
(MSPS); or
a.14.a.5. A resolution of 16 bit or more with a ``sample rate''
greater than 180 MSPS; and
a.14.b. Any of the following:
a.14.b.1. Storage of digitized data; or
a.14.b.2. Processing of digitized data;
N.B. 1: For analog-to-digital converter integrated circuits see
3A001.a.5.a.
N.B. 2: For field programmable logic devices see 3A001.a.7.
Technical Notes:
1. A resolution of n bit corresponds to a quantization of 2\n\
levels.
2. The resolution of the ADC is the number of bits of the
digital output of the ADC that represents the measured analog input.
Effective Number of Bits (ENOB) is not used to determine the
resolution of the ADC.
3. For integrated circuits with non- interleaving ``multiple
channel ADCs'', the ``sample rate'' is not aggregated and the
``sample rate'' is the maximum rate of any single channel.
4. For integrated circuits with ``interleaved ADCs'' or with
``multiple channel ADCs'' that are specified to have an interleaved
mode of operation, the ``sample rates'' are aggregated and the
``sample rate'' is the maximum combined total rate of all of the
interleaved channels.
b. Microwave or millimeter wave items, as follows:
Technical Note: 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.
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.
[[Page 78688]]
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 0.1 nW (-70 dBm) at any frequency exceeding 31.8 GHz up
to and including 37 GHz;
b.2.e. Rated for operation with a peak saturated power output
greater than 1 W (30 dBm) at any frequency exceeding 37 GHz up to
and including 43.5 GHz, and with a ``fractional bandwidth'' of
greater than 10%;
b.2.f. Rated for operation with a peak saturated power output
greater than 31.62 mW (15 dBm) at any frequency exceeding 43.5 GHz
up to and including 75 GHz, and with a ``fractional bandwidth'' of
greater than 10%;
b.2.g. Rated for operation with a peak saturated power output
greater than 10 mW (10 dBm) at any frequency exceeding 75 GHz up to
and including 90 GHz, and with a ``fractional bandwidth'' of greater
than 5%; or
b.2.h. Rated for operation with a peak saturated power output
greater than 0.1 nW (-70 dBm) at any frequency exceeding 90 GHz;
Note 1: [Reserved]
Note 2: The control status of the ``MMIC'' whose rated operating
frequency includes frequencies listed in more than one frequency
range, as defined by 3A001.b.2.a through 3A001.b.2.h, is determined
by the lowest peak saturated power output control threshold.
Note 3: Notes 1 and 2 following the Category 3 heading for
product group A. Systems, Equipment, and Components mean that
3A001.b.2 does not control ``MMICs'' if they are ``specially
designed'' for other applications, e.g., telecommunications, radar,
automobiles.
b.3. Discrete microwave transistors that are any of the
following:
b.3.a. Rated for operation at frequencies exceeding 2.7 GHz up
to and including 6.8 GHz and having any of the following:
b.3.a.1. A peak saturated power output greater than 400 W (56
dBm) at any frequency exceeding 2.7 GHz up to and including 2.9 GHz;
b.3.a.2. A peak saturated power output greater than 205 W (53.12
dBm) at any frequency exceeding 2.9 GHz up to and including 3.2 GHz;
b.3.a.3. A peak saturated power output greater than 115 W (50.61
dBm) at any frequency exceeding 3.2 GHz up to and including 3.7 GHz;
or
b.3.a.4. A peak saturated power output greater than 60 W (47.78
dBm) at any frequency exceeding 3.7 GHz up to and including 6.8 GHz;
b.3.b. Rated for operation at frequencies exceeding 6.8 GHz up
to and including 31.8 GHz and having any of the following:
b.3.b.1. A peak saturated power output greater than 50 W (47
dBm) at any frequency exceeding 6.8 GHz up to and including 8.5 GHz;
b.3.b.2. A peak saturated power output greater than 15 W (41.76
dBm) at any frequency exceeding 8.5 GHz up to and including 12 GHz;
b.3.b.3. A peak saturated power output greater than 40 W (46
dBm) at any frequency exceeding 12 GHz up to and including 16 GHz;
or
b.3.b.4. A peak saturated power output greater than 7 W (38.45
dBm) at any frequency exceeding 16 GHz up to and including 31.8 GHz;
b.3.c. Rated for operation with a peak saturated power output
greater than 0.5 W (27 dBm) at any frequency exceeding 31.8 GHz up
to and including 37 GHz;
b.3.d. Rated for operation with a peak saturated power output
greater than 1 W (30 dBm) at any frequency exceeding 37 GHz up to
and including 43.5 GHz;
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;
[[Page 78689]]
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 cm\3\/W = 200 cm\3\.
2. The `turn-on time' in 3A001.b.9.a refers to the time from
fully-off to fully operational, i.e., it includes the warm-up time
of the MPM.
b.10. Oscillators or oscillator assemblies, specified to operate
with a single sideband (SSB) phase noise, in dBc/Hz, less (better)
than -(126 + 20log10F-20log10f) anywhere
within the range of 10 Hz <= F <= 10 kHz;
Technical Note: In 3A001.b.10, F is the offset from the
operating frequency in Hz and f is the operating frequency in MHz.
b.11. `Frequency synthesizer' ``electronic assemblies'' having a
``frequency switching time'' as specified by any of the following:
b.11.a. Less than 143 ps;
b.11.b. Less than 100 [mu]s for any frequency change exceeding
2.2 GHz within the synthesized frequency range exceeding 4.8 GHz but
not exceeding 31.8 GHz;
b.11.c. [Reserved]
b.11.d. Less than 500 [micro]s for any frequency change
exceeding 550 MHz within the synthesized frequency range exceeding
31.8 GHz but not exceeding 37 GHz;
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
[[Page 78690]]
`transmit MMICs' may or may not have N integrated radiating antenna
elements where N is the number of transmit or transmit/receive
channels.
c. Acoustic wave devices as follows and ``specially designed''
``components'' therefor:
c.1. Surface acoustic wave and surface skimming (shallow bulk)
acoustic wave devices, having any of the following:
c.1.a. A carrier frequency exceeding 6 GHz;
c.1.b. A carrier frequency exceeding 1 GHz, but not exceeding 6
GHz and having any of the following:
c.1.b.1. A `frequency side-lobe rejection' exceeding 65 dB;
c.1.b.2. A product of the maximum delay time and the bandwidth
(time in [micro]s and bandwidth in MHz) of more than 100;
c.1.b.3. A bandwidth greater than 250 MHz; or
c.1.b.4. A dispersive delay of more than 10 [micro]s; or
c.1.c. A carrier frequency of 1 GHz or less and having any of
the following:
c.1.c.1. A product of the maximum delay time and the bandwidth
(time in [micro]s and bandwidth in MHz) of more than 100;
c.1.c.2. A dispersive delay of more than 10 [micro]s; or
c.1.c.3. A `frequency side-lobe rejection' exceeding 65 dB and a
bandwidth greater than 100 MHz;
Technical Note: `Frequency side-lobe rejection' is the maximum
rejection value specified in data sheet.
c.2. Bulk (volume) acoustic wave devices that permit the direct
processing of signals at frequencies exceeding 6 GHz;
c.3. Acoustic-optic ``signal processing'' devices employing
interaction between acoustic waves (bulk wave or surface wave) and
light waves that permit the direct processing of signals or images,
including spectral analysis, correlation or convolution;
Note: 3A001.c does not control acoustic wave devices that are
limited to a single band pass, low pass, high pass or notch
filtering, or resonating function.
d. Electronic devices and circuits containing ``components,''
manufactured from ``superconductive'' materials, ``specially
designed'' for operation at temperatures below the ``critical
temperature'' of at least one of the ``superconductive''
constituents and having any of the following:
d.1. Current switching for digital circuits using
``superconductive'' gates with a product of delay time per gate (in
seconds) and power dissipation per gate (in watts) of less than
10-14 J; or
d.2. Frequency selection at all frequencies using resonant
circuits with Q-values exceeding 10,000;
e. High energy devices as follows:
e.1. `Cells' as follows:
e.1.a `Primary cells' having 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 20 [deg]C;
Technical Notes:
1. For the purpose of 3A001.e.1, `energy density' (Wh/kg) is
calculated from the nominal voltage multiplied by the nominal
capacity in ampere-hours (Ah) divided by the mass in kilograms. If
the nominal capacity is not stated, energy density is calculated
from the nominal voltage squared then multiplied by the discharge
duration in hours divided by the discharge load in Ohms and the mass
in kilograms.
2. For the purpose of 3A001.e.1, a `cell' is defined as an
electrochemical device, which has positive and negative electrodes,
an electrolyte, and is a source of electrical energy. It is the
basic building block of a battery.
3. For the purpose of 3A001.e.1.a, a `primary cell' is a `cell'
that is not designed to be charged by any other source.
4. For the purpose of 3A001.e.1.b, a `secondary cell' is a
`cell' that is designed to be charged by an external electrical
source.
5. For the purpose of 3A001.e.1.a, `continuous power density'
(W/kg) is calculated from the nominal voltage multiplied by the
specified maximum continuous discharge current in ampere (A) divided
by the mass in kilograms. `Continuous power density' is also
referred to as specific power.
Note: 3A001.e does not control batteries, including single-cell
batteries.
e.2. High energy storage capacitors as follows:
e.2.a. Capacitors with a repetition rate of less than 10 Hz
(single shot capacitors) and having all of the following:
e.2.a.1. A voltage rating equal to or more than 5 kV;
e.2.a.2. An energy density equal to or more than 250 J/kg; and
e.2.a.3. A total energy equal to or more than 25 kJ;
e.2.b. Capacitors with a repetition rate of 10 Hz or more
(repetition rated capacitors) and having all of the following:
e.2.b.1. A voltage rating equal to or more than 5 kV;
e.2.b.2. An energy density equal to or more than 50 J/kg;
e.2.b.3. A total energy equal to or more than 100 J; and
e.2.b.4. A charge/discharge cycle life equal to or more than
10,000;
e.3. ``Superconductive'' electromagnets and solenoids,
``specially designed'' to be fully charged or discharged in less
than one second and having all of the following:
Note: 3A001.e.3 does not control ``superconductive''
electromagnets or solenoids ``specially designed'' for Magnetic
Resonance Imaging (MRI) medical equipment.
e.3.a. Energy delivered during the discharge exceeding 10 kJ in
the first second;
e.3.b. Inner diameter of the current carrying windings of more
than 250 mm; and
e.3.c. Rated for a magnetic induction of more than 8 T or
``overall current density'' in the winding of more than 300 A/mm\2\;
e.4. Solar cells, cell-interconnect-coverglass (CIC) assemblies,
solar panels, and solar arrays, which are ``space-qualified,''
having a minimum average efficiency exceeding 20% at an operating
temperature of 301 K (28 [deg]C) under simulated `AM0' illumination
with an irradiance of 1,367 Watts per square meter (W/m\2\);
Technical Note: `AM0', or `Air Mass Zero', refers to the
spectral irradiance of sun light in the earth's outer atmosphere
when the distance between the earth and sun is one astronomical unit
(AU).
f. Rotary input type absolute position encoders having an
``accuracy'' equal to or less (better) than 1.0 second of arc and
``specially designed'' encoder rings, discs or scales therefor;
g. Solid-state pulsed power switching thyristor devices and
`thyristor modules', using either electrically, optically, or
electron radiation controlled switch methods and having any of the
following:
g.1. A maximum turn-on current rate of rise (di/dt) greater than
30,000 A/[micro]s and off-state voltage greater than 1,100 V; or
g.2. A maximum turn-on current rate of rise (di/dt) greater than
2,000 A/[micro]s and having all of the following:
g.2.a. An off-state peak voltage equal to or greater than 3,000
V; and
g.2.b. A peak (surge) current equal to or greater than 3,000 A;
Note 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)
[[Page 78691]]
--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.
3A002 General purpose ``electronic assemblies,'' modules and
equipment, as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, MT, AT
Country chart (see Supp. No.
Control(s) 1 to part 738)
NS applies to entire entry................ NS Column 2
MT applies to 3A002.h when the parameters MT Column 1
in 3A101.a.2.b are met or exceeded.
AT applies to entire entry................ AT Column 1
Reporting Requirements: See Sec. 743.1 of the EAR for reporting
requirements for exports under License Exceptions, and Validated
End-User authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $3000: 3A002.a, .e, .f, and .g
$5000: 3A002.c to .d, and .h (unless controlled for MT);
GBS: Yes, for 3A002.h (unless controlled for MT)
Special Conditions for STA
STA: License Exception STA may not be used to ship any item in
3A002.g.1 to any of the destinations listed in Country Group A:6
(See Supplement No.1 to part 740 of the EAR).
List of Items Controlled
Related Controls: See Category XV(e)(9) of the USML for certain
``space-qualified'' atomic frequency standards ``subject to the
ITAR'' (see 22 CFR parts 120 through 130). See also 3A101, 3A992 and
9A515.x.
Related Definitions: Constant percentage bandwidth filters are also
known as octave or fractional octave filters.
Items:
a. Recording equipment and oscilloscopes, as follows:
a.1. to a.5. [Reserved]
N.B.: For waveform digitizers and transient recorders, see
3A002.h.
a.6. Digital data recorders having all of the following:
a.6.a. A sustained `continuous throughput' of more than 6.4
Gbit/s to disk or solid-state drive memory; and
a.6.b. ``Signal processing'' of the radio frequency signal data
while it is being recorded;
Technical Notes:
1. For recorders with a parallel bus architecture, the
`continuous throughput' rate is the highest word rate multiplied by
the number of bits in a word.
2. `Continuous throughput' is the fastest data rate the
instrument can record to disk or solid-state drive memory without
the loss of any information while sustaining the input digital data
rate or digitizer conversion rate.
a.7. Real-time oscilloscopes having a vertical root-mean-square
(rms) noise voltage of less than 2% of full-scale at the vertical
scale setting that provides the lowest noise value for any input 3dB
bandwidth of 60 GHz or greater per channel;
Note: 3A002.a.7 does not apply to equivalent-time sampling
oscilloscopes.
b. [Reserved]
c. ``Signal analyzers'' as follows:
c.1. ``Signal analyzers'' having a 3 dB resolution bandwidth
(RBW) exceeding 40 MHz anywhere within the frequency range exceeding
31.8 GHz but not exceeding 37 GHz;
c.2. ``Signal analyzers'' having Displayed Average Noise Level
(DANL) less (better) than -150 dBm/Hz anywhere within the frequency
range exceeding 43.5 GHz but not exceeding 90 GHz;
c.3. ``Signal analyzers'' having a frequency exceeding 90 GHz;
c.4. ``Signal analyzers'' having all of the following:
c.4.a. `Real-time bandwidth' exceeding 170 MHz; and
c.4.b. Having any of the following:
c.4.b.1. 100% probability of discovery, with less than a 3 dB
reduction from full amplitude due to gaps or windowing effects, of
signals having a duration of 15 [micro]s or less; or
c.4.b.2. A `frequency mask trigger' function, with 100%
probability of trigger (capture) for signals having a duration of 15
[micro]s or less;
Technical Notes:
1. `Real-time bandwidth' is the widest frequency range for which
the analyzer can continuously transform time-domain data entirely
into frequency-domain results, using a Fourier or other discrete
time transform that processes every incoming time point, without a
reduction of measured amplitude of more than 3 dB below the actual
signal amplitude caused by gaps or windowing effects, while
outputting or displaying the transformed data.
2. Probability of discovery in 3A002.c.4.b.1 is also referred to
as probability of intercept or probability of capture.
3. For the purposes of 3A002.c.4.b.1, the duration for 100%
probability of discovery is equivalent to the minimum signal
duration necessary for the specified level measurement uncertainty.
4. A `frequency mask trigger' is a mechanism where the trigger
function is able to select a frequency range to be triggered on as a
subset of the acquisition bandwidth while ignoring other signals
that may also be present within the same acquisition bandwidth. A
`frequency mask trigger' may contain more than one independent set
of limits.
Note: 3A002.c.4 does not apply to those ``signal analyzers''
using only constant percentage bandwidth filters (also known as
octave or fractional octave filters).
c.5. [Reserved]
d. Signal generators having any of the following:
d.1. Specified to generate pulse-modulated signals having all of
the following, anywhere within the frequency range exceeding 31.8
GHz but not exceeding 37 GHz:
d.1.a. `Pulse duration' of less than 25 ns; and
d.1.b. On/off ratio equal to or exceeding 65 dB;
d.2. An output power exceeding 100 mW (20 dBm) anywhere within
the frequency range exceeding 43.5 GHz but not exceeding 90 GHz;
d.3. A ``frequency switching time'' as specified by any of the
following:
d.3.a. [Reserved]
d.3.b. Less than 100 [micro]s for any frequency change exceeding
2.2 GHz within the frequency range exceeding 4.8 GHz but not
exceeding 31.8 GHz;
d.3.c. [Reserved]
d.3.d. Less than 500 [micro]s for any frequency change exceeding
550 MHz within the frequency range exceeding 31.8 GHz but not
exceeding 37 GHz; or
d.3.e. Less than 100 [micro]s for any frequency change exceeding
2.2 GHz within the frequency range exceeding 37 GHz but not
exceeding 90 GHz;
d.3.f. [Reserved]
d.4. Single sideband (SSB) phase noise, in dBc/Hz, specified as
being any of the following:
d.4.a. Less (better) than -(126 + 20 log10 F-
20log10f) for anywhere within the range of 10 Hz <= F <=
10 kHz anywhere within the frequency range exceeding 3.2 GHz but not
exceeding 90 GHz; or
d.4.b. Less (better) than -(206-20log10f) for
anywhere within the range of 10 kHz < F <= 100 kHz anywhere within
the frequency range exceeding 3.2 GHz but not exceeding 90 GHz;
Technical Note: In 3A002.d.4, F is the offset from the operating
frequency in Hz and f is the operating frequency in MHz.
d.5. An `RF modulation bandwidth' of digital baseband signals as
specified by any of the following:
[[Page 78692]]
d.5.a. Exceeding 2.2 GHz within the frequency range exceeding
4.8 GHz but not exceeding 31.8 GHz;
d.5.b. Exceeding 550 MHz within the frequency range exceeding
31.8 GHz but not exceeding 37 GHz; or
d.5.c. Exceeding 2.2 GHz within the frequency range exceeding 37
GHz but not exceeding 90 GHz; or
Technical Note: `RF modulation bandwidth' is the Radio Frequency
(RF) bandwidth occupied by a digitally encoded baseband signal
modulated onto an RF signal. It is also referred to as information
bandwidth or vector modulation bandwidth. I/Q digital modulation is
the technical method for producing a vector-modulated RF output
signal, and that output signal is typically specified as having an
`RF modulation bandwidth'.
d.6. A maximum frequency exceeding 90 GHz;
Note 1: For the purpose of 3A002.d, signal generators include
arbitrary waveform and function generators.
Note 2: 3A002.d does not control equipment in which the output
frequency is either produced by the addition or subtraction of two
or more crystal oscillator frequencies, or by an addition or
subtraction followed by a multiplication of the result.
Technical Notes:
1. The maximum frequency of an arbitrary waveform or function
generator is calculated by dividing the sample rate, in samples/
second, by a factor of 2.5.
2. For the purposes of 3A002.d.1.a, `pulse duration' is defined
as the time interval from the point on the leading edge that is 50%
of the pulse amplitude to the point on the trailing edge that is 50%
of the pulse amplitude.
e. Network analyzers having any of the following:
e.1. An output power exceeding 31.62 mW (15 dBm) anywhere within
the operating frequency range exceeding 43.5 GHz but not exceeding
90 GHz;
e.2. An output power exceeding 1 mW (0 dBm) anywhere within the
operating frequency range exceeding 90 GHz but not exceeding 110
GHz;
e.3. `Nonlinear vector measurement functionality' at frequencies
exceeding 50 GHz but not exceeding 110 GHz; or
Technical Note: `Nonlinear vector measurement functionality' is
an instrument's ability to analyze the test results of devices
driven into the large-signal domain or the non-linear distortion
range.
e.4. A maximum operating frequency exceeding 110 GHz;
f. Microwave test receivers having all of the following:
f.1. Maximum operating frequency exceeding 110 GHz; and
f.2. Being capable of measuring amplitude and phase
simultaneously;
g. Atomic frequency standards being any of the following:
g.1. ``Space-qualified'';
g.2. Non-rubidium and having a long-term stability less (better)
than 1 x 10-\11\/month; or
g.3. Non-``space-qualified'' and having all of the following:
g.3.a. Being a rubidium standard;
g.3.b. Long-term stability less (better) than 1 x 10-\11\/month;
and
g.3.c. Total power consumption of less than 1 Watt.
h. ``Electronic assemblies,'' modules or equipment, specified to
perform all of the following:
h.1. Analog-to-digital conversions meeting any of the following:
h.1.a. A resolution of 8 bit or more, but less than 10 bit, with
a ``sample rate'' greater than 1.3 Giga Samples Per Second (GSPS);
h.1.b. A resolution of 10 bit or more, but less than 12 bit,
with a ``sample rate'' greater than 1.0 GSPS;
h.1.c. A resolution of 12 bit or more, but less than 14 bit,
with a ``sample rate'' greater than 1.0 GSPS;
h.1.d. 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
h.1.e. A resolution of 16 bit or more with a ``sample rate''
greater than 180 MSPS; and
h.2. Any of the following:
h.2.a. Output of digitized data;
h.2.b. Storage of digitized data; or
h.2.c. Processing of digitized data;
N.B.: Digital data recorders, oscilloscopes, ``signal
analyzers,'' signal generators, network analyzers and microwave test
receivers, are specified by 3A002.a.6, 3A002.a.7, 3A002.c, 3A002.d,
3A002.e and 3A002.f, respectively.
Technical Notes:
1. A resolution of n bit corresponds to a quantization of 2\n\
levels.
2. The resolution of the ADC is the number of bits in of the
digital output of the ADC that represents the measured analog input
word. Effective Number of Bits (ENOB) is not used to determine the
resolution of the ADC.
3. For non-interleaved multiple-channel ``electronic
assemblies'', modules, or equipment, the ``sample rate'' is not
aggregated and the ``sample rate'' is the maximum rate of any single
channel.
4. For interleaved channels on multiple- channel ``electronic
assemblies'', modules, or equipment, the ``sample rates'' are
aggregated and the ``sample rate'' is the maximum combined total
rate of all the interleaved channels.
Note: 3A002.h includes ADC cards, waveform digitizers, data
acquisition cards, signal acquisition boards and transient
recorders.
* * * * *
3A991 Electronic devices, and ``components'' not controlled by
3A001.
License Requirements
Reason for Control: AT
Country chart (see Supp. No.
Control(s) 1 to part 738)
AT applies to entire entry................ AT Column 1
License Requirements Note: See Sec. 744.17 of the EAR for
additional license requirements for microprocessors having a
processing speed of 5 GFLOPS or more and an arithmetic logic unit
with an access width of 32 bit or more, including those
incorporating ``information security'' functionality, and associated
``software'' and ``technology'' for the ``production'' or
``development'' of such microprocessors.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items:
a. ``Microprocessor microcircuits'', ``microcomputer
microcircuits'', and microcontroller microcircuits having any of the
following:
a.1. A performance speed of 5 GFLOPS or more and an arithmetic
logic unit with an access width of 32 bit or more;
a.2. A clock frequency rate exceeding 25 MHz; or
a.3. More than one data or instruction bus or serial
communication port that provides a direct external interconnection
between parallel ``microprocessor microcircuits'' with a transfer
rate of 2.5 Mbyte/s;
b. Storage integrated circuits, as follows:
b.1. Electrical erasable programmable read-only memories
(EEPROMs) with a storage capacity;
b.1.a. Exceeding 16 Mbits per package for flash memory types; or
b.1.b. Exceeding either of the following limits for all other
EEPROM types:
b.1.b.1. Exceeding 1 Mbit per package; or
b.1.b.2. Exceeding 256 kbit per package and a maximum access
time of less than 80 ns;
b.2. Static random access memories (SRAMs) with a storage
capacity:
b.2.a. Exceeding 1 Mbit per package; or
b.2.b. Exceeding 256 kbit per package and a maximum access time
of less than 25 ns;
c. Analog-to-digital converters having any of the following:
c.1. A resolution of 8 bit or more, but less than 12 bit, with
an output rate greater than 200 million words per second;
c.2. A resolution of 12 bit with an output rate greater than 105
million words per second;
c.3. A resolution of more than 12 bit but equal to or less than
14 bit with an output rate greater than 10 million words per second;
or
c.4. A resolution of more than 14 bit with an output rate
greater than 2.5 million words per second;
d. Field programmable logic devices having a maximum number of
single-ended digital input/outputs between 200 and 700;
e. Fast Fourier Transform (FFT) processors having a rated
execution time for a 1,024 point complex FFT of less than 1 ms;
f. Custom integrated circuits for which either the function is
unknown, or the control status of the equipment in which the
integrated circuits will be used is unknown to the manufacturer,
having any of the following:
f.1. More than 144 terminals; or
f.2. A typical ``basic propagation delay time'' of less than 0.4
ns;
[[Page 78693]]
g. Traveling-wave ``vacuum electronic devices,'' pulsed or
continuous wave, as follows:
g.1. Coupled cavity devices, or derivatives thereof;
g.2. Helix devices based on helix, folded waveguide, or
serpentine waveguide circuits, or derivatives thereof, with any of
the following:
g.2.a. An ``instantaneous bandwidth'' of half an octave or more;
and
g.2.b. The product of the rated average output power (expressed
in kW) and the maximum operating frequency (expressed in GHz) of
more than 0.2;
g.2.c. An ``instantaneous bandwidth'' of less than half an
octave; and
g.2.d. The product of the rated average output power (expressed
in kW) and the maximum operating frequency (expressed in GHz) of
more than 0.4;
h. Flexible waveguides designed for use at frequencies exceeding
40 GHz;
i. Surface acoustic wave and surface skimming (shallow bulk)
acoustic wave devices (i.e., ``signal processing'' devices employing
elastic waves in materials), having either of the following:
i.1. A carrier frequency exceeding 1 GHz; or
i.2. A carrier frequency of 1 GHz or less; and
i.2.a. A frequency side-lobe rejection exceeding 55 Db;
i.2.b. A product of the maximum delay time and bandwidth (time
in microseconds and bandwidth in MHz) of more than 100; or
i.2.c. A dispersive delay of more than 10 microseconds;
j. Cells as follows:
j.1. Primary cells having an energy density of 550 Wh/kg or less
at 293 K (20 [deg]C);
j.2. Secondary cells having an energy density of 350 Wh/kg or
less at 293 K (20 [deg]C);
Note: 3A991.j does not control batteries, including single cell
batteries.
Technical Notes:
1. For the purpose of 3A991.j energy density (Wh/kg) is
calculated from the nominal voltage multiplied by the nominal
capacity in ampere-hours divided by the mass in kilograms. If the
nominal capacity is not stated, energy density is calculated from
the nominal voltage squared then multiplied by the discharge
duration in hours divided by the discharge load in Ohms and the mass
in kilograms.
2. For the purpose of 3A991.j, a `cell' is defined as an
electrochemical device, which has positive and negative electrodes,
and electrolyte, and is a source of electrical energy. It is the
basic building block of a battery.
3. For the purpose of 3A991.j.1, a `primary cell' is a `cell'
that is not designed to be charged by any other source.
4. For the purpose of 3A991.j.2, a `secondary cell' is a `cell'
that is designed to be charged by an external electrical source.
k. ``Superconductive'' electromagnets or solenoids ``specially
designed'' to be fully charged or discharged in less than one
minute, having all of the following:
Note: 3A991.k does not control ``superconductive''
electromagnets or solenoids designed for Magnetic Resonance Imaging
(MRI) medical equipment.
k.1. Maximum energy delivered during the discharge divided by
the duration of the discharge of more than 500 kJ per minute;
k.2. Inner diameter of the current carrying windings of more
than 250 mm; and
k.3. Rated for a magnetic induction of more than 8T or ``overall
current density'' in the winding of more than 300 A/mm\2\;
l. Circuits or systems for electromagnetic energy storage,
containing ``components'' manufactured from ``superconductive''
materials ``specially designed'' for operation at temperatures below
the ``critical temperature'' of at least one of their
``superconductive'' constituents, having all of the following:
l.1. Resonant operating frequencies exceeding 1 MHz;
l.2. A stored energy density of 1 MJ/M\3\ or more; and
l.3. A discharge time of less than 1 ms;
m. Hydrogen/hydrogen-isotope thyratrons of ceramic-metal
construction and rate for a peak current of 500 A or more;
n. Digital integrated circuits based on any compound
semiconductor having an equivalent gate count of more than 300 (2
input gates);
o. Solar cells, cell-interconnect-coverglass (CIC) assemblies,
solar panels, and solar arrays, which are ``space qualified'' and
not controlled by 3A001.e.4.
* * * * *
Category 5--Telecommunications and ``Information Security''
* * * * *
Part 2--``Information Security''
* * * * *
A. ``End Items'', ``Equipment'', ``Accessories'', ``Attachments'',
``Parts'', ``Components'' and ``Systems''
I. Cryptographic ``Information Security''
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.
Control(s) No. 1 to part 738)
NS applies to entire entry................ NS Column 1
AT applies to entire entry................ AT Column 1
EI applies to 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: (1) ECCN 5A002.a controls ``component'' 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 ``satellite navigation system''
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 useable, 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
[[Page 78694]]
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;
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
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;
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; or
j. Items specially designed for a `connected civil industry
application', meeting all of the following:
j.1. Being any of the following:
j.1.a. A network-capable endpoint device meeting any of the
following:
j.1.a.1. The ``information security'' functionality is limited
to securing 'non-arbitrary data' or the tasks of ``Operations,
Administration or Maintenance'' (``OAM''); or
j.1.a.2. The device is limited to a specific `connected civil
industry application'; or
j.1.b. Networking equipment meeting all of the following:
j.1.b.1. Being specially designed to communicate with the
devices specified by paragraph j.1.a above; and
j.1.b.2. The ``information security'' functionality is limited
to supporting the `connected civil industry application' of devices
specified by paragraph j.1.a above, or the tasks of ``OAM'' of this
networking equipment or of other items specified by paragraph j. of
this Note; and
j.2. Where the ``information security'' functionality implements
only published or commercial cryptographic standards, and the
cryptographic functionality cannot easily be changed by the user.
Technical Notes:
1. `Connected civil industry application' means a network-
connected consumer or civil industry application other than
``information security'', digital communication, general purpose
networking or computing.
[[Page 78695]]
2. `Non-arbitrary data' means sensor or metering data directly
related to the stability, performance or physical measurement of a
system (e.g., temperature, pressure, flow rate, mass, volume,
voltage, physical location, etc.), that cannot be changed by the
user of the device.
b. Being a `cryptographic activation token';
Technical Note: A `cryptographic activation token' is an item
designed or modified for any of the following:
1. 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
2. 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.
* * * * *
Category 7--Navigation and Avionics
A. ``End Items'', ``Equipment'', ``Accessories'', ``Attachments'',
``Parts'', ``Components'' and ``Systems''
* * * * *
7A005 ``Satellite navigation system'' receiving equipment having any
of the following and ``specially designed'' ``components'' therefor.
License Requirements
Reason for Control: NS, MT and AT
Country chart (see Supp.
Control(s) No. 1 to part 738)
NS applies to 7A005.b..................... NS Column 1
MT applies to commodities in 7A005.b that MT Column 1
meet or exceed the parameters of 7A105.
AT applies to 7A005.b..................... 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 also ECCNs 7A105, 7A611 and 7A994.
Commercially available ``satellite navigation system'' receivers do
not typically employ decryption or adaptive antennae and are
classified as 7A994. (2) See USML Category XII(d) for ``satellite
navigation system'' receiving equipment subject to the ITAR and USML
Category XI(c)(10) for antennae that are subject to the ITAR. (3)
Items that otherwise would be covered by ECCN 7A005.a are ``subject
to the ITAR'' (see 22 CFR parts 120 through 130).
Related Definitions: N/A
Items:
a. Employing a decryption algorithm ``specially designed'' or
modified for government use to access the ranging code for position
and time; or
b. Employing `adaptive antenna systems'.
Note: 7A005.b does not apply to ``satellite navigation system''
receiving equipment that only uses ``components'' designed to
filter, switch, or combine signals from multiple omni-directional
antennas that do not implement adaptive antenna techniques.
Technical Note: For the purposes of 7A005.b `adaptive antenna
systems' dynamically generate one or more spatial nulls in an
antenna array pattern by signal processing in the time domain or
frequency domain.
* * * * *
Category 9--Aerospace and Propulsion
* * * * *
E. ``Technology''
* * * * *
9E003 Other ``technology'' as follows (see List of Items
Controlled).
License Requirements
Reason for Control: NS, SI, AT
Country chart (see Supp.
Control(s) No. 1 to part 738)
NS applies to entire entry................ NS Column 1
SI applies to 9E003.a.1 through a.8, .h, See Sec. 742.14 of the EAR
.i, and .k. for additional information
AT applies to entire entry................ AT Column 1
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for exports
under License Exceptions, and Validated End-User authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: N/A
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit any
technology in 9E003.a.1, 9E003.a.2 to a.5, 9E003.a.8, or 9E003.h to
any of the destinations listed in Country Group A:6 (See Supplement
No.1 to part 740 of the EAR).
List of Items Controlled
Related Controls: (1) Hot section ``technology'' specifically
designed, modified, or equipped for military uses or purposes, or
developed principally with U.S. Department of Defense funding, is
``subject to the ITAR'' (see 22 CFR parts 120 through 130). (2)
``Technology'' is subject to the EAR when actually applied to a
commercial ``aircraft'' engine program. Exporters may seek to
establish commercial application either on a case-by-case basis
through submission of documentation demonstrating application to a
commercial program in requesting an export license from the
Department Commerce in respect to a specific export, or in the case
of use for broad categories of ``aircraft,'' engines, ``parts'' or
``components,'' a commodity jurisdiction determination from the
Department of State.
Related Definitions: N/A
Items:
a. ``Technology'' ``required'' for the ``development'' or
``production'' of any of the following gas turbine engine ``parts,''
``components'' or systems:
a.1. Gas turbine blades, vanes or ``tip shrouds'', made from
Directionally Solidified (DS) or Single Crystal (SC) alloys and
having (in the 001 Miller Index Direction) a stress-rupture life
exceeding 400 hours at 1,273 K (1,000 [deg]C) at a stress of 200
MPa, based on the average property values;
Technical Note: For the purposes of 9E003.a.1, stress-rupture
life testing is typically conducted on a test specimen.
a.2. Combustors having any of the following:
a.2.a. `Thermally decoupled liners' designed to operate at
`combustor exit temperature' exceeding 1,883 K (1,610 [deg]C);
a.2.b. Non-metallic liners;
a.2.c. Non-metallic shells; or
a.2.d. Liners designed to operate at `combustor exit
temperature' exceeding 1,883 K (1,610 [deg]C) and having holes that
meet the parameters specified by 9E003.c;
Note: The ``required'' ``technology'' for holes in 9E003.a.2 is
limited to the derivation of the geometry and location of the holes.
Technical Notes:
1. `Thermally decoupled liners' are liners that feature at least
a support structure designed to carry mechanical loads and a
combustion facing structure designed to protect the support
structure from the heat of combustion. The combustion facing
structure and support structure have independent thermal
displacement (mechanical displacement due to thermal load) with
respect to one another, i.e., they are thermally decoupled.
2. `Combustor exit temperature' is the bulk average gas path
total (stagnation) temperature between the combustor exit plane and
the leading edge of the turbine inlet guide vane (i.e., measured at
engine station T40 as defined in SAE ARP 755A) when the engine is
running in a ``steady state mode'' of operation at the certificated
maximum continuous operating temperature.
N.B.: See 9E003.c for ``technology'' ``required'' for
manufacturing cooling holes.
[[Page 78696]]
a.3. ``Parts'' or ``components,'' that are any of the following:
a.3.a. Manufactured from organic ``composite'' materials
designed to operate above 588 K (315 [deg]C);
a.3.b. Manufactured from any of the following:
a.3.b.1. Metal ``matrix'' ``composites'' reinforced by any of
the following:
a.3.b.1.a. Materials controlled by 1C007;
a.3.b.1.b. ``Fibrous or filamentary materials'' specified by
1C010; or
a.3.b.1.c. Aluminides specified by 1C002.a; or
a.3.b.2. Ceramic ``matrix'' ``composites'' specified by 1C007;
or
a.3.c. Stators, vanes, blades, tip seals (shrouds), rotating
blings, rotating blisks or `splitter ducts', that are all of the
following:
a.3.c.1. Not specified in 9E003.a.3.a;
a.3.c.2. Designed for compressors or fans; and
a.3.c.3. Manufactured from material controlled by 1C010.e with
resins controlled by 1C008;
Technical Note: A `splitter duct' performs the initial
separation of the air-mass flow between the bypass and core sections
of the engine.
a.4. Uncooled turbine blades, vanes or ``tip shrouds'' designed
to operate at a `gas path temperature' of 1,373 K (1,100 [deg]C) or
more;
a.5. Cooled turbine blades, vanes or ``tip-shrouds'', other than
those described in 9E003.a.1, designed to operate at a `gas path
temperature' of 1,693 K (1,420 [deg]C) or more;
Technical Note: `Gas path temperature' is the bulk average gas
path total (stagnation) temperature at the leading edge plane of the
turbine component when the engine is running in a ``steady state
mode'' of operation at the certificated or specified maximum
continuous operating temperature.
a.6. Airfoil-to-disk blade combinations using solid state
joining;
a.7. [Reserved]
a.8. `Damage tolerant' gas turbine engine rotor ``parts'' or
``components'' using powder metallurgy materials controlled by
1C002.b; or
Technical Note: `Damage tolerant' ``parts'' and ``components''
are designed using methodology and substantiation to predict and
limit crack growth.
a.9. [Reserved]
N.B.: For ``FADEC systems'', see 9E003.h.
a.10. [Reserved]
N.B.: For adjustable flow path geometry, see 9E003.i.
a.11. Hollow fan blades;
b. ``Technology'' ``required'' for the ``development'' or
``production'' of any of the following:
b.1. Wind tunnel aero-models equipped with non-intrusive sensors
capable of transmitting data from the sensors to the data
acquisition system; or
b.2. ``Composite'' propeller blades or prop-fans, capable of
absorbing more than 2,000 kW at flight speeds exceeding Mach 0.55;
c. ``Technology'' ``required'' for manufacturing cooling holes,
in gas turbine engine ``parts'' or ``components'' incorporating any
of the ``technologies'' specified by 9E003.a.1, 9E003.a.2 or
9E003.a.5, and having any of the following:
c.1. Having all of the following:
c.1.a. Minimum `cross-sectional area' less than 0.45 mm\2\;
c.1.b. `Hole shape ratio' greater than 4.52; and
c.1.c. `Incidence angle' equal to or less than 25[deg]; or
c.2. Having all of the following:
c.2.a. Minimum `cross-sectional area' less than 0.12 mm\2\;
c.2.b. `Hole shape ratio' greater than 5.65; and
c.2.c. `Incidence angle' more than 25[deg];
Note: 9E003.c does not apply to ``technology'' for manufacturing
constant radius cylindrical holes that are straight through and
enter and exit on the external surfaces of the component.
Technical Notes:
1. For the purposes of 9E003.c, the `cross-sectional area' is
the area of the hole in the plane perpendicular to the hole axis.
2. For the purposes of 9E003.c, `hole shape ratio' is the
nominal length of the axis of the hole divided by the square root of
its minimum `cross-sectional area'.
3. For the purposes of 9E003.c, `incidence angle' is the acute
angle measured between the plane tangential to the airfoil surface
and the hole axis at the point where the hole axis enters the
airfoil surface.
4. Techniques for manufacturing holes in 9E003.c include
``laser'' beam machining, water jet machining, Electro-Chemical
Machining (ECM) or Electrical Discharge Machining (EDM).
d. ``Technology'' ``required'' for the ``development'' or
``production'' of helicopter power transfer systems or tilt rotor or
tilt wing ``aircraft'' power transfer systems;
e. ``Technology'' for the ``development'' or ``production'' of
reciprocating diesel engine ground vehicle propulsion systems having
all of the following:
e.1. `Box volume' of 1.2 m\3\ or less;
e.2. An overall power output of more than 750 kW based on 80/
1269/EEC, ISO 2534 or national equivalents; and
e.3. Power density of more than 700 kW/m\3\ of `box volume';
Technical Note: `Box volume' is the product of three
perpendicular dimensions measured in the following way:
Length: The length of the crankshaft from front flange to
flywheel face;
Width: The widest of any of the following:
a. The outside dimension from valve cover to valve cover;
b. The dimensions of the outside edges of the cylinder heads; or
c. The diameter of the flywheel housing;
Height: The largest of any of the following:
a. The dimension of the crankshaft center-line to the top plane
of the valve cover (or cylinder head) plus twice the stroke; or
b. The diameter of the flywheel housing.
f. ``Technology'' ``required'' for the ``production'' of
``specially designed'' ``parts'' or ``components'' for high output
diesel engines, as follows:
f.1. ``Technology'' ``required'' for the ``production'' of
engine systems having all of the following ``parts'' and
``components'' employing ceramics materials controlled by 1C007:
f.1.a Cylinder liners;
f.1.b. Pistons;
f.1.c. Cylinder heads; and
f.1.d. One or more other ``part'' or ``component'' (including
exhaust ports, turbochargers, valve guides, valve assemblies or
insulated fuel injectors);
f.2. ``Technology'' ``required'' for the ``production'' of
turbocharger systems with single-stage compressors and having all of
the following:
f.2.a. Operating at pressure ratios of 4:1 or higher;
f.2.b. Mass flow in the range from 30 to 130 kg per minute; and
f.2.c. Variable flow area capability within the compressor or
turbine sections;
f.3. ``Technology'' ``required'' for the ``production'' of fuel
injection systems with a ``specially designed'' multifuel (e.g.,
diesel or jet fuel) capability covering a viscosity range from
diesel fuel (2.5 cSt at 310.8 K (37.8 [deg]C)) down to gasoline fuel
(0.5 cSt at 310.8 K (37.8 [deg]C)) and having all of the following:
f.3.a. Injection amount in excess of 230 mm\3\ per injection per
cylinder; and
f.3.b. Electronic control features ``specially designed'' for
switching governor characteristics automatically depending on fuel
property to provide the same torque characteristics by using the
appropriate sensors;
g. ``Technology'' ``required'' for the development'' or
``production'' of `high output diesel engines' for solid, gas phase
or liquid film (or combinations thereof) cylinder wall lubrication
and permitting operation to temperatures exceeding 723 K (450
[deg]C), measured on the cylinder wall at the top limit of travel of
the top ring of the piston;
Technical Note: `High output diesel engines' are diesel engines
with a specified brake mean effective pressure of 1.8 MPa or more at
a speed of 2,300 r.p.m., provided the rated speed is 2,300 r.p.m. or
more.
h. ``Technology'' for gas turbine engine ``FADEC systems'' as
follows:
h.1. ``Development'' ``technology'' for deriving the functional
requirements for the ``parts'' or ``components'' necessary for the
``FADEC system'' to regulate engine thrust or shaft power (e.g.,
feedback sensor time constants and accuracies, fuel valve slew
rate);
h.2. ``Development'' or ``production'' ``technology'' for
control and diagnostic ``parts'' or ``components'' unique to the
``FADEC system'' and used to regulate engine thrust or shaft power;
h.3. ``Development'' ``technology'' for the control law
algorithms, including ``source code'', unique to the ``FADEC
system'' and used to regulate engine thrust or shaft power;
Note: 9E003.h does not apply to technical data related to
engine-``aircraft'' integration required by civil aviation
authorities of one or more Wassenaar Arrangement Participating
States (See Supplement No. 1 to part 743 of the EAR) to be published
for general airline use (e.g., installation manuals, operating
instructions, instructions for continued airworthiness) or interface
functions (e.g., input/output processing, airframe thrust or shaft
power demand).
i. ``Technology'' for adjustable flow path systems designed to
maintain engine stability
[[Page 78697]]
for gas generator turbines, fan or power turbines, or propelling
nozzles, as follows:
i.1. ``Development'' ``technology'' for deriving the functional
requirements for the ``parts'' or ``components'' that maintain
engine stability;
i.2. ``Development'' or ``production'' ``technology'' for
``parts'' or ``components'' unique to the adjustable flow path
system and that maintain engine stability;
i.3. ``Development'' ``technology'' for the control law
algorithms, including ``source code'', unique to the adjustable flow
path system and that maintain engine stability;
Note: 9E003.i does not apply to ``technology'' for any of the
following:
a. Inlet guide vanes;
b. Variable pitch fans or prop-fans;
c. Variable compressor vanes;
d. Compressor bleed valves; or
e. Adjustable flow path geometry for reverse thrust.
j. ``Technology'' ``required'' for the ``development'' of wing-
folding systems designed for fixed-wing ``aircraft'' powered by gas
turbine engines.
N.B.: For ``technology'' ``required'' for the ``development'' of
wing-folding systems designed for fixed-wing ``aircraft'' specified
in USML Category VIII (a), see USML Category VIII (i).
k. ``Technology'' not otherwise controlled in 9E003.a.1 through
a.8, a.10, and .h and used in the ``development'', ``production'',
or overhaul of hot section ``parts'' or ``components'' of civil
derivatives of military engines controlled on the U.S. Munitions
List.
* * * * *
Matthew S. Borman,
Deputy Assistant Secretary for Export Administration.
[FR Doc. 2020-26638 Filed 12-3-20; 8:45 am]
BILLING CODE 3510-33-P
